**PUBLIC NOTICE**

**Federal Communications Commission**

**445 12^th^ Street, SW**

**Washington, DC 20554**

#######  {#section .unnumbered}

> DA 05-1047

April 21, 2005

AUCTION OF AUTOMATED MARITIME TELECOMMUNICATIONS SYSTEM LICENSES

SCHEDULED FOR AUGUST 3, 2005

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

**Upfront Payments and Other Auction Procedures for Auction No. 61**

Report No. AUC-05-61-B (Auction No. 61)

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

A. Introduction [1](#introduction)

1\. Background of Proceeding [1](#background-of-proceeding)

2\. Licenses to be Auctioned [3](#licenses-to-be-auctioned)

B. Rules and Disclaimers [3](#rules-and-disclaimers)

1\. Relevant Authority [3](#relevant-authority)

2\. Prohibition of Collusion [4](#prohibition-of-collusion)

3\. Interference Protection [6](#interference-protection)

4\. Coordination Requirements [6](#coordination-requirements)

5\. Due Diligence [7](#due-diligence)

6\. Bidder Alerts [10](#bidder-alerts)

7\. National Environmental Policy Act Requirements
[10](#national-environmental-policy-act-requirements)

C. Auction Specifics [11](#auction-specifics)

1\. Auction Date [11](#auction-date)

2\. Auction Title [13](#auction-title)

3\. Bidding Methodology [13](#bidding-methodology)

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

5\. Requirements for Participation [13](#requirements-for-participation)

6\. General Contact Information [14](#general-contact-information)

II\. SHORT-FORM (FCC FORM 175) FILING REQUIREMENTS
[15](#short-form-fcc-form-175-filing-requirements)

A. Preferences for Small Businesses and Others
[15](#preferences-for-small-businesses-and-others)

1\. Size Standards for Bidding Credits
[15](#size-standards-for-bidding-credits)

2\. Tribal Lands Bidding Credit [16](#tribal-lands-bidding-credit)

3\. Installment Payments [16](#installment-payments)

B. License Selection [16](#license-selection)

C. Consortia and Joint Bidding Arrangements
[16](#consortia-and-joint-bidding-arrangements)

D. Ownership Disclosure Requirements
[17](#ownership-disclosure-requirements)

E. Bidding Credit Revenue Disclosures
[17](#bidding-credit-revenue-disclosures)

F. Provisions Regarding Former and Current Defaulters
[18](#provisions-regarding-former-and-current-defaulters)

G. Other Information [19](#other-information)

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

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

III\. PRE-AUCTION PROCEDURES [20](#pre-auction-procedures)

A. Auction Seminar --- May 25, 2005 [20](#auction-seminar-may-25-2005)

B. Short-Form Application (FCC Form 175) --- Due June 9, 2005
[20](#short-form-application-fcc-form-175-due-june-9-2005)

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

D. Upfront Payments --- Due July 8, 2005
[21](#upfront-payments-due-july-8-2005)

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

2\. FCC Form 159 [22](#fcc-form-159)

3\. Amount of Upfront Payment [23](#amount-of-upfront-payment)

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

E. Auction Registration [25](#auction-registration)

F. Remote Electronic Bidding [25](#remote-electronic-bidding)

G. Mock Auction [25](#mock-auction)

IV\. AUCTION EVENT [26](#auction-event)

A. Auction Structure [26](#auction-structure)

1\. Simultaneous Multiple Round Auction
[26](#simultaneous-multiple-round-auction)

2\. Eligibility and Activity Rules [26](#eligibility-and-activity-rules)

3\. Auction Stages [27](#auction-stages)

4\. Stage Transitions [27](#stage-transitions)

5\. Activity Rule Waivers and Reducing Eligibility
[28](#activity-rule-waivers-and-reducing-eligibility)

6\. Auction Stopping Rules [29](#auction-stopping-rules)

7\. Auction Delay, Suspension, or Cancellation
[29](#auction-delay-suspension-or-cancellation)

B. Bidding Procedures [30](#bidding-procedures)

1\. Round Structure [30](#round-structure)

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

3\. Minimum Acceptable Bid Amounts and Bid Increment Amounts
[31](#minimum-acceptable-bid-amounts-and-bid-increment-amounts)

4\. Provisionally Winning Bids [32](#provisionally-winning-bids)

5\. Bidding [33](#bidding)

6\. Bid Removal and Bid Withdrawal [33](#bid-removal-and-bid-withdrawal)

7\. Round Results [35](#round-results)

8\. Auction Announcements [35](#auction-announcements)

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

V. POST-AUCTION PROCEDURES [36](#post-auction-procedures)

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

B. Final Payments [36](#final-payments)

C. Long-Form Application (FCC Form 601)
[36](#long-form-application-fcc-form-601)

D. Ownership Disclosure Information Report (FCC Form 602)
[36](#ownership-disclosure-information-report-fcc-form-602)

E. Tribal Land Bidding Credit [36](#tribal-land-bidding-credit)

F. Default and Disqualification [37](#default-and-disqualification)

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

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

VII\. Attachment B: FCC Auction Seminar Registration Form
B-[1](#attachment-b)

VIII\. Attachment C: Electronic Filing and Review of the FCC Form 175
C-[1](#attachment-c)

IX\. Attachment D: Auction-Specific Instructions for FCC Remittance
Advice (FCC Form 159) D-[1](#__RefHeading___Toc101858548)

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

# General Information

## Introduction

By this Public Notice, the Wireless Telecommunications Bureau ("Bureau")
announces the procedures and minimum opening bid amounts for the
upcoming auction of licenses of Automated Maritime Telecommunications
System ("AMTS") spectrum scheduled for August 3, 2005 (Auction No. 61).
On February 2, 2005, in accordance with the Section 309(j)(4) of the
Communications Act of 1934, as amended,[^1] the Bureau released a public
notice seeking comment on reserve prices or minimum opening bid amounts
and the procedures to be used in Auction No. 61.[^2] The Bureau received
two comments, one reply comment, and a response to the reply comment in
response to the *Auction No. 61 Comment Public Notice*.[^3]

### Background of Proceeding

The Maritime Services provide for the unique distress, operational and
personal communication needs of vessels at sea and on inland
waterways.[^4] AMTS is a maritime service that was established in 1981
as an alternative to VHF public coast service ("VPCS").[^5] In the
*Public Coast* *Second Report and Order and Second Further Notice*, the
Commission described AMTS as a specialized system of public coast
stations providing integrated and interconnected marine voice and data
communications, somewhat like a cellular phone system, for tugs, barges,
and other commercial vessels on waterways.[^6]

Section 309(j)(2) of the Communications Act formerly stated that
mutually exclusive applications for initial licenses or construction
permits were auctionable if the principal use of the spectrum was for
subscriber-based services, and competitive bidding would promote the
expressed objectives of the Communications Act.[^7] The Commission
concluded that the public coast service, including VPCS, high seas, and
AMTS public coast stations, was a Commercial Mobile Radio Service
("CMRS")[^8] and subsequently decided that mutually exclusive
applications for public coast station licenses would be resolved through
competitive bidding.[^9]

On August 5, 1997, after release of the *Public Coast* *Second Report
and Order and Second Further Notice*, President Clinton signed into law
the Balanced Budget Act of 1997 ("Balanced Budget Act"),[^10] which
expanded the Commission\'s auction authority by amending Section 309(j)
of the Communications Act to provide that all mutually exclusive
applications for initial licenses or construction permits **shall** be
auctioned, with certain exceptions not applicable here.[^11]

In the *Public Coast* *Second Report and Order and Second Further
Notice*, the Commission adopted AMTS rules that permit service on land,
so long as marine-originating communications receive priority.[^12] In
the *Public Coast* *Second Memorandum Opinion and Order and Fifth Report
and Order*, the Commission adopted a geographic licensing system for
AMTS with service areas ("AMTSAs") based upon maritime VPCS areas
("VPCSA"), with the modification that the inland VPCSAs would be
consolidated into a single, inland geographic service area.[^13] The
Commission announced that it would conduct an auction to resolve
mutually exclusive applications for AMTS licenses.[^14] Additionally,
the Commission concluded that the general competitive bidding rules, and
the rules regarding the participation of small businesses in auctions
that were applied to the auction of VPC licenses, should be used for
auctioning AMTS licenses.[^15]

On February 2, 2005, the Wireless Telecommunications Bureau ("Bureau")
released the *Auction No. 61 Comment Public Notice* announcing that
Auction No. 61 will commence on August 3, 2005, setting forth a complete
list of licenses for Auction No. 61, and seeking comment on reserve
prices or minimum opening bid amounts and other auction procedures.[^16]

### Licenses to be Auctioned

Auction No. 61 will offer ten licenses in the AMTS Service in the
217/219 MHz bands. Licenses will be offered in each of 10 AMTSAs where
available.[^17] These licenses remained unsold in Auction No. 57, which
closed on September 15, 2004. For Auction No. 61, licenses are not
available in each spectrum block in every market. A complete list of the
licenses available in Auction No. 61 and their descriptions is included
in Attachment A of this Public Notice.

The following table contains the AMTS block/frequency bands
cross-reference list for Auction No. 61:

+-----+-----------------------+---------+----------+---------+-------+
| **B | **Frequency Bands**   | **Total | **P      | **Geo   | **No. |
| loc |                       | Band    | airing** | graphic | of    |
| k** | **(MHz)**             | width** |          | Area    | Licen |
|     |                       |         |          | Type**  | ses** |
+-----+-----------------------+---------+----------+---------+-------+
| A   | 217.5 -- 218.0 /      | 1 MHz   | 2 x 500  | AMTSA   | 9     |
|     | 219.5 -- 220.0        |         | kHz      |         |       |
+-----+-----------------------+---------+----------+---------+-------+
| B   | 217.0 -- 217.5 /      | 1 MHz   | 2 x 500  | AMTSA   | 1     |
|     | 219.0 -- 219.5        |         | kHz      |         |       |
+-----+-----------------------+---------+----------+---------+-------+
| No  |                       |         |          |         |       |
| te: |                       |         |          |         |       |
| The |                       |         |          |         |       |
| ab  |                       |         |          |         |       |
| ove |                       |         |          |         |       |
| ta  |                       |         |          |         |       |
| ble |                       |         |          |         |       |
| di  |                       |         |          |         |       |
| spl |                       |         |          |         |       |
| ays |                       |         |          |         |       |
| the |                       |         |          |         |       |
| b   |                       |         |          |         |       |
| and |                       |         |          |         |       |
| ed  |                       |         |          |         |       |
| ges |                       |         |          |         |       |
| of  |                       |         |          |         |       |
| sp  |                       |         |          |         |       |
| ect |                       |         |          |         |       |
| rum |                       |         |          |         |       |
| blo |                       |         |          |         |       |
| cks |                       |         |          |         |       |
| A   |                       |         |          |         |       |
| and |                       |         |          |         |       |
| B   |                       |         |          |         |       |
| us  |                       |         |          |         |       |
| ing |                       |         |          |         |       |
| the |                       |         |          |         |       |
| twe |                       |         |          |         |       |
| nty |                       |         |          |         |       |
| 25  |                       |         |          |         |       |
| kHz |                       |         |          |         |       |
| ch  |                       |         |          |         |       |
| ann |                       |         |          |         |       |
| els |                       |         |          |         |       |
| t   |                       |         |          |         |       |
| hat |                       |         |          |         |       |
| co  |                       |         |          |         |       |
| mpr |                       |         |          |         |       |
| ise |                       |         |          |         |       |
| e   |                       |         |          |         |       |
| ach |                       |         |          |         |       |
| bl  |                       |         |          |         |       |
| ock |                       |         |          |         |       |
| as  |                       |         |          |         |       |
| lis |                       |         |          |         |       |
| ted |                       |         |          |         |       |
| in  |                       |         |          |         |       |
| 47  |                       |         |          |         |       |
| C.F |                       |         |          |         |       |
| .R. |                       |         |          |         |       |
| §   |                       |         |          |         |       |
| 8   |                       |         |          |         |       |
| 0.3 |                       |         |          |         |       |
| 85( |                       |         |          |         |       |
| a)( |                       |         |          |         |       |
| 2). |                       |         |          |         |       |
| It  |                       |         |          |         |       |
| sho |                       |         |          |         |       |
| uld |                       |         |          |         |       |
| be  |                       |         |          |         |       |
| no  |                       |         |          |         |       |
| ted |                       |         |          |         |       |
| t   |                       |         |          |         |       |
| hat |                       |         |          |         |       |
| pu  |                       |         |          |         |       |
| rsu |                       |         |          |         |       |
| ant |                       |         |          |         |       |
| to  |                       |         |          |         |       |
| 47  |                       |         |          |         |       |
| C.F |                       |         |          |         |       |
| .R. |                       |         |          |         |       |
| § 8 |                       |         |          |         |       |
| 0.4 |                       |         |          |         |       |
| 81, |                       |         |          |         |       |
| lic |                       |         |          |         |       |
| ens |                       |         |          |         |       |
| ees |                       |         |          |         |       |
| are |                       |         |          |         |       |
| not |                       |         |          |         |       |
| re  |                       |         |          |         |       |
| qui |                       |         |          |         |       |
| red |                       |         |          |         |       |
| to  |                       |         |          |         |       |
| use |                       |         |          |         |       |
| 25  |                       |         |          |         |       |
| kHz |                       |         |          |         |       |
| ch  |                       |         |          |         |       |
| ann |                       |         |          |         |       |
| eli |                       |         |          |         |       |
| zat |                       |         |          |         |       |
| ion |                       |         |          |         |       |
| and |                       |         |          |         |       |
| may |                       |         |          |         |       |
| cho |                       |         |          |         |       |
| ose |                       |         |          |         |       |
| any |                       |         |          |         |       |
| ch  |                       |         |          |         |       |
| ann |                       |         |          |         |       |
| eli |                       |         |          |         |       |
| zat |                       |         |          |         |       |
| ion |                       |         |          |         |       |
| s   |                       |         |          |         |       |
| che |                       |         |          |         |       |
| me; |                       |         |          |         |       |
| ho  |                       |         |          |         |       |
| wev |                       |         |          |         |       |
| er, |                       |         |          |         |       |
| r   |                       |         |          |         |       |
| ega |                       |         |          |         |       |
| rdl |                       |         |          |         |       |
| ess |                       |         |          |         |       |
| of  |                       |         |          |         |       |
| the |                       |         |          |         |       |
| ch  |                       |         |          |         |       |
| ann |                       |         |          |         |       |
| eli |                       |         |          |         |       |
| zat |                       |         |          |         |       |
| ion |                       |         |          |         |       |
| sch |                       |         |          |         |       |
| eme |                       |         |          |         |       |
| us  |                       |         |          |         |       |
| ed, |                       |         |          |         |       |
| emi |                       |         |          |         |       |
| ssi |                       |         |          |         |       |
| ons |                       |         |          |         |       |
| at  |                       |         |          |         |       |
| th  |                       |         |          |         |       |
| ese |                       |         |          |         |       |
| b   |                       |         |          |         |       |
| and |                       |         |          |         |       |
| ed  |                       |         |          |         |       |
| ges |                       |         |          |         |       |
| m   |                       |         |          |         |       |
| ust |                       |         |          |         |       |
| be  |                       |         |          |         |       |
| a   |                       |         |          |         |       |
| tte |                       |         |          |         |       |
| nua |                       |         |          |         |       |
| ted |                       |         |          |         |       |
| wit |                       |         |          |         |       |
| hin |                       |         |          |         |       |
| the |                       |         |          |         |       |
| l   |                       |         |          |         |       |
| imi |                       |         |          |         |       |
| tat |                       |         |          |         |       |
| ion |                       |         |          |         |       |
| t   |                       |         |          |         |       |
| hat |                       |         |          |         |       |
| wo  |                       |         |          |         |       |
| uld |                       |         |          |         |       |
| be  |                       |         |          |         |       |
| re  |                       |         |          |         |       |
| qui |                       |         |          |         |       |
| red |                       |         |          |         |       |
| un  |                       |         |          |         |       |
| der |                       |         |          |         |       |
| 47  |                       |         |          |         |       |
| C.F |                       |         |          |         |       |
| .R. |                       |         |          |         |       |
| §   |                       |         |          |         |       |
| 80. |                       |         |          |         |       |
| 211 |                       |         |          |         |       |
| if  |                       |         |          |         |       |
| the |                       |         |          |         |       |
| li  |                       |         |          |         |       |
| cen |                       |         |          |         |       |
| see |                       |         |          |         |       |
| w   |                       |         |          |         |       |
| ere |                       |         |          |         |       |
| us  |                       |         |          |         |       |
| ing |                       |         |          |         |       |
| 25  |                       |         |          |         |       |
| kHz |                       |         |          |         |       |
| cha |                       |         |          |         |       |
| nne |                       |         |          |         |       |
| ls. |                       |         |          |         |       |
+-----+-----------------------+---------+----------+---------+-------+

## Rules and Disclaimers 

### Relevant Authority 

Prospective applicants must familiarize themselves thoroughly with the
Commission's rules, particularly those relating to the AMTS service
contained in Title 47, Part 80, of the Code of Federal Regulations, and
those relating to application and auction procedures, contained in Title
47, Part 1, of the Code of Federal Regulations. Prospective applicants
must also be thoroughly familiar with the procedures, terms and
conditions (collectively, "terms") contained in this Public Notice; the
*Auction No. 61 Comment* *Public Notice;* *Public Coast* *Second
Memorandum Opinion and Order* *and Fifth Report and Order* and the
*Public Coast* *Fourth Report and Order and Third Further Notice of
Proposed Rule Making*[^18] (as well as prior and subsequent Commission
proceedings regarding competitive bidding procedures, application
requirements, and obligations of Commission licensees).[^19]

The terms contained in the Commission's rules, relevant orders, and
public notices are not negotiable. The Commission may amend or
supplement the information contained in our public notices at any time,
and will issue public notices to convey any new or supplemental
information to applicants. It is the responsibility of all applicants to
remain current with all Commission rules and with all public notices
pertaining to this auction. Copies of most Commission documents,
including public notices, can be retrieved from the FCC Auctions
Internet site at <http://wireless.fcc.gov/auctions>. Additionally,
documents are available for public inspection and copying during regular
business hours at the FCC Reference Information Center, 445 12th Street,
SW, Room CY-A257, Washington, DC 20554. Documents may also be purchased
from the Commission's duplicating contractor, Best Copy and Printing,
Inc. ("BCPI"), 445 12th Street, SW, Room CY-B402, Washington, DC 20554,
800-378-3160 (telephone) or
[http://www.bcpiweb.com](http://www.bcpiweb.com/). When ordering
documents from BCPI, please provide the appropriate FCC document number
(for example, DA 05-194 for the *Auction No. 61 Comment Public Notice*).

### Prohibition of Collusion

To ensure the competitiveness of the auction process, Section 1.2105(c)
of the Commission's rules prohibits applicants for any of the same
geographic license areas from communicating with each other during the
auction about bids, bidding strategies, or settlements unless such
applicants have identified each other on their FCC Form 175 applications
as parties with whom they have entered into agreements under Section
1.2105(a)(2)(viii).[^20] Thus, applicants for any of the same geographic
license areas must affirmatively avoid all discussions with each other
that affect, or in their reasonable assessment have the potential to
affect, bidding or bidding strategy. This prohibition begins at the
short-form application filing deadline and ends at the down payment
deadline after the auction.[^21] **This prohibition applies to all
applicants regardless of whether such applicants become qualified
bidders or actually bid.** For purposes of this prohibition, Section
1.2105(c)(7)(i) defines applicant as including all controlling interests
in the entity submitting an 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.[^22]

Applicants for licenses in any of the same geographic license areas 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 applicants 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.[^23] 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.[^24]

The Commission's anti-collusion rule allows applicants to form certain
agreements during the auction, provided the applicants have not applied
for licenses covering any of the same geographic areas.[^25] In
addition, applicants that apply to bid for all markets will be precluded
from communicating with all other applicants until after the down
payment deadline. However, all 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.[^26] 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.[^27] By
signing their FCC Form 175 short-form applications, applicants are
certifying their compliance with Section 1.2105(c).

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.[^28] 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.[^29]

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.[^30] Any applicant found to have violated the anti-collusion
rule may be subject to sanctions, including forfeiture of its upfront
payment, down payment or full bid amount, and may be prohibited from
participating in future auctions.[^31] In addition, applicants are
reminded that they are subject to the antitrust laws, which are designed
to prevent anticompetitive 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.[^32]

A summary listing of documents issued by the Commission and the Bureau
addressing the application of the anti-collusion rule may be found in
Attachment E and these documents are available on the Commission's
anti-collusion web page.[^33]

### Interference Protection 

Incumbent AMTS site-based licensees are entitled to co-channel
protection by AMTS geographic area licensees. Among other licensing and
technical rules, AMTS geographic area licensees will be required to
afford interference protection to incumbent systems, on a fixed
separation basis as provided in Section 80.385(b)(1). Geographic area
licensees must also provide co-channel interference protection to other
geographic area licensees in accordance with Sections 80.479(b) and
80.70(a).

Incumbents will be prohibited from renewing, transferring, assigning, or
modifying their licenses in any manner that extends their system's
service area[^34] or results in their acquiring additional frequencies,
unless there is consent from each affected geographic area licensee. If
an incumbent fails to construct, discontinues operations, or otherwise
has its license terminated, the spectrum covered by the incumbent's
authorization will automatically revert to the geographic area licensee.

