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                                                                                                                     DA 00-2154
                                             September 25, 2000
               700 MHz GUARD BANDS AUCTION CLOSES
                   Winning Bidders Announced
               Down Payments Due October 10, 2000
           FCC Forms 601 and 602 Due October 10, 2000
                Ten-Day Petition to Deny Period
Report No. AUC-33-H (Auction No. 33)
On September 21, 2000, the Federal Communications Commission completed the auction of 104 licenses
in the 700 MHz Guard Bands ("Auction No. 33"), raising (in net high bids) a total of $519,892,575.00 for
the U.S. Treasury.  Nine winning bidders won a total of 96 licenses in this auction.
This Public Notice provides detailed information concerning winning bidders, down payments, bid
withdrawal payments and/or deposits, FCC Forms 601 and 602 filing requirements, requests for rule
waivers, and licensing matters. A copy of this Public Notice will be sent via overnight mail to each winning
bidder.  Key information appears in the following attachments:
                    Attachment A:       "Round Results, High Bids" lists winning bidders and both the
                    gross and net high winning bid amounts.
                    Attachment B:       "Bidder Payment/Refund Report" lists down payments and any withdrawn
                    bid payments owed by winning bidders.
                    Attachment C:       "Withdrawal/Payment Report" lists withdrawn bid payments owed by all
                    bidders.
                    Attachment D:       "Instructions for Completing FCC Form 601" provides detailed
                    information about how a winning bidder should complete the required
                    FCC Form 601 for 700 MHz Guard Bands license applications.
                    Attachment E:       "Instructions for Using ULS to Register TIN and Call Signs With
                    FCC and File FCC Form 601 Electronically."
                    Attachment F:       "Accessing the FCC Network using Windows 95/98 for Universal
                    Licensing System filing."
          A.   Down Payments.
The Commission's rules require that within ten business days after the release of this Public Notice, in this
case 6:00 p.m. ET on October 10, 2000, winning bidders in Auction No. 33 must have on deposit with
Mellon Bank in Pittsburgh, Pennsylvania, enough funds to cover all required:  (1) down payments on
winning bids, and (2) payments for withdrawn bids, if applicable.  If a winning bidder's upfront payment is
not sufficient to meet both of these requirements, the winning bidder must deposit additional funds.  See 47
C.F.R.  1.2107(b), 1.2104(g).
The amount now due from each winning bidder, if any, is set out in the last column of Attachment B.  Note
that a payment and FCC Form 159 are necessary only if a winning bidder's upfront payment does not cover
the required total of down payments and withdrawn bid payments (as reflected in Attachment B).  Each
winning bidder's down payment must be a total of twenty (20) percent of its net winning bid(s) plus any
withdrawal payments.
          B.   Final Payments.
After the termination of the licensing pleading cycle (see 47 C.F.R.  1.2108), the Commission will issue a
public notice announcing that it is prepared to grant the licenses.  Within ten business days after the date of
that public notice, winning bidders will be required to make full payment of the balance of their winning
bids.  See 47 C.F.R. 1.2109 and 1.2107(b).  Licenses will be granted only after the full and timely
payment of winning bids and any applicable late fees, in accordance with Section 1.2109(a).  See 47 C.F.R.
1.2109(a).
          C.   Method of Payment.
All payments must be in U.S. dollars and made in the form of a wire transfer.  No personal checks, credit
card payments, or other forms of payment will be accepted.  All payments must be accompanied by a
completed FCC Remittance Advice Form (FCC Form 159). If applicable, a partially completed copy of the
FCC Form 159 will be sent along with this Public Notice to facilitate submission of the correct down
payment.  Questions regarding FCC Form 159 should be addressed to Tim Dates or Gail Glasser at 202-418-
1995.  Please note, however, that winning bidders are ultimately responsible for insuring the
verification and submission of the correct down payment from their bank to Mellon bank.
Wire transfer payments must be received by Mellon Bank by 6:00 p.m. ET, on October 10, 2000.
