# Presentation: 023903

## Form 175 and Overview of Radio Service and Auction Rules

- Multichannel Video Distribution and Data Service Auction
- (Auction No. 63)

- Lisa Stover, Auctions Marketing Specialist, ASAD
- Brian Carter, Special Counsel, ASAD

**Notes:**
For those of you that participated in the previous MVDDS auction you will find some changes have been made to both the Form 175 and the bidding system.  We are now using a system know as the Integrated Spectrum Auction System (ISAS for short).   For the most part the requirements for the 175 data being collected have not changed only the method for collecting the data.
Our goal this morning is to introduce you to the Auction System and give you a few tips for completing Form 175. 
Form 175 screen shots have been included in your packages this morning and have also been made available on the auction’s web site.  Please note that these are examples only.  The screens and sequences may vary slightly in the actual system which will open at noon today.
Instructions and URLs for accessing the Auction System have been provided in Attachment C of the Procedures Public Notice DA05-2188 released August 10, 2005.

## Disclaimer

- Nothing herein is intended to supersede any provision of the Commission's rules or public notices.  These slides should not be used as a substitute for a prospective applicant's review of the Commission's relevant orders, rules, and public notices.  Prospective applicants must familiarize themselves thoroughly and remain current with the Commission's rules relating to MVDDS, rules relating to application and auction procedures, and the procedures, terms and conditions contained in the Auction No. 63 public notices.

## Questions?

- If you are viewing this presentation live over the web, please feel free to email your questions to...

- auction63@fcc.gov

**Notes:**
Please hold your questions until after the presentation.  For those of you viewing this presentation live over the web, please send your questions by email to auction63@fcc.gov.  We will be monitoring that web site and respond to those questions at the end of the presentation also.

## Slide 4

**Notes:**
[CLICK]  The upper half of the Log ON page allows users to access the auction application and bidding system using their FCC Registration Number (FRN) and password.  An FRN is a 10-digit number that is assigned to a business or individual that has registered with the FCC.

An FRN is used to uniquely identify an individual or business in all transactions with the FCC.  If you do not have an FRN you must register through the FCC’s Commission Registration System (CORES) before filing your application.  [CLICK]  A CORES link is provided on the right hand side of the page.

[CLICK]  The lower half of the page provides links for the public to search auction applications and ULS licenses.  It’s important to note that 175s filed for this auction will not be available for public viewing until after the Status Public Notice is released.  There’s also a drop down box where users can select a specific auction and obtain additional information and there’s a link to the Auctions Home page.  An FRN and password are not required for searches within the Public Access area.

## Slide 5

**Notes:**
Entities wishing to participate in Auction No. 63 must electronically file and submit an FCC Form 175 (also known as a short-form) before the 6:00 p.m. ET deadline on October 7, 2005.  This must be done via the Internet using the FCC Auction System.  The initial filing window will open at NOON today and will remain open on a 24 hour basis until 6:00 p.m. October 7, 2005.  Applications will not be accepted after that date.
The applicant must enter their FRN and password in order to access the FCC Auction System.
After entering your FRN and password, as we have done here, [click] the LOG IN button.

## Slide 6

**Notes:**
When successfully logged in, the MY AUCTION page is displayed.
[CLICK]  The upper right hand section of the page still provides you with access to links for searching auction applications and information, as well as ULS licenses.
[CLICK] The lower section of the page displays several links related to Post-Auction activities, such as the Form 159, ULS, and the Wire Transfer for Refund form.
[CLICK] If an auction is in progress and if the FRN used to log on is also registered to a qualified bidder in that auction, the middle section of the page will provide access to the bidding system.  Debbie will provide an overview of the Bidding System this afternoon.
[CLICK] The top section of the page again provides the link for the wire transfer for refund form and the ENTER AUCTION APPLICATION MANAGER link [CLICK] which is used to create and review your auction application.

