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 PUBLIC  NOTICE  Federal  Communications  Commission  445  12  th  St.,  S.  W.  Washington,  D.  C.  20554  News  Media  Information  202  /  418-  0500  Internet:  http://  www.  fcc.  gov  TTY:  1-  888-  835-  5322 
 DA  06-  299  February  21,  2006 
 AUCTION  OF  800  MHz  AIR-  GROUND  RADIOTELEPHONE  SERVICE  LICENSES  SCHEDULED  FOR  MAY  10,  2006 
 Notice  and  Filing  Requirements,  Minimum  Opening  Bids,  Upfront  Payments  and  Other  Procedures  for  Auction  No.  65 
 Report  No.  AUC-  06-  65-  B  (Auction  No.  65) 
 TABLE  OF  CONTENTS 
 Heading  Paragraph  # 
 I.  GENERAL  INFORMATION  ................................................................................................................  1  A.  Introduction......................................................................................................................................  1 
 1.  Background  of  Proceeding  ........................................................................................................  2  2.  Licenses  to  Be  Auctioned..........................................................................................................  5 
 B.  Rules  and  Disclaimers......................................................................................................................  9  1.  Relevant  Authority  ....................................................................................................................  9 
 2.  Prohibition  of  Collusion  ..........................................................................................................  11  3.  Incumbent  Licensee.................................................................................................................  20 
 4.  Interference  Protection  ............................................................................................................  22  a.  International  Coordination  ................................................................................................  23 
 b.  Quiet  Zone  ........................................................................................................................  24  5.  Spectrum  Sharing  Plan  ............................................................................................................  25 
 6.  Due  Diligence..........................................................................................................................  26  7.  Bidder  Alerts  ...........................................................................................................................  34 
 8.  National  Environmental  Policy  Act  Requirements  .................................................................  36  C.  Auction  Specifics  ...........................................................................................................................  37 
 1.  Auction  Date  ...........................................................................................................................  37  2.  Auction  Title  ...........................................................................................................................  38 
 3.  Bidding  Methodology..............................................................................................................  39  4.  Pre-  Auction  Dates  and  Deadlines............................................................................................  40 
 5.  Requirements  for  Participation................................................................................................  41  6.  General  Contact  Information...................................................................................................  42 
 II.  SHORT-  FORM  APPLICATION  (FCC  FORM  175)  REQUIREMENTS...........................................  43  A.  Preferences  for  Small  Businesses  ..................................................................................................  47 
 1.  Bidding  Credits........................................................................................................................  47  2.  Tribal  Land  Bidding  Credits....................................................................................................  50 
 3.  Installment  Payments  ..............................................................................................................  51  B.  License  Selection  ...........................................................................................................................  52 
 C.  Consortia  and  Joint  Bidding  Arrangements  ...................................................................................  53  D.  Ownership  Disclosure  Requirements.............................................................................................  55 
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 E.  Bidding  Credit  Revenue  Disclosures  .............................................................................................  57  F.  Provisions  Regarding  Former  and  Current  Defaulters...................................................................  61 
 G.  Other  Information  ..........................................................................................................................  67  H.  Minor  Modifications  to  Short-  Form  Applications  (FCC  Form  175)  .............................................  68 
 I.  Maintaining  Current  Information  in  Short-  Form  Applications  (FCC  Form  175)..........................  72  III.  PRE-  AUCTION  PROCEDURES  ........................................................................................................  73 
 A.  Auction  Seminar    March  14,  2006.............................................................................................  73  B.  Short-  Form  Application  (FCC  Form  175)    Due  Before  6:  00  p.  m.  ET  on  March  24, 
 2006  ...............................................................................................................................................  76  C.  Application  Processing  and  Minor  Corrections  .............................................................................  79 
 D.  Upfront  Payments    Due  April  17,  2006  .....................................................................................  81  1.  Making  Auction  Payments  by  Wire  Transfer..........................................................................  82 
 2.  FCC  Form  159.........................................................................................................................  85  3.  Upfront  Payments  and  Bidding  Eligibility  ..............................................................................  86 
 4.  Applicants  Wire  Transfer  Information  for  Purposes  of  Refunds  of  Upfront  Payments.........  92  E.  Auction  Registration  ......................................................................................................................  93 
 F.  Remote  Electronic  Bidding............................................................................................................  97  G.  Mock  Auction    May  8,  2006  ........................................................................................................  99 
 IV.  AUCTION  EVENT............................................................................................................................  100  A.  Auction  Structure.........................................................................................................................  101 
 1.  Simultaneous  Multiple  Round  Auction  .................................................................................  101  2.  Activity  Rule  .........................................................................................................................  102 
 3.  Activity  Rule  Waivers  ...........................................................................................................  105  4.  Auction  Stopping  Rules.........................................................................................................  109 
 5.  Auction  Delay,  Suspension,  or  Cancellation.........................................................................  114  B.  Bidding  Procedures......................................................................................................................  116 
 1.  Round  Structure.....................................................................................................................  116  2.  Reserve  Price  or  Minimum  Opening  Bid  ..............................................................................  118 
 3.  Minimum  Acceptable  Bid  Amounts  and  Bid  Increment  Amounts  .......................................  127  4.  Provisionally  Winning  Bids  ..................................................................................................  133 
 5.  Bidding  ..................................................................................................................................  138  6.  Bid  Removal  and  Bid  Withdrawal  ........................................................................................  145 
 7.  Round  Results........................................................................................................................  148  8.  Auction  Announcements  .......................................................................................................  149 
 9.  Maintaining  the  Accuracy  of  FCC  Form  175  Information....................................................  150  V.  POST-  AUCTION  PROCEDURES....................................................................................................  151 
 A.  Down  Payments  ...........................................................................................................................  151  B.  Final  Payments.............................................................................................................................  153 
 C.  Long-  Form  Application  (FCC  Form  601)  ...................................................................................  154  D.  Ownership  Disclosure  Information  Report  (FCC  Form  602)  ......................................................  155 
 E.  Default  and  Disqualification  ........................................................................................................  156  F.  Refund  of  Remaining  Upfront  Payment  Balance  ........................................................................  158 
 VI.  ATTACHMENT  A:  Licenses  to  Be  Auctioned  ..............................................................................  A-  1  VII.  ATTACHMENT  B:  FCC  Auction  Seminar  Registration  Form......................................................  B-  1 
 VIII.  ATTACHMENT  C:  Electronic  Filing  and  Review  of  the  Short-  Form  Application  (FCC  Form  175)  .......................................................................................................................................  C-  1 
 IX.  ATTACHMENT  D:  Auction-  Specific  Instructions  for  FCC  Remittance  Advice  (FCC  Form  159)  ................................................................................................................................................  D-  1 
 X.  ATTACHMENT  E:  Summary  Listing  of  Commission  and  Bureau  Documents  Addressing  Application  of  the  Anti-  Collusion  Rule  .............................................................................................  E-  1 
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 I.  GENERAL  INFORMATION 
 A.  Introduction 
 1.  By  this  Public  Notice,  the  Wireless  Telecommunications  Bureau  (  Bureau)  announces  the  procedures  and  minimum  opening  bid  amounts  for  the  upcoming  auction  of  new  nationwide  commercial 


 Air-  Ground  Radiotelephone  Service  licenses  in  the  800  MHz  band  1  scheduled  for  May  10,  2006  (Auction  No.  65).  2  On  January  10,  2006,  in  accordance  with  Section  309(  j)(  3)  of  the  Communications  Act  of  1934, 
 as  amended,  3  the  Bureau  released  a  public  notice  seeking  comment  on  a  reserve  price  and  minimum  opening  bid  amounts  and  the  procedures  to  be  used  in  Auction  No.  65.  4  The  Bureau  received  one 
 comment  in  response  to  the  Auction  No.  65  Comment  Public  Notice. 
 1.  Background  of  Proceeding 
 2.  On  February  22,  2005,  the  Commission  released  the  Air-  Ground  Order,  in  which  it  adopted  a  flexible  regulatory  approach  to  determine  the  future  band  configuration  of  the  four  megahertz  of 


 dedicated  spectrum  in  the  800  MHz  commercial  Air-  Ground  Radiotelephone  Service.  Based  on  the  band  configuration  proposals  submitted  by  interested  parties  in  the  proceeding,  the  Commission  decided  to 
 assign  nationwide  air-  ground  licenses  under  one  of  three  alternative  band  configurations,  implementing  the  band  plan  receiving  the  highest  gross  aggregate  bid  in  an  auction.  5  The  Commission  also  requested 
 comment  on  competitive  bidding  rules  for  the  800  MHz  commercial  Air-  Ground  Radiotelephone  Service.  6 


 3.  On  December  9,  2005,  the  Commission  released  the  Air-  Ground  Reconsideration  Order  and  R&  O,  in  which  it  resolved  petitions  for  reconsideration  of  the  Air-  Ground  Order  and  adopted 
 competitive  bidding  rules  for  the  800  MHz  commercial  Air-  Ground  Radiotelephone  Service.  7 


 1  The  spectrum  consists  of  an  uplink  band  at  849-  851  MHz  and  a  downlink  band  at  894-  896  MHz.  47  C.  F.  R. 
   22.  857.  2 
 Amendment  of  Part  22  of  the  Commissions  Rules  to  Benefit  the  Consumers  of  Air-  Ground  Telecommunications  Services,  Biennial  Regulatory  Review    Amendment  of  Parts  1,  22,  and  90  of  the  Commissions  Rules, 


 Amendment  of  Parts  1  and  22  of  the  Commissions  Rules  to  Adopt  Competitive  Bidding  Rules  for  Commercial  and  General  Aviation  Air-  Ground  Radiotelephone  Service,  WT  Docket  Nos.  03-  103  and  05-  42,  Order  on 
 Reconsideration  and  Report  and  Order,  FCC  05-  202  (rel.  December  9,  2005)  (  Air-  Ground  Reconsideration  Order  and  R&  O);  Amendment  of  Part  22  of  the  Commissions  Rules  to  Benefit  the  Consumers  of  Air-  Ground 
 Telecommunications  Services,  Biennial  Regulatory  Review    Amendment  of  Parts  1,  22,  and  90  of  the  Commissions  Rules,  Amendment  of  Parts  1  and  22  of  the  Commissions  Rules  to  Adopt  Competitive  Bidding 
 Rules  for  Commercial  and  General  Aviation  Air-  Ground  Radiotelephone  Service,  WT  Docket  Nos.  03-  103  and  05-42,  Report  and  Order  and  Notice  of  Proposed  Rulemaking,  20  FCC  Rcd  4403  (2005)  (  Air-  Ground  Order). 


 3  47  U.  S.  C.    309(  j)(  3)(  E)(  i)  (requiring  the  Commission  to  ensure  that,  in  the  scheduling  of  any  competitive 
 bidding  under  this  subsection,  an  adequate  period  is  allowed    before  issuance  of  bidding  rules,  to  permit  notice  and  comment  on  proposed  auction  procedures.).  See  also  47  U.  S.  C.    309(  j)(  4)(  F)  (authorizing  the  Commission 


 to  establish  a  reserve  price  or  minimum  opening  bid);  47  C.  F.  R.    1.2104(  c)  and  (d).  4 
 Auction  of  800  MHz  Air-  Ground  Radiotelephone  Service  Licenses  Scheduled  for  May  10,  2006;  Comment  Sought  on  Reserve  Prices  or  Minimum  Opening  Bids  and  Other  Procedures  for  Auction  No.  65,  Public  Notice,  DA 


 06-  3  (rel.  January  10,  2006)  (  Auction  No.  65  Comment  Public  Notice)  (70  Fed.  Reg.  3513)  (January  23,  2006). 
 5  Air-  Ground  Order,  20  FCC  Rcd  at  4405-  06    1,  4418-  22    24-  32. 


 6  Id.  at  4464-  67    169-  77. 
 7  See  supra  note  2. 
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 4.  Licensees  in  the  800  MHz  Air-  Ground  Radiotelephone  Service  will  be  permitted  to  provide  any  type  of  air-  ground  service  (i.  e.,  voice  telephony,  broadband  Internet,  data,  etc.)  to  aircraft  of  any  type, 
 and  serve  any  or  all  aviation  markets  (commercial,  government,  and  general).  A  licensee  must  provide  service  to  aircraft  and  may  not  provide  ancillary  land  mobile  or  fixed  services  in  the  800  MHz  air-  ground 
 spectrum.  8 
 2.  Licenses  to  Be  Auctioned 
 5.  Auction  No.  65  will  offer  nationwide  commercial  licenses  in  the  800  MHz  band  in  three  alternative  band  configurations:  (1)  Band  Plan  1,  comprised  of  two  overlapping,  shared,  cross-  polarized  3 


 MHz  licenses  (Licenses  A  and  B,  respectively),  9  (2)  Band  Plan  2,  comprised  of  an  exclusive  3  MHz  license  and  an  exclusive  1  MHz  license  (Licenses  C  and  D,  respectively),  10  and  (3)  Band  Plan  3, 
 comprised  of  an  exclusive  1  MHz  license  and  an  exclusive  3  MHz  license  (Licenses  E  and  F,  respectively),  with  the  blocks  at  opposite  ends  of  the  band  from  Band  Plan  2.  11  Licenses  in  only  one  of 
 these  mutually  incompatible  band  configurations  will  be  awarded.  The  band  plan  that  receives  the  highest  aggregate  gross  bid  in  the  auction  will  be  implemented,  12  and  licenses  composing  that  configuration  will 
 be  awarded  to  winning  bidders  subject  to  review  of  their  long-  form  license  applications.  Because  the  three  band  configurations  are  mutually  incompatible,  applications  for  licenses  in  different  band  plans  will 
 be  mutually  exclusive. 
 6.  No  party  may  obtain  a  controlling  interest,  either  at  auction  or  by  a  post-  auction  transaction,  in  new  licenses  for  more  than  three  megahertz  of  spectrum  (either  shared  or  exclusive)  in  the 


 band.  No  single  party,  therefore,  may  win  or  hold  more  than  one  license  in  any  of  the  available  band  configurations.  13 


 8  See  Air-  Ground  Order,  20  FCC  Rcd  at  4431    52-  53;  Air-  Ground  Reconsideration  Order  and  R&  O  at    5-  7. 
 9  Licenses  A  and  B  would  authorize  transmission  of  radio  waves  that  are  vertically  and  horizontally  polarized, 
 respectively,  and  would  initially  share  3.  0  MHz:  1.  5  MHz  at  849.  0-  850.  5  MHz  paired  with  1.  5  MHz  at  894.  0-  895.  5  MHz.  Once  Verizon  Airfone  Inc.  s  (  Verizon  Airfone  or  Airfone)  incumbent  system  ceases  operations  in  the 


 upper  0.  5  MHz  of  each  band,  the  License  B  licensee  would  shift  its  operations  to  1.5  MHz  at  849.5-  851.  0  MHz  paired  with  1.5  MHz  at  894.  5-  896.  0  MHz,  and  the  licensees  for  Licenses  A  and  B  would  share  2.0  MHz.  See  infra 
 I.  B.  3.  Incumbent  Licensee.  However,  licensees  in  Band  Plan  1  would  have  the  option  of  agreeing  to  a  different  implementation  scheme,  subject  to  the  service  rules.  See  infra  I.  B.  5.  Spectrum  Sharing  Plan. 


 10  License  C  would  be  located  in  the  lower  1.5  MHz  portion  of  each  2  MHz  band  (1.5  MHz  at  849.0-  850.5  MHz 
 paired  with  1.5  MHz  at  894.0-  895.5  MHz).  License  D  would  be  located  in  the  upper  0.5  MHz  portion  of  each  2  MHz  band  (0.  5  MHz  at  850.5-  851.  0  MHz  paired  with  0.5  MHz  at  895.  5-  896.  0  MHz). 


 11  License  E  would  be  located  in  the  lower  0.  5  MHz  portion  of  each  2  MHz  band  (0.  5  MHz  at  849.  0-  849.  5  MHz 
 paired  with  0.5  MHz  at  894.  0-  894.  5  MHz).  License  F  would  be  located  in  the  upper  1.5  MHz  portion  of  each  2  MHz  band  (1.  5  MHz  at  849.5-  851.  0  MHz  paired  with  1.5  MHz  at  894.  5-  896.  0  MHz). 


