[Federal Register Volume 62, Number 182 (Friday, September 19, 1997)]
[Notices]
[Pages 49228-49241]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 97-24930]


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FEDERAL COMMUNICATIONS COMMISSION

[DA 97-1672]


Auction of 800 MHZ Specialized Mobile Radio Service Licenses; 
Auction Notice and Filing Requirements for 525 Licenses in the Upper 
200 Channels Scheduled for October 28, 1997

Released August 6, 1997.

1. Introduction

    Licenses to Be Auctioned: 525 licenses in the upper 200 channels of 
the 800 MHz Specialized Mobile Radio Service (``SMR''). The auction 
will consist of 3 licenses in each of 175 Economic Areas (``EAs''); 
frequency block A is allocated 20 channels; frequency block B is 
allocated 60 channels; and frequency block C is allocated 120 channels. 
Each frequency block encompasses the following spectrum and channel 
numbers:

------------------------------------------------------------------------
                                Channel                                 
        Spectrum block           Nos.     Frequencies (Base and Mobile) 
------------------------------------------------------------------------
A............................   401-420  861.0-861.5 MHz.               
                                         816.0-816.5 MHz.               
B............................   421-480  861.5-863.0 MHz.               
                                         816.5-818.0 MHz.               
C............................   481-600  863.0-866.0 MHz.               
                                         818.0-821.0 MHz.               
------------------------------------------------------------------------

    A detailed listing of the EAs, with their FCC market number, market 
location, license number, population, and upfront payment, as well as a 
service area map, are provided in Attachment A.

    Note: As indicated below, not all 200 SMR channels in Spectrum 
Blocks A, B and C are available for auction in the Canadian and 
Mexican border areas. Some frequencies are subject to international 
assignment and coordination. For further information, see paragraphs 
23-26 of the Memorandum Opinion and Order on Reconsideration, FCC 
97-224, 62 FR 41225 (July 31, 1997) and Appendix C to the Second 
Report & Order, FCC 97-223, 62 FR 41190 (July 31, 1997).

                                              Canadian Border Area                                              
----------------------------------------------------------------------------------------------------------------
                                                                                                       Available
                                              Available channels      Available channels    Available   channels
              Spectrum block                regions 1, 4, 5 and 6          region 2          channels  regions 7
                                                                                             region 3    and 8  
----------------------------------------------------------------------------------------------------------------
A........................................  None...................  None..................          4         12
B........................................  18.....................  None..................         44         32
C........................................  72.....................  55....................         72         48
----------------------------------------------------------------------------------------------------------------


                           Mexican Border Area                          
------------------------------------------------------------------------
                                                               Available
                       Spectrum block                           offset  
                                                               channels 
------------------------------------------------------------------------
A...........................................................           3
B...........................................................          12
C...........................................................          18
------------------------------------------------------------------------

    Auction Date: The auction will begin on October 28, 1997. The 
precise schedule for bidding will be announced by public notice at 
least one week before the start of the auction. Unless otherwise 
announced, bidding will be conducted on each business day until bidding 
has stopped on all licenses.
    Auction Title: This is the sixteenth spectrum auction the FCC has 
scheduled, and will be referred to as ``Auction No. 16, 800 MHz SMR--
Upper 200 Channels.''
    Bidding Methodology: Simultaneous multiple round bidding. Bidding 
will be permitted only from remote locations, either electronically (by 
computer) or telephonically.
    Pre-Auction Dates:

<bullet> An Auction Seminar will be conducted at a location and date to 
be announced.
<bullet> Short-Form Application (FCC Form 175)--September 29, 1997, 
5:30 p.m. ET
<bullet> Upfront Payments: (Only Wire Transfer Accepted)--October 14, 
1997, 6:00 p.m. ET
<bullet> Orders for Remote Bidding Software--October 15, 1997, 5:30 
p.m. ET
<bullet> Mock Auction--October 23, 1997
Telephone Contacts:
<bullet> FCC National Call Center--888-CALL-FCC (888-225-5322) (General 
Auction Information and Seminar Registration, press option #2 at the 
prompt)
<bullet> FCC Technical Support Hotline--202-414-1250
List of Attachments:
<bullet> Attachment A: List of Licenses Offered
<bullet> Attachment B: Guidelines for Completion of FCC Forms 159 and 
175 and Exhibits
<bullet> Attachment C: Electronic Filing of FCC Form 175
<bullet> Attachment D: Summary Listing of FCC Documents Addressing 
Application of the Anti-Collusion Rules