## Slide 7

**Notes:**
[CLICK]  On the lower section of the Auction Application Manager page a drop-down list of auctions is provided.  When an auction is selected it will link you to the website for that auction.
[CLICK] The middle section of the page displays the auction number for any application that has already been entered or submitted for the FRN used to log in and allows you to review or modify it.
[CLICK] The upper section of the page will display a list of available auctions along with the filing phase and closing date for each.  If you log on after NOON today there will be a link for Auction 63 MVDDS. [Click] on the Auction 63 link to create an application.  

## Slide 8

**Notes:**
When you enter the application you will be presented with a series of screens to enter information.  Based on your response to certain questions the system will determine what subsequent screens to display.  In addition, as you enter information the system will check for errors and may display two types of messages prompting you that certain information is missing or incorrect.  One type of message is a “warning” message where the system will let you continue.  The other type is an “Error” message which will prevent you from continuing until the error is corrected.  The system will also check for errors when the user attempts to submit an application.
[CLICK]  Each screen of the application will contain a status bar in the upper right section of the screen that reminds you of the phase and closing date and the current filing status of your application.
[CLICK] Below the status bar are LINKS to Summary, Attachments, Print Preview, Help and Quit.  We will be discussing these links later.
[CLICK] The STEPS area reminds you where you are in the form and what other steps follow.
[CLICK] COMMON QUESTIONS is a reference tool to assist you in completing the application.  The questions on each page relate to items on that page. 

## A legal Classification 

- A legal Classification
- must be selected
- in order to proceed

**Notes:**
On this first page you must provide your legal classification, such as Individual, Corporation, General Partnership, etc.  If your legal classification is not listed you can select “Other”, but you must provide a description.
If you are a rural telephone company, minority-and/or women-owned business, you are requested to indicate that so that the FCC can monitor its performance in promoting economic opportunities for these designated entities.
Part 1 rules require applicants to fully disclose information on the real party or parties-in-interest and ownership structure of the applicant.  ISAS will prompt you for required information based on your response to certain questions and therefore subsequent screens vary depending on responses.  Legal Classification is one of those questions.  For our presentation today, the user has selected CORPORATION as their legal classification.  Let’s [click] CONTINUE to proceed to the next screen.

## Slide 10

**Notes:**
On this page you will enter the Applicant Name.  This will be used as your bidder name throughout the auction process.  You will also be required to enter either the Jurisdiction of Formation or Citizenship based on the Legal Classification you selected.
You must also provide a mailing address for the applicant , suitable for mail or private parcel delivery.  This cannot be a Post Office box number.
After entering your information [click] CONTINUE to proceed.

## Slide 11

**Notes:**
On the Responsible Party page, you must provide information pertaining to the individual responsible for your organization.  The information required depends on the legal classification of the applicant.  For example, we selected CORPORATION as our legal classification therefore, we are prompted to provide the name of the individual responsible, their title, phone number, and email address.  However, if for example, your legal classification is Individual or General Partnership, the responsible party information is not required, and this screen will not display. [CLICK] [CLICK]

## Copy Address If same 

- Copy Address If same
- as Applicant

**Notes:**
Throughout the auction process the FCC will direct any communication and registration information to the applicant’s contact person.  In other words the contact person is who we’ll call, where we’ll mail information (like Public Notices and SecurID cards), and where we’ll fax your Bid Round Summary if an authorized bidder places a bid thru telephonic.  So, in addition to the contact name, phone and fax number, you must provide a street address for the contact person where mail and private parcels can be delivered; no PO BOX addresses may be used.
If the contact persons address is the same as the applicant’s you can [click] the COPY APPLICANT ADDRESS button to automatically fill in the address.

## Slide 13

**Notes:**
After you have entered the information for the Contact [click] CONTINUE to proceed.

## Slide 14

**Notes:**
This page allows you to provide the names of up to three authorized bidders.  The individuals whose names are entered here will be authorized to place bids for the applicant in the auction.  Authorized bidders can be changed at any time during the auction process.
On the lower half of the page you must also note whether the authorized bidders will be placing bids electronically or telephonically.  Bidders are free to use either of these methods at any time during the auction but you should indicate what the primary method will be.
[Clicking] CONTINUE proceeds to the License Selection page.