In addition, AMTS licensees that cause interference to television
reception or to the U.S. Navy Space Surveillance System (SPASUR)[^35]
system must cure the problem or discontinue operations.[^36]

### Coordination Requirements

AMTS geographic area licensees may place stations anywhere within their
service areas to serve vessels or units on land, so long as incumbent
operations are protected, marine-originating traffic is given priority
and certain major waterways are served. However, geographic area
licensees must individually license any base station that requires an
Environmental Assessment pursuant to Section 1.1307 of the Commission's
Rules or international coordination, or would affect the radio frequency
quiet zones described in Section 80.21 of the Commission's rules, or
would require broadcaster notification and an engineering study
described in Section 80.215(h).[^37]

For instance, AMTS applicants proposing to locate a transmitter (1)
within 169 kilometers (105 miles) of a Channel 13 television station,
(2) within 105 kilometers (80 miles) of a Channel 10 television station,
or (3) with an antenna height greater than 61 meters (200 feet), must
file an application with the Commission, including an engineering study
showing how harmful interference to television reception will be
avoided, and must also give written notice of the application to the
television stations that may be affected so that the broadcaster can
comment on the proposed construction.[^38]

Additionally, AMTS licensees must obtain written consent from all
affected licensees prior to using AMTS frequencies for mobile-to-mobile
communications.

### Due Diligence 

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 should perform their
individual due diligence before proceeding as they would with any new
business venture.

Applicants are reminded that there are a number of incumbent licensees
already licensed and operating on frequencies that will be subject to
the upcoming auction, such as AMTS Station licensees. Such incumbents
must be protected from harmful interference by AMTS Station geographic
area licensees in accordance with the Commission's Rules.[^39] These
limitations may restrict the ability of such AMTS geographic area
licensees to use certain portions of the electromagnetic spectrum or
provide service to certain areas in their geographic license areas. We
therefore caution potential applicants in formulating their bidding
strategies to investigate and consider the extent to which AMTS
frequencies are occupied by incumbents.

**Applicants are solely responsible for identifying associated risks and
for investigating and evaluating the degree to which such matters may
affect their ability to bid on, otherwise acquire, or make use of
licenses available in Auction No. 61.**

In establishing the AMTS service, the Commission considered the
potential for interference to television reception, particularly
Channels 13 and 10.[^40] Consequently, geographic licensees will be
required to file individual applications for authority to operate a new
AMTS transmitter within 169 kilometers (105 miles) of a Channel 13
television station or 129 kilometers (80 miles) of a Channel 10
television station, or with an antenna height greater than 61 meters
(200 feet) above ground.[^41] Such applications must include an
engineering study showing how harmful interference to television
reception will be avoided,[^42] and the applicant must notify each
television station that may be affected so that the broadcaster can
comment on the proposed construction.[^43] Moreover, any AMTS licensee
that causes such interference must cure the problem or cease
operations.[^44] AMTS licensees are permitted to construct "fill-in"
sites[^45] without filing individual applications,[^46] but such sites
are fully subject to the requirement that AMTS stations cause no harmful
interference to television reception, and must discontinue operations if
unable to meet this requirement.[^47]

In addition, AMTS operations must not cause harmful interference to the
United States Navy\'s SPASUR which operates in the 216.880-217.080 MHz
band.[^48] Also, law enforcement tracking operations are currently
authorized on a primary basis in certain markets in AMTSAs 3, 4, 6, 9
and 10 on a frequency in block A.[^49] These operations are scheduled to
be converted to non-AMTS frequencies by 2007. It is the responsibility
of bidders to be aware of these and all other technical or regulatory
matters affecting the spectrum licenses available in this auction.

With respect to the geographic boundaries for AMTSAs, the Commission
defined the AMTSA boundaries to include "the adjacent waters under the
jurisdiction of the United States."[^50] Regarding the boundary between
AMTSA 3, which includes the west coast of Florida, and AMTSA 4, which
includes the Gulf of Mexico EA-like area, we hereby clarify that, for
AMTSA 3, the boundary extends only to the limit of the U.S. territorial
waters in the Gulf (12-nautical mile limit); and the boundary for AMTSA
4 extends from the 12-nautical mile line outward to the broadest
geographic limits consistent with international agreements.[^51]

To date, no existing agreements between the United States and Mexico or
Canada restrict AMTS channel availability in the Mexican and Canadian
border areas. Licensees will, however, be subject to any future
agreements regarding international assignments and coordination of such
channels; and it is the responsibility of applicants to be familiar with
all relevant governing international agreements; and that such
agreements and amendments thereto may affect the use, utility or value
of the spectrum at issue.

Applicants should also be aware that certain pending and future
applications (including those for modification), petitions for
rulemaking, requests for special temporary authority, waiver requests,
petitions to deny, petitions for reconsideration, informal oppositions,
and applications for review before the Commission may relate to
particular applicants or incumbent licensees or the licenses available
in Auction No. 61.[^52] In addition, pending and future judicial
proceedings may relate to particular applicants or incumbent licensees,
or the licenses available in Auction No. 61.[^53] Prospective bidders
are responsible for assessing the likelihood of the various possible
outcomes, and considering their potential impact on spectrum licenses
available in this auction.

Applicants should perform due diligence to identify and consider all
proceedings that may affect the spectrum licenses being auctioned. We
note that resolution of such matters could have an impact on the
availability of spectrum for Auction No. 61. In addition, although the
Commission may continue to act on various pending applications, informal
objections, petitions, and other requests for Commission relief, some of
these matters may not be resolved by the time of the auction.

Applicants may obtain information about incumbent licenses that may have
an effect on availability of licenses in Auction No. 61 through the
Bureau's licensing databases on the World Wide Web at
<http://wireless.fcc.gov/uls>. Applicants may query the database online
and download a copy of their search results if desired. Detailed
instructions on using License Search (including frequency searches and
the GeoSearch capability) and downloading query results are available
online by selecting the "?" button at the upper right-hand corner of the
License Search screen. Applicants should direct questions regarding the
search capabilities to the FCC ULS/Technical Support hotline at (877)
480-3201, option two. The hotline is available to assist with questions
Monday through Friday, from 8:00 a.m. to 7:00 p.m. ET. In order to
provide better service to the public, **all calls to the hotline are
recorded**. Potential bidders may research the Media Bureau's licensing
database on the Internet in order to determine the location of Channel
13 or Channel 10 television stations. Television station information is
contained in the Media Bureau's TVQ TV Database and may be researched on
the Internet at <http://www.fcc.gov/mb/video/tvq.html>.

The Commission makes no representations or guarantees regarding the
accuracy or completeness of information in its databases or any third
party databases, including, for example, court docketing systems. To the
extent the Commission's databases may not include all information deemed
necessary or desirable by an applicant, applicants may obtain or verify
such information from independent sources or assume the risk of any
incompleteness or inaccuracy in said databases. Furthermore, the
Commission makes no representations or guarantees regarding the accuracy
or completeness of information that has been provided by incumbent
licensees and incorporated into the database.

**Potential applicants are strongly encouraged to physically inspect any
sites located in, or near, the service area for which they plan to bid,
and also to familiarize themselves with the environmental assessment
obligations described in section I.B.7.**

### Bidder Alerts

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. 61 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. 61 may also call the FCC
Consumer Center at (888) CALL-FCC ((888) 225-5322).

### National Environmental Policy Act Requirements

Licensees must comply with the Commission's rules regarding the National
Environmental Policy Act ("NEPA").[^54] 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.[^55] 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 Corps 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 begin on Wednesday, August 3, 2005, as announced in the
*Auction No. 61* *Comment Public Notice*.[^56] With respect to
commenters seeking a delay of the start of Auction No. 61, we do not
believe it would be in the public interest to do so. Havens, ACL, and
TVL request that the Bureau delay Auction No. 61 "for the number of days
that the public release of the decision upon the Petition for
Reconsideration filed by Paging System Inc. ("PSI") on October 14, 2004
that sought reconsideration of an Order with regard to Auction 57, is
after January 12, 2005, each Auction Date would be postponed by that
number of days, plus an additional thirty days."[^57] According to
Havens, ACL, and TVL, the delay is necessary because the Commission has
not timely resolved the Petition for Reconsideration filed by PSI which
has delayed the award of licenses won in Auction No. 57 and damaged
ACL's and TVL's business plans, valuation, and ongoing financing
activities. [^58] The Commenting Parties request that the Commission not
commence activity in Auction No. 61 until the PSI Petition and the Forms
601 of ACL and TVL have been resolved. Lastly, the Commenting Parties
seek a delay of Auction No. 61 because they claim that it is difficult
to comprehend the extent of the major encumbrances to the licenses being
sold in Auction No. 61.[^59]

PSI repeats its disagreement with the Commission's decision[^60] to
allow two commonly controlled entities to participate in a spectrum
auction. PSI argues that the Commission should set aside the results of
Auction No. 57 and begin anew in Auction No. 61, prohibiting commonly
controlled applications.[^61] To support its position, PSI attaches a
study from Dr. John Morgan which concludes that bidding by commonly
controlled entities is anti-competitive.[^62] Finally, PSI cites to
Section 1.973(d) of the Commission rules.[^63] PSI claims that this
provision provides for the dismissal of conflicting applications
submitted by the same applicant.[^64]

In reply comments, the Commenting Parties assert that PSI does not plan
to participate in Auction No. 61, that PSI is not a commercial mobile
radio service provider, and that PSI has had licenses deleted from the
Universal Licensing System for failure to construct.[^65] The Commenting
Parties claim that PSI's comments are an unauthorized filing, an abuse
of the Commission process. However, the Commenting Parties agree with
PSI that the Commission should decide PSI's Petition for Reconsideration
before proceeding with Auction No. 61, but should impose severe
sanctions on PSI and its counsel for seeking to set aside the results of
Auction No. 57.[^66]

[]{.mark}

PSI sought leave of the Commission to file a response to the Reply
Comments of the Commenting Parties.[^67] In its Reply Comments, PSI asks
that the Bureau impose on the Commenting Parties, the same ethical
standards as any attorney that practices before the Commission.[^68] The
PSI Reply Comments then maintain that it has not accused the Commission
staff of misconduct and concludes by refuting what it contends are
inaccuracies leveled by the Commenting Parties.[^69]

We do not find the comments arguing for a delay persuasive. First, the
Bureau has issued its decision on the Petition for Reconsideration filed
by PSI, resolving all the issues raised herein by PSI.[^70] As a result
both the Commenting Parties and PSI know that the sale of the licenses
in Auction No. 57 is valid. Second, there has been no showing that any
harm has flowed to any person or entity during the pendency of PSI's
Petition for Reconsideration. The ruling by the Division remained in
force at all times and thus the Commenting Parties, PSI, and any other
interested person or entity was bound to follow that ruling unless and
until changed or modified.

Havens, ACL, and TVL have made no showing that they have not been
afforded adequate time to prepare for Auction No. 61, a re-auction of
licenses not sold in Auction No. 57. Furthermore, we are unpersuaded by
the Commenting parties concerns regarding incumbency issues. Potential
bidders have already had years to refine their understanding of the
heavy presence of incumbents in this spectrum, given that the Commission
froze new licenses in 2000.[^71] Moreover, although they have been
subject to modification since, the Commission adopted technical rules
for AMTS over three years ago.[^72] Finally, both commenters that argued
for delay each claim that they are already providing AMTS services, and
thus, already have business plans, presumably have assessed market
conditions, and certainly evaluated the availability of equipment for
the AMTS service.

Section 309(j)(3)(E)(ii) provides, in pertinent part, that after the
issuance of bidding rules the Commission shall "ensure that interested
parties have a sufficient time to develop business plans, assess market
conditions, and evaluate the availability of equipment for the relevant
services."[^73] The Commission decided in 2002 that the general bidding
rules found in Subpart Q of Part 1 of the Commission's Rules should
apply to the auction of public coast spectrum.[^74] We do not believe
that the statutory requirement to provide prospective bidders with time
to develop a business plan and evaluate the availability of equipment
requires the Commission to postpone an auction until every external
factor that might influence a bidder's business plan is resolved with
absolute certainty.[^75] We also note that, while Section 309(j)(3)(E)
directs the Commission to provide interested parties adequate time to
prepare prior to an auction, the statute also requires that the
Commission promote several other objectives in exercising its
competitive bidding authority, including the rapid deployment of new
technologies and services to the public, promotion of economic
opportunity and competition, recovery for the public of a portion of the
value of the spectrum, and efficient and intensive use of the
spectrum.[^76] In balancing these objectives, we determine that the
public interest would be served by proceeding with the auction as
scheduled.

The initial schedule for bidding will be announced by public notice at
least one week before the start of the auction. Unless otherwise
announced, bidding on all licenses will be conducted on each business
day until bidding has stopped on all licenses.

### Auction Title

Auction No. 61 -- AMTS.

### Bidding Methodology 

The bidding methodology for Auction No. 61 will be simultaneous multiple
round bidding. The Commission will conduct this auction over the
Internet using the FCC's Integrated Spectrum Auction system ("ISAS" or
"FCC Auction System"), and telephonic bidding will be available as well.
Qualified bidders are permitted to bid telephonically or electronically.

### Pre-Auction Dates and Deadlines

ISAS Orientation Session[^77] April 21, 2005

Auction Seminar May 25, 2005

Short-Form Application (FCC Form 175) Filing Window Opens May 25, 2005;
12:00 p.m. ET

Short-Form Application (FCC Form 175) Filing Window Deadline June 9,
2005; 6:00 p.m. ET

Upfront Payments (via wire transfer) July 8, 2005; 6:00 p.m. ET

Mock Auction August 1, 2005

Auction Begins August 3, 2005

### 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. Eastern Time (ET), June 9, 2005.

-   Submit a sufficient upfront payment and an FCC Remittance Advice
    Form (FCC Form 159) by 6:00 p.m. ET, July 8, 2005.

-   Comply with all provisions outlined in this public notice.

### General Contact Information

+-----------------------------------+----------------------------------+
| GENERAL AUCTION INFORMATION       | FCC Auctions Hotline             |
+-----------------------------------+----------------------------------+
| General Auction Questions         | \(888\) 225-5322, option two;    |
+-----------------------------------+----------------------------------+
| Seminar Registration              | or (717) 338-2888                |
+-----------------------------------+----------------------------------+
|                                   | Hours of service: 8:00 a.m. --   |
|                                   | 5:30 p.m. ET,                    |
|                                   |                                  |
|                                   | Monday through Friday            |
+-----------------------------------+----------------------------------+
| AUCTION LEGAL INFORMATION         | Auctions and Spectrum Access     |
|                                   | Division                         |
+-----------------------------------+----------------------------------+
| Auction Rules, Policies,          | \(202\) 418-0660                 |
| Regulations                       |                                  |
+-----------------------------------+----------------------------------+
| LICENSING INFORMATION             | Public Safety and Critical       |
|                                   | Infrastructure Division          |
+-----------------------------------+----------------------------------+
| Rules, Policies, Regulations      | \(202\) 418-0680                 |
|                                   |                                  |
| Licensing Issues                  |                                  |
|                                   |                                  |
| Due Diligence                     |                                  |
|                                   |                                  |
| Incumbency Issues                 |                                  |
+-----------------------------------+----------------------------------+
| TECHNICAL SUPPORT                 | FCC Auctions Technical Support   |
|                                   | Hotline                          |
+-----------------------------------+----------------------------------+
| Electronic Filing                 | \(877\) 480-3201, option nine;   |
|                                   | or (202) 414-1250                |
+-----------------------------------+----------------------------------+
| FCC Auction System                | \(202\) 414-1255 (TTY)           |
|                                   |                                  |
|                                   | Hours of service: 8:00 a.m. --   |
|                                   | 6:00 p.m. ET,                    |
|                                   |                                  |
|                                   | Monday through Friday            |
+-----------------------------------+----------------------------------+
| PAYMENT INFORMATION               | FCC Auctions Accounting Branch   |
+-----------------------------------+----------------------------------+
| Wire Transfers                    | \(202\) 418-0578                 |
+-----------------------------------+----------------------------------+
| Refunds                           | \(202\) 418-2843 (Fax)           |
+-----------------------------------+----------------------------------+
| TELEPHONIC BIDDING                | Will be furnished only to        |
|                                   | qualified bidders                |
+-----------------------------------+----------------------------------+
| FCC COPY CONTRACTOR               | Best Copy and Printing, Inc      |
+-----------------------------------+----------------------------------+
| Additional Copies of              | 445 12^th^ Street, SW, Room      |
|                                   | CY-B402                          |
+-----------------------------------+----------------------------------+
| Commission Documents              | Washington, DC 20554             |
|                                   |                                  |
|                                   | \(800\) 378-3160                 |
|                                   |                                  |
|                                   | [http://www.bcpiw                |
|                                   | eb.com](http://www.bcpiweb.com/) |
+-----------------------------------+----------------------------------+
| PRESS INFORMATION                 | Lauren Patrich (202) 418-7944    |
+-----------------------------------+----------------------------------+
| FCC FORMS                         | \(800\) 418-3676 (outside        |
|                                   | Washington, DC)                  |
|                                   |                                  |
|                                   | \(202\) 418-3676 (in the         |
|                                   | Washington area)                 |
|                                   |                                  |
|                                   | [http://www.fcc.gov/formpage.ht  |
|                                   | ml](http://www.fcc.gov/formpage) |
+-----------------------------------+----------------------------------+
| FCC INTERNET SITES                | [http://w                        |
|                                   | ww.fcc.gov](http://www.fcc.gov/) |
|                                   |                                  |
|                                   | <h                               |
|                                   | ttp://wireless.fcc.gov/auctions> |
|                                   |                                  |
|                                   | <http://wireless.fcc.gov/uls>    |
+-----------------------------------+----------------------------------+

# short-form (FCC FORM 175) Filing REQUIREMENTS

A party's application to participate in an FCC auction, referred to as a
short-form application or FCC Form 175, provides information used in
determining whether the applicant is legally, technically, and
financially qualified to participate in Commission auctions for licenses
or permits.[^78] In addition, for Auction No. 61, if an applicant claims
eligibility for a bidding credit, the information provided will be used
in determining whether the applicant is eligible for the claimed bidding
credit. Applicants to participate in Auction No. 61 must file FCC Form
175 electronically by 6:00 p.m. ET on June 9, 2005. Applicants bear full
responsibility for submission of timely and complete FCC Form 175
applications. 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.[^79]
Applicants should read the instructions set forth in Attachment C to
this public notice carefully and should consult the rules to ensure
that, in addition to the materials described below, all the information
that is required under the Commission's rules is included with their FCC
Form 175 applications.

An entity may not submit more than one short-form application in a
single auction. In the event that a party submits multiple FCC Forms
175, such additional applications will be dismissed.

Applicants should further note that 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, its certifications and any 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.

## Preferences for Small Businesses and Others

### Size Standards for Bidding Credits

In the *Public Coast Third Report and Order and Memorandum Opinion and
Order*, the Commission adopted bidding credits to promote and facilitate
the participation of small businesses in auctions of public coast
licenses.[^80] A bidding credit represents the amount by which a
bidder's winning bids are discounted. The size of the bidding credit
depends on the average of the aggregated annual gross revenues for each
of the preceding three years of the bidder, its affiliates, its
controlling interests, and the affiliates of its controlling
interests.[^81]

For Auction No. 61 bidding credits will be available to small businesses
and very small businesses, or consortia thereof, as follows:

-   A bidder with attributed average annual gross revenues that do not
    exceed \$3 million for the preceding three years ("very small
    business") will receive a 35 percent discount on its winning
    bids.[^82]

-   A bidder with attributed average annual gross revenues that exceed
    \$3 million and do not exceed \$15 million for the preceding three
    years ("small business") will receive a 25 percent discount on its
    winning bids.[^83]

Bidding credits are not cumulative; a qualifying applicant receives the
35 percent or 25 percent bidding credit on its winning bid, but only one
credit per license.

Applicants should note that they will be required to provide information
regarding revenues attributable to the applicant and related parties on
their FCC Form 175 short-form applications to establish that they
satisfy the eligibility requirements to qualify as a small business or
very small business (or consortia of a small business or very small
business) for this auction.[^84] See Bidding Credit Revenue Disclosures
section, below and Attachment C.

### Tribal Lands Bidding Credit

To encourage the growth of wireless services in federally recognized
tribal lands the Commission has implemented a tribal land bidding
credit. *See* Section V.E. of this Public Notice.

### Installment Payments

Installment payment plans will not be available in Auction No. 61.

## License Selection

In Auction No. 61, applicants must select the licenses on which they
want to bid from the "Eligible Licenses" list. The applicant may select
all the licenses in the list (by using the **SELECT ALL** option) or
select and add individual licenses from the list. Be advised that there
is no opportunity to change license selection after the short-form
filing deadline.[^85] It is critically important that you confirm your
license selection because the FCC Auction System will not accept bids on
licenses that an applicant has not selected on its FCC Form 175.

## Consortia and Joint Bidding Arrangements

Applicants will be required to indicate on their applications whether
they have 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.[^86]
Applicants will also 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 that relate in any way to the licenses being auctioned,
including any agreements relating to post-auction market structure.[^87]
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 such
discussions with applicants for any of the same geographic license areas
after the deadline.[^88]

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
applicants for licenses in the same geographic license area 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.[^89] While
the anti-collusion rules do not prohibit non-auction related business
negotiations among auction applicants, applicants are reminded that
certain discussions or exchanges could touch upon impermissible subject
matters because they may convey pricing information and bidding
strategies.