 12  Gross  bids  for  the  licenses,  rather  than  net  bids  adjusted  for  bidding  credits,  will  be  used  to  determine  the  band 
 plan  with  the  highest  aggregate  bid.  13 
 See  Air-  Ground  Order,  20  FCC  Rcd  at  4426-  27    43-  44. 
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 7.  The  following  table  contains  the  characteristics  of  the  licenses  that  will  be  offered  in  Auction  No.  65: 
 8.  A  complete  list  of  the  licenses  available  in  Auction  No.  65  and  their  descriptions  is  also  included  in  Attachment  A  of  this  Public  Notice. 
 B.  Rules  and  Disclaimers 
 1.  Relevant  Authority 
 9.  Prospective  applicants  must  familiarize  themselves  thoroughly  with  the  Commissions  general  competitive  bidding  rules  set  forth  in  Title  47,  Part  1,  of  the  Code  of  Federal  Regulations, 


 including  recent  amendments  and  clarifications;  14  rules  relating  to  the  800  MHz  Air-  Ground  Radiotelephone  Service  contained  in  Title  47,  Part  22,  of  the  Code  of  Federal  Regulations;  and  rules 
 relating  to  applications,  practice  and  procedure  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  and  the  Commissions  decisions  in  proceedings  regarding  competitive  bidding  procedures,  application  requirements,  and  obligations  of 
 Commission  licensees.  15 


 14  See,  e.  g.,  Implementation  of  the  Commercial  Spectrum  Enhancement  Act  and  Modernization  of  the  Commissions 
 Competitive  Bidding  Rules  and  Procedures,  WT  Docket  No.  05-  211,  Report  and  Order,  FCC  06-  4  (rel.  January  24,  2006)  (  CSEA/  Part  1  Report  and  Order);  Amendment  of  Part  1  of  the  Commission's  Rules    Competitive  Bidding 


 Procedures,  WT  Docket  No.  97-  82,  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).  The  Commission  has  recently  released  Implementation  of  the  Commercial  Spectrum  Enhancement  Act  and  Modernization  of  the  Commissions  Competitive  Bidding  Rules  and  Procedures,  WT  Docket 
 No.  05-  211,  Further  Notice  of  Proposed  Rule  Making,  FCC  06-  8  (rel.  February  3,  2006),  in  which  it  considers  whether  to  modify  its  general  competitive  bidding  rules  governing  benefits  reserved  for  designated  entities  (i.  e., 
 small  businesses,  rural  telephone  companies,  and  businesses  owned  by  women  and  minorities)  (  CSEA/  Part  1  Designated  Entity  FNPRM). 


 15  See,  e.  g.,  Amendment  of  Part  1  of  the  Commissions  Rules    Competitive  Bidding  Procedures,  Second  Report 
 and  Order,  9  FCC  Rcd  2348  (1994)  (  Competitive  Bidding  Second  Report  and  Order);  Amendment  of  Part  1  of  the  Commissions  Rules    Competitive  Bidding  Procedures,  Order  on  Reconsideration  of  the  Third  Report  and 


 (continued.) 


 Band  Plan  License  Frequency  Band  (MHz)  Total  Bandwidth  Pairing  Geographic  Area  Type 
 A  849.0-  850.  5  /  894.0-  895.5  3  MHz  (2  MHz  Shared)  Paired  Nationwide 
 1  B  Initial:  849.0-  850.  5  /  894.0-  895.5 
 After  Clearing:  849.5-  851.  0  /  894.5-  896.0  3  MHz  (2  MHz  Shared)  Paired  Nationwide 


 C  849.0-  850.  5  /  894.0-  895.5  3  MHz  Paired  Nationwide  2 
 D  850.5-  851.  0  /  895.5-  896.0  1  MHz  Paired  Nationwide 
 E  849.0-  849.  5  /  894.0-  894.5  1  MHz  Paired  Nationwide  3 
 F  849.5-  851.  0  /  894.5-  896.0  3  MHz  Paired  Nationwide 
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 10.  The  terms  contained  in  the  Commissions  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  auctions-  related  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  between  8:  00  a.  m.  and  4:  30  p.  m.  Eastern  Time  (ET)  Monday  through  Thursday  or  8:  00  a.  m.  to  11:  30  a.  m.  ET  Fridays  at  the  FCC 
 Reference  Information  Center,  445  12th  Street,  SW,  Room  CY-  A257,  Washington,  DC  20554.  Documents  may  also  be  purchased  from  the  Commissions  duplicating  contractor,  Best  Copy  and 
 Printing,  Inc.  (  BCPI),  445  12th  Street,  SW,  Room  CY-  B402,  Washington,  DC  20554,  800-  378-  3160  or  at  http://  www.  bcpiweb.  com.  16 


 2.  Prohibition  of  Collusion 
 11.  To  ensure  the  competitiveness  of  the  auction  process,  Section  1.2105(  c)  of  the  Commissions  rules  prohibits  applicants  for  licenses  in  any  of  the  same  geographic  license  areas  from 


 communicating  with  each  other  about  bids,  bidding  strategies,  or  settlements  unless  such  applicants  have  identified  each  other  on  their  short-  form  applications  (FCC  Forms  175)  as  parties  with  whom  they  have 
 entered  into  agreements  under  Section  1.2105(  a)(  2)(  viii).  17  Because  all  of  the  licenses  available  in  Auction  No.  65  have  the  same  service  area,  i.  e.,  they  are  nationwide,  this  prohibition  will  apply  to  all 
 applicants.  Thus,  all  applicants  (unless  they  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)) 
 must  affirmatively  avoid  all  communications  with  or  disclosures  to  each  other  that  affect  or  have  the  potential  to  affect  bids  or  bidding  strategy,  which  may  include  communications  regarding  the  post-  auction 
 market  structure.  18  This  prohibition  begins  at  the  short-  form  application  filing  deadline  and  ends  at  the  down  payment  deadline  after  the  auction.  19  This  prohibition  applies  to  all  applicants  regardless  of 
 whether  such  applicants  become  qualified  bidders  or  actually  bid.  20 
 (Continued  from  previous  page)  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  Commissions  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  Commissions  Rules    Competitive  Bidding  Procedures,  Eighth  Report  and  Order,  17 
 FCC  Rcd  2962  (2002)  (amending  Section  1.2110  of  the  Commissions  rules);  Second  Order  on  Reconsideration  of  the  Fifth  Report  and  Order,  20  FCC  Rcd  1942  (2005)  (  Second  Order  on  Reconsideration  of  the  Fifth  Report  and 
 Order)  (further  amending  Section  1.  2110  to  exempt  the  gross  revenues  of  the  affiliates  of  a  rural  telephone  cooperatives  officers  and  directors  from  attribution  to  the  applicant  and  adopting  other  modifications  to  the 
 competitive  bidding  rules);  CSEA/  Part  1  Report  and  Order.  16 
 When  ordering  documents  from  BCPI,  please  provide  the  appropriate  FCC  document  number  (for  example,  DA  06-  3  for  the  Auction  No.  65  Comment  Public  Notice,  and  DA  06-  299  for  this  public  notice). 


 17  47  C.  F.  R.    1.2105(  c)(  1);  47  C.  F.  R.    1.  2105(  a)(  2)(  viii).  See  also  Part  1  Seventh  Report  and  Order,  16  FCC  Rcd 
 at  17548-  50    4-  8;  Part  1  Fifth  Report  and  Order,  15  FCC  Rcd  at  15297-  98    7-  8.  18 
 See,  e.  g.,  Wireless  Telecommunications  Bureau  Provides  Guidance  on  the  Anti-  Collusion  Rule  for  D,  E  and  F  Block  Bidders,  Public  Notice,  DA  96-  1460  (rel.  August  28,  1996). 


 19  47  C.  F.  R.    1.2105(  c)(  1). 
 20  See,  e.  g.,  Application  of  Star  Wireless,  LLC,  Forfeiture  Order,  19  FCC  Rcd  18626,  18628    4,  n.  19  (Enf.  Bur. 
 2004),  application  for  review  pending  (collusion  rule  applies  to  applicants  regardless  of  whether  they  are  qualified  to  bid);  Letter  to  Robert  Pettit,  Counsel  for  Noverr  Publishing,  Inc.,  from  Margaret  W.  Wiener,  Chief,  Auctions  and 


 (continued.) 
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 Federal  Communications  Commission  DA  06  299 
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 12.  For  purposes  of  this  prohibition,  Section  1.2105(  c)(  7)(  i)  defines  applicant  as  including  all  officers  and  directors  of  the  entity  submitting  a  short-  form  application  to  participate  in  the  auction,  all 
 controlling  interests  of  that  entity,  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.  21 
 13.  Applicants  for  licenses  for  any  of  the  same  geographic  license  areas  must  not  communicate  directly  or  indirectly  about  bids  or  bidding  strategy.  22  Because  all  of  the  licenses  available  in  Auction  No. 


 65  have  the  same  service  area,  all  applicants  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  applicants,  and  conveys  information  concerning  the  substance  of  bids  or  bidding  strategies  between  such  applicants.  Also,  if  the  authorized  bidders  are  different  individuals  employed  by 
 the  same  organization  (e.  g.,  law  firm,  engineering  firm,  or  consulting  firm),  a  violation  similarly  could  occur.  23  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.  24  A  violation  of  the  anti-  collusion  rule  could 
 occur  in  other  contexts,  such  as  an  individual  serving  as  an  officer  of  two  or  more  applicants.  25 
 14.  The  Commissions  rules  do  not  prohibit  applicants  from  entering  into  otherwise  lawful  bidding  agreements  before  filing  their  short-  form  applications,  as  long  as  they  disclose  the  existence  of 


 the  agreement(  s)  in  their  short-  form  applications.  If  parties  agree  in  principle  on  all  material  terms  prior  to  the  short-  form  filing  deadline,  each  party  to  the  agreement  must  identify  the  other  party  or  parties  to  the 
 agreement  on  its  short-  form  application  under  Section  1.2105(  c),  even  if  the  agreement  has  not  been  reduced  to  writing.  If  the  parties  have  not  agreed  in  principle  by  the  short-  form  filing  deadline,  they 
 should  not  include  the  names  of  parties  to  discussions  on  their  applications,  and  they  may  not  continue  negotiations,  discussions  or  communications  with  any  other  applicants  after  the  short-  form  filing 
 deadline.  26 
 15.  By  electronically  submitting  its  short-  form  application,  each  applicant  certifies  its  compliance  with  Section  1.2105(  c).  However,  the  Bureau  cautions  that  merely  filing  a  certifying 


 (Continued  from  previous  page)  Industry  Analysis  Division,  16  FCC  Rcd  10080  (WTB  2000)  (declining  to  except  an  applicants  controlling  interest 
 from  coverage  by  the  anti-  collusion  rule,  even  though  the  applicant  never  made  an  upfront  payment  for  the  auction  and  was  not  listed  as  a  qualified  bidder). 


 21  47  C.  F.  R.    1.2105(  c)(  7)(  i). 
 22  Part  1  Seventh  Report  and  Order,  16  FCC  Rcd  at  17549-  50    6. 
 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)  (  Nevada  Wireless  MO&  O). 


 24  Id. 
 25  See,  e.  g.,  Letter  to  Colby  M.  May,  TCCSA,  Inc.,  d/  b/  a  Trinity  Broadcasting  Network,  from  Barbara  A.  Kreisman, 
 Chief,  Video  Division,  Media  Bureau,  and  Margaret  W.  Wiener,  Chief,  Auctions  and  Spectrum  Access  Division,  Wireless  Telecommunications  Bureau,  DA  05-  2445  (Video  and  Auctions  Divs.  Sept.  13,  2005)  (finding  apparent 


 violation  of  anti-  collusion  rule  where  applicants  with  mutually  exclusive  applications  reported  sharing  same  individual  as  an  officer  and  director  and  reported  having  no  bidding  agreement). 


 26  See  Wireless  Telecommunications  Bureau  Clarifies  Spectrum  Auction  Anti-  Collusion  Rules,  Public  Notice  DA 
 95-  2244,  11  FCC  Rcd  9645  (1995). 
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 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.  27 
 16.  Section  1.65  of  the  Commissions  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  an  auction  applicant  to  notify  the  Commission  of  any  substantial  change  to  the  information 
 or  certifications  included  in  its  pending  short-  form  application.  Applicants  are  therefore  required  by  Section  1.65  to  report  to  the  Commission  any  communications  they  have  made  to  or  received  from 
 another  applicant  after  the  short-  form  filing  deadline  that  affect  or  have  the  potential  to  affect  bids  or  bidding  strategy  unless  such  communications  are  made  to  or  received  from  parties  to  agreements 
 identified  under  Section  1.2105(  a)(  2)(  viii).  In  addition,  Section  1.2105(  c)(  6)  provides  that  any  applicant  that  makes  or  receives  a  communication  prohibited  by  Section  1.2105(  c)  must  report  such  communication 
 to  the  Commission  in  writing  immediately,  and  in  no  case  later  than  five  business  days  after  the  communication  occurs.  29 


 17.  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 
 18.  Any  applicant  found  to  have  violated  the  anti-  collusion  rule  may  be  subject  to  sanctions.  31  Applicants  are  also  reminded  that,  regardless  of  compliance  with  the  Commissions  rules,  they  are  subject 


 to  the  antitrust  laws,  which  are  designed  to  prevent  anticompetitive  behavior  in  the  marketplace.  32  Compliance  with  the  disclosure  requirements  of  the  Commissions  anti-  collusion  rule  will  not  necessarily 
 insulate  a  party  from  enforcement  of  the  antitrust  laws.  33  If  an  applicant  is  found  to  have  violated  the  antitrust  laws  or  the  Commissions  rules  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.  34 


 27  Nevada  Wireless  MO&  O,  13  FCC  Rcd  at  11978    13. 
 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.    1.2105(  c),  1.2107(  d),  and  1.2109(  d). 
 32  In  cases  where  specific  instances  of  collusion  in  the  competitive  bidding  process  are  alleged  in  the  petition  to  deny 
 process,  the  Commission  may  conduct  an  investigation  or  refer  such  matters  to  the  United  States  Department  of  Justice  for  investigation.  See  Competitive  Bidding  Second  Report  and  Order,  9  FCC  Rcd  at  2388    226.  See  also 


 Justice  Department  Sues  Three  Firms  Over  FCC  Auction  Practices,  Press  Release  98-  536  (DOJ  Nov.  10,  1998).  33 
 See  Amendment  of  Part  1  of  the  Commission's  Rules    Competitive  Bidding  Procedures,  WT  Docket  No.  97-  82,  Third  Further  Notice  of  Proposed  Rule  Making,  14  FCC  Rcd  21588,  21590    4  (1999);  see  also  Implementation  of 


 Section  309(  j)  of  the  Communications  Act    Competitive  Bidding,  PP  Docket  No.  93-  253,  Memorandum  Opinion  and  Order,  9  FCC  Rcd  7684,  7689    12  (1994)  ([  W]  e  wish  to  emphasize  that  all  applicants  and  their  owners 
 continue  to  be  subject  to  existing  antitrust  laws.  Applicants  should  note  that  conduct  that  is  permissible  under  the  Commission's  Rules  may  be  prohibited  by  the  antitrust  laws.);  Implementation  of  Section  309(  j)  of  the 
 Communications  Act    Competitive  Bidding,  PP  Docket  No.  93-  253,  Fourth  Memorandum  Opinion  &  Order,  9  FCC  Rcd  6858,  6869  n.  134  (1994). 


 34  See  47  C.  F.  R.    1.  2109(  d);  see  also  Competitive  Bidding  Second  Report  and  Order,  9  FCC  Rcd  at  2388    226. 
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 19.  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.  These  documents  are  available  on 
 the  Commissions  auction  anti-  collusion  web  page.  35 
 3.  Incumbent  Licensee 
 20.  In  the  Air-  Ground  Order,  the  Commission  granted  Verizon  Airfone  Inc.  (  Verizon  Airfone  or  Airfone),  the  only  incumbent  service  provider  in  the  800  MHz  air-  ground  band,  a 


 nonrenewable  license  to  operate  in  the  band  for  five  years.  This  license  will  expire  on  May  13,  2010.  36  Verizon  Airfone  must  remove  its  incumbent  narrowband  operations  from  three  megahertz  of  spectrum  in 
 the  band  within  two  years  of  the  initial  grant  date  of  a  new  license  in  the  band,  but  may  continue  to  operate  in  the  remaining  one  megahertz  of  the  band  until  the  expiration  of  its  nonrenewable  license.  37 
 The  Commission  has  directed  the  Bureau  to  adopt  reporting  requirements  so  that  Airfones  transition  of  its  base  stations  and  its  subscribers  aircraft  to  operations  in  one  megahertz  of  the  800  MHz  air-  ground 
 band  may  be  monitored.  38  Accordingly,  the  Bureau  issued  a  public  notice  enumerating  such  requirements  on  February  6,  2006.  39  Airfone  must  file  its  initial  transition  status  report  with  the  Commission  six 
 months  from  the  date  of  the  grant  of  any  new  license  in  the  band  and  at  each  of  the  three  six-  month  intervals  thereafter.  40 


 21.  In  addition,  if  Airfone,  or  an  affiliate  of  Airfone,  wins  an  exclusive  3  MHz  license  at  auction,  the  Bureau  will  issue  a  public  notice  within  60  days  of  the  grant  of  such  a  license  that  will  require 
 the  company  (1)  to  include  in  each  status  report  information  regarding  the  transition  of  its  existing  subscribers  from  its  narrowband  system  to  a  broadband  system  and  (2)  to  file  additional  status  reports  at 
 six-  month  intervals  from  the  conclusion  of  the  two-  year  transition  period  until  the  expiration  of  its  five-year  nonrenewable  license.  41 


 35  http://  wireless.  fcc.  gov/  auctions/  anticollusion. 
 36  Air-  Ground  Order,  20  FCC  Rcd  at  4440-  41    80-  81. 
 37  See  id.  at  4438-  39    75.  If  Band  Plan  1  or  2  is  the  winning  configuration  at  auction,  Verizon  Airfones  incumbent 
 system  must  cease  operations  in  the  lower  1.5  MHz  portion  of  each  2  MHz  air-  ground  band  within  two  years  of  the  initial  date  of  grant  of  a  new  license  or  licenses.  Verizon  Airfone  may  relocate  its  incumbent  operations  to  the  upper 


 0.  5  MHz  portion  of  each  2  MHz  band  (0.  5  MHz  at  850.  5-  851.  0  MHz  paired  with  0.5  MHz  at  895.5-  896.  0  MHz)  and  may  continue  to  operate  under  the  renewal  authorization  until  the  end  of  the  five-  year  license  term.  If  Band  Plan  3 
 is  the  winning  configuration  at  auction,  Verizon  Airfones  incumbent  system  must  cease  operations  in  the  upper  1.5  MHz  portion  of  each  2  MHz  air-  ground  band  within  two  years  of  the  initial  date  of  grant  of  a  new  license;  Airfone 
 may  relocate  to  the  lower  0.  5  MHz  portion  of  each  2  MHz  band  (0.  5  MHz  at  849.  0-  849.  5  MHz  paired  with  0.5  MHz  at  894.  0-  894.5  MHz)  and  may  continue  to  operate  under  the  renewal  authorization  until  the  end  of  the  five-  year 
 license  term.  38 
 Air-  Ground  Reconsideration  Order  and  R&  O  at    21.  39 
 Wireless  Telecommunications  Bureau  Adopts  Reporting  Requirements  Regarding  Verizon  Airfone  Inc.,  Call  Sign  KNKG804,  Public  Notice,  DA  06-  294  (rel.  February  6,  2006). 