## Slide 15

**Notes:**
The License Selection page will provide a list of the __22____ licenses available in Auction 63.  This is where you will select the licenses on which you may want to bid.
There are two boxes on the page.  The left box is titled Eligible Licenses and the right box is titled Selected Licenses.  You may exchange licenses between the two boxes at any time during the Initial Filing Window.  

## Slide 16

**Notes:**
This is done by clicking on a single license, or using the control key to select multiple licenses, or you can [click] on the SELECT ALL BUTTON to select the entire list of licenses.

When the licenses you’re interested in are highlighted [click] the ADD button to select those licenses.

## Slide 17

**Notes:**
After clicking the ADD button the licenses that were highlighted now appear in the Selected Licenses box on the right.  You can de-select licenses in the same manner by clicking on the REMOVE button.  
You must choose at least one license, otherwise the system will not allow you to SUBMIT and you will not be able to participate in the auction.
When all the licenses you are interested in appear in the Selected Licenses box [click] CONTINUE.

## Slide 18

**Notes:**
The View/Edit License Selection page allows you to view all of the licenses you selected. 
[CLICK]  The “Change Selection” icon allows you to go back to the License Selection page and modify your selected licenses during the initial filing window.  
Be advised that there is no opportunity to change the licenses selected once the initial filing deadline passes.  It is very important that you confirm the licenses that you have selected because bidders will only be able to bid on licenses that have been applied for on your application.
When you have confirmed your selections [click] CONTINUE to proceed.

## Slide 19

**Notes:**
For Auction No. 63 bidding credits are offered to entrepreneurs, small and very small businesses as defined in 47 C.F.R. section 1.2110(f).  A bidding credit represents the amount by which these entity’s winning bids are discounted.

If you are not eligible or you are not seeking a bidding credit you must select the appropriate statement.
If you wish to seek a bidding credit you must select the appropriate revenue range based on your attributed average gross revenues and those of your affiliates, controlling interests, and affiliates of your controlling interests.  $3 M or less: 35%; $3M - $15M: 25%; $15M - $40M: 15%
This is your sole opportunity to apply for a bidding credit.  There is no opportunity to apply or modify once the initial filing deadline passes.  Those seeking a bidding credit will also have to provide financial information in subsequent screens. [CLICK][CLICK]

**Notes:**
On this page you must indicate whether you have entered into any partnerships, joint ventures, consortia or other agreements, arrangements or understandings which relate in any way to the permits being auctioned, including any relating to the post auction market structure.

AT THIS TIME BRIAN CARTER, SPECIAL COUNSEL FOR THE AUCTION AND SPECTRUM ACCESS DIVISION WILL DISCUSS THE ANTI-COLLUSION RULE.  (Brian may not be using the notes below)
Anti-Collusion rule:  Unless properly disclosed, communications concerning bids, bidding strategies, or settlement agreements (inlcuding post-auction market structures) generally are prohibited among applicants that bid for licenses in any of the same geographic areas (Section 1.2105( c)). 
The Anti-Collusion rule has been amended (see the Part 1 Seventh Report and Order, FCC 01-270, rel. September 27, 2001).
The rule prohibits an auction applicant from discussing a competing applicant’s bids or bidding strategies even if the first applicant does not discuss its own bids or bidding strategies.
The rule requires auction applicant that make or receive a prohibited communication of bids or bidding strategies to report the communication immediately to the Commission in writing.
Prohibition period is between the short-form deadline (AUGUST 12, 2005) and the down payment deadline (Section 1.2105(a)(2)(ix)).  Any applicant that submitted an auction application to participate in Auction No. 62, regardless of whether an upfront payment is submitted or a bid is made, remains subject to the Commission’s anti-collusion rule until the post-auction down payment deadline.
For the anti-collusion rule, “applicant” includes controlling interests, ownership interests, and officers and directors.