## Ownership Disclosure Requirements 

All applicants must comply with the uniform Part 1 ownership disclosure
standards and provide information required by Sections 1.2105 and 1.2112
of the Commission's rules. Specifically, in completing FCC Form 175,
applicants will be required to fully disclose information on the real
party or parties-in-interest and ownership structure of the bidding
entity. The ownership disclosure standards for the short form are set
forth in Section 1.2112 of the Commission's rules.[^90] To simplify
filling out Form 175, an applicant's most current ownership information
on file with the Commission, if in an electronic format compatible with
Form 175, such as information submitted in an on-line Form 602, will
automatically be entered into Form 175. Applicants are responsible for
information submitted in Form 175 being complete and accurate.
Accordingly, applicants should carefully review any information
automatically entered to confirm that it is complete and accurate as of
the deadline for filing Form 175. Applicants can update any information
that needs to be changed directly in the Form 175.

## Bidding Credit Revenue Disclosures

Entities applying to bid as small businesses or very small businesses
(or consortia of small businesses or very small businesses) will be
required to disclose on their FCC Form 175 short-form applications the
gross revenues for the preceding three years of each of the following:
(1) the applicant, (2) its affiliates, (3) its controlling interests,
and (4) the affiliates of its controlling interests. **Certification
that the average annual gross revenues for the preceding three years do
not exceed the applicable limit is not sufficient. In order to comply
with disclosure requirements for bidding credit eligibility, an
applicant must provide separately for itself, its affiliates, its
controlling interests, and the affiliates of its controlling interests,
the gross revenues for each of the preceding three years.** If the
applicant is applying as a consortium of small businesses or very small
businesses, this information must be provided for each consortium
member.

***Controlling interest standard.*** The Commission uses a "controlling
interest" standard for attributing to auction applicants the gross
revenues of their investors and affiliates in determining small business
eligibility for future auctions.[^91] The Commission has modified its
rules governing the attribution of gross revenues for purposes of
determining small business eligibility. These changes included exempting
the gross revenues of the affiliates of a rural telephone cooperative's
officers and directors from attribution to the applicant if certain
specified conditions are met.[^92] The Commission also clarified that in
calculating an applicant's gross revenues under the controlling interest
standard, the personal net worth, including personal income, of its
officers and directors will not be attributed to the applicant.[^93]

***Control.*** The term "control" includes both *de facto* and *de jure*
control of the applicant. Typically, **ownership of at least 50.1
percent of an entity's voting stock evidences *de jure* control**. *De
facto* control is determined on a case-by-case basis.[^94] The following
are some common indicia of *de facto* control:

-   the entity constitutes or appoints more than 50 percent of the board
    of directors or management committee;

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-   the entity has authority to appoint, promote, demote, and fire
    senior executives that control the day-to-day activities of the
    licensee; or

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```
-   the entity plays an integral role in management decisions.

***Attribution for small business and very small business
eligibility.*** In determining which entities qualify as small
businesses or very small businesses, the Commission will consider the
gross revenues of the applicant, its affiliates, its controlling
interests, and the affiliates of its controlling interests. The
Commission does not impose specific equity requirements on controlling
interest holders. Once the principals or entities with a controlling
interest are determined, only the revenues of those principals or
entities, the affiliates of those principals or entities, and the
applicant and its affiliates will be counted in determining small
business eligibility.

A consortium of small businesses or very small businesses is a
"conglomerate organization formed as a joint venture between or among
mutually independent business firms," each of which **individually**
must satisfy one of the definitions of small business or very small
business in Sections 1.2110(f), 80.1252. Thus, each consortium member
must disclose its gross revenues along with those of its affiliates, its
controlling interests, and the affiliates of its controlling interests.
We note that although the gross revenues of the consortium members will
not be aggregated for purposes of determining eligibility for small
business or very small business, this information must be provided to
ensure that each individual consortium member qualifies for any bidding
credit awarded to the consortium.

## Provisions Regarding Former and Current Defaulters

Each applicant must indicate on its FCC Form 175 application under
penalty of perjury whether or not the applicant, its affiliates, its
controlling interests, and the affiliates of its controlling interests,
as defined by Section 1.2110, have ever been in default on any
Commission licenses or have ever been delinquent on any non-tax debt
owed to any Federal agency.[^95] In addition, each applicant must
certify on its FCC Form 175 application under penalty of perjury that
the applicant, its affiliates, its controlling interests, and the
affiliates of its controlling interests, as defined by Section 1.2110,
is not in default on any payment for Commission licenses (including down
payments) and that it is not delinquent on any non-tax debt owed to any
Federal agency.[^96] Prospective applicants 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.

"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. 61, provided that they are otherwise qualified. However, as
discussed *infra* in Section III.E.3, former defaulters are required to
pay upfront payments that are fifty percent more than the normal upfront
payment amounts.[^97]

"Current defaulters" -- *i.e.*, applicants, including their attributable
interest holders, that are in default on any payment for Commission
licenses (including down payments) or are delinquent on any non-tax debt
owed to any Federal agency -- are not eligible to bid in Auction No.
61.[^98]

Applicants are encouraged to review the Bureau's previous guidance on
default and delinquency disclosure requirements in the context of our
short-form application process.[^99] Applicants are reminded that the
Commission's Red Light Display System, which provides information
regarding debts owed to the Commission, may not be determinative of an
applicant's ability to comply with the default and delinquency
disclosure requirements.[^100]

## Other Information 

Applicants owned by minorities or women, as defined in Section
1.2110(c)(2), may identify themselves in filling out their FCC Form 175
short-form application regarding this status.[^101] This applicant
status information is collected for statistical purposes only and
assists the Commission in monitoring the participation of "designated
entities" in its auctions.

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

After the short-form filing deadline (6:00 p.m. ET June 9, 2005),
applicants may make only minor changes to their applications. Applicants
will not be permitted to make major modifications to their applications
(*e.g*., change their license selections, change the certifying
official, change control of the applicant, or change bidding credit
eligibility).[^102] Permissible minor changes include, for example,
deletion and addition of authorized bidders (to a maximum of three) and
addresses and phone numbers of the applicants and their contact persons.
Applicants must press the **SUBMIT** button in the FCC Auction System
for the changes to be submitted and considered by the Commission. After
the revised application has been submitted, a confirmation page will be
displayed that states the submission time and date, along with a unique
file number. In addition, applicants should submit a letter, briefly
summarizing the changes, by electronic mail to the attention of Margaret
Wiener, Chief, Auctions and Spectrum Access Division, at the following
address: <auction61@fcc.gov>. The electronic mail summarizing the
changes must include a subject or caption referring to Auction No. 61
and the name of the applicant. The Bureau requests that parties format
any attachments to electronic mail as Adobe^®^ Acrobat^®^ (pdf) or
Microsoft^®^ Word documents.

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

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. Amendments reporting substantial changes of possible
decisional significance in information contained in FCC Form 175
applications[^103] will not be accepted and may in some instances result
in the dismissal of the FCC Form 175 application.

# PRE-AUCTION PROCEDURES

## Auction Seminar --- May 25, 2005

On Wednesday, May 25, 2005, the FCC will sponsor a seminar for parties
interested in participating in Auction No. 61 at the Federal
Communications Commission, located at 445 12^th^ Street, SW, Washington,
DC. The seminar will provide attendees with information about
pre-auction procedures, completing FCC Form 175, auction conduct, the
FCC Auction System, auction rules, and the AMTS service rules. The
seminar will also provide an opportunity for prospective bidders to ask
questions of FCC staff.

To register, complete the registration form attached hereto as
Attachment B and submit it by Monday, May 23, 2005. Registrations are
accepted on a first-come, first-served basis. The seminar is free of
charge.

For individuals who are unable to attend, Audio/Video of this seminar
will be available via webcast from the FCC's Audio/Video Events page at
<http://www.fcc.gov/realaudio/>.

## Short-Form Application (FCC Form 175) --- Due June 9, 2005

In order to be eligible to bid in this auction, applicants must first
submit an FCC Form 175 application. This application must be submitted
electronically[^104] and received at the Commission no later than 6:00
p.m. ET on June 9, 2005. **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* Section III.E, *below*.

Applications may generally be filed at any time beginning at noon ET on
May 25, 2005, until 6:00 p.m. ET on June 9, 2005. 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 on June 9, 2005.

Applicants must always press the **SUBMIT** button on the Certify &
Submit screen of the electronic form to successfully submit their FCC
Form 175s or modifications. Any form that is not submitted will not be
reviewed by the FCC. Information about accessing, completing, and
viewing the FCC Form 175 is included in Attachment C. Technical support
is available at (877) 480-3201, option nine; (202) 414-1250; or (202)
414-1255 (text telephone (TTY)); hours of service are Monday through
Friday, from 8:00 a.m. to 6:00 p.m. ET. In order to provide better
service to the public, **all calls to the hotline are recorded**.

## 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 resubmitting such
corrected applications.

As described more fully in the Commission's rules, after the June 9,
2005, 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, change
control of the applicant, or change bidding credit eligibility).[^105]

## Upfront Payments --- Due July 8, 2005

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 July 8, 2005.**

### Making Auction Payments by Wire Transfer

Wire transfer payments must be received by 6:00 p.m. ET on July 8, 2005.
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
>
> > 500 Ross St.
>
> > Pittsburgh, PA 15262
>
> BENEFICIARY: FCC/Account \# 910-0180
>
> OBI Field: (Skip one space between each information item)

> "AUCTIONPAY"

> APPLICANT FCC REGISTRATION NUMBER (FRN): (same as FCC Form 159, block
> 21)
>
> PAYMENT TYPE CODE (same as FCC Form 159, block 24A: A61U)
>
> FCC CODE 1 (same as FCC Form 159, block 28A: "61")
>
> PAYER NAME (same as FCC Form 159, block 2)
>
> LOCKBOX NO. \# 358420

**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 2/03) 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.
61." 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.[^106] **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.**

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. 61 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 July 8, 2005, deadline
    will result in dismissal of the application and disqualification
    from participation in the auction.

### FCC Form 159

A completed FCC Remittance Advice Form (FCC Form 159, Revised 2/03) must
be faxed to Mellon Bank to accompany each upfront payment. Proper
completion of FCC Form 159 (Revised 2/03) is critical to ensuring
correct crediting of upfront payments. Detailed instructions for
completion of FCC Form 159 are included in Attachment D to this public
notice. An electronic pre-filled version of the FCC Form 159 is
available after submitting the FCC Form 175. Payors using a pre-filled
FCC Form 159 are responsible for ensuring that all of the information on
the form, including payment amounts, is accurate. The FCC Form 159 can
be completed electronically, but must be filed with Mellon Bank via
facsimile.

### Amount of Upfront Payment

In the *Part 1 Order* the Commission delegated to the Bureau the
authority and discretion to determine appropriate upfront payment(s) for
each auction.[^107] 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 50 percent greater than non-"former
defaulters."[^108] For purposes of this calculation, the "applicant"
includes the applicant itself, its affiliates, its controlling
interests, and affiliates of its controlling interests, as defined by
Section 1.2110 of the Commission's rules.[^109]

In the *Auction No. 61 Comment Public Notice*, we proposed that the
amount of the upfront payment would determine a bidder's initial bidding
eligibility, the maximum number of bidding units on which a bidder may
place bids.[^110] In order to bid on a license, otherwise qualified
bidders that applied for that license on Form 175 must have a current
eligibility level that meets or exceeds the number of bidding units
assigned to that license. At a minimum, therefore, an applicant's total
upfront payment must be enough to establish 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 bids and hold provisionally winning bids at any
given time.[^111]

In the *Auction No. 61 Comment Public Notice*, the Bureau proposed
upfront payments on a license-by-license basis using a formula based on
bandwidth and the license area population: [^112]

\$0.005 \* MHz \* License Area Population with a minimum of \$1,000 per
license.

The specific upfront payments and bidding units for each license are set
forth in Attachment A of this Public Notice.[^113]

In calculating its upfront payment amount, an applicant should determine
the **maximum** number of bidding units on which it may wish to be
active on (bid on or hold provisionally winning bids on) in any single
round, and submit an upfront payment amount 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 seeks to
bid in any given round. **Applicants should check their calculations
carefully, as there is no provision for increasing a bidder's
eligibility after the upfront payment deadline.**

  --------------- ----------- --------------- -------------- ----------------
  **Example:                                                 
  Upfront                                                    
  Payments and                                               
  Bidding                                                    
  Flexibility**                                              

  **Market        **Block**   **Market Name** **Bidding      **Upfront
  Number**                                    Units**        Payment**

  AMTSA001        A           Northern        184,000        \$184,000
                              Atlantic                       

  AMTSA006        A           Southern        170,000        \$170,000
                              Pacific                        

  If a bidder                                                
  wishes to bid                                              
  on both                                                    
  licenses in a                                              
  round, it must                                             
  have selected                                              
  both on its FCC                                            
  Form 175 and                                               
  purchased at                                               
  least 354,000                                              
  bidding units                                              
  (184,000 +                                                 
  170,000). If a                                             
  bidder only                                                
  wishes to bid                                              
  on one, but not                                            
  both,                                                      
  purchasing                                                 
  184,000 bidding                                            
  units would                                                
  meet the                                                   
  requirement for                                            
  either license.                                            
  The bidder                                                 
  would be able                                              
  to bid on                                                  
  either license,                                            
  **but not both                                             
  at the same                                                
  time**. If the                                             
  bidder                                                     
  purchased only                                             
  170,000 bidding                                            
  units, it would                                            
  have enough                                                
  eligibility for                                            
  the Southern                                               
  Pacific license                                            
  but not for the                                            
  Northern                                                   
  Atlantic                                                   
  license.                                                   
  --------------- ----------- --------------- -------------- ----------------

Former defaulters should calculate their upfront payment for all
licenses by multiplying the number of bidding units on which they wish
to be active by 1.5.[^114] 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. If a former defaulter fails to submit a sufficient upfront
payment to establish eligibility to bid on at least one of the licenses
applied for on its Form 175, the applicant will not be eligible to
participate in the auction.

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

The Commission will use wire transfers for all Auction No. 61 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: Gail Glasser, at (202)
418-2843. All refunds will be returned to the payer of record as
identified on the FCC Form 159 unless the payer submits written
authorization instructing otherwise. For additional information, please
call Gail Glasser at (202) 418-0578.

Name of Bank

> ABA Number
>
> Address of Bank
>
> Contact and Phone Number
>
> Account Number to Credit
>
> Name of Account Holder
>
> FCC Registration Number (FRN)
>
> 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.)[^115]
Eligibility for refunds is discussed in Section V.G., *below*.

## 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
overnight mail. **The mailing will be sent only to the contact person at
the contact address listed in the FCC Form 175 and will include the
SecureID cards which will be required to place bids (or access the FCC
Auction System) and the telephonic bidding phone number.**

Qualified bidders that do not receive this registration mailing will not
be able to submit bids. Therefore, any qualified bidder that has not
received this mailing by noon on Thursday, July 28, 2005, should contact
the Auctions Hotline at (717) 338-2888. Receipt of this registration
mailing is critical to participating in the auction, and each applicant
is responsible for ensuring it has received all of the registration
material.

Qualified bidders should note that lost SecurID cards can be replaced
only by appearing **in person** at the FCC 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.

## Remote Electronic Bidding 

The Commission will conduct this auction over the Internet, and
telephonic bidding will be available as well. Qualified bidders are
permitted to bid telephonically or electronically. Each applicant should
indicate its bidding preference -- electronic or telephonic -- on the
FCC Form 175. In either case, each authorized bidder must have its own
SecurID card, which the FCC will provide at no charge. Each applicant
with one authorized bidder will be issued two SecurID cards, while
applicants with two or three authorized bidders will be issued three
cards. For security purposes, the SecurID cards, the telephonic bidding
phone number, and the Integrated Spectrum Auctions System (ISAS)
Bidder's Guide 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. 61.

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 Monday, August 1, 2005. The mock auction will enable applicants to
become familiar with the FCC Auction System prior to the auction.
Participation by all bidders is strongly recommended. Details will be
announced by public notice.

# AUCTION EVENT

The first round of bidding for Auction No. 61 will begin on Wednesday,
August 3, 2005. The initial bidding schedule will be announced in a
public notice listing the qualified bidders, which is released
approximately 10 days before the start of the auction.

## Auction Structure

### Simultaneous Multiple Round Auction

In the *Auction No. 61 Comment Public Notice*, we proposed to award all
licenses in Auction No. 61 in a simultaneous multiple round
auction.[^116] In a simultaneous multiple round auction, all licenses
are available during the entire auction, and bids are accepted on any
license until the auction concludes. We conclude that it is
operationally feasible and appropriate to auction the AMTS licenses
through a simultaneous multiple round auction. Unless otherwise
announced, bids will be accepted on all licenses in each round of the
auction. This approach, we believe, allows bidders to take advantage of
synergies that exist among licenses and is administratively efficient.

### Eligibility and Activity Rules 

In the *Auction No. 61 Comment Public Notice*, we proposed that the
amount of the upfront payment submitted by a bidder would determine the
initial (maximum) eligibility (as measured in bidding units) for each
bidder.[^117] We received no comments on this issue.

For Auction No. 61 we adopt this proposal. The amount of the upfront
payment submitted by a bidder determines initial bidding eligibility,
the maximum number of bidding units on which a bidder may 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. Bidding units for a given license do not change
as prices rise during the auction. A bidder's upfront payment is not
attributed to specific licenses. Rather, a bidder may place bids on any
combination of licenses as long as the total number of bidding units
associated with those licenses does not exceed its current eligibility.
Eligibility cannot be increased during the auction; it can only remain
the same or decrease. Thus, in calculating its upfront payment amount,
an applicant must determine the maximum number of bidding units it may
wish to bid on (or hold provisionally winning bids on) in any single
round, and submit an upfront payment amount covering that total number
of bidding units. **The total upfront payment does not affect the total
dollar amount a bidder may bid on any given license.**

In order to ensure that the auction closes within a reasonable period of
time, an activity rule requires bidders to bid actively throughout the
auction, rather than wait until late in the auction before
participating. Bidders are required to be active on a specific
percentage of their current bidding eligibility during each round of the
auction.

A bidder's activity level in a round is the sum of the bidding units
associated with licenses on which the bidder is active. A bidder is
considered active on a license in the current round if it is either the
provisionally winning bidder at the end of the previous bidding round
and does not withdraw the provisionally winning bid in the current
round, or if it submits a bid in the current round (*see* "Minimum
Acceptable Bid Amounts and Bid Increment Amounts" in Section IV.B.3,
*below*). The minimum required activity is expressed as a percentage of
the bidder's current eligibility, and increases by stage as the auction
progresses. Because these procedures have proven successful in
maintaining the pace of previous auctions (as set forth under "Auction
Stages" in Section IV.A.3 and "Stage Transitions" in Section IV.A.4,
*below*), we adopt them for Auction No. 61.

### Auction Stages

In the *Auction No. 61 Comment Public Notice*, we proposed to conduct
the auction in two stages and employ an activity rule. We further
proposed that, in each round of Stage One, a bidder desiring to maintain
its current bidding eligibility would be required to be active on
licenses representing at least 80 percent of its current bidding
eligibility.[^118] Finally, we proposed that in each round of Stage Two,
a bidder desiring to maintain its current bidding eligibility would be
required to be active on at least 90 percent of its current bidding
eligibility. We received no comments on this proposal.

We adopt our proposals for the activity rules and stages. Below are the
activity levels for each stage of the auction. The Bureau reserves the
discretion to further alter the activity percentages before and/or
during the auction.

**Stage One:** During the first stage of the auction, a bidder desiring
to maintain its current bidding eligibility will be required to be
active on licenses representing at least 80 percent of its current
bidding eligibility in each bidding round. Failure to maintain the
required activity level will result in a reduction in the bidder's
bidding eligibility in the next round of bidding (unless an activity
rule waiver is used). During Stage One, reduced eligibility for the next
round will be calculated by multiplying the bidder's current round
activity (the sum of bidding units of the bidder's provisionally winning
bids and bids during the current round) by five-fourths (5/4).

**Stage Two:** During the second stage of the auction, a bidder desiring
to maintain its current bidding eligibility is required to be active on
90 percent of its current bidding eligibility. Failure to maintain the
required activity level will result in a reduction in the bidder's
bidding eligibility in the next round of bidding (unless an activity
rule waiver is used). During Stage Two, reduced eligibility for the next
round will be calculated by multiplying the bidder's current round
activity (the sum of bidding units of the bidder's provisionally winning
bids and bids during the current round) by ten-ninths (10/9).

CAUTION: Since activity requirements increase in Stage Two, bidders must
carefully check their activity during the bidding period of the first
round following a stage transition to ensure that they are meeting the
increased activity requirement. This is especially critical for bidders
that have provisionally winning bids and do not plan to submit new bids.
In past auctions, some bidders have inadvertently lost bidding
eligibility or used an activity rule waiver because they did not
re-verify their activity status at stage transitions. Bidders may check
their activity against the required activity level by either logging in
to the FCC Auction System or by accessing the "Bidder Summaries" on the
public results page.

Because the foregoing procedures have proven successful in maintaining
proper pace in previous auctions, we adopt them for Auction No. 61.