 40  Airfone  is  not  required  to  submit  any  classified  information  regarding  government  aircraft  in  its  reports,  and  may 
 seek  confidential  treatment  of  information  contained  in  the  transition  reports  in  accordance  with  the  Commissions  rules  and  policies.  Air-  Ground  Reconsideration  Order  and  R&  O  at    21.  See  also  47  C.  F.  R.    0.459. 


 41  Air-  Ground  Reconsideration  Order  and  R&  O  at    22.  The  Commission  has  stated  that,  at  a  minimum,  Airfone 
 must  specify  the  number  and  percentage  of  each  type  of  aircraft  (commercial,  general  aviation,  and  government)  and  base  stations  that  have  been  configured  to  operate  in  the  three  megahertz  portion  of  the  band.  The  report  must  also 


 delineate  which  aircraft  have  been  transitioned  from  Airfones  4  MHz  narrowband  system  directly  to  a  3  MHz  broadband  system,  and  which  aircraft  have  been  transitioned  from  the  4  MHz  narrowband  system  to  a  1  MHz 
 narrowband  system  and  then  to  a  3  MHz  broadband  system.  Id. 
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 4.  Interference  Protection 
 22.  Ground  stations  in  the  Air-  Ground  Radiotelephone  Service  that  operate  in  the  849-  851  MHz  range  will  be  subject  to  the  same  interference  abatement  obligation  rules  adopted  for  cellular 


 services  in  the  800  MHz  Order.  42 
 a.  International  Coordination 
 23.  To  promote  interoperable  communications  and  to  manage  interference,  some  of  the  ground  station  locations  in  North  America  and  channel  block  assignments  of  the  800  MHz  air-  ground  band  have 


 been  predetermined  consistent  with  bilateral  agreements  with  Mexico  and  with  Canada.  43  These  agreements,  which  provide  for  coordinated  use  of  the  800  MHz  air-  ground  frequencies  over  North 
 American  airspace,  are  based  on  a  narrow  bandwidth  channel  scheme,  and  therefore  may  need  to  be  renegotiated  to  provide  for  more  flexible  use  of  this  spectrum  based  on  the  band  plan  configuration  that  is 
 implemented  as  a  result  of  the  auction. 
 b.  Quiet  Zone 
 24.  Stations  in  the  800  MHz  Air-  Ground  Radiotelephone  Service  must  protect  the  radio  quiet  zones  set  forth  in  the  Commissions  rules.  44  Licensees  are  cautioned  that  they  must  receive  the 


 appropriate  approvals  directly  from  the  relevant  quiet  zone  entity  prior  to  operating  within  the  areas  described  in  the  Commissions  rules.  45 


 5.  Spectrum  Sharing  Plan 
 25.  If  Band  Plan  1,  which  is  comprised  of  two  overlapping  3  MHz  licenses,  is  implemented,  the  new  licensees  will  be  required  to  jointly  file  a  spectrum  sharing  and  site  selection  plan  with  the 


 Bureau  within  six  months  of  the  initial  grant  of  their  spectrum  licenses,  and  they  will  be  required  to  notify  the  Bureau  of  any  changes  to  the  plan.  46  The  Bureau  will  issue  a  public  notice  prior  to  the 
 commencement  of  Auction  No.  65  in  which  it  will  specify  the  filing  requirements  for  such  a  plan.  This  approach  will  provide  parties  with  overlapping  spectrum  licenses  flexibility  to  configure  their  systems 
 without  having  to  adhere  to  minimum  spacing  requirements  or  site  locations  predetermined  by  the  Commission. 


 6.  Due  Diligence 
 26.  Potential  bidders  are  reminded  that  they  are  solely  responsible  for  investigating  and  evaluating  all  technical  and  marketplace  factors  that  may  have  a  bearing  on  the  value  of  the  800  MHz  Air-Ground 


 Radiotelephone  Service  licenses  in  this  auction.  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  the  800  MHz  Air-  Ground 
 42  Report  and  Order,  Fifth  Report  and  Order,  Fourth  Memorandum  Opinion  and  Order,  and  Order,  19  FCC  Rcd 
 14969,  15029-  30    105-  107  (2004)  (subsequent  history  omitted)  (to  be  codified  at  47  C.  F.  R.    22.  970(  b)  and  90.  672)  (  800  MHz  Order). 


 43  See  Arrangement  Between  the  Department  of  Communications  of  Canada  and  the  Federal  Communications 
 Commission  of  the  United  States  of  America  Concerning  the  Use  of  the  Bands  849-  851  and  894-  896  MHz,  signed  August  18,  1992  (U.  S.  A.)  and  August  28,  1992  (Canada),  Section  4.  See  also  Protocol  Concerning  the  Use  of  the 


 849-  851  and  894-  896  MHz  Bands  for  Public  Air-  To-  Ground  Radio  Service,  signed  June  16,  1994,  by  the  Government  of  the  United  States  and  the  Government  of  Mexico,  Article  IV. 


 44  See  47  C.  F.  R.    1.924. 
 45  See  id. 
 46  See  Air-  Ground  Order,  20  FCC  Rcd  at  4422-  23    34. 
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 Radiotelephone  Service,  subject  to  certain  conditions  and  regulations.  An  FCC  auction  does  not  constitute  an  endorsement  by  the  FCC  of  any  particular  service,  technology,  or  product,  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. 


 27.  Potential  bidders  are  strongly  encouraged  to  conduct  their  own  research  prior  to  the  beginning  of  bidding  in  Auction  No.  65  in  order  to  determine  the  existence  of  any  pending  administrative 
 or  judicial  proceedings  that  might  affect  their  decision  regarding  participation  in  the  auction.  Participants  in  Auction  No.  65  are  strongly  encouraged  to  continue  such  research  throughout  the  auction.  In  addition, 
 potential  bidders  should  perform  technical  analyses  sufficient  to  assure  themselves  that,  should  they  prevail  in  competitive  bidding  for  a  specific  license,  they  will  be  able  to  build  and  operate  facilities  that 
 will  fully  comply  with  the  Commission's  technical  and  legal  requirements. 
 28.  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.  65.  In  addition,  pending  and  future  judicial  proceedings  may  relate  to  particular  applicants  or  incumbent  licensees  or  the  licenses  available  in  Auction  No.  65.  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. 


 29.  Applicants  should  perform  due  diligence  to  identify  and  consider  all  proceedings  that  may  affect  the  spectrum  licenses  being  auctioned  and  that  could  have  an  impact  on  the  availability  of  spectrum 
 for  Auction  No.  65.  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. 
 30.  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.  65. 
 31.  Applicants  may  obtain  information  about  the  incumbent  air-  ground  licensee,  Verizon  Airfone  Inc.,  through  the  Bureaus  licensing  database  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  or  by  going  to  the  ULS  support  site  at 
 http://  esupport.  fcc.  gov/  licensing.  htm.  Applicants  should  direct  questions  regarding  the  ULS  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. 


 32.  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  Commissions  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  its  databases. 
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 6.  General  Contact  Information 
 42.  General  Contact  Information  Table 
 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,  Regulations  (202)  418-  0660 


 LICENSING  INFORMATION  Mobility  Division  Service  Rules,  Policies,  Regulations 
 Licensing  Issues,  Engineering  Issues  Due  Diligence,  Incumbency  Issues  (202)  418-  0620 


 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) 
 AUCTION  BIDDER  LINE  Will  be  furnished  only  to  qualified  bidders 


 FCC  COPY  CONTRACTOR  Best  Copy  and  Printing,  Inc  Additional  Copies  of  445  12th  Street,  SW,  Room  CY-  B402 


 Commission  Documents  Washington,  DC  20554  (800)  378-  3160 
 http://  www.  bcpiweb.  com 
 PRESS  INFORMATION  Chelsea  Fallon  (202)  418-  7991 
 FCC  FORMS  (800)  418-  3676  (outside  Washington,  DC)  (202)  418-  3676  (in  the  Washington  area) 
 http://  www.  fcc.  gov/  formpage.  html 
 ACCESSIBLE  FORMATS  Consumer  and  Governmental  Affairs  Bureau 
 Braille,  large  print,  electronic  files,  or  (202)  418-  0530  or  (202)  418-  0432  (TTY) 
 audio  format  for  people  with  disabilities  fcc504@  fcc.  gov 


 FCC  INTERNET  SITES  http://  www.  fcc.  gov  http://  wireless.  fcc.  gov/  auctions 
 http://  wireless.  fcc.  gov/  uls 
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 II.  SHORT-  FORM  APPLICATION  (FCC  FORM  175)  REQUIREMENTS 
 43.  An  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.  51  The  short-  form  application  is  the  first  part  of  the  Commissions  two-  phased  auction  application  process.  In  the  first  phase 
 of  this  process,  parties  desiring  to  participate  in  the  auction  file  streamlined,  short-  form  applications  in  which  they  certify  under  penalty  of  perjury  as  to  their  qualifications.  52  Eligibility  to  participate  in  bidding 
 is  based  on  the  applicants  short-  form  application  and  certifications  as  well  as  its  upfront  payment,  explained  below.  53  In  the  second  phase  of  the  process,  winning  bidders  file  a  more  comprehensive  long-form 
 application.  54 
 44.  Entities  seeking  licenses  available  in  Auction  No.  65  must  file  a  short-  form  application  electronically  via  the  FCC  Auction  System  before  6:  00  p.  m.  ET  on  March  24,  2006,  following  the 


 procedures  prescribed  in  Attachment  C  to  this  Public  Notice.  If  an  applicant  claims  eligibility  for  a  bidding  credit,  the  information  provided  in  its  FCC  Form  175  will  be  used  in  determining  whether  the 
 applicant  is  eligible  for  the  claimed  bidding  credit.  Applicants  bear  full  responsibility  for  submitting  accurate,  complete  and  timely  short-  form  applications.  All  applicants  must  certify  on  their  short-  form 
 applications  under  penalty  of  perjury  that  they  are  legally,  technically,  financially  and  otherwise  qualified  to  hold  a  license.  55  Applicants  should  read  the  instructions  set  forth  in  Attachment  C  to  this  Public  Notice 
 carefully  and  should  consult  the  Commissions  rules  to  ensure  that,  in  addition  to  the  materials  described  below,  all  the  information  that  is  required  under  the  Commissions  rules  is  included  with  their  short-  form 
 applications. 
 45.  An  entity  may  not  submit  more  than  one  short-  form  application  for  a  single  auction.  In  the  event  that  a  party  submits  multiple  short-  form  applications,  only  one  application  will  be  accepted  for 


 filing. 
 46.  Applicants  also  should  note  that  submission  of  a  short-  form  application  constitutes  a  representation  by  the  certifying  official  that  he  or  she  is  an  authorized  representative  of  the  applicant,  that 


 he  or  she  has  read  the  forms  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. 


 A.  Preferences  for  Small  Businesses 
 1.  Bidding  Credits 
 47.  A  bidding  credit  represents  the  amount  by  which  a  bidders  winning  bid  will  be  discounted.  For  Auction  No.  65  bidding  credits  will  be  available  to  small  businesses  and  very  small  businesses,  and 


 consortia  thereof,  as  follows: 


 51  See  47  C.  F.  R.    1.2105. 
 52  See  id.;  Competitive  Bidding  Second  Report  and  Order,  9  FCC  Rcd  at  2376    163. 
 53  See  infra  Section  III.  D.  Upfront  Payments    Due  April  17,  2006. 
 54  See  47  C.  F.  R.    1.2107. 
 55  See  47  C.  F.  R.    1.2105(  a)(  2)(  v). 
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 2.  Tribal  Land  Bidding  Credits 
 50.  Tribal  land  bidding  credits  will  not  be  available  in  Auction  No.  65.  The  Commissions  tribal  land  bidding  credits  are  intended  to  provide  incentives  for  wireless  telecommunications  carriers  to 


 serve  individuals  living  on  tribal  lands.  More  specifically,  tribal  land  bidding  credits  are  intended  for  winning  bidders  that  use  licenses  to  deploy  facilities  and  provide  service  to  federally  recognized  tribal 
 areas  that  are  either  unserved  by  any  telecommunications  carrier  or  that  have  a  wireline  telephone  subscription  or  penetration  rate  of  85  percent  or  less.  63  Commercial  Air-  Ground  Radiotelephone  Service 
 licenses,  however,  must  be  used  to  provide  service  to  aircraft  and  may  not  be  used  to  provide  ancillary  land  mobile  or  fixed  services.  64  Because  800  MHz  air-  ground  licenses  may  not  be  used  to  provide 
 terrestrial  telephone  service,  tribal  land  bidding  credits  will  not  be  available  to  winning  bidders  in  Auction  No.  65  under  47  C.  F.  R.    1.2110(  f)(  3). 


 3.  Installment  Payments 
 51.  Installment  payment  plans  will  not  be  available  in  Auction  No.  65. 
 B.  License  Selection 
 52.  In  Auction  No.  65,  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  individual  licenses  from  the  list.  There  will  be  no  opportunity  to  change  license  selection  after  the  short-  form  filing  deadline.  65  It  is  critically  important  that  an  applicant  confirm  its  license 
 selection  before  submitting  its  short-  form  application  because  the  FCC  Auction  System  will  not  accept  bids  on  licenses  that  an  applicant  has  not  selected  on  its  FCC  Form  175. 


 C.  Consortia  and  Joint  Bidding  Arrangements 
 53.  Applicants  will  be  required  to  identify  in  their  short-  form  applications  all  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.  66  Applicants  also  will  be  required  to  certify  under 
 penalty  of  perjury  in  their  short-  form  applications  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  identified  in  the  application,  regarding  the  amount  of  their  bids,  bidding  strategies,  or  the  particular  licenses  on  which  they  will  or  will  not  bid.  67  If  an  applicant  has  had  discussions,  but  has  not  reached  a 
 joint  bidding  agreement  by  the  short-  form  application  filing  deadline,  it  would  not  include  the  names  of  parties  to  the  discussions  on  its  application  and  may  not  continue  such  discussions  with  any  applicants 
 after  the  deadline.  68 


 63  Extending  Wireless  Telecommunications  Services  to  Tribal  Lands,  WT  Docket  No.  99-  266,  Third  Report  and 
 Order,  19  FCC  Rcd  17652,  17652    1  (2004);  Extending  Wireless  Telecommunications  Services  to  Tribal  Lands,  WT  Docket  No.  99-  266,  Report  and  Order  and  Further  Notice  of  Proposed  Rule  Making,  15  FCC  Rcd  11794, 


 11796    1  (2000).  64 
 See  Air-  Ground  Order,  20  FCC  Rcd  at  4431    52-  53;  Air-  Ground  Reconsideration  Order  and  R&  O  at    5-  7.  65 
 47  C.  F.  R.    1.2105(  b)(  2).  66 
 47  C.  F.  R.    1.  2105(  a)(  2)(  viii),  (c)(  1).  67 
 47  C.  F.  R.    1.2105(  a)(  2)(  ix).  68 
 See  supra  Section  I.  B.  2  Prohibition  of  Collusion. 
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 54.  After  the  filing  of  short-  form  applications,  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  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.  69  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.  70 


 D.  Ownership  Disclosure  Requirements 
 55.  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  Commissions  rules.  71  Specifically,  in 


 completing  the  short-  form  application,  applicants  will  be  required  to  fully  disclose  information  on  the  real  party  or  parties  in  interest  and  ownership  structure  of  the  applicant. 