    Release of Further Information: The Commission plans to release 
public notices with further information regarding Auction 16 in the 
following order:

<bullet> Due diligence
<bullet> Software ordering information and bidders seminar registration
<bullet> Instructions for on-line monitoring, bid tracking tool, 
outstanding auction event issues (including round schedules and bid 
increment calculations)

    Background: In December 1995, the Commission restructured the 
licensing framework that governs the 800 MHz SMR service. Site- and 
frequency-specific licensing was replaced with a geography-based system 
similar to those used in other Commercial Mobile Radio Services 
(``CMRS''). The geographic areas for the licenses were created based on 
Economic Areas developed by the Bureau of Economic Analysis of the U.S. 
Department of Commerce.
    Service and operational requirements for the 800 MHz SMR service 
are contained in part 90 of the Commission's Rules, 47 CFR part 90.
    Potential bidders are reminded that there are a substantial number 
of incumbent licensees already licensed and operating in the 800 MHz 
SMR service on frequencies that will be subject to the upcoming 
auction. Such incumbents must be protected from

[[Page 49229]]

harmful interference in accordance with the Commission's rules by 
geographic area licensees. These limitations may restrict the ability 
of geographic area licensees to use certain portions of the 
electromagnetic spectrum or provide service to certain areas in their 
geographic license area. Potential bidders are solely responsible for 
investigating and evaluating the degree to which incumbents are 
licensed and operating in areas where potential bidders may seek EA 
licenses. Some information regarding the licensing of such incumbents 
is available in the Commission's licensing database. This information 
is available for inspection in the Wireless Telecommunications Bureau's 
Public Reference Rooms. These facilities are located at 2025 M Street, 
NW, Room 5608, Washington, DC and 1270 Fairfield Road, Gettysburg, PA. 
Paper files are available for inspection in the Public Reference Room 
of the Wireless Telecommunications Bureau's Gettysburg, PA offices 
only. Any telephone inquiries regarding licensing of incumbents should 
be directed to the National Call Center at (888) CALL-FCC or (888) 225-
5322. The licensing database, which includes information regarding 
incumbent licensees in the 800 MHz upper SMR band, is available for on-
line review at http://www.fcc.gov/wtb/databases.html. Additionally, the 
Land Mobile database may be queried on-line on the World Wide Web at: 
http://gullfoss.fcc.gov/cgi-bin/wtb_pt_rad/ptradsrch.sh. This 
software permits queries of 800 SMR data for the upper 200 channels 
utilizing latitude/longitude and a specified radius. However, the 
Commission makes no representations or guarantees regarding the 
accuracy of information provided by incumbent licensees and 
incorporated into the database.
    Potential bidders should also be aware that there are pending 
before the Commission certain applications, waiver requests, petitions 
to deny, petitions for reconsideration, and applications for review 
that relate to specific incumbent 800 MHz SMR licenses or applications. 
Resolution of these pending matters could have an impact on the 
availability of spectrum to EA licensees in this auction. In addition, 
some of these matters may not have reached final resolution by the time 
of the auction. Potential bidders are solely responsible for 
investigating and evaluating the degree to which such pending matters 
may affect spectrum availability in areas where potential bidders may 
seek EA licenses. In the near future, the Commission will release a 
Public Notice listing pending matters that relate to licenses or 
applications that affect 800 MHz upper band spectrum. The Commission 
will also make available for public inspection the pleadings and 
related filings in those matters.
    Participation: Those wishing to participate in the auction must 
submit an FCC Form 175 short-form application. The FCC Form 175 must be 
completed and filed in accordance with the Commission's rules and the 
instructions provided. This form must be received at the Commission no 
later than 5:30 p.m. ET on September 29, 1997. See Attachments B and C 
for detailed information on how to complete and electronically file the 
required FCC Form 175 information.
    Applicants will be required to submit an upfront payment and an FCC 
Remittance Advice (FCC Form 159). The upfront payment must be made in 
U.S. dollars by wire transfer. Payments must be received at Mellon Bank 
in Pittsburgh, Pennsylvania, no later than October 14, 1997 at 6:00 
p.m. ET. No other form of payment will be accepted.
    Prohibition of Collusion: To ensure the competitiveness of the 
auction process, the FCC's rules prohibit applicants for the same 
geographic areas from communicating with each other during the auction 
about bids, bidding strategies or settlements. This prohibition begins 