### Stage Transitions

In the *Auction No. 61 Comment Public Notice*, we proposed that the
auction would generally advance to the next stage (*i.e.*, from Stage
One to Stage Two) when the auction activity level, as measured by the
percentage of bidding units receiving new provisionally winning bids, is
approximately 20 percent or below for three consecutive rounds of
bidding in each Stage. We further proposed that the Bureau would retain
the discretion to change stages unilaterally by announcement during the
auction. This determination, we proposed, would be based on a variety of
measures of bidder activity, including, but not limited to, the auction
activity level, the percentages of licenses (as measured in bidding
units) on which there are new bids, the number of new bids, and the
percentage increase in revenue.[^119] We received no comments on this
issue.

We adopt our proposal. Thus, the auction will start in Stage One and
will generally advance to the next stage (*i.e.*, from Stage One to
Stage Two) when, in each of three consecutive rounds of bidding, the
provisionally winning bids have been placed on 20 percent or less of the
licenses being auctioned (as measured in bidding units). In addition,
the Bureau will retain the discretion to regulate the pace of the
auction by announcement. This determination will be based on a variety
of measures of bidder activity, including, but not limited to, the
auction activity level, the percentages of licenses (as measured in
bidding units) on which there are new bids,[^120] the number of new
bids, and the percentage increase in revenue. We believe that these
stage transition rules, having proven successful in prior auctions, are
appropriate for use in Auction No. 61.

### Activity Rule Waivers and Reducing Eligibility

In the *Auction No. 61 Comment Public Notice*, we proposed that each
bidder in the auction would be provided three activity rule waivers.
Bidders may use an activity rule waiver in any round during the course
of the auction.[^121] We received no comments on this issue.

Based upon our experience in previous auctions, we adopt our proposal
that each bidder be provided three activity rule waivers. Bidders may
use an activity rule waiver in any round during the course of the
auction. Use of an activity rule waiver preserves the bidder's current
bidding eligibility despite the bidder's activity in the current round
being below the required minimum activity level. An activity rule waiver
applies to an entire round of bidding and not to a particular license.
Activity rule waivers can be either applied proactively by the bidder
(known as a "proactive waiver") or applied automatically by the FCC
Auction System (known as an "automatic waiver") and are principally a
mechanism for auction participants to avoid the loss of bidding
eligibility in the event that exigent circumstances prevent them from
placing a bid in a particular round. We are satisfied that our practice
of providing three waivers over the course of the auction provides a
sufficient number of waivers and flexibility to the bidders, while
safeguarding the integrity of the auction.

The FCC Auction System assumes that bidders with insufficient activity
would prefer to apply an activity rule waiver (if available) rather than
lose bidding eligibility. Therefore, the system will automatically apply
a waiver at the end of any round where a bidder's activity level is
below the minimum required unless: (1) there are no activity rule
waivers available; or (2) the bidder overrides the automatic application
of a waiver by reducing eligibility, thereby meeting the minimum
requirements. If a bidder has no waivers remaining and does not satisfy
the required activity level, the eligibility will be permanently
reduced, possibly eliminating the bidder from further bidding in the
auction.

A bidder with insufficient activity that wants to reduce its bidding
eligibility rather than use an activity rule waiver must affirmatively
override the automatic waiver mechanism during the bidding round by
using the "reduce eligibility" function in the FCC Auction System. In
this case, the bidder's eligibility is permanently reduced to bring the
bidder into compliance with the activity rules as described in "Auction
Stages" (*see* Section IV.A.3 *above*). Once eligibility has been
reduced, a bidder will not be permitted to regain its lost bidding
eligibility.

Finally, a bidder may apply an activity rule waiver proactively as a
means to keep the auction open without placing a bid. If a bidder
proactively applies an activity waiver (using the "apply waiver"
function in the FCC Auction System) during a bidding round in which no
bids or withdrawals are submitted, the auction will remain open and the
bidder's eligibility will be preserved. However, an automatic waiver
applied by the FCC Auction System in a round in which there are no new
bids or withdrawals will not keep the auction open. **Note: Applying a
waiver is irreversible; once a proactive waiver is submitted that waiver
cannot be unsubmitted, even if the round has not yet closed.**

### Auction Stopping Rules

For Auction No. 61, the Bureau proposed to employ a simultaneous
stopping rule approach.[^122] The Bureau also sought comment on a
modified version of the simultaneous stopping rule. The modified version
of the stopping rule would close the auction for all licenses after the
first round in which no bidder applies a waiver, places a withdrawal, or
submits any new bids on any license on which it is not the provisionally
winning bidder. Thus, absent any other bidding activity, a bidder
placing a new bid on a license for which it is the provisionally winning
bidder would not keep the auction open under this modified stopping
rule.

The Bureau further proposed retaining the discretion to keep the auction
open even if no new bids or proactive waivers are submitted and no
previous provisionally winning bids are withdrawn in a round. In this
event, the effect will be the same as if a bidder had applied a waiver.
Thus, the activity rule will apply as usual, and a bidder with
insufficient activity will either use an activity rule waiver (if it has
any left) or lose bidding eligibility.

In addition, we proposed that the Bureau reserve the right to declare
that the auction will end after a specified number of additional rounds
("special stopping rule"). If the Bureau invokes this special stopping
rule, it will accept bids in the specified final round(s) and the
auction will close.

We proposed to exercise these options only in circumstances such as
where the auction is proceeding very slowly, where there is minimal
overall bidding activity or where it appears likely that the auction
will not close within a reasonable period of time.[^123] Before
exercising these options, the Bureau is likely to attempt to increase
the pace of the auction by, for example, increasing the number of
bidding rounds per day, and/or increasing the amount of the minimum bid
increments for the limited number of licenses where there is still a
high level of bidding activity.

We received no comments concerning the auction stopping rules; therefore
we adopt the above proposals. Auction No. 61 will begin under the
simultaneous stopping rule approach, and the Bureau will retain the
discretion to invoke the other versions of the stopping rule. We believe
that these stopping rules are most appropriate for Auction No. 61,
because our experience in prior auctions demonstrates that the auction
stopping rules balance the interests of administrative efficiency and
maximum bidder participation.

### Auction Delay, Suspension, or Cancellation

In the *Auction No. 61 Comment Public Notice*, we proposed that, by
public notice or by announcement during the auction, the Bureau may
delay, suspend, or cancel the auction in the event of natural disaster,
technical obstacle, evidence of an auction security breach, unlawful
bidding activity, administrative or weather necessity, or for any other
reason that affects the fair conduct of competitive bidding.[^124]

Because our approach to notification of delay during an auction 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,
suspend, or cancel the auction in the event of natural disaster,
technical obstacle, evidence of an auction security breach, unlawful
bidding activity, administrative or weather necessity, or for any other
reason that affects the fair and competitive conduct of competitive
bidding. In such cases, the Bureau, in its sole discretion, may elect to
resume the auction starting from the beginning of the current round,
resume the auction starting from some previous round, or cancel the
auction in its entirety. Network interruption may cause the Bureau to
delay or suspend the auction. We emphasize that exercise of this
authority is solely within the discretion of the Bureau, and its use is
not intended to be a substitute for situations in which bidders may wish
to apply their activity rule waivers.

## Bidding Procedures

### Round Structure

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

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

### Reserve Price or Minimum Opening Bid

Section 309(j) of the Communications Act of 1934, as amended, calls upon
the Commission to prescribe methods by which a reasonable reserve price
will be required or a minimum opening bid established when applications
for FCC licenses are subject to auction (*i.e.*, because they are
mutually exclusive), unless the Commission determines that a reserve
price or minimum opening bid is not in the public interest.[^125]
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.[^126] Among other factors, the Bureau must
consider the amount of spectrum being auctioned, levels of incumbency,
the availability of technology to provide service, the size of the
geographic service areas, the extent of interference with other spectrum
bands, and any other relevant factors that could have an impact on the
spectrum being auctioned.[^127] The Commission concluded that the Bureau
should have the discretion to employ either or both of these mechanisms
for future auctions.[^128]

In the *Auction No. 61 Comment Public Notice*, the Bureau proposed to
establish minimum opening bids for Auction No. 61 and to retain
discretion to lower the minimum opening bids.[^129] Specifically, for
Auction No. 61, the Bureau proposed the following license-by-license
basis using a formula based on bandwidth and license area
population:[^130]

\$0.005 \* MHz \* License Area Population with a minimum of \$1,000 per
license.

In the alternative, the Bureau sought comment on whether, consistent
with the Section 309(j), the public interest would be served by having
no minimum opening bid or reserve price.[^131]

We adopt our proposal. The minimum opening bid amounts we adopt for
Auction No. 61 are reducible at the discretion of the Bureau. We
emphasize, however, that such discretion will be exercised, if at all,
sparingly and early in the auction, *i.e.*, before bidders lose all
waivers and begin to lose substantial eligibility. During the course of
the auction, the Bureau will not entertain requests to reduce the
minimum opening bid amount on specific licenses.

The specific minimum opening bid amounts for each license available in
Auction No. 61 are set forth in Attachment A.[^132]

### Minimum Acceptable Bid Amounts and Bid Increment Amounts 

In the *Auction No. 61 Comment Public Notice*, we proposed to use a
minimum acceptable bid increment of five percent. This means that the
minimum acceptable bid amount for a license will be approximately five
percent greater than the provisionally winning bid amount for the
license. The minimum acceptable bid amount will be calculated by
multiplying the provisionally winning bid amount times one plus the
minimum acceptable bid percentage -- *e.g.*, if the minimum acceptable
bid percentage is 5 percent, the minimum acceptable bid amount
calculation is (provisionally winning bid amount) \* (1 + 0.05), rounded
or (provisionally winning bid amount) \* (1.05), rounded. We will round
the result using our standard rounding procedures.[^133] We further
proposed to retain the discretion to change the minimum acceptable bid
amounts and bid increments amounts if it determines that circumstances
so dictate.[^134] We received no comment on this issue. We will begin
the auction with a minimum acceptable bid percentage of 5%.

In each round, each eligible bidder will be able to place a bid on a
particular license for which it applied in any of nine different
amounts.[^135] The FCC Auction System will list the nine acceptable bid
amounts for each license. Until a bid has been placed on a license, the
minimum acceptable bid amount for that license will be equal to its
minimum opening bid amount.

The nine acceptable bid amounts for each license consist of the minimum
acceptable bid amount and eight other bid amounts based on the bid
increment percentage. The first additional acceptable bid amount, above
the minimum acceptable bid amount, equals the minimum acceptable bid
amount times one plus the bid increment percentage, rounded -- *e.g.*,
if the bid increment percentage is 5 percent, then the next bid amount
will equal (minimum acceptable bid amount) \* 1.05, rounded, the second
additional acceptable bid amount equals the minimum acceptable bid
amount times one plus two times the bid increment percentage, rounded,
or (minimum acceptable bid amount) \* 1.10, rounded; the third
additional acceptable bid amount equals the minimum acceptable bid
amount times one plus three times the bid increment percentage, rounded,
or (minimum acceptable bid amount) \* 1.15, rounded, etc. We will begin
the auction with a bid increment percentage of 5%. Note that the bid
increment percentage need not be the same as the minimum acceptable bid
percentage.

In the case of a license for which the provisionally winning bid amount
has been withdrawn,[^136] the minimum acceptable bid amount will equal
the amount of the second highest bid amount received for the license.
The additional bid amounts above the minimum acceptable bid amount are
calculated using the bid increment percentage as described in the
previous paragraph.

The Bureau retains the discretion to change the minimum acceptable bid
amounts, the minimum acceptable bid percentage, and the bid increment
percentage if it determines that circumstances so dictate. The Bureau
will do so by announcement in the FCC Auction System. The Bureau may
also use its discretion to adjust the minimum bid increment amount
without prior notice if circumstances warrant.

### Provisionally Winning Bids 

At the end of each bidding round, a provisionally winning bid amount
will be determined based on the highest bid amount received for each
license. A high bid from a previous round is referred to as a
"provisionally winning bid." A "provisionally winning bid" will remain
the provisionally winning bid until there is a higher bid on the same
license at the close of a subsequent round. Bidders are reminded that
provisionally winning bids are counted as activity for purposes of the
activity rule.[^137]

In the *Auction No. 61 Comment Public Notice*, the Bureau proposed to
use a random number generator to select a provisionally winning bid in
the event of identical high bid amounts being submitted on a license in
a given round (*i.e.*, tied bids).[^138] No comments were received on
this proposal. Therefore, the Bureau adopts its proposal. A Sybase® SQL
pseudo-random number generator based on the L'Ecuyer algorithms will be
used to assign a random number to each bid.[^139] The tied bid having
the highest random number will become the provisionally winning bid.
Eligible bidders, including the provisionally winning bidder, will be
able to submit a higher bid in a subsequent round. If no bidder submits
a higher bid in subsequent rounds, the provisionally winning bid from
the previous round will win the license, unless that provisionally
winning bid was withdrawn. If any bids are received on the license in a
subsequent round, the provisionally winning bid will once again be
determined based on the highest bid amount received for the license.

### Bidding

During a round, a bidder may submit bids for as many licenses as it
wishes (subject to its eligibility), withdraw provisionally winning bids
from previous bidding rounds, remove bids placed in the same bidding
round, or permanently reduce eligibility. Bidders also have the option
of making multiple submissions and withdrawals in each round. If a
bidder submits multiple bids for a single license in the same round, the
system takes the last bid entered as that bidder's bid for the round.
Bidders should note that the bidding units associated with licenses for
which the bidder has removed or withdrawn its bid do not count towards
the bidder's activity at the close of the round.

Please note that all bidding will take place remotely either through the
FCC 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 calls well in advance of the close of a round.
Normally, five to ten minutes are necessary to complete a telephonic bid
submission). There will be no on-site bidding during Auction No. 61.

A bidder's ability to bid on specific licenses in the first round of 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.

In order to access the bidding function of the FCC Auction System,
bidders must be logged in during the bidding round using the password
generated by the SecurID card and a personal identification number (PIN)
created by the bidder. Bidders are strongly encouraged to print a "round
summary" for each round after they have completed all of their activity
for that round.

In each round, eligible bidders will be able to place bids on a given
license in any of nine different amounts.[^140] For each license, the
FCC Auction System interface will list the nine acceptable bid amounts
in a drop-down box. Bidders may use the drop-down box to select from
among the nine bid amounts. The FCC Auction System also includes an
"upload" function that allows bidders to upload text files containing
bid information.

Until a bid has been placed on a license, the minimum acceptable bid
amount for that license will be equal to its minimum opening bid amount.
Once there is a provisionally winning bid on a license, the FCC Auction
System will calculate a minimum acceptable bid amount for that license
for the following round, as described in Section IV.B.3.

Finally, bidders are cautioned to select their bid amounts carefully
because, as explained in the following section, bidders that withdraw a
provisionally winning bid from a previous round, even if the bid was
mistakenly or erroneously made, are subject to bid withdrawal payments.

### Bid Removal and Bid Withdrawal

In the *Auction No. 61 Comment Public Notice*, the Commission proposed
bid removal and bid withdrawal procedures.[^141] With respect to bid
withdrawals, the Commission proposed limiting each bidder to withdrawals
in no more than one round during the course of the auction. The round in
which withdrawals are used would be at the bidder's discretion. We
received no comments on this issue.

**Procedures.** Before the close of a bidding round, a bidder has the
option of removing any bids placed in that round. By using the "remove
bids" function in the FCC Auction System, a bidder may effectively
"unsubmit" any bid placed within that round. A bidder removing a bid
placed in the same round is not subject to withdrawal payments. Removing
a bid will affect a bidder's activity for the round in which it is
removed, *i.e.*, a bid that is removed does not count toward bidding
activity. These procedures will enhance bidder flexibility during the
auction, and therefore we adopt them for Auction No. 61.

Once a round closes, a bidder may no longer remove a bid. However, in
later rounds, a bidder may withdraw provisionally winning bids from
previous rounds using the "withdraw bids" function in the FCC Auction
System (assuming that the bidder has not reached its withdrawal limit).
A provisionally winning bidder that withdraws its provisionally winning
bid from a previous round during the auction is subject to the bid
withdrawal payments specified in 47 C.F.R. § 1.2104(g). **Note: Once a
withdrawal is submitted during a round, that withdrawal cannot be
unsubmitted.**

In previous auctions, we have detected bidder conduct that, arguably,
may have constituted strategic bidding through the use of bid
withdrawals. While we continue to recognize the important role that bid
withdrawals play in an auction, *i.e.*, reducing risk associated with
efforts to secure various licenses in combination, we conclude that, for
Auction No. 61, adoption of a limit on the use of withdrawals to one
round per bidder is appropriate. By doing so we believe we strike a
reasonable compromise that will allow bidders to use withdrawals. Our
decision on this issue is based upon our experience in prior auctions,
particularly the PCS D, E and F block and 800 MHz SMR auctions, and is
in no way a reflection of our view regarding the likelihood of any
speculation or "gaming" in this auction.

The Bureau will therefore limit the number of rounds in which bidders
may place withdrawals to one round. The round will be at the bidder's
discretion and there will be no limit on the number of bids that may be
withdrawn in the round. Withdrawals during the auction will be subject
to the bid withdrawal payments specified in 47 C.F.R. § 1.2104(g).
Bidders should note that abuse of the Commission's bid withdrawal
procedures could result in the denial of the ability to bid on a market.

If a provisionally winning bid is withdrawn, the minimum acceptable bid
amount will equal the amount of the second highest bid received for the
license, which may be less than, or in the case of tied bids, equal to,
the amount of the withdrawn bid.[^142] To set the additional bid
amounts, the second highest bid amount also will be used in place of the
provisionally winning bid in the formula used to calculate bid increment
amounts. The Commission will serve as a "place holder" provisionally
winning bidder on the license until a new bid is submitted on that
license.

**Calculation.** Generally, the Commission imposes payments on bidders
that withdraw high bids during the course of an auction.[^143] If a
bidder withdraws its bid and there is no higher bid in the same or
subsequent auction(s), the bidder that withdrew its bid is responsible
for the difference between its withdrawn bid and the provisionally
winning bid in the same or subsequent auction(s).[^144] In the case of
multiple bid withdrawals on a single license, within the same or
subsequent auctions(s), the payment for each bid withdrawal will be
calculated based on the sequence of bid withdrawals and the amounts
withdrawn. No withdrawal payment will be assessed for a withdrawn bid if
either the subsequent winning bid or any of the intervening subsequent
withdrawn bids, in either the same or subsequent auctions(s), equals or
exceeds that withdrawn bid. Thus, a bidder that withdraws a bid will not
be responsible for any withdrawal payments if there is a subsequent
higher bid in the same or subsequent auction(s).[^145] This policy
allows bidders most efficiently to allocate their resources as well as
to evaluate their bidding strategies and business plans during an
auction while, at the same time, maintaining the integrity of the
auction process. The Bureau retains the discretion to scrutinize
multiple bid withdrawals on a single license for evidence of
anti-competitive strategic behavior and take appropriate action when
deemed necessary.

Section 1.2104(g)(1) of the rules sets forth the payment obligations of
a bidder that withdraws a high bid on a license during the course of an
auction, and provides for the assessment of interim bid withdrawal
payments.[^146] As amended, Section 1.2104(g)(1) provides that in
instances in which bids have been withdrawn on a license that is not won
in the same auction, the Commission will assess an interim withdrawal
payment equal to 3 percent of the amount of the withdrawn bids. The 3
percent interim payment will be applied toward any final bid withdrawal
payment that will be assessed after subsequent auction of the license.
Assessing an interim bid withdrawal payment ensures that the Commission
receives a minimal withdrawal payment pending assessment of any final
withdrawal payment. Section 1.2104(g) provides specific examples showing
application of the bid withdrawal payment rule.[^147]

### Round Results

Bids placed during a round will not be made public until the conclusion
of that bidding period. After a round closes, the Bureau will compile
reports of all bids placed, bids withdrawn, current provisionally
winning bids, new minimum acceptable bid amounts, and bidder eligibility
status (bidding eligibility and activity rule waivers), and post the
reports for public access. Reports reflecting bidders' identities for
Auction No. 61 will be available before and during the auction. Thus,
bidders will know in advance of this auction the identities of the
bidders against which they are bidding.

### Auction Announcements

The FCC will use auction announcements to announce items such as
schedule changes and stage transitions. All FCC auction announcements
will be available by clicking a link in the FCC Auction System.

### Maintaining the Accuracy of FCC Form 175 Information

As noted in Section II.H., after the short-form filing deadline,
applicants may make only minor changes to their FCC Form 175
applications, for example, deletion and addition of authorized bidders
(to a maximum of three). Applicants must press the **SUBMIT** button in
the FCC Auction System for the changes to be submitted and considered by
the Commission. In addition, applicants should submit a letter, briefly
summarizing the changes, by electronic mail to the attention of Margaret
Wiener, Chief, Auctions and Spectrum Access Division, at the following
address: <auction61@fcc.gov>. The electronic mail summarizing the
changes must include a subject or caption referring to Auction No. 61
and the name of the applicant. The Bureau requests that parties format
any attachments to electronic mail as Adobe^®^ Acrobat^®^ (pdf) or
Microsoft^®^ Word documents.