 56.  An  applicants  most  current  ownership  information  on  file  with  the  Commission,  if  in  an  electronic  format  compatible  with  the  short-  form  application  (FCC  Form  175)  (such  as  information 
 submitted  in  an  on-  line  FCC  Form  602  or  in  an  FCC  Form  175  filed  for  a  previous  auction),  will  automatically  be  entered  into  the  applicants  short-  form  application.  Applicants  are  responsible  for 
 ensuring  that  the  information  submitted  in  their  FCC  Form  175  is  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  the  short-  form  application.  Applicants  can  update  any  information  that  needs  to  be  changed  directly  in  the  short-  form  application. 


 E.  Bidding  Credit  Revenue  Disclosures 
 57.  To  determine  which  applicants  qualify  for  bidding  credits  as  small  businesses  or  very  small  businesses,  the  Commission  considers  the  gross  revenues  of  the  applicant,  its  affiliates,  its  controlling 


 interests,  and  the  affiliates  of  its  controlling  interests.  72  Therefore,  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  of  each  of  the  following  for  the  preceding  three  years:  (1)  the  applicant,  (2)  its  affiliates,  (3)  its  controlling  interests,  and 
 (4)  the  affiliates  of  its  controlling  interests.  73  Certification  that  the  average  annual  gross  revenues  of  such  entities  and  individuals  for  the  preceding  three  years  do  not  exceed  the  applicable  limit  is  not 
 sufficient.  In  order  to  comply  with  the  Commissions  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 


 69  47  C.  F.  R.    1.2105(  c)(  4)(  i),  (ii). 
 70  See  supra  Section  I.  B.  2  Prohibition  of  Collusion. 
 71  47  C.  F.  R.    1.2105  requires  the  disclosure  on  the  short-  form  of  the  applicants  ownership  information  as  set  forth 
 in  47  C.  F.  R.    1.  2112.  72 
 47  C.  F.  R.    1.2110(  b);  see  also  Part  1  Fifth  Report  and  Order,  15  FCC  Rcd  at  15323-  27,    59-  67.  73 
 47  C.  F.  R.    1.2110(  b). 
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 [or]  very  small  business  as  those  terms  are  defined  in  the  service-  specific  rules.  80  Thus,  each  member  of  a  consortium  of  small  or  very  small  businesses  that  applies  to  participate  in  Auction  No.  65  must 
 individually  meet  the  definition  of  small  business  or  very  small  business  adopted  by  the  Commission  for  the  800  MHz  Air-  Ground  Radiotelephone  Service.  81  Each  consortium  member  must  disclose  its  gross 
 revenues  along  with  those  of  its  affiliates,  its  controlling  interests,  and  the  affiliates  of  its  controlling  interests.  Although  the  gross  revenues  of  the  consortium  members  will  not  be  aggregated  for  purposes  of 
 determining  the  consortiums  eligibility  as  a  small  business  or  very  small  business,  82  this  information  must  be  provided  to  ensure  that  each  individual  consortium  member  qualifies  for  any  bidding  credit 
 awarded  to  the  consortium.  83 
 F.  Provisions  Regarding  Former  and  Current  Defaulters 
 61.  Each  applicant  must  state  under  penalty  of  perjury  on  its  short-  form  application  whether  or  not  the  applicant,  its  affiliates,  its  controlling  interests,  and  the  affiliates  of  its  controlling  interests,  as 


 defined  by  Section  1.2110,  84  have  ever  been  in  default  on  any  Commission  licenses  or  have  ever  been  delinquent  on  any  non-  tax  debt  owed  to  any  Federal  agency.  85  In  addition,  each  applicant  must  certify 
 under  penalty  of  perjury  on  its  short-  form  application  that,  as  of  the  short-  form  filing  deadline,  the  applicant,  its  affiliates,  its  controlling  interests,  and  the  affiliates  of  its  controlling  interests,  as  defined  by 
 Section  1.2110,  are  not  in  default  on  any  payment  for  Commission  licenses  (including  down  payments)  and  that  they  are  not  delinquent  on  any  non-  tax  debt  owed  to  any  Federal  agency.  86  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. 
 62.  Former  defaulters    i.  e.,  applicants,  including  any  of  their  affiliates,  any  of  their  controlling  interests,  or  any  of  the  affiliates  of  their  controlling  interests,  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.  65,  provided  that  they  are  otherwise  qualified.  However,  as  discussed  infra  in  Section  III.  D.  3,  former  defaulters  are  required  to  pay  upfront  payments  that  are  50  percent  more  than 
 the  normal  upfront  payment  amounts.  87 
 63.  Current  defaulters    i.  e.,  applicants,  including  any  of  their  affiliates,  any  of  their  controlling  interests,  or  any  of  the  affiliates  of  their  controlling  interests,  that  are  in  default  on  any 


 payment  for  any  Commission  licenses  (including  down  payments)  or  are  delinquent  on  any  non-  tax  debt 


 80  47  C.  F.  R.    1.2110(  c)(  6). 
 81  Air-  Ground  Reconsideration  Order  and  R&  O  at    33. 
 82  47  C.  F.  R.    1.  2110(  b)(  3)(  i). 
 83  The  recently  adopted  CSEA/  Part  1  Report  and  Order  will  modify  the  procedure  by  which  a  consortium  that  is  a 
 winning  bidder  will  apply  for  a  license.  See  CSEA/  Part  1  Report  and  Order  at    51-  52.  Applicants  applying  as  consortia  should  review  the  CSEA/  Part  1  Report  and  Order  to  understand  how  the  members  of  the  consortia  will 


 apply  for  a  license  in  the  event  they  are  winning  bidders.  84 
 47  C.  F.  R.    1.2110.  85 
 47  C.  F.  R.    1.2105(  a)(  2)(  xi);  Part  1  Fifth  Report  and  Order,  15  FCC  Rcd  at  15317    42  and  n.  142.  86 
 47  C.  F.  R.    1.2105(  a)(  2)(  x);  Part  1  Fifth  Report  and  Order,  15  FCC  Rcd  at  15317    42. 
 87  47  C.  F.  R.    1.2106(  a). 
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 owed  to  any  Federal  agency  as  of  the  filing  deadline  for  applications  to  participate  in  this  auction    are  not  eligible  to  bid  in  Auction  No.  65.  88 
 64.  Applicants  are  encouraged  to  review  the  Bureaus  previous  guidance  on  default  and  delinquency  disclosure  requirements  in  the  context  of  the  short-  form  application  process.  89  For  example, 
 it  has  been  determined  that  to  the  extent  that  Commission  rules  permit  late  payment  of  regulatory  or  application  fees  accompanied  by  late  fees,  such  debts  will  become  delinquent  for  purposes  of  Sections 
 1.2105(  a)  and  1.2106(  a)  only  after  the  expiration  of  a  final  payment  deadline.  90  Therefore,  with  respect  to  regulatory  or  application  fees,  the  sanctions  Sections  1.2105(  a)  and  1.2106(  a)  impose  with  respect  to 
 competitive  bidding  are  limited  to  circumstances  in  which  the  relevant  party  has  not  complied  with  a  final  Commission  payment  deadline.  91 


 65.  The  Commission  considers  outstanding  debts  owed  to  the  United  States  Government,  in  any  amount,  to  be  a  serious  matter.  The  Commission  adopted  rules,  including  a  provision  referred  to  as 
 the  "red  light  rule,"  that  implement  the  Commission's  obligations  under  the  Debt  Collection  Improvement  Act  of  1996,  which  governs  the  collection  of  claims  owed  to  the  United  States.  92  Under  the  red  light  rule, 
 the  Commission  will  not  process  applications  and  other  requests  for  benefits  filed  by  parties  that  have  outstanding  debts  owed  to  the  Commission.  In  the  same  rulemaking  order,  the  Commission  explicitly 
 declared,  however,  that  the  Commission's  competitive  bidding  rules  "are  not  affected"  by  the  red  light  rule.  93  As  a  consequence,  the  Commission's  adoption  of  the  red  light  rule  does  not  alter  the  applicability 
 of  any  of  the  Commission's  competitive  bidding  rules,  including  the  provisions  and  certifications  of  Sections  1.2105  and  1.2106,  with  regard  to  current  and  former  defaults  or  delinquencies.  Applicants  are 
 reminded,  however,  that  the  Commissions  Red  Light  Display  System,  which  provides  information  regarding  debts  owed  to  the  Commission,  may  not  be  determinative  of  an  auction  applicants  ability  to 


 88  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   
 42  and  n.  142  (  If  any  one  of  an  applicants  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.) 


 89  See  WTB  Reminds  Prospective  Broadband  PCS  Spectrum  Auction  Applicants  of  Default  and  Delinquency 
 Disclosure  Requirements,  Public  Notice,  19  FCC  Rcd  21920  (WTB  2004)  (  Auction  Default  Disclosure  Public  Notice).  This  public  notice  may  be  found  at  http://  wireless.  fcc.  gov/  auctions/  58/. 


 90  See  Letter  to  Cheryl  A.  Tritt,  Esq.,  Morrison  and  Foerster,  LLP,  from  Margaret  Wiener,  Chief,  Auctions  and 
 Spectrum  Access  Division,  19  FCC  Rcd  22907  (WTB  2004)  (clarifying  the  term  debt  or  non-  tax  debt  as  referenced  in  47  C.  F.  R.    1.  2105(  a)  and  1.  2106(  a)).  This  letter  may  be  found  at  http://  wireless.  fcc.  gov/  auctions/  58/. 


 91  Even  where  Commission  rules  expressly  permit  late  payment,  subject  to  payment  of  an  additional  late  fee,  and  do 
 not  impose  a  final  payment  deadline,  the  Commission  may  in  some  cases  issue  a  demand  for  payment  by  a  date  certain.  See  47  C.  F.  R.    1.  1164(  a).  Failure  to  comply  with  the  terms  of  a  particular  demand  letter  in  the  time  period 


 provided  may  render  the  subject  debt  delinquent,  notwithstanding  rules  generally  permitting  late  payment.  92 
 Amendment  of  Part  0  and  1  of  the  Commission's  Rules;  Implementation  of  the  Debt  Collection  Improvement  Act  of  1996  and  Adoption  of  Rules  Governing  Applications  or  Requests  for  Benefits  by  Delinquent  Debtors,  MD 


 Docket  No.  02-  339,  Report  and  Order,  19  FCC  Rcd  6540  (2004)  (implementing  Pub.  L.  No.  104-  134,  110  Stat.  1321,  1358  (1996))  (  Debt  Collection  Report  and  Order). 


 93  Debt  Collection  Report  and  Order,  19  FCC  Rcd  at  6541  n.  11.  Footnote  11  specifically  mentions  47  C.  F.  R.   
 1.2105(  a)(  2)(  x)  and  (xi). 
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 comply  with  the  default  and  delinquency  disclosure  requirements  of  47  C.  F.  R.    1.2105.  94  Thus,  while  the  red  light  rule  may  ultimately  prevent  the  processing  of  long-  form  applications  by  auction  winners,  an 
 auction  applicants  red  light  status  is  not  necessarily  determinative  of  its  eligibility  to  participate  in  this  auction  or  to  its  upfront  payment  obligation. 


 66.  Prospective  applicants  for  Auction  No.  65  should  note  that  all  long-  form  applications  filed  after  the  close  of  competitive  bidding  will  be  reviewed  for  compliance  with  the  Commissions  red  light 
 rule,  95  and  such  review  may  result  in  the  dismissal  of  a  winning  bidder's  long-  form  application.  96 
 G.  Other  Information 
 67.  Applicants  owned  by  members  of  minority  groups  and/  or  women,  as  defined  in  Section  1.2110(  c)(  3),  97  may  identify  themselves  in  filling  out  their  short-  form  applications  regarding  this  status. 


 This  applicant  status  information  is  collected  for  statistical  purposes  only  and  assists  the  Commission  in  monitoring  the  participation  of  designated  entities  in  its  auctions.  98 


 H.  Minor  Modifications  to  Short-  Form  Applications  (FCC  Form  175) 
 68.  After  the  deadline  for  filing  short-  form  applications  (FCC  Forms  175)  at  6:  00  p.  m.  ET  on  March  24,  2006,  applicants  are  permitted  to  make  only  minor  changes  to  their  applications.  Applicants 


 are  not  permitted  to  make  major  modifications  to  their  applications  (e.  g.,  change  their  license  selections,  change  control  of  the  applicant,  or  claim  eligibility  for  a  higher  bidding  credit).  99  Permissible  minor 
 changes  include,  for  example,  deletion  and  addition  of  authorized  bidders  (to  a  maximum  of  three)  and  revision  of  addresses  and  telephone  numbers  of  the  applicants  and  their  contact  persons. 


 69.  Any  application  amendment  and  related  statements  of  fact  must  be  certified  by:  (1)  the  applicant,  if  the  applicant  is  an  individual,  (2)  one  of  the  partners  if  the  applicant  is  a  partnership,  (3)  an 
 officer,  director,  or  duly  authorized  employee,  if  the  applicant  is  a  corporation,  (4)  a  member  who  is  an  officer,  if  the  applicant  is  an  unincorporated  association,  (5)  the  trustee  if  the  applicant  is  an  amateur  radio 
 service  club,  or  (6)  a  duly  elected  or  appointed  official  who  is  authorized  to  make  such  certifications  under  the  laws  of  the  applicable  jurisdiction,  if  the  applicant  is  a  governmental  entity.  100 


 70.  An  applicant  must  make  permissible  minor  changes  to  its  short-  form  application,  as  such  changes  are  defined  by  Section  1.2105(  b),  on-  line.  Applicants  must  click  on  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. 


 94  See  Auction  Default  Disclosure  Public  Notice,  19  FCC  Rcd  at  21920  (addressing  relationship  between 
 Commissions  Red  Light  Display  System  and  FCC  Form  175  default  and  delinquency  disclosure  requirements  for  auction  applicants). 


 95  See  Debt  Collection  Report  and  Order,  19  FCC  Rcd  6540.  See  also  47  C.  F.  R.    1.  1112. 
 96  Applicants  that  have  their  long-  form  applications  dismissed  will  be  deemed  to  have  defaulted  and  will  be  subject 
 to  default  payments  under  47  C.  F.  R.    1.  2104(  g)  and  1.2109(  c).  97 
 47  C.  F.  R.    1.2110(  c)(  3).  98 
 Designated  entities  are  defined  as  small  businesses,  businesses  owned  by  members  of  minority  groups  and/  or  women,  and  rural  telephone  companies.  47  C.  F.  R.    1.  2110(  a). 


 99  See  47  C.  F.  R.    1.2105(  b). 
 100  See  47  C.  F.  R.    1.917. 
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 71.  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:  auction65@  fcc.  gov.  The  electronic  mail  summarizing  the  changes  must  include  a  subject  or  caption  referring  to  Auction  No.  65  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.  Questions  about  short-  form  application  (FCC  Form  175)  amendments  should  be  directed  to 
 Brian  Carter  of  the  Auctions  and  Spectrum  Access  Division  at  (202)  418-  0660. 
 I.  Maintaining  Current  Information  in  Short-  Form  Applications  (FCC  Form  175) 
 72.  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.  101  Changes  that  cause  a  loss  of  or  reduction  in  eligibility  for  a  bidding  credit  must  be  reported  immediately.  If  an 
 amendment  reporting  substantial  changes  is  a  major  amendment  as  defined  by  47  C.  F.  R.    1.2105,  the  major  amendment  will  not  be  accepted  and  may  result  in  the  dismissal  of  the  short-  form  application.  102 


 III.  PRE-  AUCTION  PROCEDURES 
 A.  Auction  Seminar    March  14,  2006 
 73.  On  Tuesday,  March  14,  2006,  the  FCC  will  conduct  a  seminar  for  parties  interested  in  participating  in  Auction  No.  65  at  the  Federal  Communications  Commission  headquarters,  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 
 800  MHz  Air-  Ground  Radiotelephone  Service  rules.  The  seminar  will  also  provide  an  opportunity  for  prospective  bidders  to  ask  questions  of  FCC  staff. 