Winning bidders should coordinate with their bankers ahead of time regarding their wire transfers, and
allow sufficient time for the wire transfer to be initiated and completed prior to the deadline.  To submit
funds by wire transfer, winning bidders will need the following information:
     ABA Routing Number: 043000261
     Receiving Bank:  Mellon Pittsburgh
     BNF: 911-6106
     OBI Field:   (Skip one space between each information item) "AUCTIONPAY"
     TAXPAYER IDENTIFICATION NO. (same as FCC Form 159, Block 25)
     PAYMENT TYPE CODE (enter "A33D")
     FCC CODE 1 (same as FCC Form 159, Block 23A:  "33")
     PAYOR NAME (same as FCC Form 159, Block 2)
     LOCKBOX NO.:  358850
Winning bidders must fax a completed FCC Form 159 to Mellon Bank at 412-209-6045 or 412-236-5702
at least one hour before placing the order for the wire transfer (but on the same business day).
Proper completion of the FCC Form 159 is critical to ensuring correct credit of bidder deposits.  Winning
bidders must use the same Taxpayer Identification Number used on their FCC Form 175.  Questions
concerning the calculation and submission of down payments should be directed to Gail Glasser at 202-418-
1995.
          D.   Withdrawal, Default and Disqualification Payments.
The Commission imposes payments on bidders that withdraw high bids during the course of an auction,
default on payments due after an auction closes, or those that are disqualified.  See 47 C.F.R.  1.2104(g),
1.2109.
     1.  Bid Withdrawal Payments.  A bidder (Bidder X) that withdraws a high bid during the course of
an auction is subject to a bid withdrawal payment equal to the difference between the amount withdrawn
and the amount of the subsequent winning bid.  If a high bid is withdrawn on a license that remains unsold
at the close of the auction, Bidder X will be required to make an interim payment equal to three (3) percent
of the net amount of the withdrawn bid.   This payment amount is deducted from any upfront payments or
down payments that Bidder X has deposited with the Commission.  If, in a subsequent auction, that license
receives a valid bid in an amount equal to or greater than the withdrawn bid amount, then no final bid
withdrawal payment will be assessed, and Bidder X may request a refund of the interim three (3) percent
payment.  If, in a subsequent auction, the winning bid amount for that license is less than Bidder X's
withdrawn bid amount, then Bidder X will be required to make a final bid withdrawal payment equal to
either the difference between Bidder X's net withdrawn bid and the subsequent net winning bid, or the
difference between Bidder X's gross withdrawn bid and the subsequent gross winning bid, whichever is
less. The three (3) percent interim payment will be applied toward the withdrawal payment.
Attachment C identifies bidders that owe withdrawal payments to the Commission as a result of bid
withdrawals made in Auction No. 33.
     2.  Bid Default/Disqualification Payments.  If a high bidder defaults or is disqualified after the close
of the auction, the defaulting bidder will be subject to the same bid withdrawal payment obligations as
described above, plus an additional payment equal to three (3) percent of the subsequent winning bid or
three (3) percent of the defaulted bid, whichever is less.  Where a bidding credit applies to the winning bid
in either the original or the subsequent auction, the calculation of the three percent payment is based on the
smaller of the two gross bids or smaller of the two net bids, whichever basis (gross or net) was used to
figure the first component.  Thus, if the difference between the gross bids is less than the difference between
the net bids, the three percent payment will be computed on the lower of the gross bids.  If the difference
between the net bids is less than or equal to the difference between the gross bids, the three percent payment
will be computed on the lower of the net bids.   However, if the differences between both the gross bids and
the net bids are less than or equal to zero, the three percent payment will be computed on the lower of the
net bids.
If a winning bidder fails to remit the required down payment within ten (10) business days after the
Commission has released this Public Notice, in this case by October 10, 2000, the bidder will be deemed to
have defaulted, its application will be dismissed, and it will be liable for a default payment as described
above.  In such event, the Commission, at its discretion, may either auction the spectrum to existing or new
applicants, or offer it to the other highest bidders (in descending order) at their final bids. See 47 C.F.R. 