## Agreements with Other Parties and Joint Bidding Arrangements

-  Anti-Collusion Rule:  Unless properly disclosed,
-   communications concerning bids, bidding strategies, or
-   settlement agreements (including post-auction market
-   structures) generally are prohibited among applicants that bid
-   for licenses in any of the same geographic areas (Section
-   1.2105(c)).
-  Prohibition period is between the short-form deadline –
-   October 7, 2005 at 6:00 p.m. - and the down payment
-   deadline (Section 1.2105(a)(2)(ix)).

## Agreements with Other Parties and Joint Bidding Arrangements Continued

-    perjury that they have not entered and will not enter into any
-    explicit or implicit agreements, arrangements or
-    understandings of any kind with any parties other than those
-    they have identified regarding the amount of their bids,
-    bidding strategies or particular licenses on which they will or
-    will not bid.
-  The rule prohibits an auction applicant from discussing a
-    competing applicant’s bids or bidding strategies even if the
-    first applicant does not discuss its own bids or bidding
-    strategies.

## Agreements with Other Parties and Joint Bidding Arrangements Continued

- For the anti-collusion rule, “applicant” includes controlling interests, ownership interests, and officers and directors.
-  Applicants must identify all parties with whom they have entered into agreements of any kind relating to the licenses being auctioned, including post-auction market structure (Section 1.2105(a)(2)(viii)).
- The rule requires auction applicants that make or receive a prohibited communication of bids or bidding strategies to report the communication immediately to the Commission in writing.

**Notes:**
BRIAN TURNS IT BACK OVER TO LISA after this slide:

## Slide 24

**Notes:**
If “NO” is selected you will be directed to the “Ownership” section of the application.  If “YES” is selected (as we have done here) the system will direct you to the “Create New Agreement” page to enter information on agreements and parties to those agreements. [CLICK] [CLICK]

## Slide 25

**Notes:**
The Agreements page allows you to specify an agreement and parties to that agreement.  If you specify an agreement, you must provide at least one party to that agreement.  You must indicate whether the party is an Entity or an Individual and then provide the respective name.  
Although not required, you should also include the FRN of that party.  If the FRN is un-known, [CLICK] a link is provided to search CORES. 

## System allows 

- System allows
- for more than
- 3 parties
- to be
- entered

**Notes:**
This is an example of what you would see if you clicked on that link.

The Agreements page allows you to specify up to three parties on a page. 
If you need to specify more than three parties to an agreement, you may do so by [clicking] the “ADD MORE PARTIES” button.  If there are no more parties then [click] the “FINISH THIS AGREEMENT” button. 

## Slide 27

**Notes:**
The View/Edit Agreements page provides a summary of the agreements you’ve entered and parties to those agreements.  Several FUNCTIONS are available for you to add, edit, and remove information. 
[CLICK] The “Edit” icon or Agreements? Link returns you to the initial question regarding whether or not you had any agreements.
[Clicking] on the link of the agreement name or party name allows you to modify the information for that particular agreement or party.
You can delete an entire agreement by [clicking] on the “Delete This Agreement” link or you can delete a party listed under the agreement by [clicking] the “Remove” icon.
[Clicking] on the “Add Party to This Agreement” link allows you to add additional parties to an agreement.    
If you have additional agreements [CLICKING] the “CREATE NEW AGREEMENT” button allows you to create a new agreement and add parties to that agreement.

The subsequent screens that display after selecting CONTINUE   [CLICK]  from this page may vary depending on responses to previous items and whether or not you already have a current accepted 602 Ownership record on file in the Universal Licensing System.