# POST-AUCTION PROCEDURES

## Down Payments and Withdrawn Bid Payments

After bidding has ended, the Commission will issue a public notice
declaring the auction closed and identifying winning bidders, down
payments, final payments, and any withdrawn bid 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
Commission for Auction No. 61 to 20 percent of the net amount of its
winning bids (gross bids less any applicable small business, or very
small business bidding credits). In addition, by the same deadline, all
bidders must pay any bid withdrawal payments due under 47 C.F.R. §
1.2104(g), as discussed in "Bid Removal and Bid Withdrawal," Section
IV.B.6. (Upfront payments are applied first to satisfy any withdrawn bid
liability, before being applied toward down payments.)

## Final Payments

Each winning bidder will be required to submit the balance of the net
amount of its winning bids within 10 business days after the deadline
for submitting down payments.

## Long-Form Application (FCC Form 601)

Within ten business days after release of the auction closing notice,
winning bidders must electronically submit a properly completed
long-form application (FCC Form 601) for each license won through
Auction No. 61. Winning bidders that are small businesses or very small
businesses must demonstrate their eligibility for small business or very
small business bidding credits. *See* 47 C.F.R. § 1.2112(b). Further
filing instructions will be provided to auction winners at the close of
the auction.

## Ownership Disclosure Information Report (FCC Form 602) 

At the time it submits its long-form application (FCC Form 601), each
winning bidder also must comply with the ownership reporting
requirements as set forth in 47 C.F.R. §§ 1.913, 1.919, and 1.2112. An
ownership disclosure record was automatically created in the Universal
Licensing System (ULS) for any applicant that submitted an FCC Form 175.
However, winning bidders will be required to review and confirm that it
is complete and accurate as of the date of filing Form 601. Further
instructions will be provided to auction winning bidders at the close of
the auction.

## 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 wireline
penetration rate equal to or below 85 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 tribal land bidding credit is in addition to, and separate
from, any other bidding credit for which a winning bidder may qualify.

Unlike other bidding credits that are requested prior to the auction, a
winning bidder applies for the tribal land bidding credit **after**
winning the auction when it files its long-form application (FCC Form
601). When initially filing the long-form application, the winning
bidder will be required to advise the Commission whether it intends to
seek a tribal land bidding credit, for each market won in the auction,
by checking the designated box(es). After stating its intent to seek a
tribal land bidding credit, the applicant will have 180 days from the
close of the long-form filing window to amend its application to select
the specific tribal lands to be served and provide the required tribal
government certifications. Licensees receiving a tribal land bidding
credit are subject to performance criteria as set forth in 47 C.F.R. §
1.2110(f)(3)(vi).[^148]

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.[^149] Relevant documents can be
viewed on the Commission's web site by going to
[http://wireless.fcc.gov/auctions](http://www.fcc.gov/wtb/auctions) and
clicking on the **Tribal Land Credits** link.

## Default and Disqualification

Any high bidder that defaults or is disqualified after the close of the
auction (*i.e.*, fails to remit the required down payment within the
prescribed period of time, fails to submit a timely long-form
application, 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.[^150] 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.[^151]

## Refund of Remaining Upfront Payment Balance 

All applicants that submit upfront payments but are not winning bidders
for a license in Auction No. 61 may be entitled to a refund of their
remaining upfront payment balance after the conclusion of the auction.
No refund will be made unless there are excess funds on deposit from the
applicant after any applicable bid withdrawal payments have been paid.
All refunds will be returned to the payer of record, as identified on
the FCC Form 159, unless the payer submits written authorization
instructing otherwise.

Bidders that drop out of the auction completely may be eligible for a
refund of their upfront payments before the close of the auction.
Qualified bidders that have exhausted all of their activity rule
waivers, have no remaining bidding eligibility, and have not withdrawn a
provisionally winning bid during the auction 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 requests to:

Federal Communications Commission

Financial Operations Center

Auctions Accounting Group

Gail Glasser

445 12th Street, SW, Room 1-C864

Washington, DC 20554

Bidders are encouraged to file their refund information electronically
using the **Refund Information** icon in 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 Gail Glasser at
> (202) 418-0578.

**Media Contact:**

For press inquiries: Lauren Patrich at (202) 418-7944

**Auctions and Spectrum Access Division:**

For legal questions: Howard Davenport at (202) 418-0660

For general auction questions: Debbie Smith, Roy Knowles or Barbara
Sibert at (717) 338-2888

**Public Safety and Critical Infrastructure Division:**

For legal questions: Jeff Tobias at (202) 418-0680

For technical questions: James Shaffer at (202) 418-0680

\- FCC -

# Attachment A

> **Auction No. 61 -- AMTS Licenses to be Auctioned**

  ---------- ----------------- ------------- --------------- ----------- ---------------- ------------- --------------- ----------------- -----------------
  **Market   **Description**   **License     **Frequencies   **Channel   **Population**   **Bandwidth   **Bidding       **Upfront         **Minimum Opening
  Number**                     Number**      (MHz)**         Block**                      (MHz)**       Units**         Payment**         Bid**

  AMTSA001   Northern Atlantic PC-AMT001-A   217.5 - 218.0 / A           36,719,116       1.0           184,000         \$184,000         \$184,000
                                             219.5 - 220.0                                                                                

  AMTSA002   Mid-Atlantic      PC-AMT002-A   217.5 - 218.0 / A           31,253,086       1.0           156,000         \$156,000         \$156,000
                                             219.5 - 220.0                                                                                

  AMTSA003   Southern Atlantic PC-AMT003-A   217.5 - 218.0 / A           29,648,771       1.0           148,000         \$148,000         \$148,000
                                             219.5 - 220.0                                                                                

  AMTSA004   Mississippi River PC-AMT004-A   217.5 - 218.0 / A           84,102,559       1.0           421,000         \$421,000         \$421,000
                                             219.5 - 220.0                                                                                

  AMTSA005   Great Lakes       PC-AMT005-A   217.5 - 218.0 / A           37,000,865       1.0           185,000         \$185,000         \$185,000
                                             219.5 - 220.0                                                                                

  AMTSA006   Southern Pacific  PC-AMT006-A   217.5 - 218.0 / A           33,997,444       1.0           170,000         \$170,000         \$170,000
                                             219.5 - 220.0                                                                                

  AMTSA007   Northern Pacific  PC-AMT007-A   217.5 - 218.0 / A           9,518,894        1.0           48,000          \$48,000          \$48,000
                                             219.5 - 220.0                                                                                

  AMTSA008   Hawaii            PC-AMT008-A   217.5 - 218.0 / A           1,211,537        1.0           6,100           \$6,100           \$6,100
                                             219.5 - 220.0                                                                                

  AMTSA008   Hawaii            PC-AMT008-B   217.0 - 217.5 / B           1,211,537        1.0           6,100           \$6,100           \$6,100
                                             219.0 - 219.5                                                                                

  AMTSA009   Alaska            PC-AMT009-A   217.5 - 218.0 / A           626,932          1.0           3,100           \$3,100           \$3,100
                                             219.5 - 220.0                                                                                

                                                                                                                                          

             **Auction Total**                                                                          **1,327,300**   **\$1,327,300**   **\$1,327,300**
  ---------- ----------------- ------------- --------------- ----------- ---------------- ------------- --------------- ----------------- -----------------

# attachment B

FCC AUCTION SEMINAR REGISTRATION FORM

Auction No. 61

The FCC will sponsor a one-day seminar for Auction No. 61 applicants.
The seminar is free of charge and will provide information about
pre-auction procedures, service and auction rules, conduct of the
auction, and the FCC Auction System.

Representatives from each company may attend on a reservation basis,
first-come first-served until room capacity is filled. The seminar will
be held:

Wednesday, May 25, 2005

Federal Communications Commission

445 12th Street, SW Room TW-438/468

Washington, DC 20554

Registration 9:30 a.m. - 10:00 a.m.

Seminar 10:00 a.m. - 2:00 p.m.

If hotel accommodations are needed

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

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

To register, complete the form below and

return no later than

Monday, May 23, 2005, by fax to:

FCC Auction 61

Auctions and Spectrum Access Division

1270 Fairfield Road

Gettysburg, PA 17325-7245

FAX: 717-338-2850

Phone: 717-338-2888

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

I/We will attend the Auction No. 61 Seminar, scheduled for Wednesday,
May 25, 2005.

Name of attendee:

Name of attendee:

Company name:

Company address:

Phone: Fax:

# Attachment C 

ELECTRONIC FILING AND REVIEW

OF THE FCC FORM 175

Applicants must submit their FCC Form 175 applications electronically,
via the Internet. **FCC Form 175 applications must be submitted and
confirmed by 6:00 p.m. ET on Thursday, June 9, 2005.** Late applications
or unconfirmed submissions of electronic data will not be accepted.

Applicants may make changes to their Form 175 applications multiple
times and until the close of the filing window. However, applicants must
press the **SUBMIT** button in the FCC Auction System for the changes to
be submitted and considered by the Commission.

## Software Requirements {#software-requirements .unnumbered}

Applicants are reminded to meet the following minimum software
requirements:

-   Web Browser, either of the following:

```{=html}
<!-- -->
```
-   Microsoft® Internet Explorer 6.0 or higher (recommended). Your
    browser must have either Microsoft VM or Java Plug-In Version
    1.4.1_02 installed.

-   Netscape® Communicator™ 6.0 or higher, with Java Plug-In Version
    1.4.1_02.

> Java Plug-In Version 1.4.1_02 is available for downloading at
> ***<http://java.sun.com/products/archive/j2se/1.4.1_02/index.html>***
> (choose the JRE version).

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

## Logging On

To submit an FCC Form 175 application electronically via the Internet,
start your web browser and point it to either <http://auctions.fcc.gov/>
(primary location) or <http://auctions2.fcc.gov/> (secondary location).
Once on the FCC Integrated Spectrum Auction System page, applicants may
log in to create Form 175 applications using their FRNs and passwords.

## Application Filing Instructions

The on-line FCC Form 175 requests information needed to determine
whether an applicant qualifies to participate in competitive bidding for
Commission licenses or construction permits.[^152] Pursuant to Section
1.2105(a), Form 175 must be submitted electronically. The screens
comprising Form 175 consist of five series, each requesting five
separate types of information: 1) *Applicant Information*; 2) *License
Selection*; 3) *Agreements*; 4) *Ownership*; and 5) *Certify and
Submit*. In addition, *Summary* screens, a sixth series, appear prior to
the *Certify and Submit* screens. The *Summary* screens provide an
overview of an applicant's Form 175 that facilitates reviewing and
revising specific information, as well as an automated check for certain
inconsistencies and omissions in submitted information.

To simplify filling out Form 175, certain initial information applicants
provide will be used to determine what additional information is needed.
In such circumstances, the applicant's initial information will
determine what subsequent screens appear as part of Form 175. For
example, a corporate applicant, unlike an individual applicant, must
identify a corporate officer or director responsible for the
application. If initial information identifies an applicant as an
individual, no additional information is needed regarding an additional
responsible party. Consequently, in such case, screens requesting
information regarding a responsible party will not appear. However, if
initial information identifies an applicant as a corporation, subsequent
screens in the Form 175 will ask for information regarding the
responsible party for the application. Accordingly, at points in the
process of filling out Form 175, applicants must provide initial
information before they can proceed to subsequent screens.

Applicants should be able to fill out Form 175 by following the
instructions below. Additional help in filling out Form 175 can be
accessed from Form 175 in two ways: 1) by clicking on the **Help** link
in the upper right of any screen, which will open Auction Application
Online Filing Help; or 2) by clicking on the text of any **Common
Question** link appearing on the right side of the screen. The common
questions displayed relate to the current screen and vary from screen to
screen. In the event the assistance provided by these sources is
insufficient, filers should use the contact information provided in the
Procedures Public Notice to obtain additional assistance.

### Applicant Information

The *Applicant Information* screens are the first series of screens in
Form 175. In the *Applicant Information* screens, the applicant will
provide information regarding the applicant's legal classification,
*e.g*., individual, corporation, etc.; optional information regarding
the applicant's status as a minority- or woman-owned business or as a
rural telephone company; the applicant's name, which will be the bidder
name during the auction, citizenship (or jurisdiction of formation for
legal entities) and address; for applicants that are legal entities,
*e.g*., corporations and partnerships, the name and related information
regarding the entity's responsible individual; the name and address of a
contact person for communicating with the Commission regarding the
applicant's Form 175; the names of up to three persons authorized to bid
for the applicant in the auction; the applicant's preference for
electronic or telephonic bidding; and whether the applicant claims
eligibility for certain types of bidding credits.[^153]

Each screen will specify the information that the applicant must
provide. Please note the following with respect to particular
information requested:

-   Applicants must indicate their legal classification before
    continuing to subsequent screens, because the legal classification
    will determine which subsequent screens will appear.

-   P.O. Boxes may not be used for an applicant's address.

-   To simplify filling out Form 175, applicants that have the same
    address as their contact person can click on the **COPY APPLICANT
    ADDRESS** button to automatically fill in the contact person's
    address. P.O. Boxes may not be used for a contact person's address.

-   Applicants must identify at least one authorized bidder. Applicants
    may change their authorized bidders at a later date.

-   Any qualified bidder may bid either via the Internet or telephone
    during the auction. Specifying a preference for electronic or
    telephonic bidding helps the Commission determine the staff required
    for telephonic bidding.

### License Selection

The *License Selection* screens make up the second series of screens in
Form 175. In the *License Selection* screens, the applicant will
identify the licenses the applicant may wish to bid on during the
auction. Applicants are not obligated to bid on all licenses selected;
however, applicants will not be able to bid on licenses that they have
not selected.[^154]

To participate in an auction, applicants must select at least one
license. Until the applicant selects a license, the applicant cannot
submit the Form 175. An applicant's license selections cannot be changed
after the initial filing window has closed. Therefore, during the
initial filing window it is important to carefully review license
selections to make sure all the licenses the applicant may wish to bid
on have been selected.

The first *License Selection* screen, the *Select Licenses* screen,
contains two lists: 1) a list of all licenses on which the applicant may
be eligible to bid ("Eligible Licenses"); and 2) a list of all licenses
selected by the applicant ("Selected Licenses"). Applicants select
licenses by: 1) highlighting the licenses to be selected in the Eligible
Licenses list; and then 2) clicking on the **ADD** button to move those
licenses to the Selected Licenses list. Applicants can click on the
**ADD** button multiple times, so applicants do not need to highlight
all the licenses in which they are interested before clicking on the
**ADD** button. Licenses can be removed from the list of Selected
Licenses by: 1) highlighting the unwanted licenses in Selected Licenses;
and then 2) clicking the **REMOVE** button. Applicants can click on the
**REMOVE** button multiple times, so applicants do not need to highlight
all the unwanted licenses before clicking on the **REMOVE** button.

In either list, applicants can highlight a single license by clicking on
it. Applicants can highlight multiple licenses by holding down the
control key (Ctrl) and clicking on each license the applicant wants to
highlight. Alternatively, if an applicant wants to highlight multiple
licenses that appear sequentially in a list, applicants can click on the
first license in the sequence and then hold down the shift key while
clicking on the last license in the sequence. Finally, applicants can
highlight all licenses by clicking on the **SELECT ALL** button.

If the applicant previously has selected licenses, the initial *License
Selection* screen will be the View/Edit *License Selections* screen.
This screen lists the licenses previously selected for this auction. To
select a new license or remove a previously selected license, click the
**Edit** icon next to Change Selection at the top-right corner of the
list. This will take you to the original *Select Licenses* screen,
described above.

### Agreements

The *Agreements* screens are the third series of screens in Form 175. In
the *Agreements* screens, applicants will provide information regarding
auction-related agreements subject to disclosure under the Commission's
rules.[^155]

On the first screen, applicants must state whether the applicant has any
agreements that are subject to disclosure under the Commission's rules
by responding yes or no to a question asking whether the applicant has
entered into partnerships, joint ventures, consortia or other agreements
or understandings of any kind relating to the licenses being auctioned,
including any such agreement relating to the post-auction market
structure. If an applicant answers "No," the applicant will continue
with the Ownership series of screens, described below. If the applicant
answers "Yes," the applicant will continue with additional *Agreements*
screens described here.

In the additional *Agreements* screens, applicants must provide an
identifier naming the agreement and identify the parties, other than the
applicant, to the agreement. The identifier can briefly describe the
agreement or simply name the agreement for reference; however, the
identifier for each agreement must be unique.

Slightly different identifying information is requested in the event the
other party to the agreement is an entity or an individual. For either
entities or individuals, applicants may provide FCC Registration Numbers
(FRN), if available. Providing the FRN helps prevent errors in
identification resulting from various parties having similar names or
single parties using various names. Providing the party's FRN, if
available, is optional.

Up to three parties to the agreement (not including the applicant) can
be identified on a single screen. Additional parties can be added by
clicking the **ADD MORE PARTIES** button. In the event of an error, the
name of a party and its associated FRN can be cleared from the form by
clicking on the **RESET** button. After identifying all parties to a
particular agreement, click the **FINISH THIS AGREEMENT** button.

The next *Agreements* screen is the *View/Edit Agreements* screen. This
screen lists the agreements and parties to each that already have been
entered. From this screen, you have the following options:

-   Clicking the **Edit** icon or the **Agreements** link to return to
    the initial *Agreements* screen regarding whether or not the
    applicant has any agreements.

-   Modifying agreement identifiers by clicking on them.

-   Clicking the **Delete This Agreement** link to delete an agreement
    and associated parties.

-   Modifying information regarding a particular party to an agreement
    by clicking on the party's name.

-   Clicking the **Remove** icon next to information about a particular
    party to remove the corresponding party.

-   Clicking the **Add Party to This Agreement** link to add a new party
    to an agreement.

-   Clicking the **CREATE NEW AGREEMENT** button to add additional
    agreements.

When you have identified all agreements and the parties to each, click
the **CONTINUE** button.

### Ownership

The *Ownership* screens are the fourth series of screens in the Form
175. In the *Ownership* screens, applicants will provide information
regarding parties with ownership interests in the applicant that must be
disclosed pursuant to Commission rules.[^156] In part, Commission rules
require the disclosure of FCC-regulated businesses that are owned by the
applicant and parties with certain ownership interests in the
applicant.[^157] In addition, if the applicant has claimed eligibility
for bidding credits based on revenues attributable to the applicant and
related parties, the applicant will provide information regarding
revenues in the *Ownership* screens.

#### Information Already On File with the Commission

To simplify filling out Form 175, an applicant's most current Form 602
ownership information on file with the Commission, if in an electronic
format compatible with Form 175, will automatically be entered into Form
175. Applicants with ownership information automatically entered into
Form 175 will proceed directly to the *View/Edit Ownership* screen
described below.

Applicants are responsible for information submitted in Form 175 being
complete and accurate. Applicants should carefully review any
information automatically entered to confirm that it is complete and
accurate as of the deadline for submitting Form 175. Applicants can
update the information directly in the Form 175. After the deadline for
filing Form 175, ownership information in a submitted Form 175 will be
considered to be the applicant's most current ownership information on
file with the Commission.

#### Disclosable Interest Holders and FCC-Regulated Businesses

For an applicant not claiming eligibility for bidding credits based on
revenues, the initial *Ownership* screen that appears will enable the
applicant to: 1) add information regarding a disclosable interest
holder; 2) add information regarding the FCC-regulated businesses owned
by the applicant; or 3) upload ownership information from a file
prepared by the applicant. Section 1.2112(a) of the Commission's rules
lists the interest holders in the applicant that must be disclosed in
Form 175.[^158] Section 1.2112(a)(7) states the FCC-regulated businesses
that must be disclosed in Form 175.

Uploading information from a file prepared by the applicant is an
alternative to keying information into particular screens comprising the
*Ownership* screens in Form 175. Applicants submitting Ownership
Disclosure Information have the option to upload ownership data in a
text file, which will then be processed and populated into the system as
the applicant's current ownership filing (provided there were no
errors). This feature may benefit those applicants who have a large
amount of ownership data that would otherwise have to be entered into
the system manually. It also may benefit those applicants who previously
provided ownership data to the FCC in a similar format for other
purposes, such as in connection with filing FCC Form 602. Instructions
on how to prepare such a file are provided at the end of the
instructions regarding *Ownership* screens. After a successful upload,
the *Upload Ownership Disclosure Information Confirmation* screen will
appear. Applicants then may click the **CONTINUE** button, which loads
the *View/Edit Ownership* screen described below.

Each screen will specify the information that the applicant must
provide. Please note the following with respect to particular
information requested:

-   If an application includes one or more disclosable interest holders
    with an indirect ownership in the applicant,[^159] the application
    must include an attachment regarding the relationship between the
    indirect interest holder(s) and the applicant. The attachment should
    provide an overview of the ownership chain that links the indirect
    owners to the applicant, *e.g.*, indirect owner X owns 50% of
    holding company Y; indirect owner Z owns 50% of holding company Y;
    and holding company Y owns 100% of the applicant.[^160] One
    attachment connecting all indirect owners to the applicant is
    sufficient; a separate attachment for each indirect owner is not
    required. An overview of the ownership connections is sufficient;
    the attachment does not need to duplicate all the detailed
    information already provided in the Form 175.

-   The "Percent of Interest Held in Applicant" should reflect the
    disclosable interest holder's aggregate ownership interest in the
    applicant. In some cases, *e.g.*, circumstances where there is joint
    ownership or indirect ownership resulting in different owners
    sharing the same ownership interests, the sum of all the percentages
    held by disclosable interest holders may exceed 100%. In other
    cases, *e.g.*, directors and officers of an entity seeking
    revenue-based bidding credits,[^161] a disclosable interest holder
    may have a 0% percent of interest held in the applicant.