 74.  To  register,  complete  the  registration  form  attached  hereto  as  Attachment  B  and  submit  it  by  Monday,  March  13,  2006.  Registrations  are  accepted  on  a  first-  come,  first-  served  basis.  The  seminar 
 is  free  of  charge. 
 75.  For  individuals  who  are  unable  to  attend,  an  Audio/  Video  webcast  of  this  seminar  will  be  available  from  the  FCCs  Auction  65  web  page  at  http://  wireless.  fcc.  gov/  auctions/  65/.  Select  the 


 Auction  Seminar  link. 
 B.  Short-  Form  Application  (FCC  Form  175)    Due  Before  6:  00  p.  m.  ET  on  March  24,  2006 


 76.  In  order  to  be  eligible  to  bid  in  this  auction,  applicants  must  first  submit  an  FCC  Form  175  application  electronically  via  the  FCC  Auction  System.  103  This  application  must  be  received  at  the 
 Commission  prior  to  6:  00  p.  m.  ET  on  March  24,  2006.  Late  applications  will  not  be  accepted.  There  is  no  application  fee  associated  with  filing  an  FCC  Form  175.  However,  to  be  eligible  to  bid,  an  applicant 
 must  submit  an  upfront  payment.  104 
 77.  Applications  may  generally  be  filed  at  any  time  beginning  at  noon  ET  on  March  14,  2006,  until  6:  00  p.  m.  ET  on  March  24,  2006.  Applicants  are  strongly  encouraged  to  file  early  and  are 


 101  47  C.  F.  R.    1.65. 
 102  See  47  C.  F.  R.    1.2105(  b)(  2). 
 103  47  C.  F.  R.    12105(  a). 
 104  See  infra  Section  III.  D  Upfront  Payments    Due  April  17,  2006. 
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 responsible  for  allowing  adequate  time  for  filing  their  applications.  Applicants  may  update  or  amend  their  applications  multiple  times  until  the  filing  deadline  on  March  24,  2006. 
 78.  Applicants  must  always  click  on  the  SUBMIT  button  on  the  Certify  &  Submit  screen  of  the  electronic  form  to  successfully  submit  their  FCC  Form  175  or  modifications  thereto.  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.  FCC  Auctions  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  Technical  Support  are  recorded. 
 C.  Application  Processing  and  Minor  Corrections 
 79.  After  the  deadline  for  filing  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  that  have  minor  defects  that  may  be  corrected,  and  the  deadline  for  resubmitting 
 such  corrected  applications. 
 80.  As  described  more  fully  in  the  Commissions  rules,  after  the  March  24,  2006,  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  control  of  the  applicant,  or  claim  eligibility  for  a  higher  bidding  credit).  105 


 D.  Upfront  Payments    Due  April  17,  2006 
 81.  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  sent  by  facsimile  to  Mellon  Bank  in  Pittsburgh,  PA.  All  upfront  payments  must  be  received  in  the  proper 
 account  at  Mellon  Bank  before  6:  00  p.  m.  ET  on  April  17,  2006. 
 1.  Making  Auction  Payments  by  Wire  Transfer 
 82.  Wire  transfer  payments  must  be  received  before  6:  00  p.  m.  ET  on  April  17,  2006.  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-  1203  Originating  Bank  Information  (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:  A65U)  FCC  CODE  1:  (same  as  FCC  Form  159,  block  28A:  65) 
 PAYER  NAME:  (same  as  FCC  Form  159,  block  2)  LOCKBOX  NO.  #  358425 


 105  47  C.  F.  R.    1.2105(  b);  see  also  Two  Way  Radio  of  Carolina,  Inc.,  Memorandum  Opinion  and  Order,  14  FCC 
 Rcd  12035  (1999). 
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 applicant  itself,  its  affiliates,  its  controlling  interests,  and  affiliates  of  its  controlling  interests,  as  defined  by  Section  1.  2110  of  the  Commissions  rules.  109 
 87.  In  the  Auction  No.  65  Comment  Public  Notice,  we  proposed  an  upfront  payment  amount  of  $100,  000  per  license.  110  We  further  proposed  that  the  amount  of  the  upfront  payment  would  determine  a 
 bidders  bidding  eligibility  in  bidding  units.  For  Auction  No.  65,  we  proposed  to  assign  100,000  bidding  units  per  license.  111  The  number  of  bidding  units  for  a  given  license  is  fixed  and  does  not  change  during 
 the  auction  as  prices  change. 
 88.  Because  the  mutually  incompatible  band  configurations  and  the  three  megahertz  eligibility  restriction  limit  a  bidder  to  winning  only  a  single  license,  we  proposed  to  permit  a  bidder  with  100,000 


 bidding  units  of  eligibility  to  bid  or  be  active  simultaneously  on  any  or  all  of  the  licenses  it  selected  on  its  FCC  Form  175,  rather  than  being  limited  to  activity  on  a  single  license  with  100,000  bidding  units  as  our 
 usual  activity  and  eligibility  rules  would  require.  Under  our  proposal,  an  upfront  payment  of  $100,000,  or  $150,  000  if  the  applicant  is  a  former  defaulter,  112  would  give  a  bidder  100,000  bidding  units  of  eligibility, 
 which  in  turn  would  permit  the  bidder  to  be  active  on  any  or  all  of  the  licenses  it  selected  on  its  FCC  Form  175.  Under  this  proposal,  it  would  be  unnecessary  to  acquire  more  than  100,000  bidding  units  of 
 bidding  eligibility.  We  received  no  comments  concerning  our  proposals  regarding  the  amount  of  upfront  payments  and  the  number  of  bidding  units  for  each  license  available  in  Auction  No.  65. 


 89.  We  adopt  the  above  proposals.  In  order  to  bid  on  a  license,  qualified  bidders  that  applied  for  any  or  all  licenses  on  FCC  Form  175  must  have  eligibility  of  100,000  bidding  units.  Therefore,  an 
 applicant  that  is  not  a  former  defaulter  must  submit  a  total  upfront  payment  of  at  least  $100,000  in  order  to  have  100,000  bidding  units,  or  else  the  applicant  will  not  be  eligible  to  participate  in  the  auction.  An 
 applicant  that  is  a  former  defaulter  must  submit  an  upfront  payment  of  at  least  $150,000  in  order  to  have  100,000  bidding  units.  If  a  former  defaulter  fails  to  submit  an  upfront  payment  of  at  least  $150,000,  the 
 applicant  will  not  be  eligible  to  participate  in  the  auction.  113  If  an  applicant  fails  to  submit  the  upfront  payment  required  to  establish  eligibility  to  bid  in  the  auction  by  the  upfront  payment  deadline,  it 
 will  not  be  permitted  to  establish  such  eligibility  after  the  upfront  payment  deadline. 
 90.  With  100,000  bidding  units  a  bidder  may  be  active  on  any  or  all  licenses  selected  on  its  FCC  Form  175,  although  it  may  win  only  one  license.  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  purchase  100,000  bidding  units.  The  total  upfront  payment  does  not  affect  the  total  dollar 
 amount  a  bidder  may  bid  on  any  given  license. 
 91.  The  upfront  payments  and  bidding  units  for  each  license  are  set  forth  in  Attachment  A  of  this  Public  Notice. 


 109  47  C.  F.  R.    1.2110(  c). 
 110  Auction  No.  65  Comment  Public  Notice  at  6.  In  contrast  to  the  Bureaus  procedures  in  many  auctions,  the 
 minimum  opening  bid  amounts  for  licenses  in  Auction  No.  65  will  not  be  determined  by  the  number  of  bidding  units  per  license.  See  infra  IV.  B.  2.  Reserve  Price  or  Minimum  Opening  Bid. 


 111  Auction  No.  65  Comment  Public  Notice  at  6. 
 112  See  supra  II.  F.  Provisions  Regarding  Former  and  Current  Defaulters. 
 113  47  C.  F.  R.    1.2106(  a). 
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 4.  Applicants  Wire  Transfer  Information  for  Purposes  of  Refunds  of  Upfront  Payments 
 92.  The  Commission  will  use  wire  transfers  for  all  Auction  No.  65  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.  Applicants 
 are  reminded  that  information  submitted  as  part  of  their  FCC  Form  175  will  be  available  to  the  public.  Accordingly,  the  pertinent  information  for  wire  transfers  should  not  be  included  in  the  FCC  Form  175. 
 Wire  Transfer  Instructions  can  also  be  manually  sent  by  facsimile  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.  114  ) 
 Eligibility  for  refunds  is  discussed  in  Section  V.  F.,  below. 
 E.  Auction  Registration 
 93.  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  who  have  timely  submitted  upfront  payments  sufficient  to  make  them  eligible  to  bid. 


 94.  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  SecurID  cards  that  will  be  required  to  place  bids,  the  Integrated  Spectrum  Auction  System  (ISAS)  Bidders  Guide,  and 
 the  Auction  Bidder  Line  phone  number. 
 95.  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,  May  4, 


 2006,  should  call  (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. 


 114  47  C.  F.  R.    1.1910. 
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 96.  In  the  event  that  SecurID  cards  are  lost  or  damaged,  only  a  person  who  has  been  designated  as  an  authorized  bidder,  the  contact  person,  or  the  certifying  official  on  the  applicants  short-  form 
 application  may  request  replacement  registration  material.  Qualified  bidders  requiring  the  replacement  of  these  items  must  call  Technical  Support  at  (877)  480-  3201,  option  nine;  (202)  414-  1250;  or  (202)  414- 
 1255  (TTY). 
 F.  Remote  Electronic  Bidding 
 97.  The  Commission  will  conduct  this  auction  over  the  Internet,  and  telephonic  bidding  will  be  available  as  well.  Qualified  bidders  are  permitted  to  bid  electronically  and  telephonically.  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  Auction  System  (ISAS)  Bidders  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.  65. 


 98.  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. 
 G.  Mock  Auction    May  8,  2006 
 99.  All  qualified  bidders  will  be  eligible  to  participate  in  a  mock  auction  on  Monday,  May  8,  2006.  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. 


 IV.  AUCTION  EVENT 
 100.  The  first  round  of  bidding  for  Auction  No.  65  will  begin  on  Wednesday,  May  10,  2006.  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. 
 A.  Auction  Structure 
 1.  Simultaneous  Multiple  Round  Auction 
 101.  In  the  Auction  No.  65  Comment  Public  Notice,  we  proposed  to  award  all  licenses  in  Auction  No.  65  in  a  simultaneous  multiple  round  auction.  115  We  received  no  comments  on  this  proposal. 


 As  indicated  above,  licenses  will  be  offered  in  three  mutually  incompatible  band  configurations,  and  the  band  plan  that  receives  the  highest  gross  bids  in  the  auction  will  be  implemented.  We  believe  the 
 simultaneous  multiple-  round  auction  is  an  appropriate  auction  design  given  these  circumstances,  and  we  adopt  our  proposal.  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.  Unless  otherwise  announced,  bids  will  be  accepted  on  all  licenses  in  each  round  of  the  auction  until  bidding  stops  on  every  license. 


 2.  Activity  Rule 
 102.  As  explained  above,  under  the  procedures  we  establish  in  this  Public  Notice  for  upfront  payments  and  bidding  eligibility,  the  amount  of  the  upfront  payment  submitted  by  a  bidder  determines  the 


 bidders  bidding  eligibility  in  terms  of  bidding  units.  A  bidder  must  have  100,000  bidding  units  of 
 115  Auction  No.  65  Comment  Public  Notice  at  4. 
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 eligibility  to  participate  in  Auction  No.  65    i.  e.,  to  bid  on  at  least  one  license    and  may  hold  a  maximum  of  100,000  bidding  units  of  eligibility.  Any  reduction  in  a  bidders  eligibility  will  effectively 
 preclude  the  bidder  from  further  bidding  in  the  auction.  116 
 103.  In  order  to  ensure  that  an  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.  For  Auction  No.  65,  we  proposed  the  following  activity  requirement:  in  each  round  of  the  auction,  a  bidder  desiring  to  maintain  its  eligibility  to  participate  in  the  auction  is  required  to  be  active 
 (place  a  bid  or  hold  the  provisionally  winning  bid)  on  at  least  one  license.  117  Under  this  proposal,  failure  to  maintain  the  required  activity  level  has  the  effect  of  eliminating  the  bidder  from  further  bidding  in  the 
 auction  unless  an  activity  rule  waiver  is  used.  We  received  no  comments  on  this  proposal. 
 104.  We  adopt  this  proposal  for  Auction  No.  65  because  we  believe  it  is  an  appropriate  procedure  for  ensuring  that  the  auction  will  proceed  at  a  reasonable  pace.  Thus,  in  Auction  No.  65,  in 


 each  round  of  the  auction,  a  bidder  desiring  to  maintain  its  eligibility  to  participate  in  the  auction  is  required  to  be  active  on  at  least  one  license.  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  or  if  it  submits  a  bid  in  the  current  round.  118  If  a  bidder  fails  to  be  active  on  at  least  one  license  in  a  round,  it  must  use  one 
 of  the  limited  number  of  activity  rule  waivers  allotted  to  it  in  order  to  maintain  its  eligibility  to  continue  bidding  in  the  auction.  If  the  bidder  has  no  activity  rule  waivers  remaining,  its  eligibility  will  be  reduced 
 and  it  will  no  longer  be  permitted  to  place  bids  in  the  auction. 
 3.  Activity  Rule  Waivers 
 105.  In  the  Auction  No.  65  Comment  Public  Notice,  we  proposed  that  each  bidder  in  the  auction  be  provided  with  three  activity  rule  waivers.  119  The  Bureau  received  no  comments  on  this  issue.  We 


 adopt  our  proposal  that  each  bidder  be  provided  with  three  activity  rule  waivers.  We  are  satisfied  that  providing  three  waivers  over  the  course  of  the  auction  will  give  bidders  a  sufficient  number  of  waivers 
 and  flexibility,  while  also  safeguarding  the  integrity  of  the  auction. 
 106.  Bidders  may  use  an  activity  rule  waiver  in  any  round  during  the  course  of  the  auction.  Use  of  an  activity  rule  waiver  preserves  the  bidders  current  bidding  eligibility  despite  the  bidders  failure  to 


 be  active  on  at  least  one  license  in  the  current  round.  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  (a  proactive  waiver)  or  applied  automatically  by  the  FCC  Auction  System  (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. 
 107.  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,  which  in  this  auction  would 


 have  the  effect  of  precluding  the  bidder  from  further  bidding  in  the  auction.  Therefore,  the  system  will 
 116  As  also  explained  above,  100,  000  bidding  units  of  eligibility  will  permit  bidders  to  be  active  on  more  than  one 
 license  in  a  given  round,  although  no  bidder  will  be  permitted  to  win  more  than  a  single  license.  See  supra  Section  III.  D.  3.  Upfront  Payments  and  Bidding  Eligibility. 


 117  Auction  No.  65  Comment  Public  Notice  at  7.  The  activity  rules  in  most  FCC  auctions  require  that  bidders  be 
 active  on  a  certain  percentage  of  their  eligibility,  and  the  required  percentage  increases  one  or  more  times  during  the  auction  in  a  series  of  stages.  The  requirement  we  proposed  for  Auction  No.  65  corresponds  to  a  single  stage  auction 


 with  a  100  percent  activity  requirement.  118 
 See  infra  IV.  B.  4.  Provisionally  Winning  Bids;  IV.  B.  3.  Minimum  Acceptable  Bid  Amounts  and  Bid  Increment  Amounts. 


 119  Auction  No.  65  Comment  Public  Notice  at  7-  8. 
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 automatically  apply  a  waiver  at  the  end  of  any  bidding  round  in  which  a  bidder  fails  to  be  active  (place  a  bid  or  hold  the  provisionally  winning  bid)  on  at  least  one  license  unless  the  bidder  has  no  activity  rule 
 waivers  available.  If  a  bidder  has  no  waivers  remaining  and  does  not  satisfy  the  required  activity  requirement,  it  will  no  longer  be  permitted  to  place  bids  in  the  auction. 


 108.  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  are  submitted,  the  auction  will  remain  open  and  the  bidders  eligibility  will  be  preserved.  However,  an  automatic  waiver 
 applied  by  the  FCC  Auction  System  in  a  round  in  which  there  are  no  new  bids  will  not  keep  the  auction  open.  A  bidder  cannot  submit  a  proactive  waiver  after  submitting  a  bid  in  a  round,  and  submitting  a 
 proactive  waiver  will  preclude  a  bidder  from  placing  any  bids  in  that  round.  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. 
 4.  Auction  Stopping  Rules 
 109.  For  Auction  No.  65,  the  Bureau  proposed  to  employ  a  simultaneous  stopping  rule  approach.  120  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  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. 
 110.  The  Bureau  further  proposed  retaining  the  discretion  to  keep  the  auction  open  even  if  no  new  bids  or  proactive  waivers  are  submitted.  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. 


 111.  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. 
 112.  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.  121  We  noted  that  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. 


 113.  We  received  no  comments  concerning  the  auction  stopping  rules.  We  believe  that  the  proposed  stopping  rules  are  appropriate  for  Auction  No.  65,  because  our  experience  in  prior  auctions 
 demonstrates  that  these  stopping  rules  balance  the  interests  of  administrative  efficiency  and  maximum  bidder  participation.  Therefore,  we  adopt  the  above  proposals.  Auction  No.  65  will  begin  under  the 
 simultaneous  stopping  rule  approach,  and  the  Bureau  will  retain  the  discretion  to  employ  the  other  versions  of  the  stopping  rule. 