1.2109(b).
If a winning bidder fails to pay the balance of its winning bids in a lump sum by the applicable deadline as
specified by the Commission, it will be allowed to make payment within ten (10) business days after the
payment deadline provided that it also pays a late fee equal to five (5) percent of the amount due.  When a
winning bidder fails to pay the balance of its winning bid plus late fee by the late payment deadline, it is
considered to be in default on its license(s) and subject to the applicable default payments. Licenses will be
awarded upon the full and timely payment of winning bids and any applicable late fees. See 47 C.F.R.
1.2109(a).  A winning bidder that is found unqualified to be a licensee, fails to remit the balance of its
winning bid in a timely manner, or defaults or is disqualified for any reason after having made the required
down payment, will be deemed to have defaulted and will be liable for the payment set forth in Section
1.2104(g)(2).  In such event, the Commission may either auction the spectrum to existing or new applicants
or offer it to the other highest bidders (in descending order) at their final bids.  See 47 C.F.R.  1.2109(c).
Finally, bidders that are found to have violated the antitrust laws or the Commission's rules in connection
with their participation in the competitive bidding process may be subject, in addition to any other
applicable sanctions, to forfeiture of their upfront payment, down payment, or full bid amount, and may be
prohibited from participating in future auctions.  See 47 C.F.R.  1.2109(d).
          E.   Refund of Excess Upfront Payments (for winning bidders)
Upfront monies on deposit that are in excess of the required down payment, withdrawal and/or default
payment amounts will be refunded to the payer of record promptly upon receipt of the necessary wire
transfer instructions.  Winning bidders must fax the necessary wire transfer instructions to Gail Glasser at
202-418-2843.  Any questions concerning refunds should be referred to Gail Glasser or Tim Dates at 202-
418-1995.
          F.   Refund of Upfront Payments (for non-winning bidders).
Non-winning bidders must fax the necessary wire transfer instructions to Gail Glasser or Tim Dates at 202-
418-2843.  Any questions concerning refunds for non-winning bidders should be referred to Gail Glasser or
Tim Dates at 202-418-1995.
          G.   FCC Form 601
By 6:00 p.m. ET on October 10, 2000, winning bidders must submit a completed long-form license
application(s) covering each license for which they were the winning high bidder. Attachment D sets out
instructions for completing the FCC Form 601. Applications must be filed electronically.  Detailed
instructions for filing the Form 601 electronically are set out in Attachment E.
Failure to timely file FCC Form 601 will result in default.  Late-filed applications will not be accepted
without a showing of good cause.
          H.   FCC Form 602
Pursuant to Section 1.919 of the Commission's rules, an applicant for a license in an auctionable service
must have on file with the Commission a current FCC Form 602 regarding ownership information of the
applicant.  See 47 C.F.R.  1.919.  Therefore, unless the applicant already has a current FCC Form 602 on
file with the Commission, the applicant must submit one at the time the FCC Form 601 is filed.  Any late-
filed FCC Form 602 must contain a request for waiver of the filing requirement in 47 C.F.R.  1.919.
FCC Form 602 must be filed manually (not electronically), and may be obtained from the Internet at
http://www.fcc.gov/formpage.html or by calling the FCC's Form Distribution Center at 1-800-418-FORM
(3676).  For more detailed information on FCC Form 602, see "Wireless Telecommunications Bureau
Answers Frequently Asked Questions Concerning Reporting of Ownership Information on FCC Form 602,"
Public Notice, DA 99-1001 (rel. May 25, 1999).
Applicants that do not have a current FCC Form 602 on file should send the form to:
               Federal Communications Commission
                      1270 Fairfield Road
                   Gettysburg, PA  17325-7245
Filing FCC Form 602 is a separate requirement from, and in addition to, the ownership reporting
requirements associated with filing FCC Form 601, Exhibit A, as set forth in Attachment D.   However, to
avoid duplication, applicants may provide certain information required in Exhibit A by attaching a copy of
their FCC Form 602 (in Adobe PDF Format) to their FCC Form 601 submission.  Applicants are reminded,
however, that an original FCC Form 602 still must be filed manually in Gettysburg, PA.  For further
information, see Instructions in Attachment D.