-   FCC-regulated businesses in which the applicant has an interest can
    be entered from the initial *Add Ownership Disclosure Information*
    screen. FCC-regulated businesses in which a disclosable interest
    holder has an interest can be entered from the *Add FCC Regulated
    Business* screen in the series of screens for entering information
    about a Disclosable Interest Holder.

-   When adding an FCC-regulated business, "Percent of Interest Held"
    refers to the percent of interest held by the applicant or
    disclosable interest holder, as applicable, in the FCC-regulated
    business.

-   To simplify filling out Form 175, applicants can click on the
    **select business(es) already submitted** link when entering an
    FCC-regulated business previously entered as an FCC-regulated
    business for the applicant or another Disclosable Interest Holder.
    When doing so, be certain to enter the "Percent of Interest Held" in
    the FCC regulated business by the current party, either the
    applicant or the disclosable interest holder, with respect to which
    the FCC-regulated business is being entered.

#### View/Edit Ownership Disclosure Information

The *View/Edit Ownership Disclosure Information* screen summarizes
Ownership information already entered in Form 175, either automatically
from compatible ownership information on file with the Commission or
directly by the applicant, and provides links enabling existing
information to be revised and additional information to be added.

Existing ownership information is divided into three groups:

-   Disclosable Interest Holders of this Applicant

-   FCC Regulated Businesses of this Applicant

-   Affiliates of this Applicant

To view the detailed information submitted regarding the applicant, a
disclosable interest holder, FCC-regulated business, or an affiliate,
click on the relevant party's name. To delete existing information or
add a new entry in one of the categories, click on the relevant link.
This screen also provides a link enabling applicants to add an
FCC-regulated business directly to an existing disclosable interest
holder, without needing to reenter the disclosable interest holder's
information.

#### Bidding Credit Revenue Information

If the applicant has claimed eligibility for bidding credits based on
revenues attributable to the applicant and related parties, the first
*Ownership* screen will request relevant information regarding the
applicant's revenues. The subsequent screen will request which of the
two sources of financial information authorized by Section 1.2110 (n)
the applicant used for the revenue information.[^162]

Applicants claiming eligibility for bidding credits based on revenues
are required to provide revenue information separately and in the
aggregate for the applicant, its affiliates, its controlling interests,
and affiliates of its controlling interests. In addition, if the
applicant is consortium of small businesses, the information must be
provided with respect to each member comprising the consortium.[^163]
The Commission's definition of an affiliate of the applicant encompasses
both controlling interests of the applicant and affiliates of
controlling interests of the applicant.[^164] Form 175 screens request
information regarding the applicant, disclosable interest holders, and
affiliates of the applicant. Accordingly, information that Commission
rules require be disclosed regarding controlling interests and
affiliates of controlling interests that are not disclosable interest
holders should be disclosed in screens requesting information regarding
affiliates of the applicant.

Following the first two screens, the subsequent screen will be similar
to the initial *Ownership* screen described above, with one addition. In
addition to being able to add disclosable interest holders and
FCC-regulated business, applicants that claim eligibility for bidding
credits based on revenues also will have an option to add information
regarding affiliates, including their revenues, that are not disclosable
interest holders.[^165]

Applicants that claim eligibility based on revenues attributable to the
applicant and related parties will be requested to provide revenue
information for each disclosable interest holder. With respect to
disclosable interest holders that are affiliates or controlling
interests of the applicant, applicants will fill out two screens similar
to the two described above with respect to the applicant, *i.e.*, one
screen requesting the relevant information and a second screen regarding
the source of the revenue information.

However, not all disclosable interest holders that must be listed in
Form 175 pursuant to Section 1.2112(a) are affiliates of the applicant,
controlling interests of the applicant, or affiliates of the applicant's
controlling interests.[^166] Consequently, applicants claiming
eligibility for bidding credits based on revenues may not need to
provide revenue information for every disclosable interest holder.
Accordingly, applicants may indicate that no revenue information is
required with respect to the relevant disclosable interest holder on the
first screen requesting revenue information for that disclosable
interest holder. To do so, check the box indicating that the disclosable
interest holder is **not** an affiliate or a controlling interest within
the meaning of the Commission's rules and, therefore, no revenue
information for the disclosable interest holder will be provided.

In addition, an applicant may have affiliates that are not disclosable
interest holders. To disclose information regarding such affiliates and
their revenues required pursuant to Commission rule,[^167] applicants
can click on the **ADD AFFILIATE** button on the initial *Ownership*
screen. Applicants also can click on the **Add Affiliate to Applicant**
link on the *View/Edit Ownership Disclosure Information* screen to
disclose information regarding affiliates and their revenues.

Applicants providing information regarding an affiliate must provide the
name of the affiliate and the affiliate's principal business. To
simplify filling out Form 175, applicants can click on the **select
business(es) already submitted** link when entering an affiliate that
previously was entered as an FCC-regulated business for the applicant or
a Disclosable Interest Holder. Applicants will fill out two screens
similar to the two described above with respect to the affiliate,
*i.e.*, one screen requesting the relevant information and a second
screen regarding the source of the revenue information.

Finally, applicants claiming eligibility for bidding credits based on
revenues attributable to the applicant and related parties will be asked
to confirm that they have provided information with respect to all of
the relevant parties, *i.e.*, the applicant; each of the applicant's
officers and directors; each of the applicant's other controlling
interests; each of the applicant's affiliates; and for each affiliate of
the applicant's controlling interests, including its officers and
directors.[^168]

#### Uploading Ownership Disclosure Data in ISAS

Applicants submitting Ownership Disclosure Information have the option
to upload ownership data in a text file, which will then be processed
and populated into the system as the applicant's current ownership
filing (provided there were no errors). This feature may benefit those
applicants who have a large amount of ownership data that would
otherwise have to be entered into the system manually. It also may
benefit those applicants who previously provided ownership data to the
FCC in a similar format for other purposes, such as in connection with
filing FCC Form 602.

To use the upload feature, a text (.txt) file must be created that
contains a row for each type of entity that is being uploaded. For
example, a file might contain a row with data for a Disclosable Interest
Holder (DIH), another row for a FCC-Regulated Business (FRB), another
row for an affiliate, and so forth.

Instructions detailing what must be included for each entity are listed
below, starting in *FCC-Regulated Business Record Data*. It is important
to note that when a file is successfully uploaded, it will become the
current ownership filing on file with the FCC.

-   **Entity Types**

To upload ownership data, a record (row) must be created for each entity
that will be included in the ownership file. A record may be created for
the following entity types:

-   Disclosable Interest Holder (DIH)

```{=html}
<!-- -->
```
-   FCC-Regulated Business (FRB)

```{=html}
<!-- -->
```
-   FCC-Regulated Business of Disclosable Interest Holder

```{=html}
<!-- -->
```
-   Affiliate.

    -   **File Format**

To use the upload feature in Ownership, a text file must be created
using, for example, Windows Notepad. Data for each entity record must be
entered in the order listed, so the system can process it properly. For
each entity type, enter data for each column, separating each column of
data with a "pipe" ("\|") character. If data is to be omitted, the pipe
character must be still be added as a data place holder. For example, if
you are not entering an FRN for the entity, type "\|" to represent the
position of the missing data. Begin each record on a new line.

The following example represents the data requested to add a
FCC-Regulated Business entity:

  ------------------------------------------------------------------------
  **Position**    **Data Element**                    **Data Type**
  --------------- ----------------------------------- --------------------
  1\*             Record Type                         char(1)

  2               File Number                         char(14)

  3               Business Name                       varchar(200)

  4               Principal Business                  varchar(60)

  5               FRN                                 numeric(10)

  6               Percent of Interest                 numeric(5,2)

  7               Form Number                         char(3)

  8               Filing Type                         char(1)

  9               Filing Status                       char(1)

  10              Unique System Identifier            numeric(9,0)
  ------------------------------------------------------------------------

+---------+------------------------------------------------------------+
| **Pos   | Position indicates the order in which data must be         |
| ition** | entered. Use a pipe symbol (\|) as a separator following   |
|         | each position, excluding the last position.                |
+---------+------------------------------------------------------------+
| **\*    | A single asterisk (\*) indicates that this data is         |
| /\*\*** | required for the current record (row).                     |
|         |                                                            |
|         | A double asterisk (\*\*) indicates mutually-exclusive      |
|         | required data (e.g., enter either a first name/last name   |
|         | combination for an individual or an entity name for a      |
|         | business).                                                 |
+---------+------------------------------------------------------------+
| *       | Data represents the type of data that is being provided.   |
| *Data** |                                                            |
+---------+------------------------------------------------------------+
| **Data  | Data type represents the kind of data the column may       |
| Type**  | contain (e.g., only numeric data allowed in the FRN        |
|         | column) and the maximum length of the value or its size.   |
|         |                                                            |
|         | *Char(x)* indicates character data (*x* represents the     |
|         | maximum number of characters allowed).                     |
|         |                                                            |
|         | *Numeric(x)* represents numeric data (*x* represents the   |
|         | precision).                                                |
|         |                                                            |
|         | *Numeric(x, y)* represents numeric data (*x* represents    |
|         | the precision (specifies the number of digits in a         |
|         | number), y represents the scale (specifies the number of   |
|         | digits to the right of the decimal point in a number).     |
|         |                                                            |
|         | *Varchar(x)* indicates character data (*x* represents the  |
|         | maximum length of the value or its size).                  |
|         |                                                            |
|         | *Money* represents a monetary value using two decimal      |
|         | places.                                                    |
+---------+------------------------------------------------------------+

Example record for an FCC-Regulated Business**:**

F\|\|World Wide Wireless, Inc.\|PCS Wireless\|0007522890\|44\|\|\|\|

-   **Record Types for Upload Files**

## *FCC-Regulated Business (FRB) Record Data* {#fcc-regulated-business-frb-record-data .unnumbered}

  -----------------------------------------------------------------------
  **Position**   **Data Element**                          **Data Type**
  -------------- ----------------------------------------- --------------
  1\*            Record Type                               char(1)

  2              File Number                               char(14)

  3\*            Business Name                             varchar(200)

  4\*            Principal Business                        varchar(60)

  5              FRN                                       numeric(10)

  6\*            Percent of Interest                       numeric(5,2)

  7              Form Number                               char(3)

  8              Filing Type                               char(1)

  9              Filing Status                             char(1)

  10             Unique System Identifier                  numeric(9,0)
  -----------------------------------------------------------------------

**Notes**:

  -----------------------------------------------------------------------
  **Position/Data          **Note**
  Element**                
  ------------------------ ----------------------------------------------
  1 Record Type            Use "F" as the value for a FRB record. Enter a
                           pipe "\|" to indicate the end of the data
                           element.

  2 File Number            Not required. Enter a pipe "\|" to indicate
                           the end of the data element, even if no data
                           is entered.

  7 Form Number            Not required. Enter a pipe "\|" to indicate
                           the end of the data element, even if no data
                           is entered.

  8 Filing Type            Not required. Enter a pipe "\|" to indicate
                           the end of the data element, even if no data
                           is entered.

  9 Filing Status          Not required. Enter a pipe "\|" to indicate
                           the end of the data element, even if no data
                           is entered.

  10 Unique System         Not required. Enter a pipe "\|" to indicate
  Identifier               the end of the data element, even if no data
                           is entered.
  -----------------------------------------------------------------------

## *FCC-Regulated Business (FRB) of Disclosable Interest Holder (DIH) Record Data* {#fcc-regulated-business-frb-of-disclosable-interest-holder-dih-record-data .unnumbered}

  ------------------------------------------------------------------------
  **Position**   **Data Element**                      **Data Type**
  -------------- ------------------------------------- -------------------
  1\*            Record Type                           char(1)

  2              File Number                           char(14)

  3\*            Business Name                         varchar(200)

  4\*            Principle Business                    varchar(60)

  5              FRN                                   numeric(10)

  6              DIH_FRN                               numeric(10)

  7\*            Percent of Interest                   numeric(5,2)

  8              Form Number                           char(3)

  9              Filing Type                           char(1)

  10             Filing Status                         char(1)

  11             Unique System Identifier              numeric(9,0)
  ------------------------------------------------------------------------

**Notes**:

  -----------------------------------------------------------------------
  **Position/Data          **Note**
  Element**                
  ------------------------ ----------------------------------------------
  1 Record Type            Use "H" as the value for a DIH FRB record.
                           Enter a pipe "\|" to indicate the end of the
                           data element.

  2 File Number            Not required. Enter a pipe "\|" to indicate
                           the end of the data element, even if no data
                           is entered.

  8 Form Number            Not required. Enter a pipe "\|" to indicate
                           the end of the data element, even if no data
                           is entered.

  9 Filing Type            Not required. Enter a pipe "\|" to indicate
                           the end of the data element, even if no data
                           is entered.

  10 Filing Status         Not required. Enter a pipe "\|" to indicate
                           the end of the data element, even if no data
                           is entered.

  11 Unique System         Not required. Enter a pipe "\|" to indicate
  Identifier               the end of the data element, even if no data
                           is entered.
  -----------------------------------------------------------------------

##  {#section-1 .unnumbered}

## *Disclosable Interest Holder (DIH) Record Data* {#disclosable-interest-holder-dih-record-data .unnumbered}

  ---------------------------------------------------------------------------
  **Position**   **Data Element**                              **Data Type**
  -------------- --------------------------------------------- --------------
  1\*            Record Type                                   char(1)

  2              File Number                                   char(14)

  3\*\*          Entity Name                                   varchar(200)

  4\*            Entity Type                                   char(1)

  5\*\*          First Name                                    varchar(20)

  6              MI                                            char(1)

  7\*\*          Last Name                                     varchar(20)

  8              Suffix                                        char(3)

  9              FRN                                           numeric(10)

  10             Address                                       varchar(60)

  11             Address2                                      varchar(60)

  12             City                                          varchar(20)

  13             State                                         char(2)

  14             Zip Code                                      char(9)

  15             Country                                       char(2)

  16             International_Address_ind                     char(1)

  17             Interest Direct                               char(1)

  18             Interest Indirect                             char(1)

  19             Interest Officer                              char(1)

  20             Interest Director                             char(1)

  21             Interest Key Management                       char(1)

  22             Interest Management Contract                  char(1)

  23             Interest Other                                char(1)

  24             Interest Other Description                    char(255)

  25             Owner Common Stock                            char(1)

  26             Owner Common Stock Vote Indicator             char(1)

  27             Owner General Partnership                     char(1)

  28             Owner General Partnership Vote Indicator      char(1)

  29             Owner Limited Partnership                     char(1)

  30             Owner Limited Partnership Vote Indicator      char(1)

  31             Owner Member                                  char(1)

  32             Owner Option                                  char(1)

  33             Owner Proprietor                              char(1)

  34             Owner Preferred Stock                         char(1)

  35             Owner Preferred Stock Vote Indicator          char(1)

  36             Owner Preferred Stock Convert Indicator       char(1)

  37             Owner Warrant                                 char(1)

  38             Owner Other Type of Interest                  char(1)

  39             Owner Other Type of Interest Description      char(255)

  40             Percent of Interest                           numeric(5,2)

  41             Country of Citizenship                        char(2)

  42             Jurisdiction of Formation                     char(2)

  43             State of Jurisdiction                         char(2)

  44             Non Affiliate Option                          char(1)

  45             Year1 in Existence                            char(1)

  46             Year1 End Date                                char(10)

  47             Year1 Revenue                                 numeric(18)

  48             Year2 in Existence                            char(1)

  49             Year2 End Date                                char(10)

  50             Year2 Revenue                                 numeric(18)

  51             Year3 in Existence                            char(1)

  52             Year3 End Date                                char(10)

  53             Year3 Revenue                                 numeric(18)

  54             Total Assets                                  money

  55             Financial Statement Type                      char(1)

  56             Form Number                                   char(3)

  57             Filing Type                                   char(1)

  58             Filing Status                                 char(1)

  59             Unique System Identifier                      numeric(9,0)
  ---------------------------------------------------------------------------

**Notes**:

+-----------------------+----------------------------------------------+
| **Position/Data       | **Note**                                     |
| Element**             |                                              |
+=======================+==============================================+
| 1 Record Type         | Use "D" as the value for a DIH record. Enter |
|                       | a pipe "\|" to indicate the end of the data  |
|                       | element.                                     |
+-----------------------+----------------------------------------------+
| 2 File Number         | Not required. Enter a pipe "\|" to indicate  |
|                       | the end of the data element, even if no data |
|                       | is entered.                                  |
+-----------------------+----------------------------------------------+
| 3 Entity Name/5 First | If the DIH is an entity, enter the Entity    |
| Name/7 Last Name      | Name.                                        |
|                       |                                              |
|                       | If the DIH is an individual, enter the First |
|                       | Name and Last Name. Enter a pipe "\|" to     |
|                       | indicate the end of the data element.        |
+-----------------------+----------------------------------------------+
| 4 Entity Type         | If the DIH is an entity, use "E" as the      |
|                       | value.                                       |
|                       |                                              |
|                       | If the DIH is an individual, use "I" as the  |
|                       | value.                                       |
|                       |                                              |
|                       | Enter a pipe "\|" to indicate the end of the |
|                       | data element.                                |
+-----------------------+----------------------------------------------+
| 5 through 55          | Not required. Enter a pipe "\|" to indicate  |
|                       | the end of each data element (fifty pipes).  |
+-----------------------+----------------------------------------------+
| 56 Form Number        | Not required. Enter a pipe "\|" to indicate  |
|                       | the end of the data element, even if no data |
|                       | is entered.                                  |
+-----------------------+----------------------------------------------+
| 57 Filing Type        | Not required. Enter a pipe "\|" to indicate  |
|                       | the end of the data element, even if no data |
|                       | is entered.                                  |
+-----------------------+----------------------------------------------+
| 58 Filing Status      | Not required. Enter a pipe "\|" to indicate  |
|                       | the end of the data element, even if no data |
|                       | is entered.                                  |
+-----------------------+----------------------------------------------+
| 59 Unique System      | Not required. Enter a pipe "\|" to indicate  |
| Identifier            | the end of the data element, even if no data |
|                       | is entered.                                  |
+-----------------------+----------------------------------------------+

## *Affiliate Record Data* {#affiliate-record-data .unnumbered}

  ---------------------------------------------------------------------------
  **Position**   **Data Element**                      **Data Type**
  -------------- ------------------------------------- ----------------------
  1\*            Record Type                           char(1)

  2              File Number                           char(10)

  3\*            Individual Entity Type                char(1)

  4\*\*          First Name                            varchar(20)

  5              MI                                    char(1)

  6\*\*          Last Name                             varchar(20)

  7              Suffix                                char(3)

  8\*\*          Entity Name                           varchar(200)

  9              Principal Business                    varchar(60)

  10             FRN                                   numeric(10)

  11             Year1 in Existence                    char(1)

  12             Year1 End Date                        char(10)

  13             Year1 Revenue                         numeric(18)

  14             Year2 in Existence                    char(1)

  15             Year2 End Date                        char(10)

  16             Year2 Revenue                         numeric(18)

  17             Year3 in Existence                    char(1)

  18             Year3 End Date                        char(10)

  19             Year3 Revenue                         numeric(18)

  20             Total Assets                          money

  21             Financial Statement Type              char(1)

  22             Form Number                           char(3)

  23             Filing Type                           char(1)

  24             Filing Status                         char(1)

  25             Unique System Identifier              numeric(9,0)
  ---------------------------------------------------------------------------

**Notes**:

+-----------------------+----------------------------------------------+
| **Position/Data       | **Note**                                     |
| Element**             |                                              |
+=======================+==============================================+
| 1 Record Type         | Use "A" as the value for an Affiliate        |
|                       | record. Enter a pipe "\|" to indicate the    |
|                       | end of the data element.                     |
+-----------------------+----------------------------------------------+
| 2 File Number         | Not required. Enter a pipe "\|" to indicate  |
|                       | the end of the data element, even if no data |
|                       | is entered.                                  |
+-----------------------+----------------------------------------------+
| 3 Individual Entity   | If the Affiliate is an entity, use "E" as    |
| Type                  | the value.                                   |
|                       |                                              |
|                       | If the Affiliate is an individual, use "I"   |
|                       | as the value.                                |
|                       |                                              |
|                       | Enter a pipe "\|" to indicate the end of the |
|                       | data element.                                |
+-----------------------+----------------------------------------------+
| 4 First Name/6 Last   | If Affiliate is an individual, enter the     |
| Name/8 Entity Name    | First Name and Last Name. If Affiliate is an |
|                       | entity, enter the Entity Name.               |
|                       |                                              |
|                       | Enter a pipe "\|" to indicate the end of the |
|                       | data element.                                |
+-----------------------+----------------------------------------------+
| 5 through 21          | Not required. Enter a pipe "\|" to indicate  |
|                       | the end of each data element (sixteen        |
|                       | pipes).                                      |
+-----------------------+----------------------------------------------+
| 22 Form Number        | Not required. Enter a pipe "\|" to indicate  |
|                       | the end of the data element, even if no data |
|                       | is entered.                                  |
+-----------------------+----------------------------------------------+
| 23 Filing Type        | Not required. Enter a pipe "\|" to indicate  |
|                       | the end of the data element, even if no data |
|                       | is entered.                                  |
+-----------------------+----------------------------------------------+
| 24 Filing Status      | Not required. Enter a pipe "\|" to indicate  |
|                       | the end of the data element, even if no data |
|                       | is entered.                                  |
+-----------------------+----------------------------------------------+
| 25 Unique System      | Not required. Enter a pipe "\|" to indicate  |
| Identifier            | the end of the data element, even if no data |
|                       | is entered.                                  |
+-----------------------+----------------------------------------------+

-   **Procedure to Upload Ownership Disclosure Information**

After creating the ownership upload file and saving it as a .txt file,
it may be uploaded from the *Upload Ownership Disclosure Information*
screen. Ownership data must be uploaded in one file. A successful upload
will become the current ownership data on file with the FCC. You may not
make changes to your Ownership Disclosure data nor submit your auction
application until the processing of your upload file has completed. You
may navigate to other sections of your online auction application during
the processing. To begin the upload process:

1.  Enter the exact path name of the file to be uploaded or click the
    **BROWSE** button to locate the file on your computer. Click
    **BROWSE** opens a window from which you can locate and select the
    file. After selecting the file, click the **OPEN** button.