 120  Id.  at  5-  6. 
 121  Id. 
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 5.  Auction  Delay,  Suspension,  or  Cancellation 
 114.  In  the  Auction  No.  65  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.  122  We  received  no  comments  on  this  issue. 
 115.  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. 
 B.  Bidding  Procedures 
 1.  Round  Structure 
 116.  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. 
 117.  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. 


 2.  Reserve  Price  or  Minimum  Opening  Bid 
 118.  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.  123  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.  124 
 Among  other  factors,  the  Bureau  must  consider  the  amount  of  spectrum  being  auctioned,  levels  of  incumbency,  the  availability  of  technology  to  provide  service,  the  extent  of  interference  with  other 
 spectrum  bands,  and  any  other  relevant  factors  that  could  have  an  impact  on  the  spectrum  licenses  being 


 122  Id.  at  6. 
 123  47  U.  S.  C.    309(  j)(  4)(  F). 
 124  See  Amendment  of  Part  1  of  the  Commissions  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). 
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 auctioned.  125  The  Commission  concluded  that  the  Bureau  should  have  the  discretion  to  employ  either  or  both  of  these  mechanisms  for  future  auctions.  126 
 119.  In  the  Auction  No.  65  Comment  Public  Notice,  the  Bureau  proposed  to  establish  minimum  opening  bids  and  an  aggregate  reserve  price  for  Auction  No.  65,  and  to  retain  the  discretion  to  lower  the 
 minimum  opening  bids.  127  Specifically,  for  Auction  No.  65,  the  Bureau  proposed  to  set  minimum  opening  bids  for  each  license  and  to  establish  a  published  aggregate  reserve  price  for  the  entire  band. 
 Under  the  proposal  for  an  aggregate  reserve  price,  if  the  sum  of  the  provisionally  winning  gross  bids  at  the  close  of  bidding  did  not  meet  or  exceed  the  aggregate  reserve  price,  the  Commission  would  cancel  the 
 auction  and  no  licenses  would  be  awarded. 
 120.  More  specifically,  for  Auction  No.  65,  we  proposed  to  set  minimum  opening  bids  on  a  license-  by-  license  basis  as  follows: 


 Licenses  Bandwidth  Minimum  Opening  Bid  A  and  B  3  MHz  (2  MHz  shared)  $1,500,000 
 C  and  F  3  MHz  $2,800,000  D  and  E  1  MHz  $200,  000 


 121.  We  also  proposed  to  establish  a  published  reserve  price  of  $5,000,000  for  the  entire  band. 
 122.  In  the  alternative,  the  Bureau  sought  comment  on  whether,  consistent  with  Section  309(  j),  the  public  interest  would  be  served  by  having  no  minimum  opening  bid  or  reserve  price.  128 


 123.  Verizon  Airfone  filed  comments  supporting  the  Bureaus  proposed  minimum  opening  bids  but  opposing  the  use  of  a  reserve  price  in  Auction  No.  65.  According  to  Verizon  Airfone,  the  Bureau  has 
 no  historical  data  on  which  to  base  its  proposed  reserve  price,  and  it  should  let  the  marketplace  decide  the  value  of  the  licenses  being  auctioned.  Verizon  Airfone  further  argues  that  if  the  Bureau  deems  a  reserve 
 price  to  be  necessary,  it  should  set  reserve  prices  for  each  individual  license  rather  than  an  aggregate  reserve  price  for  the  band  because  one  license  is  likely  to  be  valued  more  highly  than  the  other  and  a 
 bidder  for  the  more  highly  valued  license  could  be  responsible  for  a  disproportionate  amount  of  any  aggregate  reserve  price.  129 


 124.  We  adopt  our  proposed  minimum  opening  bids.  The  minimum  opening  bid  amounts  we  adopt  for  Auction  No.  65  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  have  used  all  of  their  activity  waivers.  During  the  course  of  the  auction,  the  Bureau  will  not  entertain  requests  to 
 reduce  the  minimum  opening  bid  amount  on  specific  licenses. 
 125.  We  do  not  adopt  our  proposal  for  an  aggregate  reserve  price.  We  recognize  that,  although  a  reserve  price  might  be  useful  in  meeting  our  obligation  under  Section  309(  j)(  3)(  C)  of  the 


 Communications  Act  to  attempt  to  recover  for  the  public  a  portion  of  the  value  of  the  spectrum,  130  there 


 125  Id. 
 126  Id. 
 127  Auction  No.  65  Comment  Public  Notice  at  8-  9. 
 128  Id.  at  9. 
 129  Verizon  Airfone  Comments,  filed  January  31,  2006. 
 130  47  C.  F.  R.    309(  j)(  3)(  C). 
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 are  insufficient  data  to  use  to  determine  an  appropriate  reserve  price  for  licenses  to  provide  air-  ground  services.  We  therefore  conclude  that  we  should  not  establish  a  reserve  price  for  this  auction. 
 126.  The  minimum  opening  bid  amounts  for  each  license  available  in  Auction  No.  65  are  set  forth  in  Attachment  A. 
 3.  Minimum  Acceptable  Bid  Amounts  and  Bid  Increment  Amounts 
 127.  The  minimum  acceptable  bid  amount  for  a  license  will  be  equal  to  its  minimum  opening  bid  amount  until  the  bids  placed  enable  the  FCC  Auction  System  to  calculate  a  higher  price  for  the 


 license.  If  such  a  price  can  be  calculated,  the  minimum  acceptable  bid  amount  for  the  license  will  be  determined  in  a  two-  step  process: 


 1.  The  FCC  Auction  System  designates  a  price  for  each  license.  For  licenses  with  provisionally  winning  bids,  this  price  will  be  equal  to  the  amount  of  the  provisionally 
 winning  bid.  For  non-  provisionally  winning  licenses,  the  price  will  be  equal  to  the  amount  of  the  highest  bid  placed  on  the  license  by  any  non-  provisionally  winning  bidder.  131 


 2.  The  price  is  increased  using  the  minimum  acceptable  bid  percentage  to  determine  the  minimum  acceptable  bid. 
 128.  Specifically,  the  minimum  acceptable  bid  amount  will  be  calculated  by  multiplying  the  license  price  times  one  plus  the  minimum  acceptable  bid  percentage.  For  example,  if  the  minimum 
 acceptable  bid  percentage  is  5  percent,  the  minimum  acceptable  bid  amount  will  equal  (license  price)  *  (1.05),  rounded. 


 129.  In  the  Auction  No.  65  Comment  Public  Notice,  we  proposed  to  use  a  minimum  acceptable  bid  percentage  of  5  percent.  132  We  received  no  comment  on  this  issue.  We  believe  that  a  minimum 
 acceptable  bid  percentage  of  5  percent  will  permit  bidders  to  express  their  values  while  allowing  the  auction  to  proceed  at  an  appropriate  pace.  We  therefore  adopt  our  proposal,  and  we  will  begin  the  auction 
 with  a  minimum  acceptable  bid  percentage  of  5  percent.  We  will  round  the  result  using  our  standard  rounding  procedures.  133 


 130.  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.  134  The  FCC  Auction  System  will  list  the  nine 
 acceptable  bid  amounts  for  each  license.  135  These  nine  acceptable  bid  amounts  consist  of  the  minimum  acceptable  bid  amount  for  the  license  and  additional  amounts  calculated  using  the  minimum  acceptable 
 bid  amount  and  the  bid  increment  percentage.  The  first  additional  acceptable  bid  amount  equals  the  minimum  acceptable  bid  amount  times  one  plus  the  bid  increment  percentage,  rounded.  For  example,  if 


 131  If  the  only  bid  placed  on  a  non-  provisionally  winning  license  was  placed  by  a  bidder  holding  a  provisionally 
 winning  bid  on  a  different  license,  a  price  cannot  be  calculated  and  the  minimum  acceptable  bid  is  the  minimum  opening  bid,  as  described  above. 


 132  Auction  No.  65  Comment  Public  Notice  at  10. 
 133  Under  our  standard  rounding  procedures,  results  are  rounded  as  follows:  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. 


 134  Bidders  must  have  sufficient  eligibility  to  bid  in  the  auction.  See  supra  Section  III.  D.  3  Upfront  Payments  and 
 Bidding  Eligibility.  135 
 In  the  event  of  duplicate  bid  amounts  due  to  rounding,  the  FCC  Auction  System  will  omit  the  duplicates  and  will  list  fewer  than  nine  acceptable  bid  amounts  for  the  license. 
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 the  bid  increment  percentage  is  5  percent,  the  calculation  is  (minimum  acceptable  bid  amount)  *  (1  +  0.05),  rounded,  or  (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.  Note  that  the 
 bid  increment  percentage  need  not  be  the  same  as  the  minimum  acceptable  bid  percentage. 
 131.  In  the  Auction  No.  65  Comment  Public  Notice,  we  proposed  to  use  a  bid  increment  percentage  of  5  percent.  136  We  received  no  comment  on  this  issue.  We  believe  that  a  bid  increment 


 percentage  of  5  percent  will  give  bidders  the  flexibility  to  speed  up  the  pace  of  the  auction,  if  appropriate.  We  therefore  adopt  our  proposal,  and  we  will  begin  the  auction  using  a  bid  increment  percentage  of  5 
 percent.  We  will  round  the  results  using  our  standard  rounding  procedures.  137 
 132.  In  the  Auction  No.  65  Comment  Public  Notice,  we  proposed  to  retain  the  discretion  to  change  the  minimum  acceptable  bid  amounts,  the  minimum  acceptable  bid  percentage,  the  bid  increment 


 percentage,  and  the  number  of  acceptable  bid  amounts  if  we  determine  that  circumstances  so  dictate.  138  No  comments  were  received  on  this  issue.  We  adopt  this  proposal.  Therefore,  the  Bureau  retains  the 
 discretion  to  change  the  minimum  acceptable  bid  amounts,  the  minimum  acceptable  bid  percentage,  the  bid  increment  percentage,  and  the  number  of  acceptable  bid  amounts  if  it  determines  that  circumstances 
 so  dictate.  The  Bureau  will  do  so  by  announcement  in  the  FCC  Auction  System  during  the  auction.  The  Bureau  may  also  use  its  discretion  to  adjust  the  minimum  bid  increment  amount  without  prior  notice  if 
 circumstances  warrant. 
 4.  Provisionally  Winning  Bids 
 133.  At  the  end  of  each  bidding  round,  the  FCC  Auction  System  will  determine  the  provisionally  winning  bids  by  considering  all  of  the  bids  that  have  been  placed  in  the  auction.  Subject  to  the  restriction 


 that  a  single  bidder  cannot  have  more  than  one  provisionally  winning  bid,  the  system  will  determine  which  combinations  of  licenses,  and  hence,  which  band  plan  option,  has  the  highest  aggregate  gross  bid 
 amount.  139  The  only  licenses  that  can  have  provisionally  winning  bids  are  those  of  the  band  plan  option  with  the  highest  gross  bid;  the  licenses  of  the  other  band  plan  options  will  not  have  provisionally  winning 
 bids. 
 134.  In  the  Auction  No.  65  Comment  Public  Notice,  the  Bureau  proposed  to  use  a  random  number  generator  to  select  a  single  bid  from  among  the  tied  gross  bids,  if  a  provisionally  winning  bid 


 must  be  selected  from  among  identical  bids  amounts  submitted  on  a  license  in  a  given  round  (i.  e.,  tied  bids).  140  No  comments  were  received  on  this  proposal.  Therefore,  the  Bureau  adopts  its  proposal.  A 
 pseudo-  random  number  generator  based  on  the  LEcuyer  algorithms  will  be  used  to  assign  a  random 
 136  Auction  No.  65  Comment  Public  Notice  at  10. 
 137  Under  our  standard  rounding  procedures,  results  are  rounded  as  follows:  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. 


 138  Auction  No.  65  Comment  Public  Notice  at  10. 
 139  In  determining  the  provisionally  winning  bids,  the  system  will  not  consider  combinations  of  bids  in  which  the 
 same  bidder  placed  a  bid  for  both  licenses  in  a  band  plan.  It  will  consider  those  bids  in  combination  with  the  bids  of  other  bidders,  however,  even  if  the  bids  of  other  bidders  were  placed  in  previous  rounds.  For  example,  if  Bidder  1 


 places  bids  on  both  licenses  A  and  B,  the  system  will  consider  Bidder  1s  bid  on  A  combined  with  bids  on  B  placed  by  other  bidders,  and  Bidder  1s  bid  on  B  combined  with  bids  on  A  placed  by  other  bidders. 


 140  Auction  No.  65  Comment  Public  Notice  at  10. 
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 number  to  each  bid.  141  The  tied  gross  bid  with  the  highest  random  number  wins  the  tiebreaker.  The  remaining  bidders,  as  well  as  the  provisionally  winning  bidder,  can  submit  higher  bids  in  subsequent 
 rounds.  However,  if  the  auction  were  to  end  with  no  other  bids  being  placed,  the  winning  bidder  would  be  the  one  that  placed  the  selected  provisionally  winning  bid. 


 135.  Similarly,  in  the  event  of  identical  aggregate  high  gross  bid  amounts  on  more  than  one  band  plan  (i.  e.,  tied  band  plans),  the  tie  between  band  plans  will  be  broken  based  on  the  random  numbers  of  the 
 corresponding  bids.  The  tied  band  plan  with  the  highest  sum  of  random  numbers  will  become  the  band  plan  for  which  there  are  provisionally  winning  bids. 


 136.  A  consequence  of  the  mutually  incompatible  band  configurations  and  the  three  megahertz  eligibility  restriction  is  that  a  bid  that  does  not  become  a  provisionally  winning  bid  at  the  conclusion  of 
 the  round  in  which  it  was  placed  may  become  a  provisionally  winning  bid  at  the  conclusion  of  a  subsequent  round.  For  example,  assume  that  Bidder  1  places  a  bid  on  License  A  in  round  1,  and  that  the 
 provisionally  winning  bids  at  the  conclusion  of  round  1  are  for  Licenses  C  and  D.  If  another  bidder  places  a  bid  on  License  B  in  a  later  round  that,  together  with  Bidder  1s  round  1  bid  on  License  A, 
 produces  the  highest  aggregate  gross  bid  amount  on  a  band  plan,  then  Bidder  1s  round  1  bid  on  License  A  and  the  other  bidders  later  bid  on  License  B  would  become  the  provisionally  winning  bids.  This  could 
 happen  after  many  intervening  rounds  even  if  Bidder  1  is  no  longer  eligible  to  bid.  142  Moreover,  this  could  happen  even  if  there  are  bids  on  License  A  that  are  higher  than  Bidder  1s  because  no  bidder  may 
 win  more  than  one  license. 
 137.  Bidders  are  reminded  that  provisionally  winning  bids  count  toward  activity  for  purposes  of  the  activity  rule.  143 


 5.  Bidding 
 138.  During  a  round,  a  bidder  may  submit  bids  for  as  many  licenses  as  it  wishes  (providing  that  it  is  eligible  to  bid)  or  remove  bids  placed  in  the  current  bidding  round.  Bidders  also  have  the  option  of 


 submitting  and  removing  multiple  bids  during  a  round.  If  a  bidder  submits  multiple  bids  for  a  single  license  in  the  same  round,  the  system  takes  the  last  bid  entered  as  that  bidders  bid  for  the  round. 


 139.  All  bidding  will  take  place  remotely  either  through  the  FCC  Auction  System  or  by  telephonic  bidding.  There  will  be  no  on-  site  bidding  during  Auction  No.  65.  Please  note  that  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. 
 140.  A  bidders  ability  to  bid  on  specific  licenses  is  determined  by  two  factors:  (1)  the  licenses  applied  for  on  the  bidders  FCC  Form  175  and  (2)  the  bidders  eligibility.  The  bid  submission  screens 


 will  allow  bidders  to  submit  bids  on  only  those  licenses  for  which  the  bidder  applied  on  its  FCC  Form  175. 


 141  A  description  of  the  LEcuyer  algorithms  can  be  found  in  LEcuyer,  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  authors  website 


 at  http://  www.  iro.  umontreal.  ca/~  lecuyer/  papers.  html.  142 
 A  bidder  will  not  have  its  bidding  eligibility  restored  if  it  has  lost  eligibility  but  in  a  later  round  has  a  bid  (placed  previously)  become  a  provisionally  winning  bid.  In  other  words,  while  holding  a  provisionally  winning  bid  allows  a 


 bidder  to  maintain  bidding  eligibility,  holding  a  provisionally  winning  bid  does  not  restore  bidding  eligibility  that  has  been  lost.  Nevertheless,  a  bidder  that  has  lost  eligibility  may  win  a  license  based  on  a  bid  placed  prior  to  losing 
 eligibility.  143 
 See  supra  Section  IV.  A.  2  Activity  Rules. 
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 141.  In  order  to  access  the  bidding  function  of  the  FCC  Auction  System,  bidders  must  be  logged  in  during  the  bidding  round  using  the  passcode  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. 