## Slide 28

**Notes:**
In the past applicants needed to provide ownership information during their short-form filing, and if they won a license, they also needed to provide it when they filed their long-form application.  Under ISAS if you already have a current accepted 602 Ownership record on file the auction system will pre-fill with ownership information from your current Form 602 filing and you would see a screen that would look similar to this.
[Clicking] on the links provide a Detail Information page that allows you to review and confirm that the pre-filled information is complete and accurate.  
Let’s take a look at the Detail page by [clicking] on one of our disclosable interest holders-- DIH Company.

## Slide 29

**Notes:**
You can update or modify any information by clicking the appropriate “Edit” icons.
You can return back to the View/Edit Ownership Summary page to view additional links by selecting  [CLICK]   the “VIEW/EDIT OWNERSHIP INFORMATION” button.  

## Slide 30

**Notes:**
After the Status Public Notice is released a current accepted 602 OWNERSHIP record will be created in the ULS database based on your submitted auction application.  You should also be aware that once you start a Form 175 for an auction any changes in ownership information should be made in the FCC Auction system until the close of that auction.  If you would make changes in your 602 ownership record after you have started your 175 they will not be reflected in your 175. 
If you already have a current accepted 602 on file and you are seeking a bidding credit (as we have in our demo application), there will also be [CLICK] links or prompts to add revenue information.  If you are not seeking a bidding credit you will not see the links and you will not be required to provide revenue information.
If you do not already have a 602 on file and were seeking a bidding credit instead of this Ownership page you would have automatically been prompted with a Revenue page for the applicant.

## Slide 31

**Notes:**
If you are seeking a bidding credit, you must disclose individual gross revenues for the applicant and each Disclosable Interest Holder (DIH) and/or Affiliate. 
This sample screen shot is for the DIH but screens for providing revenue for the Applicant and Affiliates are similar.
You must disclose the gross revenues for the three most recent years.  The periods entered must be exactly one year apart.
If during the reporting period the entity was not in existence for a full year, select the check box to indicate that.  If the entity was in existence but the revenues were a negative value or 0, then enter a 0 value in the Gross Revenues field.
It’s possible that an applicant may have one or more DIHs who are not affiliates under the rules of the Commission and therefore are not required to provide revenue data.  Screens for adding revenue for DIHs have a check box at the top that you may click to indicate this.
After entering the revenue information [click] CONTINUE to proceed to the Financial Statement page.

## Slide 32

**Notes:**
On this page you must declare what type of financial statements were used.    
Hitting CONTINUE takes you to the View/Edit Ownership Disclosure Page.   [CLICK] [CLICK]

## Slide 33

**Notes:**
A View/Edit Ownership Disclosure Page is provided (revenues will be included only if seeking bidding credits) along with links for you to provide additional information regarding your ownership structure.
Under Section 1.2105(a)(2)(ii), each applicant is required to disclose all real parties in interest.  Real parties in interest is defined in Section 1.2112.
You must include information on all parties having a 10 percent or greater interest in the applicant.  You must also include all FCC-regulated entities of which the applicant and entities with disclosable ownership interests in the applicant own 10 percent or more.
The following screen shots show what the system would display when you select   [CLICK]   the “Add Disclosable Interest Holder”.

## Slide 34

**Notes:**
The Disclosable Interest Holder Name and Type page will be used to disclose an interest holder.  You will be required to indicate whether the DIH being added is an individual or an entity.
You must also provide an Entity Type if Entity is selected.
Although an FRN is not required when completing the Form 175, it is required during the long form process and therefore you should include it whenever possible.  A link is provided to search CORES.  [CLICK] [CLICK]

## outside the U.S.  

- Link for Address
- outside the U.S.

**Notes:**
The system requires that you provide an address for the DIH being entered.
A link is provided if you need to enter an address outside the US.
Applicants with foreign ownership are reminded that they must certify their compliance with Section 310 of the Communications Act.  [CLICK] [CLICK]

## Slide 36

**Notes:**
For the DIH being entered you must select at least one type of interest in the applicant.
More than one option can be selected.  If “Other” is selected, you must specify the type.  [CLICK] [CLICK]

## Slide 37

**Notes:**
For the DIH being entered you must select at least one type of Ownership Interest in the applicant.  More than one option can be selected.  
If “Other” is selected, you must specify the type.