2.  Type an e-mail address to which a confirmation notice will be sent,
    then re-type the address in the confirmation box.

3.  Click the **UPLOAD FILE** button.

The system will process the file and populate the system with the data,
provided there were no processing errors. If there is an error, an error
message will be displayed on the screen. If the file is successfully
uploaded, the ownership data will be viewable on the *View/Edit
Ownership Disclosure Information* screen. It may be viewed and/or edited
just as if it had been entered manually.

### Summary

The *Summary* screens, the next series of screens that appear if an
applicant continues from the *Ownership* screens, are the fifth series
of screens in Form 175. The *Summary* screens summarize information
applicants have provided in previous screens, offering an overview of an
applicant's Form 175 to help you locate specific information. The
*Summary* screens will appear prior to the *Certify and Submit* screens,
in order to permit the applicant to review all the information entered
in previous screens and an opportunity to check for errors in the
information submitted.

The first *Summary* screen, the *Summary Overview* screen, lists the
first four series of screens in the application and provides a
**VIEW/EDIT** button to access each one. Here is what happens if you
click **VIEW/EDIT** for each series:

-   Clicking **VIEW/EDIT** for Applicant Information produces a *Detail
    for Applicant Information* screen showing what you entered for each
    data entry field. To change any data item, click the **Edit** icon
    for the relevant data field.

-   Clicking **VIEW/EDIT** for License Selection takes you to the
    *View/Edit License Selection* screen discussed above in the License
    Selection section.

-   Clicking **VIEW/EDIT** for Agreements takes you to the *Agreements*
    screen discussed above in the Agreements section.

-   Clicking **VIEW/EDIT** for Ownership takes you to the *View/Edit
    Ownership Disclosure Information* screen discussed above in the
    Ownership section.

Clicking on the **CHECK ERRORS** button initiates an automated check of
the application. If the automated check encounters any errors that must
be corrected before submitting the application, the error(s) will be
listed in an Error box at the top of the screen. To correct one of these
errors, click its corresponding **EDIT** button. In addition, if the
automated check encounters any apparent errors that might render the
application incomplete if the application is submitted with current
information, the apparent error will be listed in a Warning box. To
revise the information related to the apparent error, click its
corresponding **EDIT** button.

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

If the automated check does not encounter any errors, a box will appear
displaying the message "**No Errors found - You may continue to Certify
and Submit.**" Applicants may then click the **CONTINUE TO CERTIFY**
button.

### Attaching Additional Information

If an applicant needs to provide additional information not requested
directly in the screens comprising the Form 175, additional information
can be provided in an attachment.

The screen for adding an attachment to Form 175 can be accessed by
clicking on the **Attachments** link in the upper right of any screen.
The *Add Attachment* screen requests information regarding the type of
attachment to be added, the name of the file to be attached, and a brief
description of the attachment. If the attachment is a request for a
waiver of any of the Commission's rules or procedures, the applicant
should identify the "Type" of attachment as a "Waiver" to facilitate
prompt processing. Once the requested information is provided,
applicants can add the attachment to the application by clicking on the
**ADD ATTACHMENT** button.

A list of any attachments already uploaded along with the applicant's
Form 175 appears at the bottom of the screen.

When uploading attachments, applicants may use a variety of file
formats\-- including Word 2000 or earlier, WordPerfect 6.x or earlier,
Adobe PDF, and ASCII text\--and must verify that the files contain all
exhibit information. 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, and word processing files that are uploaded may not contain
graphic images. Files must not be password-protected.

### Certify and Submit

The *Certify and Submit* screens are the sixth and final series of
screens in Form 175. In the *Certify and Submit* screens, applicants
will provide certifications required of all participants in the
Commission's competitive bidding.[^169]

The first *Certify and Submit* screen requires applicants to indicate
whether they, their affiliates, their controlling interests, and any
affiliates of their controlling interests have ever been in default on
any Commission license or have ever been delinquent on any non-tax debt
owed to any Federal agency.[^170] Applicants associated with a relevant
entity that has been in default or delinquent may participate in an
auction, if otherwise qualified. However, such applicants must submit an
upfront payment equal to 50 percent more than otherwise required.[^171]

The second *Certify and Submit* screen lists the certifications required
of all applicants in the Commission's competitive bidding and requests
that the applicant's certifying official be identified and sign the
application.

Once the two *Certify and Submit* screens have been filled out, the
application may be submitted by clicking on the **SUBMIT** button.

After the application has been submitted, a confirmation screen will be
displayed that states the submission time and date, along with a unique
file number. It is recommended that you print a copy of the confirmation
page for your records. You may then view and print a copy of your
submitted application by clicking on Print Preview.

### Updating or Withdrawing Previously Submitted Information in the Form 175

#### Update Existing Applications

Once you have logged into the Auctions Application Manager, the *Create
or Review Auction Applications* page displays any application you have
created or submitted within a filing window. **Note:** This page shows
the application status, the date and time the application was last
updated; and the date and time the application was last submitted. You
may use this page as a reference to confirm the date and time of your
most recent submission of the application.

To review or continue working on an existing application, click its
auction number. This produces the application's Summary page and places
you in a view/edit mode. Applicants must go to the Certify and Submit
screens and click the **SUBMIT** button to submit any changes made to
their Form 175. After the revised application has been submitted, a
confirmation page will be displayed that states the submission time and
date, along with your unique file number. It is recommended that you
print a copy of the confirmation page for your records. You may then
view and print a copy of your submitted application by clicking on Print
Preview.

After the short-form filing deadline (6:00 p.m. ET June 9, 2005),
applicants may make only minor changes to their applications. Applicants
will not be permitted to make major modifications to their applications
(*e.g*., change their license selections, change the certifying
official, change control of the applicant, or change bidding credit
eligibility).[^172]

#### Withdraw Application

If you wish to withdraw a submitted application before the short-form
filing deadline, click on the **Withdraw Application** icon on the
*Auction Application Manager Create or Review Auction Applications* page
and confirm that you want to withdraw your application. If you
subsequently decide to file an application, you will have to re-enter
all previously-submitted data.

### Upfront Payment Calculator and Form 159 

You may access the **Upfront Payment Calculator and Form 159** from the
*Create or Review Auction Applications* page and from the *Auction
Application Submit Confirmation* page. When you click the **Upfront
Payment Calculator and Form 159** icon or link, a page will be displayed
where you can determine the appropriate upfront payment amount to submit
with the Form 159. From the *Calculate Upfront Payment* page, you may
click the **Form 159** button to obtain the Form 159.

### Refund of Upfront Payment 

On *My Auctions* Page, click on the **See Wire Transfer for Refund
Purposes** link to provide your wire transfer instructions for purposes
of refunds of upfront payments. The Commission will use this information
to refund excess funds on deposit upon receipt of a written refund
request.

## Application Review

Once the FCC has completed the 175 Application 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
[***http://auctions.fcc.gov/***](http://auctions.fcc.gov/) (primary
location) or
[***http://auctions2.fcc.gov/***](http://auctions2.fcc.gov/) (secondary
location). Click the **Auction Applications** link in the Public Access
area on the FCC Integrated Spectrum Auction System page to start your
search.

## Technical Support

For technical assistance with using FCC software, contact the FCC
Technical Support Hotline at (877) 480-3201, option nine; (202)
414-1250; or (202) 414-1255 (TTY). The FCC Technical Support Hotline is
available Monday through Friday from 8 a.m. to 6 p.m. ET. **All calls to
the FCC Technical Support Hotline are recorded.**

FCC Technical Support can also be contacted electronically by filling
out a help request form at <https://esupport.fcc.gov/request.htm.>

[]{.mark}

# Attachment D

AUCTION-SPECIFIC INSTRUCTIONS FOR

FCC REMITTANCE ADVICE (FCC FORM 159-February 2003 Edition)

## Upfront Payments

The following information supplements the standard instructions for FCC
Form 159 (Revised 2/03), and is provided to help ensure correct
completion of FCC Form 159 for upfront payments for Auction No. 61.
Applicants need to complete FCC Form 159 carefully, since:

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

```{=html}
<!-- -->
```
-   **Lack of consistency between information set forth in FCC Form 159
    (Revised 2/03), FCC Form 175, long-form application, and
    correspondence about an application may cause processing delays.**

    Therefore appropriate cross-references between the FCC Form 159
    Remittance Advice and the

FCC Form 175 Short Form Application are described below:

Block

Number Required Information

> 1 LOCKBOX \# - Enter "358420"
>
> 2 Payer Name - Enter the name of the person or company making the
> payment.
>
> If the applicant itself is the payer, this entry would be the same as
> FCC Form 175.

3.  Total Amount Paid - Enter the amount of the upfront payment
    associated with the

> FCC Form 159 (Revised 2/03).

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).
>
> 24A Payment Type Code - Enter "A61U"
>
> 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 "61" (indicating Auction No. 61).

NOTES:

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

-   If applicant is different from the payer, complete blocks 13 through
    21 for the applicant, using the same information shown on FCC
    Form 175. Otherwise leave them blank.

-   Since credit card payments will not be accepted for 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 COMMISSION AND BUREAU DOCUMENTS ADDRESSING
APPLICATION OF THE ANTI‑COLLUSION RULE

## Commission Decisions:

Implementation of Section 309(j) of the Communications Act- Competitive
Bidding, PP Docket No. 93‑253, FCC 94‑61, *Second Report and Order*, 9
FCC Rcd 2348, 2386‑2388 ¶¶ 221‑226 (1994).

Implementation of Section 309(j) of the Communications Act - Competitive
Bidding, *Fifth Report and Order,* PP Docket No. 93‑253, 9 FCC Rcd 5532,
5570‑5571 ¶¶ 91-92 (1994).

Implementation of Section 309(j) of the Communications Act --
Competitive Bidding, *Fourth Memorandum Opinion and Order*, PP Docket
No. 93‑253, 9 FCC Rcd 6858, 6866‑6869 ¶¶ 47-60 (1994).

Implementation of Section 309(j) of the Communications Act --
Competitive Bidding, *Second Memorandum Opinion and Order*, PP Docket
No. 93‑253, 9 FCC Rcd 7245, 7253‑7255 ¶¶ 48-55 (1994).

Implementation of Section 309(j) of the Communications Act --
Competitive Bidding, *Memorandum Opinion and Order*, PP Docket No.
93‑253, 9 FCC Rcd 7684, 7687‑7689 ¶¶ 8-12 (1994).

In re Commercial Realty St. Pete, *Notice of Apparent Liability for
Forfeiture,* 10 FCC Rcd 4277 (1995), In re Commercial Realty St. Pete,
*Memorandum Opinion and Order,* 11 FCC Rcd 15374 (1996).

In re Applications of Mercury PCS II, LLC, *Notice of Apparent Liability
for Forfeiture,* 12 FCC Rcd 17970 (1997); Application of Mercury PCS II,
L.P. for Facilities in the Broadband PCS D, E and F Blocks, *Memorandum
Opinion and Order*, 13 FCC Rcd. 23755 (1998).

Amendment of Part 1 of the Commission's Rules --- Competitive Bidding
Procedures, Allocation of Spectrum Below 5 GHz Transferred from Federal
Government Use, 4660‑4685 MHz, WT Docket No. 97‑82, ET Docket No. 94‑32,
*Third Report and Order and Second Further Notice of Proposed Rule
Making,* 13 FCC Rcd 374, 463‑469 ¶¶ 155-166 (1997).

In re Application of US West Communications, Inc., *Notice of Apparent
Liability for Forfeiture,*13 FCC Rcd 8286 (1998); 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); Notice of
Apparent Liability for Forfeiture of Western PCS BTA 1 Corporation,
*Memorandum Opinion and Orde*r, 14 FCC Rcd 21571, 21577-78 ¶ 20 (1999).

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 (WTB
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 (WTB1997).

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

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

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 (WTB 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 10134 (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 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).

## Enforcement Bureau Decisions:

In re Application of Star Wireless, LLC for C Block Facilities in the
710-716 and 740-746 MHz Bands, *Notice of Apparent Liability for
Forfeiture*, DA 03-2722 (released August 27, 2003) (recon. pending).

In re Application of Northeast Communications of Wisconsin, Inc. for C
Block Facilities in the 710-716 and 740-746 MHz Bands, *Notice of
Apparent Liability for Forfeiture*, DA 03-2723 (released August 27,
2003) (recon. pending).

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

*U.S. v. Omnipoint Corp.,* Proposed Final Judgments 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:**

Many of the documents listed in this attachment can be retrieved from
the following Commission web site:
<http://wireless.fcc.gov/auctions/anticollusion>.

The documents may be located by using our search engine (select the link
"search"). Documents retrieved from the web site are available in
various formats including Word, WordPerfect, Acrobat Reader, Excel, and
ASCII Text. To review a document in its entirety, including footnotes,
it is necessary to access the document in WordPerfect, MS Word, or
Acrobat Reader.

Additionally, all of the documents can be ordered in hard copy for a fee
from the Commission's duplicating contractor, Best Copy and Printing,
Inc., 445 12th Street, SW, Room CY-B402, Washington, DC 20554, (800)
378-3160 (telephone) or
[http://www.bcpiweb.com](http://www.bcpiweb.com/).

[^1]: 47 U.S.C. § 309(j)(4)(F).

[^2]: *See* "Auction of Automated Maritime Telecommunications System
    Licenses Scheduled for August 3, 2005; Comment Sought on Reserve
    Prices or Minimum Opening Bids and Other Procedures for Auction No.
    61," *Public Notice*, DA 05-194 (rel. Feb. 2, 2005) ("*Auction No.
    61 Comment Public Notice*") (70 Fed. Reg. 7270) (Feb. 11, 2005). The
    Commission's authority to establish a reserve price or minimum
    opening bid is set forth in 47 C.F.R. § 1.2104(c) and (d).

[^3]: Comments were filed on February 17, 2005 by Paging Systems, Inc.
    ("PSI") and comments were also filed on February 18, 2005 by Warren
    C. Havens ("Havens"), Telesaurus VPC LLC ("TCL"), AMTS Consortium
    LLC ("ACL"), and Telesaurus Holdings GB LLC ("THL") (collectively
    "Commenting Parties"). On February 19, 2005, the Commenting Parties
    also submitted Errata. Reply Comments were submitted on February 26,
    2005 by the Commenting Parties. On March 8, 2005, PSI filed "Motion
    to Accept Response to Reply Comments and Response to Reply
    Comments."

[^4]: For a fuller description of the Maritime Services, *see* Amendment
    of the Commission's Rules Concerning Maritime Services, *Second
    Report and Order and Second Further Notice of Proposed Rule Making*,
    12 FCC Rcd 16,949, 16,953-56 ¶¶ 4-9 (1997) ("*Public Coast* *Second
    Report and Order and Second Further Notice*").

[^5]: *See* Amendment of Parts 2, 81 and 83 of the Commission\'s Rules
    to Allocate Spectrum for an Automated Inland Waterways
    Communications System (IWCS) Along the Mississippi River and
    Connecting Waterways, *Report and Order*, GEN Docket No. 80-1, 84
    FCC 2d 875, 876 ¶ 2, on reconsideration, *Memorandum Opinion and
    Order*, GEN Docket No. 80-1, 88 FCC 2d 678 (1981), *aff\'d sub
    nom*., WJG Tel. Co. v. FCC, 675 F.2d 386 (D.C. Cir. 1982).

[^6]: *Public Coast* *Second Report and Order and Second Further
    Notice*, 12 FCC Rcd at 17,004 ¶ 111.

[^7]: *See* 47 U.S.C. § 309(j) (1996).

[^8]: *See Public Coast* *Second Report and Order and Second Further
    Notice*, 12 FCC Rcd at 17,011 ¶ 123 (citing Implementation of
    Sections 3(n) and 332 of the Communications Act \-- Regulatory
    Treatment of Mobile Services, *Second Report and Order*, 9 FCC Rcd
    1411, 1448 (1994)).

[^9]: *See* Amendment of the Commission\'s Rules Concerning Maritime
    Communications, *Public Coast* *Third Report and Order and
    Memorandum Opinion and Order*, 13 FCC Rcd 19,853, 19,881 ¶ 59 (1998)
    (*Public Coast* *Third Report and Order*) (citing *Second Report and
    Order and Second Further Notice*, 12 FCC Rcd at 17,011 (citing
    Implementation of Section 309(j) of the Communications Act \--
    Competitive Bidding, *Second Report and Order*, 9 FCC Rcd 2348,
    2356-57 (1994) (*Competitive Bidding Second Report and Order*))).

[^10]: Balanced Budget Act, Pub. L. No. 105-33, 111 Stat. 251.

[^11]: 47 U.S.C. § 309(j) (as amended by Balanced Budget Act, § 3002).

[^12]: *Public Coast* *Second Report and Order and Second Further
    Notice*, 12 FCC Rcd at 16,965 ¶ 25.

[^13]: *Public Coast* *Second Memorandum Opinion and Order and Fifth
    Report and Order*, 17 FCC Rcd 6685, at 6695-99 ¶¶ 21-29. AMTSAs are
    based on, and composed of one or more of, the U.S Department of
    Commerce\'s 172 Economic Areas (EAs). In addition, the Commission
    treats Puerto Rico, the United States Virgin Islands, and the Gulf
    of Mexico as EA-like areas. Maps of the EAs and AMTSAs are available
    for public inspection and copying at the Federal Communications
    Commission, Public Safety and Critical Infrastructure Division, 445
    12th Street, S.W., Washington, D.C. Each AMTSA also includes the
    adjacent waters under the jurisdiction of the United States. *Id*.

[^14]: *Id*.

[^15]: *Id*., 17 FCC Rcd at 6695 ¶ 21. Although the Commission adopted
    the Part 1 rules for AMTS in 2002, the Commission had tentatively
    concluded in 2000 that these rules were appropriate for AMTS.
    Amendment of the Commission's Rules Concerning Maritime
    Communications, *Fourth Report and Order and Third Further Notice of
    Proposed Rule Making*, 15 FCC Rcd 22,585, 22,620-21 ¶ 75 (2000)
    (*Public Coast Fourth Report and Order and Third Further Notice of
    Proposed Rule Making*").

[^16]: *Auction No. 61 Comment Public Notice*.

[^17]: *See* 47 C.F.R. § 80.385; *Public Coast Second Memorandum Opinion
    and Order and Fifth Report and Order*, 17 FCC Rcd at 6738, Appendix
    D.

[^18]: *Auction No. 61 Comment Public Notice; Public Coast* *Second
    Memorandum Opinion and Order and Fifth Report and Order*, 17 FCC Rcd
    6685; *Public Coast* *Fourth Report and Order and Third Further
    Notice of Proposed Rule Making*, 15 FCC Rcd 22,585.

[^19]: *See*, *e.g.*, Amendment of Part 1 of the Commission's Rules ---
    Competitive Bidding Procedures, *Second Report and Order,* 9 FCC Rcd
    2348 (1994); Amendment of Part 1 of the Commission's Rules ---
    Competitive Bidding Procedures, *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*"); Amendment of Part 1 of the Commission's
    Rules --- Competitive Bidding Procedures, *Seventh Report and
    Order*, 16 FCC Rcd 17546 (2001) ("*Part 1 Seventh Report and
    Order*") (amending the anti-collusion rule, which is codified at 47
    C.F.R. §1.2105(c)); Amendment of Part 1 of the Commission's Rules
    --- Competitive Bidding Procedures, *Eighth Report and Order*, 17
    FCC Rcd 2962 (2002) (amending Section 1.2110 of the Commission's
    rules); Amendment of Part 1 of the Commission's Rules ---
    Competitive Bidding Procedures, *Second Order on Reconsideration of
    the Third Report and Order and Order on Reconsideration of the Fifth
    Report and Order,* 18 FCC Rcd 10180 (2003) ("*Order on
    Reconsideration of the Part 1 Fifth Report and Order*"); *Second
    Order on Reconsideration of the Fifth Report and Order*, 20 FCC Rcd
    1942 (2005) (further amending Section 1.2110 to exempt the gross
    revenues of the affiliates of a rural telephone cooperative's
    officers and directors from attribution to the applicant and
    adopting other modifications to the competitive bidding rules).

[^20]: 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.

[^21]: 47 C.F.R. § 1.2105(c)(1).

[^22]: 47 C.F.R. § 1.2105(c)(7)(i).

[^23]: *See* 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).

[^24]: *See id*., 13 FCC Rcd *a*t 11978 ¶ 13.

[^25]: 47 C.F.R. § 1.2105(c)(2) & (3).