 142.  In  each  round,  eligible  bidders  will  be  able  to  place  bids  on  a  given  license  in  any  of  nine  different  amounts.  144  For  each  license,  the  FCC  Auction  System  will  list  the  nine  acceptable  bid  amounts 
 in  a  drop-  down  box.  145  Bidders  use  the  drop-  down  box  to  select  from  among  the  acceptable  bid  amounts.  The  FCC  Auction  System  also  includes  an  upload  function  that  allows  bidders  to  upload  text  files 
 containing  bid  information. 
 143.  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  are  bids  on  a  license,  minimum 


 acceptable  bids  for  a  license  will  be  determined  as  described  in  Section  IV.  B.  3. 
 144.  Finally,  bidders  are  cautioned  to  select  their  bid  amounts  carefully  because,  as  explained  below,  although  bids  can  be  removed  before  the  round  ends,  no  withdrawals  will  be  allowed  in  Auction 


 No.  65,  even  if  a  bid  was  mistakenly  or  erroneously  made. 
 6.  Bid  Removal  and  Bid  Withdrawal 
 145.  In  the  Auction  No.  65  Comment  Public  Notice,  the  Bureau  proposed  bid  removal  and  bid  withdrawal  procedures.  146  With  respect  to  bid  withdrawals,  the  Bureau  proposed  that  bidders  not  be 


 permitted,  in  any  round,  to  withdraw  bids  made  in  previous  rounds.  We  received  no  comments  on  this  issue. 


 146.  The  Commission  has  recognized  that  bid  withdrawals  may  be  an  important  tool  to  help  bidders  avoid  incomplete  aggregations  of  licenses  and  pursue  efficient  backup  strategies  as  information 
 becomes  available  during  the  course  of  an  auction.  147  In  Auction  No.  65,  however,  bidders  may  win  only  one  license  and  therefore  will  not  face  risks  of  being  unable  to  secure  desired  aggregations  of  licenses.  In 
 addition,  we  believe  that  given  the  small  number  of  licenses  in  the  auction  and  the  nature  of  the  licenses  being  offered,  bidders  will  not  need  to  use  bid  withdrawals  to  pursue  backup  strategies  in  the  same  way 
 bidders  may  need  to  do  in  some  auctions.  Moreover,  in  previous  auctions,  we  have  observed  instances  in  which  bid  withdrawals  arguably  may  have  been  used  for  strategic,  anticompetitive  purposes.  While  we 
 continue  to  recognize  that  bid  withdrawals  may  play  an  important  role  in  an  auction,  we  note  that  bid  withdrawals  have  not  been  available  in  several  auctions.  148  Therefore,  the  Bureau  adopts  its  proposal. 


 147.  With  respect  to  bid  removals  during  the  course  of  a  bidding  round,  the  Bureau  proposed  that  bidders  have  the  option  of  removing  any  bid  placed  in  a  particular  round  before  the  close  of  that 
 round.  We  believe  that  providing  this  option  will  enhance  bidder  flexibility  during  the  auction,  without  creating  the  opportunities  for  anticompetitive  behavior  that  can  be  associated  with  withdrawals  of  bids 


 144  Bidders  must  have  sufficient  eligibility  to  bid  in  the  auction.  See  supra  Section  III.  D.  3  Upfront  Payments  and 
 Bidding  Eligibility  regarding  bidding  eligibility  and  Section  IV.  B.  3.  Minimum  Acceptable  Bid  Amounts  and  Bid  Increment  Amounts  regarding  the  nine  acceptable  bid  amounts  for  each  license. 


 145  In  the  event  of  duplicate  bid  amounts  due  to  rounding,  the  FCC  Auction  System  will  omit  the  duplicates  and  will 
 list  fewer  than  nine  acceptable  bid  amounts  for  the  license.  146 
 Auction  No.  65  Comment  Public  Notice  at  11.  147 
 Part  1  Third  Report  and  Order,  13  FCC  Rcd  at  459-  60    150.  148 
 For  example,  bidders  were  not  permitted  to  withdraw  bids  after  the  close  of  a  bidding  round  in  Auction  No.  32  (Broadcast),  Auction  No.  38  (700  MHz  Guard  Band),  Auction  No.  46  (1670-  1675  MHz  Band),  and  Auction  No.  54 


 (Broadcast). 
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 placed  in  previous  rounds,  and  therefore  we  adopt  the  proposed  procedures  for  Auction  No.  65.  Thus,  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.  A  bid  that  is  removed  does  not  count  toward  meeting  the  bidding  activity  rule.  After  a  round  closes,  a  bidder  may  no  longer  remove  a  bid. 


 7.  Round  Results 
 148.  Bids  placed  during  a  round  will  not  be  made  public  until  the  conclusion  of  that  round.  After  a  round  closes,  the  Bureau  will  compile  reports  of  all  bids  placed,  current  provisionally  winning 


 bids,  new  minimum  acceptable  bid  amounts,  and  bidder  eligibility  status  (bidding  eligibility  and  activity  rule  waivers)  and  will  post  the  reports  for  public  access.  Reports  reflecting  bidders  identities  for  Auction 
 No.  65  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. 


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


 9.  Maintaining  the  Accuracy  of  FCC  Form  175  Information 
 150.  As  noted  in  Section  II.  I.,  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  click  on  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:  auction65@  fcc.  gov. 
 The  electronic  mail  summarizing  the  changes  must  include  a  subject  or  caption  referring  to  Auction  No.  65  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. 
 V.  POST-  AUCTION  PROCEDURES 
 A.  Down  Payments 
 151.  After  bidding  has  ended,  the  Commission  will  issue  a  public  notice  declaring  the  auction  closed  and  identifying  winning  bidders  as  well  as  down  payments  and  final  payments  due. 


 152.  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.  65  to  20  percent  of  the  net  amount  of  its  winning  bid  (gross  bid  less  any  applicable  small  business  or  very  small  business  bidding  credit). 


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


 C.  Long-  Form  Application  (FCC  Form  601) 
 154.  Within  ten  business  days  after  release  of  the  auction  closing  notice,  each  winning  bidder  must  electronically  submit  a  properly  completed  long-  form  application  (FCC  Form  601)  for  the  license  it 


 won  through  Auction  No.  65.  Winning  bidders  that  are  small  businesses  or  very  small  businesses  must  demonstrate  their  eligibility  for  a  small  business  or  very  small  business  bidding  credit.  See  47  C.  F.  R.   
 1.2112(  b).  Further  filing  instructions  will  be  provided  to  auction  winners  at  the  close  of  the  auction. 
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 D.  Ownership  Disclosure  Information  Report  (FCC  Form  602) 
 155.  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  is  automatically  created  in  the  Universal  Licensing  System  (ULS)  for  any  applicant  that  submits  an  FCC  Form  175.  However,  winning  bidders  will  be  required  to 
 review  and  confirm  that  this  information  is  complete  and  accurate  as  of  the  date  of  filing  FCC  Form  601.  Further  instructions  will  be  provided  to  winning  bidders  at  the  close  of  the  auction. 


 E.  Default  and  Disqualification 
 156.  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  the  CSEA/  Part  1  Report  and  Order  adopted  January  24,  2006, 
 the  Commission  modified  its  rules  to  provide  that  it  will,  as  part  of  its  determination  of  competitive  bidding  procedures  in  advance  of  each  auction,  establish  the  appropriate  level,  from  3  percent  up  to  a 
 maximum  of  20  percent,  for  the  additional  payment  component  of  default  payments,  which  the  previous  rule  fixed  at  3  percent.  149  The  Commission  adopted  this  rule  modification  after  the  release  of  the  Auction 
 No.  65  Comment  Public  Notice.  Accordingly,  the  Bureau  today  is  releasing  a  separate  public  notice  seeking  comment  on  the  appropriate  level  of  the  additional  payment  component  of  default  payments  for 
 Auction  No.  65. 
 157.  In  the  event  of  a  default,  the  Commission  may  re-  auction  the  license  or  offer  it  to  the  next  highest  bidder  (in  descending  order)  at  its  final  bid  amount.  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 


 F.  Refund  of  Remaining  Upfront  Payment  Balance 
 158.  All  applicants  that  submit  upfront  payments  but  that  after  the  close  of  the  auction  are  not  winning  bidders  for  a  license  in  Auction  No.  65  may  be  entitled  to  a  refund  of  their  remaining  upfront 


 payment  balance  after  the  conclusion  of  the  auction.  All  refunds  will  be  returned  to  the  payer  of  record,  as  identified  on  the  FCC  Form  159,  unless  the  payer  submits  written  authorization  instructing  otherwise. 


 159.  Bidders  that  drop  out  of  the  auction  completely  may  be  eligible  for  a  refund  of  their  upfront  payments  before  the  close  of  the  auction.  As  discussed  above,  a  bid  that  does  not  become  a  provisionally 
 winning  bid  at  the  conclusion  of  the  round  in  which  it  was  placed  may  become  a  provisionally  winning  bid  at  the  conclusion  of  a  subsequent  round.  Consequently,  any  applicant  that  places  a  bid  may  become  a 
 provisionally  winning  bidder  before  the  close  of  the  auction,  even  if  the  bidder  is  no  longer  eligible  to  place  new  bids.  Only  bidders  that  have  placed  no  bids  during  the  course  of  the  auction  and  have  lost  all 
 eligibility  may  be  considered  to  have  dropped  out  of  the  auction  completely.  Such  bidders  seeking  a  refund  must  submit  a  written  refund  request.  If  the  applicant  has  completed  the  refund  instructions 


 149  CSEA/  Part  1  Report  and  Order  at    31.  Other  changes  adopted  in  the  CSEA/  Part  1  Report  and  Order  do  not 
 affect  procedures  in  Auction  No.  65,  e.  g.,  changes  regarding  interim  withdrawal  payments  or  tribal  land  bidding  credits,  or  do  not  require  additional  public  comment  prior  to  application,  e.  g.,  changes  regarding  license  application 


 by  winning  consortia.  See  generally  CSEA/  Part  1  Report  and  Order  at    2  (summarizing  changes).  150 
 See  47  C.  F.  R.    1.2109(  b)  and  (c).  151 
 47  C.  F.  R.    1.2109(  d). 
38
 Federal  Communications  Commission  DA  06  299 
 39 
 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 


 160.  Bidders  are  encouraged  to  file  their  refund  information  electronically  using  the  Refund  Information  icon  found  on  the  Auction  Application  Manager  page  or  through  the  Wire  Transfer  for 
 Refund  Purposes  link  available  in  various  locations  throughout  the  FCC  Auction  System,  but  bidders  may  also  send  their  information  by  facsimile  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. 


 161.  Media  Contact: 
 For  press  inquiries:  Chelsea  Fallon  (202)  418-  7991 


 162.  Auctions  and  Spectrum  Access  Division: 
 For  legal  questions:  Brian  Carter  at  (202)  418-  0660  For  general  auction  questions:  Jeff  Crooks  at  (202)  418-  0660  or  Barbara  Sibert  at  (717)  338-  2888 


 163.  Mobility  Division: 
 For  legal  questions:  Erin  McGrath  or  Richard  Arsenault  at  (202)  418-  0620  For  technical  questions:  Jay  Jackson  or  Moslem  Sawez  at  (202)  418-  0620 


 164.  To  request  materials  in  accessible  formats  (Braille,  large  print,  electronic  files,  audio  format)  for  people  with  disabilities,  send  an  e-  mail  to  fcc504@  fcc.  gov  or  call  the  Consumer  and 
 Governmental  Affairs  Bureau  at  (202)  418-  0530  or  (202)  418-  0432  (TTY). 
39
 A- 
 1 


 VI. 
 ATTACHMENT 


 A 


 DA 
 06- 
 299 


 Auction 
 No. 
 65 
 - 
 800 


 MHz 


 Air- 
 Ground 


 Radiotelephone 


 Service 


 Band  Plan 
 License 


 Geographic  Area  Type 


 Market  Number 
 License  Number 


 Frequencies 
 (MHz) 


 Bandwidth 


 Bidding  Units  2 
 Upfront  Payment 
 2 
 Minimum  Opening  Bid 


 A 
 Nationwide 


 NWA255 
 CJ- 
 NWA255- 


 A 
 849.0- 


 850. 
 5 
 / 
 894.0- 


 895.5 


 3 
 MHz 


 (2 
 MHz 


 Shared) 


 1 
 100,000 


 $100, 
 000 


 $1,500,000 


 1 
 B 
 Nationwide 


 NWA255 
 CJ- 
 NWA255- 


 B 


 Initial 
 849.0- 
 850. 
 5 
 / 
 894.0- 


 895.5 


 After 
 Clearing 


 849.5- 
 851. 
 0 
 / 
 894.5- 


 896.0 


 3 
 MHz 


 (2 
 MHz 


 Shared) 


 1 
 100,000 


 $100, 
 000 


 $1,500,000 


 C 
 Nationwide 


 NWA255 
 CJ- 
 NWA255- 


 C 
 849.0- 


 850. 
 5 
 / 
 894.0- 


 895.5 


 3 
 MHz 


 100,000 
 $100, 
 000 


 $2,800,000 


 2 
 D 
 Nationwide 


 NWA255 
 CJ- 
 NWA255- 


 D 
 850.5- 


 851. 
 0 
 / 
 895.5- 


 896.0 


 1 
 MHz 


 100,000 
 $100, 
 000 


 $200,000 


 E 
 Nationwide 


 NWA255 
 CJ- 
 NWA255- 


 E 
 849.0- 


 849. 
 5 
 / 
 894.0- 


 894.5 


 1 
 MHz 


 100,000 
 $100, 
 000 


 $200,000 


 3 
 F 
 Nationwide 


 NWA255 
 CJ- 
 NWA255- 


 F 
 849.5- 


 851. 
 0 
 / 
 894.5- 


 896.0 


 3 
 MHz 


 100,000 
 $100, 
 000 


 $2,800,000 


 1 
 Licenses 


 A 
 and 


 B 
 would 


 authorize 


 transmission 


 of 
 radio 


 waves 


 that 
 are 
 vertically 


 and 
 horizontally 


 polarized, 
 respectively, 


 and 
 would 


 initially 


 share 
 3.0 
 MHz: 


 1.5 
 MHz 


 at 
 849.0- 


 850.5 
 MHz 
 paired 


 with 
 1.5 
 MHz 


 at 
 894.0- 


 895. 
 5 
 MHz. 


 Once 
 Verizon 


 Airfone 
 Inc. 
 s 
 incumbent 


 system 


 ceases 
 operations 


 in 
 the 


 upper 


 0.5 
 MHz 


 of 
 each 


 band, 


 the 
 License 


 B 
 licensee 


 would 
 shift 
 its 
 operations 


 to 
 1.5 


 MHz 


 at 
 849.5- 


 851.0 
 MHz 
 paired 


 with 
 1.5 
 MHz 


 at 
 894.5- 


 896.0 
 MHz, 
 and 
 the 
 licensees 


 for 
 Licenses 


 A 
 and 


 B 
 would 


 share 
 2.0 
 MHz. 


 2 
 As 


 described 


 in 
 Section 


 III. 
 D. 
 3. 
 Upfront 


 Payments 


 and 
 Bidding 


 Eligibility, 


 under 
 the 
 proposed 


 bidding 
 procedures, 


 bidders 
 will 
 not 
 need 


 more 
 than 
 100,000 


 bidding 
 units 
 of 
 eligibility. 
40
 B-  1 
 VII.  ATTACHMENT  B 
 FCC  AUCTION  NO.  65  SEMINAR  REGISTRATION  FORM 


 The  FCC  will  sponsor  a  one-  day  seminar  for  Auction  No.  65  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: 


 Tuesday,  March  14,  2006  Federal  Communications  Commission 
 445  12th  Street,  SW  Washington,  DC  20554 
 Registration  10:  00  a.  m.  -  10:  30  a.  m.  Seminar  10:  30  a.  m.  -  2:  00  p.  m. 
 If  hotel  accommodations  are  needed  Please  contact  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,  March  13,  2006, 
 by  facsimile  to: 
 FCC  Auction  65  Auctions  and  Spectrum  Access  Division 
 1270  Fairfield  Road  Gettysburg,  PA  17325-  7245 


 FAX:  717-  338-  2850  Phone:  717-  338-  2888 
 Note:  The  seminar  will  also  be  available  via  webcast  and  may  be  viewed  by  clicking  on  the  Auction  Seminar  link  on  the  Auction  No.  65  web  page,  http://  wireless.  fcc.  gov/  auctions/  65/.  For  further 
 information  about  accessing  FCC  webcasts,  please  visit  http://  www.  fcc.  gov/  realaudio/.  _______________________________________________________ 


 I/  We  will  attend  the  Auction  No.  65  Seminar,  scheduled  for  Tuesday,  March  14,  2006. 
 Name  of  attendee:  ____________________________________________________________________ 
 Name  of  attendee:  ____________________________________________________________________ 
 Company  name:  _____________________________________________________________________ 
 Company  address:  ____________________________________________________________________ 
 Phone:  ________________________________  Fax:  _____________________________________ 
41
 C-  1 
 VIII.  ATTACHMENT  C 
 ELECTRONIC  FILING  AND  REVIEW  OF  THE  SHORT-  FORM  APPLICATION  (FCC  FORM  175) 


 PAPERWORK  REDUCTION  ACT  NOTICE 
 The  Federal  Communications  Commission  uses  information  collected  in  FCC  Form  175  in  determining  whether  applicants  are  legally,  technically,  and  financially  qualified  to  participate  in 
 Commission  auctions  for  licenses  or  permits.  In  addition,  if  an  applicant  applies  for  status  as  a  particular  type  of  auction  participant  pursuant  to  Commission  rules,  the  Commission  uses  the 
 information  in  determining  whether  the  applicant  is  eligible  for  the  status  requested.  The  Commissions  auctions,  including  the  collection  of  information  to  determine  applicants 
 qualifications  to  participate  pursuant  to  Commission  rules  and  requirements,  are  designed  to  limit  the  competitive  bidding  to  qualified  applicants,  to  deter  possible  abuse  of  the  bidding  and  licensing 
 process,  and  to  enhance  the  use  of  competitive  bidding  to  assign  Commission  licenses  and  permits  in  furtherance  of  the  public  interest. 