## 63

**63**

** ****10/07/05**

**MVDDS**

**Notes:**
Some of the types have drop down boxes that require the applicant to further specify the type.  Here for example, under Common Stock, you must choose from Voting, Non-Voting, or Voting and Non-Voting.

## Slide 39

**Notes:**
In our example we selected “Common Stock” and from the drop down box selected “voting.
And select CONTINUE to proceed.   [CLICK] [CLICK]

## Link if jurisdiction 

- Link if jurisdiction
- outside U.S.

**Notes:**
On this page you must enter the percentage of interest held in the applicant by the DIH and from the drop down box select the state or country where the DIH was formed.  
A link is available if you need to enter a foreign jurisdiction.  If the DIH was an individual you would be required to select the country of citizenship.
We have now finished entering the information for a DIH, [clicking] CONTINUE will take us back to the View/Edit Ownership Disclosure page.  

## DIH information 

- DIH information
- previously
- entered displays

**Notes:**
The View/Edit Ownership Disclosure Information screen may be used to view a summary of the ownership information you have entered.  You can see the DIH we just entered.  
By [clicking] on the appropriate links an applicant can add additional DIHs or FCC Regulated Businesses, and Affiliate information to the applicant or DIH, depending on the applicant’s ownership structure.
We’ll [click] on the “Add FCC Regulated Business to Applicant” and take a look what information is required for those entities.

## Slide 42

**Notes:**
The screen shot shown here is for adding an FRB to the Applicant.
You are required to enter the name of the FRB, their principle business, FRN (if known), and the percentage of interest held.        
[CLICK]   The system also provides a link that can take you to a screen where you can select from previously entered entities.    
[Clicking] CONTINUE will take us back to the View/Edit Ownership Disclosure Information screen.

## FRB

- information previously
- entered displays

**Notes:**
Again you can see the FRB we just entered.  
Let’s go ahead and [click] on the “Add Affiliate to Applicant” link and take a look at that screen.

## Slide 44

**Notes:**
On this screen you will be required to indicate whether the affiliate is a business or an individual and are requested to provide the FRN (if known).  If the affiliate is a business you will also be required to show the principal business of this affiliate.
[CLICK]   There is also a link that can take you to a screen where you can select from previously entered businesses.
Reminder if seeking a bidding credit the system would also prompt you with revenue screens for the affiliate but for time’s sake we’ll go back to the View/Edit Ownership Page.

## Slide 45

**Notes:**
In our sample application we have now added a DIH, an FRB, and an Affiliate.  Your ownership structure may or may not require all of these types of interests.  You’ll want to be sure to refer to the Procedures Public Notice and the rules to determine when and what types of interest you need to disclose.  If you have questions regarding ownership you’ll want to contact Brian.
Remind them that a Current Accepted 602 Ownership record will be created in ULS once the Status Public Notice is released.
When you have entered all of the information to describe your ownership structure [click] CONTINUE.

## Slide 46

**Notes:**
If you are seeking a bidding credit, the Gross Revenues page will display.  This page serves as a means for you to certify that you have provided separate gross revenue information for the applicant and each of its required associated entities.   [CLICK] [CICK]

## You can check for errors 

- You can check for errors
- before
- certifying and submitting

**Notes:**
The Summary sub-module may be used by an applicant to view a summary of the data entered and to click links to return to sections within the application to edit. 
NOTE: After the initial filing window closes only minor changes are allowed. You may be prohibited from editing certain data during and between auction phases. 
If you select the “Check Errors” button you can do a preliminary check for errors.  You will not be able to submit your application until all errors have been corrected.  [CLICK] [CLICK]

## Slide 48

**Notes:**
On the first Certify and Submit page, you must select the appropriate statement regarding your status as a defaulter/debtor.