[^26]: 47 C.F.R. § 1.2105(c).

[^27]: *See* "Wireless Telecommunications Bureau Clarifies Spectrum
    Auction Anti-Collusion Rules," *Public Notice*, 11 FCC Rcd 9645
    (1995).

[^28]: 47 C.F.R. § 1.65.

[^29]: 47 C.F.R. § 1.2105(c)(6); *see also* *Part 1* *Seventh Report and
    Order*, 16 FCC Rcd at 17555 ¶ 17.

[^30]: 47 C.F.R. § 1.2107(d).

[^31]: *See* 47 C.F.R. § 1.2109(d).

[^32]: *Id.*

[^33]: http://wireless.fcc.gov/auctions/default.htm?job=anti_collusion

[^34]: As proposed in the *Public Coast* *Third Further Notice*,
    expanding an incumbent system's contour over water only
    (disregarding uninhabited islands) shall not be deemed to extend the
    system's service area. Such an expansion shall not reduce the area
    that can be served by the geographic area licensee because the
    geographic licensee would not be able to service the additional
    water area without causing interference to areas served by the
    incumbent.

[^35]: The SPASUR radar system is located in the southern United States
    and consists of three high-power transmitter locations and six
    receiver locations. Amendment of the Commission\'s Rules Concerning
    Low Power Radio and Automated Maritime Telecommunications System
    Operations in the 216-217 MHz Band, *Report and Order*, 11 FCC Rcd
    18,517, 18,519 (1996) (*LPRS Report and Order*).

[^36]: *See* 47 C.F.R. § 80.215(h)(4), 80.385(a)(2).

[^37]: *See* 47 C.F.R. § 80.475.

[^38]: *See* 47 C.F.R. § 80.475(a)(2).

[^39]: Prospective bidders should see the Part 80 Rules pertinent to
    AMTS, including, but not limited to, Sections 80.215, 80.385, and
    80.475-80.481, and the Commission Orders in PR Docket No. 92-257,
    *e.g.*, *Public Coast* *Fourth Report and Order and Third Further
    Notice of Proposed Rule Making; Public Coast* *Second Memorandum
    Opinion and Order and Fifth Report and Order*; and *Third Memorandum
    Opinion and Order*.

[^40]: *Amendment of Parts 2 and 80 of the Commission\'s Rules
    Applicable to Automated Maritime Telecommunications Systems (AMTS),*
    First Report and Order, RM-5712, 6 FCC Rcd 437, 437 (1991) ("*AMTS
    First Report and Order*").

[^41]: 47 C.F.R. § 80.475(a).

[^42]: The Commission conducted a study to analyze the interference
    potential from AMTS systems to TV reception. *See* R. Eckert,
    *Guidance for Evaluating the Potential for Interference to TV from
    Stations of Inland Waterways Communications Systems*, FCC/OST TM82-5
    (July 1982). This report is a model for applicants to use in
    performing any required engineering analysis of potential
    interference, including determination of interference contours.
    *AMTS First Report and Order*, 6 FCC Rcd at 437.

[^43]: 47 C.F.R. § 80.475(a).

[^44]: 47 C.F.R. § 80.215(h)(4).

[^45]: "Fill-in" stations are stations that do not expand the
    interference contour of the system as a whole. *See* Implementation
    of Sections 3(n) and 332 of the Communications Act, *Further Notice
    of Proposed Rule Making*, 9 FCC Rcd 2863, 2873-74 (1994).

[^46]: 47 C.F.R. § 80.475(b).

[^47]: 47 C.F.R. § 80.215(h).

[^48]: 47 C.F.R. § 80.385(a)(2).

[^49]: *See* Call Sign WPNV955 (available in the Commission's Universal
    Licensing System at http://wireless.fcc.gov/uls/).

[^50]: 47 C.F.R. § 80.385(a)(3).

[^51]: *Amendment of the Commission\'s Rules to Establish Part 27, the
    Wireless Communications Service (\"WCS\"),* Report and Order, GN
    Docket No. 96-228, 12 FCC Rcd. 10,785, 10,814, ¶ 59.

[^52]: *See*, *e.g.*, RM-10743, Petitions for Rule Making to amend the
    Commission's Rules to provide additional flexibility for AMTS and
    VHF Public Coast Station licensees.

[^53]: *See, e.g., Havens v*. FCC, No. 02-1315 (D.C. Cir. filed Oct. 16,
    2002) (requesting review of the Commission's denial of an
    application for review in the matter of Applications of Warren C.
    Havens For Automated Maritime Telecommunications System Stations at
    Chaffee, Aspen, Colorado Springs, Copper Mountain, and Leadville,
    Colorado, *Memorandum Opinion and Order*, 17 FCC Rcd 17,527 (2002));
    *Havens v.* FCC, No. 02-1316 (D.C. Cir. filed Oct. 16, 2002)
    (requesting review of the Commission's denial of an application for
    review in the matter of Applications of Warren C. Havens For
    Authorization to Operate Automated Maritime Telecommunications
    System Stations at Various Locations in Texas, *Memorandum Opinion
    and Order*, 17 FCC Rcd 17,588 (2002)); *Havens v*. FCC, No. 02-1359
    (D.C. Cir. filed Nov. 25, 2002) (requesting review of the
    Commission's denial of the application for review in the matter of
    Regionet Wireless License, LLC Granted Applications to Provide
    Automated Maritime Telecommunications System Stations at Various
    Locations in the United States, *Memorandum Opinion and Order*, 17
    FCC Rcd 21,263 (2002)); *Havens v*. FCC, No. 02-1360 (D.C. Cir.
    filed Nov. 25, 2002) (requesting review of the denial of the
    application for review in the matter of Regionet Wireless License,
    LLC Application for Renewal of License for Station WRV374 to Provide
    Automated Maritime Telecommunications System Service to the Atlantic
    Coast, *Memorandum Opinion and Order*, 17 FCC Rcd 21,269 (2002));
    *Havens v*. FCC, No. 03-1447 (D.C. Cir. filed December 18, 2003)
    (requesting review of the Commission's denial of a petition for
    reconsideration in Amendment of the Commission's Rules Concerning
    Maritime Communications, *Third Memorandum Opinion and Order*, PR
    Docket No. 92-257, 18 FCC Rcd 24,391 (2003)), motion to dismiss
    granted April 22, 2004. This list is not intended to be exhaustive
    of potentially relevant judicial proceedings.

[^54]: 47 C.F.R. Ch. 1, Subpart I.

[^55]: 47 C.F.R. §§ 1.1305-1.1319.

[^56]: *Auction No. 61 Comment Public Notice*, DA 05-194.

[^57]: Commenting Parties at 3 (notes omitted).

[^58]: *Id*., at 4-6; *see also* Motions for Stay of Auction No. 57 and
    Requests for Dismissal or Disqualification, Petition for
    Reconsideration of PSI (filed October 14, 2004).

[^59]: Commenting Parties at 6-8.

[^60]: *See* Motions for Stay of Auction No. 57 and Requests for
    Dismissal or Disqualification, *Order*, 19 FCC Rcd 20482 (2004).

[^61]: PSI Comments at 7.

[^62]: PSI Comments at 4, Exhibit 1.

[^63]: 47 CFR § 1.937(d).

[^64]: PSI Comments at 6.

[^65]: Reply Comments of Commenting Parties at 2-3.

[^66]: Reply Comments of Commenting Parties at 4-6.

[^67]: *See* note 3, above.

[^68]: PSI Reply Comments at 2.

[^69]: PSI Reply Comments at 3-6.

[^70]: *See* Petition for Reconsideration and Motion for Stay of Paging
    Systems, Inc. *Order*, DA 05-1099, (rel. April 21, 2005).

[^71]: *Public Coast* *Fourth Report and Order and Third Further Notice
    of Proposed Rule Making*, 15 FCC Rcd 22,585.

[^72]: *Public Coast* *Second Memorandum Opinion and Order and Fifth
    Report and Order*, 17 FCC Rcd 6685; *see* *Public Coast* *Third
    Memorandum Opinion and Order*, 13 FCC Rcd 24,391.

[^73]: 47 U.S.C. § 309(j)(3)(E)(ii).

[^74]: *Public Coast* *Second Memorandum Opinion and Order and Fifth
    Report and Order*, 17 FCC Rcd 6685, 6718 ¶ 79.

[^75]: *See* Request of Southern Communications Services, Inc. and the
    United Telecom Council for Postponement of Auction No. 55, Order, 18
    FCC Rcd 25,880 (2003).

[^76]: *See* 47 U.S.C. § 309(j)(3)(A)-(D). *See also* 47 U.S.C. §
    309(j)(15).

[^77]: *See* "FCC Announces New Integrated Spectrum Auction System,"
    *Public Notice*, DA 05-454 (rel. Feb. 18, 2005).

[^78]: *See* 47 C.F.R. § 1.2105.

[^79]: *See id*.

[^80]: *Public Coast* *Third Report and Order and Memorandum Opinion and
    Order*, 13 FCC Rcd 19,884 ¶ 64; *see* 47 C.F.R. §§ 80.1251,
    80.1252(a).

[^81]: 47 C.F.R. § 1.2110(f).

[^82]: 47 C.F.R. § 1.2110(f)(2)(i).

[^83]: 47 C.F.R. § 1.2110(f)(2)(ii).

[^84]: 47 C.F.R. § 1.2105.

[^85]: 47 C.F.R. § 1.2105(b)(2).

[^86]: 47 C.F.R*.* § 1.2105(a)(2)(ix).

[^87]: 47 C.F.R. §§ 1.2105(a)(2)(viii), (c)(1).

[^88]: *See* above Section I.B.2.

[^89]: 47 C.F.R. § 1.2105(c)(4)(i), (ii).

[^90]: 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.

[^91]: *Part 1 Fifth Report and Order*, 15 FCC Rcd at 15323-27, ¶¶
    59-67.

[^92]: *Order on Reconsideration of the Part 1 Fifth Report and Order,*
    18 FCC Rcd at 10186-194 ¶¶ 10-18; *Second Order on Reconsideration
    of the Fifth Report and Order*, 20 FCC Rcd 1942 (2005).

[^93]: *Order on Reconsideration of the Part 1 Fifth Report and Order,*
    18 FCC Rcd at 10185-186 ¶¶ 8-9. However, to the extent that the
    officers and directors of the applicant are controlling interest
    holders of other entities, the gross revenues of those entities will
    be attributed to the applicant.

[^94]: For further guidance on the issue of *de facto* control, see the
    Commission's affiliation rule at 47 C.F.R. §1.2110(b)(5); *see also
    Intermountain Microwave*, 12 FCC 2d. 559, 560 (1963) and Application
    of Baker Creek Communications, L.P., for Authority to Construct and
    Operate Local Multipoint Distribution Services in Multiple Basic
    Trading Areas, *Memorandum Opinion and Order,* 13 FCC Rcd 18709
    (1998).

[^95]: 47 C.F.R. § 1.2105(a)(2)(xi); *Order on Reconsideration of the
    Part 1 Third Report and Order*, 15 FCC Rcd at 15317, n. 142.

[^96]: 47 C.F.R. § 1.2105(a)(2)(x); Amendment of Part 1 of the
    Commission's Rule --- Competitive Bidding Procedures, *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, 15317 ¶ 42 ("*Order on Reconsideration of the Part 1
    Third Report and Order*").

[^97]: 47 C.F.R. § 1.2106(a).

[^98]: 47 C.F.R. § 1.2105(b)(1); 47 C.F.R. § 1.2105(a)(2)(x); *see Part
    1 Fifth Report and Order*, 15 FCC Rcd at 15317 n.142 ("If any one of
    an applicant's controlling interests or their affiliates...is in
    default on any Commission licenses or is delinquent on any non-tax
    debt owed to any Federal agency at the time the applicant files
    it\[s\] Form 175, the applicant will not be able to make the
    certification required by Section 1.2105(a)(2)(x)...and will not be
    eligible to participate in Commission auctions.")

[^99]: *See* "WTB Reminds Prospective Broadband PCS Spectrum Auction
    Applicants of Default and Delinquency Disclosure Requirements,"
    *Public Notice*, 19 FCC Rcd 21920 (WTB 2004) (providing information
    on compliance with the default and delinquency disclosure
    requirements for auction applicants in Auction No. 58); Letter to
    Cheryl A. Tritt, Esq. from Margaret Wiener, 19 FCC Rcd 22907
    (WTB-ASAD 2004) (clarifying the term "debt" or "non-tax debt" as
    referenced in Sections 1.2105(a) and 1.2106(a) of the Commission's
    rules).

[^100]: *See* "WTB Reminds Prospective Broadband PCS Spectrum Auction
    Applicants of Default and Delinquency Disclosure Requirements,"
    *Public Notice*, 19 FCC Rcd 21920 (WTB 2004) (addressing
    relationship between Commission's Red Light Display System and Form
    175 default and delinquency disclosure requirements for auction
    applicants).

[^101]: 47 C.F.R. § 1.2110(c)(2).

[^102]: *See* 47 C.F.R. § 1.2105.

[^103]: *See* 47 C.F.R. § 1.2105(b)(2),

[^104]: 47 C.F.R. § 1.2105(a).

[^105]: 47 C.F.R. § 1.2105; *see also* Two Way Radio of Carolina, Inc.,
    *Memorandum Opinion and Order*, 14 FCC Rcd 12035 (1999).

[^106]: *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).

[^107]: Amendment of Part 1 of the Commission's Rules --- Competitive
    Bidding Proceeding, *Order, Memorandum Opinion and Order and Notice
    of Proposed Rule Making*, 12 FCC Rcd 5686, 5697-98 ¶ 16 (1997)
    ("*Part 1 Order*").

[^108]: *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).

[^109]: 47 C.F.R. § 1.2110(b).

[^110]: *Auction No. 61 Comment Public Notice* at 3.

[^111]: Provisionally winning bids are bids that would become final
    winning bids if the auction were to close in that given round.
    (*See* below Section IV.B.4).

[^112]: All population figures are from the 2000 U.S. Census, U.S.
    Department of Commerce, Bureau of the Census. *See* Census 2000
    Summary File 1 (SF1) and July 3, 2001, News Releases covering the
    U.S. Virgin Islands, Guam, the Northern Mariana Islands, and
    American Samoa.

[^113]: Results are rounded using our standard rounding procedure:
    results above \$10,000 are rounded to the nearest \$1,000; results
    below \$10,000 but above \$1,000 are rounded to the nearest \$100;
    and results below \$1,000 are rounded to the nearest \$10.

[^114]: 47 C.F.R. § 1.2106(a).

[^115]: 47 C.F.R. §1.1910.

[^116]: *Auction No. 61 Comment Public Notice* at 3.

[^117]: *Id.* at 3.

[^118]: *Id.* at 4.

[^119]: *Id*. at 4.

[^120]: When monitoring activity for determining when to change stages,
    we may consider the percentage of bidding units of the licenses
    receiving new provisionally winning bids, excluding any FCC-held
    licenses.

[^121]: *Auction No. 61 Comment Public Notice* at 4-5.

[^122]: *Id*. at 9.

[^123]: *Id*. at 9.

[^124]: *Id.* at 5.

[^125]: 47 U.S.C. § 309(j)(4)(F).

[^126]: *See* Amendment of Part 1 of the Commission's Rules ---
    Competitive Bidding Procedures, WT Docket No. 97-82, *Third Report
    and Order and Second Further Notice of Proposed Rule Making,* 13 FCC
    Rcd 375, 455-456 ¶ 141 (1997)*(*"*Part 1 Third Report and
    Order*"*).*

[^127]: *Id*.

[^128]: *Id*.

[^129]: *Auction No. 61 Comment Public Notice* at 6-7.

[^130]: All population figures are from the 2000 U.S. Census, U.S.
    Department of Commerce, Bureau of the Census. *See* Census 2000
    Summary File 1 (SF1) and July 3, 2001, News Releases covering the
    U.S. Virgin Islands, Guam, the Northern Mariana Islands, and
    American Samoa.

[^131]: *Auction No. 61 Comment Public Notice* at 7.

[^132]: Results are rounded using our standard rounding procedure:
    results above \$10,000 are rounded to the nearest \$1,000; results
    below \$10,000 but above \$1,000 are rounded to the nearest \$100;
    and results below \$1,000 are rounded to the nearest \$10.

[^133]: *Id*.

[^134]: *Auction No. 61 Comment Public Notice* at 7.

[^135]: Bidders must have sufficient eligibility to place a bid on the
    particular license. *See* *supra* Section III.E.3 "Amount of Upfront
    Payment."

[^136]: *See* *infra* Section IV.B.6 "Bid Removal and Bid Withdrawal."

[^137]: *See supra* Section IV.A.2.

[^138]: *Auction No. 61 Comment Public Notice* at 8.

[^139]: A description of the L'Ecuyer algorithms can be found in
    L'Ecuyer, P. (1999) "Good Parameters and Implementations for
    Combined Multiple Recursive Random Number Generators" *Operations
    Research* 47 (1), pp.159-164. A longer version of this paper and the
    C code for the algorithms can be found on the author's website at
    <http://www.iro.umontreal.ca/~lecuyer/papers.html>.

[^140]: Bidders must have sufficient eligibility to place a bid on the
    particular license. *See* *supra* Section III.E.3 "Amount of Upfront
    Payment."

[^141]: *Auction No. 61 Comment Public Notice* at 8.

[^142]: The Bureau retains the discretion to lower the minimum
    acceptable bid on such licenses in the next round or in later
    rounds.

[^143]: 47 C.F.R. §§ 1.2104(g), 1.2109.

[^144]: The payment will equal the lower of: (1) the difference between
    the net withdrawn bid and the subsequent net winning bid; or (2) the
    difference between the gross withdrawn bid and the subsequent gross
    winning bid. *See* 47 C.F.R. § 1.2104(g)(1).

[^145]: See following paragraph for discussion of interim bid withdrawal
    payments.

[^146]: 47 C.F.R. § 1.2104(g)(1); *see* *Part 1 Fifth Report and Order*,
    15 FCC Rcd at 15302 ¶ 15.

[^147]: 47 C.F.R. § 1.2104(g).

[^148]: *See also* 47 C.F.R. § 1.2110(f)(3)(ii) & (vii).

[^149]: *See generally*, Extending Wireless Telecommunications Services
    to Tribal Lands, Third Report and Order, 19 FCC Rcd 17,652 (2004);
    Second Report and Order and Second Further Notice of Proposed
    Rulemaking, 18 FCC Rcd 4775, 4778-79 ¶ 10 (2003); Report and Order
    and Further Notice of Proposed Rule Making, 15 FCC Rcd 11,794
    (2000). See also "Wireless Telecommunications Bureau Announces
    Enhancements to the Universal Licensing System to Help Winning
    Bidders of FCC Auctions File for Tribal Land Bidding Credits,"
    Public Notice, 16 FCC Rcd 5355 (2001); "Wireless Telecommunications
    Bureau Releases Additional Information Regarding the Procedures for
    Obtaining a Tribal Lands Bidding Credit and List of Tribal Lands,"
    Public Notice, 15 FCC Rcd 24,838 (2000); "Wireless
    Telecommunications Bureau Announces Availability of Bidding Credits
    For Providing Wireless Services To Qualifying Tribal Lands: Tribal
    Land Bidding Credits To Be Available Beginning In Auction No. 36
    (800 MHz Specialized Mobile Radio (SMR) Lower 80 Channels) And In
    Future Auctions," Public Notice, 15 FCC Rcd 18351 (2000).

[^150]: *See* 47 C.F.R. § 1.2109(b) and (c).

[^151]: 47 C.F.R. § 1.2109(d).

[^152]: *See generally*, 47 C.F.R. § 1.2105.

[^153]: *See generally*, 47 C.F.R. § 1.2105(a)(2)(ii)(A), (iii), and
    (iv).

[^154]: *See generally*, 47 C.F.R. § 1.2105(a)(2)(i).

[^155]: *See generally*, 47 C.F.R. § 1.2105(a)(2) (viii).

[^156]: *See generally*, 47 C.F.R. §§ 1.2105(a)(2)(ii)(B), 1.2110 and
    1.2112.

[^157]: *See* 47 C.F.R. § 1.2112.

[^158]: 47 C.F.R. § 1.2112(a).

[^159]: S*ee* 47 C.F.R. § 1.2112(a)(6).

[^160]: *Id*.

[^161]: S*ee* 47 C.F.R. § 1.2112(b)(1)(i).

[^162]: 47 C.F.R. § 1.2110(n).

[^163]: *See* 47 C.F.R. § 1.2112(b)(1)(iii).

[^164]: *See* 47 C.F.R. § 1.2110(c)(5).

[^165]: *See* 47 C.F.R. §1.2112(b)(1)(iii).

[^166]: *Compare* 47 C.F.R. 1.2110(c)(2) (definition of controlling
    interests) and (c)(5)(definition of affiliate) *with* 47 C.F.R.
    1.2112(a) (describing disclosable interest holders).

[^167]: *See* 47 C.F.R. § 1.2112(b)(1)(iii).

[^168]: *Id*.

[^169]: *See generally*, 47 C.F.R. § 1.2105(a)(2) (iv)-(vii) and
    (ix)-(xi).

[^170]: *See* 47 C.F.R. § 1.2105(a)(2)(xi).

[^171]: *See* 47 C.F.R. § 1.2106(a).

[^172]: *See* 47 C.F.R. § 1.2105.