 The  Commission  estimates  that  each  response  to  this  collection  of  information  will  take  on  average  1.5  hours.  This  estimate  includes  the  time  to  read  the  instructions,  look  through  existing  records, 
 gather  and  maintain  required  data,  and  actually  complete  and  review  the  form  or  response.  If  you  have  any  comments  on  this  estimate,  or  on  how  we  can  improve  the  collection  and  reduce  the  burden 
 it  causes  you,  please  write  the  Federal  Communications  Commission,  AMD-  PERM,  Washington,  D.  C.  20554,  Paperwork  Reduction  Project  (3060-  0600).  PLEASE  DO  NOT  SEND  COMPLETED 
 APPLICATION  FORMS  TO  THIS  ADDRESS. 
 The  information  collected  in  FCC  Form  175  is  required  to  be  filed  by  all  applicants  to  participate  in  a  Commission  auction,  pursuant  to  Section  309(  j)(  5)  of  the  Communications  Act  and  Section  1.2105 
 of  the  Commissions  rules.  See  47  U.  S.  C.    309(  j)(  5),  47  C.  F.  R.    1.2105.  Information  collected  in  a  submitted  FCC  Form  175  will  be  available  for  public  inspection. 


 You  are  not  required  to  respond  to  a  collection  of  information  sponsored  by  the  Federal  government,  and  the  government  may  not  conduct  or  sponsor  this  collection,  unless  it  displays  a  current  valid 
 OMB  control  number  with  this  notice.  This  collection  has  been  assigned  OMB  control  number  3060-  0600. 


 THE  FOREGOING  NOTICE  IS  REQUIRED  BY  THE  PAPERWORK  REDUCTION  ACT  OF  1995,  PUBLIC  LAW  104-  13,  OCTOBER  1,  1995,  44  U.  S.  C.  SECTION  3507. 
 APPLICATION  PREPARATION  AND  SUBMISSION 
 An  applicant  must  submit  its  short-  form  application  (FCC  Form  175)  electronically,  via  the  FCC  Auction  System.  The  FCC  Form  175  applications  must  be  submitted  and  confirmed  prior  to 
 6:  00  p.  m.  ET  on  Friday,  March  24,  2006.  Late  applications  or  unconfirmed  submissions  of  electronic  data  will  not  be  accepted. 


 Applicants  are  reminded  that  all  information  required  in  connection  with  applications  to  participate  in  spectrum  license  auctions  is  necessary  to  determine  each  applicants  qualifications,  and  as  such 
 will  be  available  for  public  inspection.  Accordingly,  an  applicant  should  not  include  any  unnecessary  sensitive  information,  such  as  Taxpayer  Identification  Numbers  or  Social  Security 
42
 C-  5 
 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. 
 3.  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  Commissions  rules.  155 
 On  the  first  screen,  applicants  must  state  whether  the  applicant  has  any  agreements  that  are  subject  to  disclosure  under  the  Commissions  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  identifying  name  for  the  agreement  and  must  identify  the  parties,  other  than  the  applicant,  to  the  agreement.  The  agreement  identifier 
 can  be  a  brief  description  of  the  agreement  or  a  simple  reference  name;  however,  each  agreement  identifier  must  be  unique. 


 In  the  event  the  other  party  to  the  agreement  is  an  entity  or  an  individual,  different  identifying  information  is  required.  For  either  entities  or  individuals,  applicants  may  provide  FCC  Registration 
 Numbers  (FRNs),  if  available.  Providing  the  FRN  helps  prevent  identification  errors  resulting  from  parties  having  similar  names  or  a  single  party  using  multiple  names.  Provision  of  a  partys  FRN  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  deleted  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  agreement  that  already  have  been  entered.  From  this  screen,  you  have  the 
 following  options: 


 155  See  generally,  47  C.  F.  R.    1.  2105(  a)(  2)  (viii). 
46
 C-  9 
 d.  Bidding  Credit  Revenue  Information 
 If  the  applicant  has  claimed  eligibility  for  a  bidding  credit  based  on  revenues  attributable  to  the  applicant  and  related  parties,  the  first  Ownership  screen  will  request  relevant  information  regarding 


 the  applicants  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.  163 


 Applicants  claiming  eligibility  for  a  bidding  credit  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  a  consortium  of  small  businesses,  the  information  must  be  provided  with  respect  to  each  member  comprising  the 
 consortium.  164  The  Commissions  definition  of  an  affiliate  of  the  applicant  encompasses  both  controlling  interests  of  the  applicant  and  affiliates  of  controlling  interests  of  the  applicant.  165  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.  166 
 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 
 applicants  controlling  interests.  167  Consequently,  applicants  claiming  eligibility  for  a  bidding  credit  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  Commissions  rules  and,  therefore, 
 no  revenue  information  for  the  disclosable  interest  holder  will  be  provided. 
 163  47  C.  F.  R.    1.2110(  n). 
 164  See  47  C.  F.  R.    1.  2112(  b)(  1)(  iii). 
 165  See  47  C.  F.  R.    1.2110(  c)(  5). 
 166  See  47  C.  F.  R.  1.  2112(  b)(  1)(  iii). 
 167  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). 
50
 C-  11 
 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. 
 Each  applicant  is  solely  responsible  for  providing  complete  and  accurate  information  in  its  FCC  Form  175.  The  automated  check  is  provided  to  assist  applicants  in  completing  FCC  Form  175. 
 However,  the  automated  check  cannot  be  relied  upon  to  determine  whether  the  information  provided  in  the  FCC  Form  175  is  complete  or  accurate.  The  automated  check  may  not  catch  all  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. 
 6.  Attaching  Additional  Information 
 If  an  applicant  needs  to  provide  additional  information  not  requested  directly  in  the  screens  comprising  the  FCC  Form  175,  additional  information  can  be  provided  in  an  attachment. 


 The  screen  for  adding  an  attachment  to  FCC  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  Commissions 
 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  applicants  FCC  Form  175  appears  at  the  bottom  of  the  screen. 


 When  uploading  attachments,  applicants  may  use  a  variety  of  file  formats--  including  (but  not  limited  to)  Word  2000  or  earlier,  WordPerfect  5.  x  or  later,  Adobe  PDF,  and  ASCII  text--  and  must 
 verify  that  the  files  contain  all  exhibit  information.  Files  may  be  no  larger  than  10  Mb.  Graphics  files  (e.  g.,  .bmp,  .tiff,  .jpg)  and  spreadsheets  (e.  g.,  Excel,  Lotus)  are  supported  but  not  recommended. 
 Files  must  not  be  password-  protected. 
 7.  Certify  and  Submit 
 The  Certify  and  Submit  screens  are  the  sixth  and  final  series  of  screens  in  FCC  Form  175.  In  the  Certify  and  Submit  screens,  applicants  will  provide  certifications  required  of  all  participants  in  the 


 Commissions  competitive  bidding  processes.  170 


 170  See  generally,  47  C.  F.  R.    1.2105(  a)(  2)  (iv)-(  vii)  and  (ix)-(  xi). 
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 The  first  Certify  and  Submit  screen  requires  each  applicant  to  indicate  whether  the  applicant,  any  affiliate,  any  controlling  interest,  and  any  affiliate  of  a  controlling  interest  have  ever  been  in  default 
 on  any  Commission  license  or  have  ever  been  delinquent  on  any  non-  tax  debt  owed  to  any  Federal  agency.  171  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.  172 


 The  second  Certify  and  Submit  screen  lists  the  certifications  required  of  all  applicants  in  the  Commissions  competitive  bidding  processes  and  requests  that  the  applicants  certifying  official  be 
 identified  and  sign  the  application.  Any  auction  short-  form  application  must  be  certified  by:  (1)  the  applicant,  if  the  applicant  is  an  individual,  (2)  one  of  the  partners  if  the  applicant  is  a  partnership,  (3) 
 by  an  officer,  director,  or  duly  authorized  employee,  if  the  applicant  is  a  corporation,  (4)  by  a  member  who  is  an  officer,  if  the  applicant  is  an  unincorporated  association,  (5)  by  the  trustee  if  the 
 applicant  is  an  amateur  radio  service  club,  or  (6)  a  duly  elected  or  appointed  official  who  is  authorized  to  do  so  under  the  laws  of  the  applicable  jurisdiction,  if  the  applicant  is  a  governmental 
 entity.  173 
 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.  174  Applicants  are  reminded 
 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  forms 
 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. 


 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. 


 FCC  Form  175  applications  must  be  submitted  and  confirmed  prior  to  6:  00  p.  m.  ET  on  Friday,  March  24,  2006.  Late  applications  or  unconfirmed  submissions  of  electronic  data  will  not  be 
 accepted. 


 171  See  47  C.  F.  R.    1.2105(  a)(  2)(  xi). 
 172  See  47  C.  F.  R.    1.  2106(  a). 
 173  See  47  C.  F.  R.    1.917. 
 174  See  47  C.  F.  R.    1.2105(  a)(  2)(  v). 
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 8.  Withdrawing  an  Application  Before  the  Short-  Form  Filing  Deadline  And  Updating  Existing  Applications 
 a.  Withdrawing  an  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.  Applications 
 may  not  be  withdrawn  after  the  short-  form  application  filing  deadline. 
 b.  Updating  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  applications  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  FCC  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  application  filing  deadline  (6:  00  p.  m.  ET  March  24,  2006),  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  increase  its  bidding  credit).  175 


 9.  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  FCC  Form  159. 
 From  the  Calculate  Upfront  Payment  page,  you  may  click  the  Form  159  button  to  obtain  the  FCC  Form  159. 


 10.  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. 


 175  See  47  C.  F.  R.    1.2105(  b). 
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 C.  Application  Review 
 Once  the  FCC  has  completed  the  short-  form  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/  (primary  location)  or  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. 
 D.  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.  On  the  Submit  Help  Request  page,  select  Integrated 
 Spectrum  Auction  System  (ISAS)  from  the  "FCC  System"  drop-  down. 
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 X.  ATTACHMENT  E 
 SUMMARY  LISTING  OF  COMMISSION  AND  BUREAU  DOCUMENTS  ADDRESSING  APPLICATION  OF  THE  ANTI-  COLLUSION  RULE 


 A.  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). 
 Commercial  Realty  St.  Pete,  Notice  of  Apparent  Liability  for  Forfeiture,  10  FCC  Rcd  4277  (1995),  Commercial  Realty  St.  Pete,  Memorandum  Opinion  and  Order,  11  FCC  Rcd  15374  (1996). 
 Applications  of  Mercury  PCS  II,  LLC,  Notice  of  Apparent  Liability  for  Forfeiture,  12  FCC  Rcd  17970  (1997);  Application  of  Mercury  PCS  II,  LLC,  Memorandum  Opinion  and  Order,  13  FCC  Rcd  23755 
 (1998). 
 Amendment  of  Part  1  of  the  Commissions  Rules    Competitive  Bidding  Procedures,  WT  Docket  No.  97-  82,  Third  Report  and  Order  and  Second  Further  Notice  of  Proposed  Rule  Making,  13  FCC  Rcd  374, 
 463-  469    155-  166  (1997). 
 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,  14 
 FCC  Rcd  8816  (1999). 
 Application  of  Western  PCS  BTA  I  Corp.,  Notice  of  Apparent  Liability  for  Forfeiture,  13  FCC  Rcd  8305  (1998);  Notice  of  Apparent  Liability  for  Forfeiture  of  Western  PCS  BTA  1  Corp.,  Memorandum  Opinion 
 and  Order,  14  FCC  Rcd  21571,  21577-  78    20  (1999). 
 Amendment  of  Part  1  of  the  Commissions  Rules    Competitive  Bidding  Procedures,  WT  Docket  No.  97-  82,  Seventh  Report  and  Order,  16  FCC  Rcd  17546  (2001). 


 B.  Wireless  Telecommunications  Bureau  Decisions: 
 Amendment  of  Parts  21  and  74  of  the  Commissions  Rules  with  Regard  to  Filing  Procedures  in  the  Multipoint  Distribution  Service  and  in  the  Instructional  Television  Fixed  Service,  MM  Docket  No.  94-  13, 


 Order,  11  FCC  Rcd  9655  (Wireless  Telecom.  Bur.  1995). 
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 E  -  2 
 Applications  of  GWI  PCS,  Inc.,  Memorandum  Opinion  and  Order,  12  FCC  Rcd  6441  (Wireless  Telecom.  Bur.  1997). 
 Applications  of  Mercury  PCS  II,  LLC,  Memorandum  Opinion  and  Order  on  Reconsideration,  12  FCC  Rcd  18093  (Wireless  Telecom.  Bur.  1997). 
 Applications  of  High  Plains  Wireless,  L.  P.,  Memorandum  Opinion  and  Order,  12  FCC  Rcd  19627  (Wireless  Telecom.  Bur.  1997). 
 Applications  of  Mercury  PCS  II,  LLC,  Memorandum  Opinion  and  Order,  13  FCC  Rcd  5756  (Wireless  Telecom.  Bur.  1997). 
 1.  Public  Notices: 
 Wireless  Telecommunications  Bureau  Clarifies  Spectrum  Auction  Anti-  Collusion  Rules,  Public  Notice,  11  FCC  Rcd  9645  (Wireless  Telecom.  Bur.  1995). 


 FCC  Staff  Clarifies  Application  of  Anti-  Collusion  Rule  to  Broadband  PCS  "C"  Block  Reauction,  Public  Notice,  11  FCC  Rcd  7031  (Auc.  Div.  1996). 
 Wireless  Telecommunications  Bureau  Provides  Guidance  on  the  Anti-  Collusion  Rule  for  D,  E  and  F  Block  Bidders,  Public  Notice,  11  FCC  Rcd  10134  (Wireless  Telecom.  Bur.  1996). 
 Wireless  Telecommunications  Bureau  Responds  to  Questions  About  the  Local  Multipoint  Distribution  Service  Auction,  Public  Notice,  13  FCC  Rcd  341  (Wireless  Telecom.  Bur.  1998). 
 2.  Letters  from  the  Office  of  General  Counsel,  the  Wireless  Telecommunications  Bureau  and  the  Media  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  from  Kathleen  OBrien  Ham,  10  FCC  Rcd  13783  (Auc.  Div.  1995). 
 Letter  to  Mark  Grady  from  Kathleen  OBrien  Ham,  11  FCC  Rcd  10895  (Auc.  Div.  1996). 
 Letter  to  David  L.  Nace  from  Kathleen  OBrien  Ham,  11  FCC  Rcd  11,363  (Auc.  Div.  1996). 
 Letter  to  Elliott  J.  Greenwald  from  Christopher  J.  Wright,  13  FCC  Rcd  7132  (Gen.  Counsel  1998). 
 Letter  to  Robert  Pettit  from  Margaret  W.  Wiener,  16  FCC  Rcd  10080  (Auc.  Div.  2000). 
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 E  -  3 
 Letter  to  Colby  M.  May  from  Barbara  A.  Kreisman,  Chief,  Video  Division,  Media  Bureau  and  Margaret  W.  Wiener,  Chief,  Auctions  and  Spectrum  Access  Division,  Wireless  Telecommunications  Bureau,  DA  05- 
 2445  (released  September  13,  2005). 
 C.  Enforcement  Bureau  Decisions: 
 Application  of  Star  Wireless,  LLC,  Forfeiture  Order,  19  FCC  Rcd  18626  (Enf.  Bur.  2004). 


 Application  of  Northeast  Communications  of  Wisconsin,  Inc.,  Forfeiture  Order,  19  FCC  Rcd  18635  (Enf.  Bur.  2004). 


 D.  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  Commissions  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. 
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