BRIAN CARTER WILL PROVIDE SOME INFORMATION TO HELP YOU DETERMINE THE APPROPRIATE CATEGORY. (Brian you can add to or change notes below any way necessary.  If you want to use a power point slide or just get up and talk about it- whatever you’re comfortable with.  Just let me know).
Applicants and their attributable interest holders, that have cured any default on a Commission license or paid any non-tax debt delinquency can participate in an auction if otherwise qualified, but are required to pay upfront payments that are 50% more than the otherwise required upfront payment.
Applicants must certify whether they are delinquent on any non-tax debt owed to any Federal agency in order to be eligible to participate in the auction.  For these purposes, “applicant” includes the applicant’s controlling interests and affiliates (of both the applicant and controlling interests).  See Part 1 Order on Reconsideration of the Third Report and Order, para. 42, ftnt. 142.  The Red Light Rule imposes a lesser sanction, withholding action on any application by a delinquent debtor.
Applicants are well advised to resolve any concerns regarding outstanding “red lights” for any relevant party prior to filing Form 175.  An applicant will be able to submit Form 175 to the Commission, notwithstanding a “red light.”  So a mistaken “red light” will not, by itself, preclude filing Form 175 and potential participation in the auction.  However, presuming the “red light” accurately reflects the existence of a delinquency, such an applicant will not be permitted to participate in the auction and may be subject to further sanctions, given the apparent falsity of the certification that must be made before submitting Form 175.
Finally, applicants should remember that the “red light” database concerns ONLY CURRENT delinquencies with the COMMISSION.  Auction rules are concerned with both current AND FORMER delinquencies on non-tax debt owed to ANY Federal Agency.  See 47 C.F.R. Sec. 1.2105(a)(2)(x) and (xi).  Applicants should NOT rely on a “green light” as a guarantee that they have no concerns regarding delinquencies, current or former, on non-tax debt to any Federal agency. [At this time Brian turns the presentation back over to Lisa.]

## Slide 49

**Notes:**
You should carefully read the certifications on the application.  Submission of an auction application constitutes a representation by the certifying official that he or she is an authorized representative of the applicant, has read the form’s instructions and certifications, and that the contents of the application and its attachments are true and correct.  Submission of a false certification to the Commission may result in penalties, including monetary forfeitures, license forfeitures, ineligibility to participate in future auctions, and/or criminal prosecution.
After you have carefully read the certifications you as an authorized representative must certify by typing your name and title in the appropriate fields.
You must then press the SUBMIT button.  [CLICK]  The system will check the application for any errors.  If any required information is missing or incorrect the system will not allow the application to be submitted until the errors are corrected.  If no errors are encountered the system produces a confirmation page showing the assigned file number.

## Slide 50

**Notes:**
This page confirms that the application has been submitted and provides [CLICK] your unique file number along with the last date and time of submission.  We recommend that you print a copy of this page for your records.
We’ve basically completed the form.  The “Auction Application Manager” button or Quit link at the top will take you back to the Application Manager page.
There’s just a few more features of the system I’d like to show you before turning the presentation over to Gail.
We do not encourage you to file attachments but in limited cases you may find it necessary to include an attachment.  For instance when you believe there is necessary information in connection with the application that cannot be supplied in any other manner on the form. Another instance would be where there is one or more Disclosable Interest Holders with an indirect ownership interest in the applicant as described in Section 1.2112(a)(6) and would need to include an attachment regarding the relationship between the indirect interest holder(s) and the applicant.  
If you do need to include an attachment [click] on the “Attachments” link at the top of the page.

## Slide 51

**Notes:**
The system will display this page that allows you to upload word, word perfect, or adobe files that you have created and saved on your computer.  
You would be required to select a type from the drop down box, enter the location where the file is saved or use the browse button, and then enter a descriptive name for the file.
When you have that information entered click the “ADD ATTACHMENT” button.  There is a short delay while the system converts the file to Adobe PDF format and makes it available for viewing.  Once the files are converted you should verify that it was converted successfully by viewing the file.  If you can’t read it neither can we.  In which case you may need to simplify the format and re-upload the file.
You must add any attachments prior to submitting your application.  If you submit and add your attachment afterwards the FCC will not see them. 
In addition to printing a confirmation page for your records it’s also a good idea to print a copy of your application.  To do so [click] on the “Print Preview” link.