          I.   Applications for Multiple Licenses.
Applicants may submit one FCC Form 601 Main Form, Schedule B, and Form 602 for multiple licenses if
all filing information (name and address information, all ownership and eligibility attachments, and waiver
requests) associated with the application is identical.  Licensing information such as market designator,
channel block, and/or market name may be different (i.e. WXMEA001A and WXMEA001B  Boston, MA;
WXMEA022A   Knoxville, TN).
Filers whose name and address, ownership, eligibility, and waiver requests are identical for some licenses
but different for other licenses must submit a separate Form 601 and 602 for those licenses for which filing
information is unique.  The streamlined filing procedure described in the above paragraph may only be used
for licenses that have identical filing information.
          J.   Maintaining Accuracy of Information.
Applicants are no longer required to maintain accuracy and completeness of information furnished on their
FCC Form 175 and exhibits.  After the auction closes, applicants are required to make all changes in the
ULS system (Forms 601/602).
          K.   Application Processing and License Grant.
Pursuant to 47 C.F.R.  1.2108(b) and the Balanced Budget Act of 1997, Pub. L. 105-33, 111 Stat. 251
(1997), interested parties will have ten (10) days to file petitions to deny after the Commission releases a
public notice announcing the FCC Forms 601 and 602 are acceptable for filing.  An applicant may file an
opposition to any petition to deny within five (5) days after the time for filing petitions to deny has expired.
See 47 C.F.R. 1.2108(c).  The petitioner may file a reply to such opposition within five (5) days after the
time for filing oppositions has expired.  See 47 C.F.R. 1.2108(c).  If the Commission determines that an
applicant is qualified and there is no substantial and material issue of fact concerning that determination, the
Commission will issue a public notice announcing that it is prepared to grant the application conditioned
upon the full and timely payment of the remaining balance of the applicant's winning bid.  Once the
Commission has received full payment of the applicant's winning bid, it will issue a public notice
announcing grant of the license (or licenses) to the applicant.
          L.   Clarifications.
Applicants should be aware that the Policy Division of the Wireless Telecommunications Bureau has issued
two Errata.  The first Errata, inter alia, makes conforming amendments to Section 27.308 of the
Commission's Rules, concerning technical content of applications.  The second Errata, inter alia, makes
conforming amendments to Section 27.6 of the Commission's Rules, referencing the definitional criterion
for the Gulf of Mexico EA.
          M.   Anti-collusion Rules.
To ensure the competitiveness of the auction process, the Commission's rules prohibit applicants for the
same geographic license area from communicating with each other during the auction about bids, bidding
strategies, or settlements.  As explained more fully in the Auction No. 33 Procedures Public Notice,  this
prohibition began with the filing of short-form applications and ends on the down payment due date.  The
prohibition ends on the down payment due date whether or not a high bidder must supplement its upfront
payment to cover its down payment.   Applicants certified their compliance with Section 1.2105(c) when
their FCC Form 175 short-form applications were signed.
         *          *          *          *          *
For further information, contact
News Media:
Meribeth McCarrick at 202-418-0654
Technical Support Hotline:
Technical Support Personnel at
202-414-1250 (V)
or 202-414-1255 (text telephone (TTY))
Office of the Managing DirectorAuctions
Accounting Group
(Payment, FCC Form 159 and refund
questions)
Gail Glasser or Tim Dates
at 202-418-1995
Wireless Telecommunications Bureau,
JoAnn Epps at 202-418-1342,
Commercial Wireless Division
Gary Oshinsky at 202-418-7167 or
(FCC Form 601and 602 questions)
Erin McGrath at 202-418-2042
Wireless Telecommunications Bureau,
Auctions and Industry Analysis Division
Auctions (Auction-related questions)
Lisa Stover, Project Manager at
717-338-2888, or Howard Davenport,
Attorney, at 202-418-0660
                            - FCC -