## Slide 52

**Notes:**
The Print Preview page allows the applicant to select a section or sections to be previewed and printed out or you can preview and print out the entire application by using the SELECT ALL button.
In our example we selected Applicant Information and [click] CONTINUE.

## Slide 53

**Notes:**
This is an example of what you would see as a result of selecting applicant info.

We’ve entered and submitted our application and printed a copy for records.  Let’s leave the application and return to the Auction Application Manager page.  

## Slide 54

**Notes:**
In the middle section of the page you can see we have successfully submitted our application under our demo Auction 63 for Bidder One Corporation.  
If for some reason you change your mind and want to withdrawal your submitted application, there is a “Withdraw” icon available.  [CLICK]  This is only available until the Initial Filing Window closes.  When an application is withdrawn only you will be able to view it.
[CLICK] The Refund Form icon will display a page to provide your information regarding wire transfers for refunds.  There are also links for this available on the My Auctions page.  Gail Glasser will go over refunds and the form with you in just a few minutes. 
During each filing period, submitted applications may be updated and amended multiple times until the filing deadline.   As Brian mentioned earlier, after the filing deadline only minor amendments are allowed under rule section 1.2105b.  A major amendment could result in the dismissal of your application.
To edit your application you can [click] on the Auction Number link or the “Edit” icon.  Please note that you must click the SUBMIT button to submit any changes made to your application.  
The Upfront Payment Calculator and Form 159 is another icon made available after your application is submitted.  [CLICK]   There is also a link to this from the Confirmation page.

## Slide 55

**Notes:**
The Upfront Payment Calculator is a tool to assist you in calculating the appropriate upfront payment amount to be submitted with the Form 159.
Your upfront payment amount determines the number of bidding units on which a bidder may place or hold provisionally winning bids in an single round (a.k.a. Eligibility Level).  The upfront payment amount has nothing to do with the actual dollar amount you may bid.  In calculating the upfront payment amount, an applicant needs to determine all the permits on which they intend to bid in any single round and then they can use the upfront calculator tool to add together the maximum number of bidding units assigned to those permits.  You would then submit an upfront payment to cover that number of bidding units.  At a minimum the upfront payment amount must be enough to establish eligibility to bid on at least one of the permits selected on your auction application, otherwise you won’t be eligible to participate in the auction.

PLEASE BRING UP SLIDE OF UPFRONT PAYMENT CHART.

## Slide 56

**Notes:**
The upfront payment calculator lists only those permits selected and saved by the applicant.  For our demonstration application we had selected and saved 3 of the available permits.  The system shows the number of bidding units and upfront payment amounts associated with each permit.
You may select permits individually by clicking on the box or select  [CLICK]  the “All” link.  In either case the system will add bidding units and upfront amounts automatically and enter those amounts in the respective fields as shown in our example. [CLICK] You could also manually enter an amount in either the bidding units or upfront payment fields and the system will automatically calculate and enter the other.  
In our example we want enough eligibility to place bids on at least two of the licenses and have selected MVD132 and MVD150.  This will give us flexibility to bid on both MVD132 and MVD150, or MVD150 and MVD175, or MVD132 and MVD175 in any single round.
If you are a former defaulter or delinquent on a non-tax debt and had indicated that on your application you are required to pay upfront payments that are fifty percent more.  The system will take that into consideration and calculate your upfront amount accordingly. 
When you select   [CLICK]   the CARRY TO 159 button, the amount will be pre-filled on the Form 159 along with certain other key information from your auction application. 

## Slide 57

**Notes:**
[Gail Glasser with the Auctions Accounting Group will now discuss payment procedures]