with the filing of short-form applications, and ends when winning 
bidders submit their initial down payment. The prohibition does not 
apply where applicants enter into a bidding agreement before filing 
their short-form applications, and disclose the existence of the 
agreement in the short-form application. See 47 CFR 1.2105(c). See also 
the Summary Listing of Documents from the Commission and the Wireless 
Telecommunications Bureau Addressing Application of the Anti-Collusion 
Rules in Attachment D to this Public Notice.
    Relevant Authority: Prospective bidders should familiarize 
themselves thoroughly with the FCC's rules relating to the 800 MHz SMR 
service contained in title 47, part 90 of the Code of Federal 
Regulations (``CFR''), and rules relating to application and auction 
procedures, contained in title 47, part 1, subpart Q.
    Also, prospective bidders should be familiar with the procedures, 
terms, and rules contained in the Commission's docket Amendment of part 
90 of the Commission's Rules to Facilitate Future Development of SMR 
Systems in the 800 MHz Frequency Band, PR Docket No. 93-144. The latest 
releases in this docket, the First Report and Order, Eighth Report and 
Order, and Second Further Notice of Proposed Rule Making, FCC 95-501, 
61 FR 6138 (February 16, 1996), the Second Report and Order, FCC 97-
223, 62 FR 41190 (July 31, 1997) and Memorandum Opinion and Order on 
Reconsideration, FCC 97-224, 62 FR 41225 (July 31, 1997) are posted on 
the Commission's World Wide Web site, http://www.fcc.gov.
    The terms contained in the FCC's rules, documents in the 800 MHz 
SMR proceeding and this Public Notice are not negotiable. Prospective 
bidders should review these auction documents thoroughly prior to the 
auction to make certain that they understand all of the provisions and 
are willing to be bound by all of the terms before participating in the 
auction.
    Potential bidders should be aware that petitions for 
reconsideration of the FCC's actions in the Second Report and Order and 
Memorandum Opinion and Order on Reconsideration may be filed and that 
the terms adopted therein are therefore subject to change upon 
reconsideration or appeal.
    The Commission may amend or supplement the information contained in 
this Public Notice at any time. The FCC will issue public notices to 
convey new or supplemental information to bidders. It is the 
responsibility of all prospective bidders to remain current with all 
FCC rules and with all public notices pertaining to this auction. 
Copies of FCC documents, including public notices, may be obtained for 
a fee by calling the Commission's copy contractor, International 
Transcription Service, Inc., at 202-857-3800. Additionally, many 
documents can be retrieved from the FCC Internet node via anonymous 
<a href="/cdn-cgi/l/email-protection#492f3d39092f3d39672f2a2a672e263f"><span class="__cf_email__" data-cfemail="2f495b5f6f495b5f01494c4c01484059">[email protected]</span></a> or the FCC World Wide Web site at http://www.fcc.gov. 
Bidders should also note that a separate Auction's web page is 
available on the Commission's web site at <a href="http://www.fcc.gov/
auctions.html">http://www.fcc.gov/
auctions.html</a>.
    Minimum Bids: At present, there is no minimum opening bid on any of 
the licenses in this auction. Also, there is no minimum bid increment 
for a license until a license has received an initial bid. Recently 
adopted legislation, however, may require minimum bids or reserve 
prices in this auction. If minimum bids or reserve prices are 
established, notification will be provided prior to the start of the 
auction.
    Bidder Alerts: All applicants must certify under penalty of perjury 
on their FCC Form 175 applications that they are legally, technically, 
financially and otherwise qualified to hold a license, and not in 
default on any Commission licenses. Prospective bidders are

[[Page 49230]]

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.
    The FCC makes no representations or warranties about the use of 
this spectrum for particular services. Applicants should be aware that 
an FCC auction represents an opportunity to become an FCC licensee in 
this service, subject to certain conditions and regulations. An FCC 
auction does not constitute an endorsement by the FCC of any particular 
services, technologies or products, nor does an FCC license constitute 
a guarantee of business success. Applicants should perform their 
individual due diligence before proceeding as they would with any new 
business venture.
    As is the case with many business investment opportunities, some 
unscrupulous entrepreneurs may attempt to use the auction of the upper 
200 channels in the 800 MHz SMR service to deceive and defraud 
unsuspecting investors. Common warning signals of fraud include the 
following: (1) The first contact is a ``cold call'' from a 
telemarketer, or is made in response to an inquiry prompted by a radio 
or television infomercial. (2) The offering materials used to invest in 
the venture appear to be targeted at IRA funds, for example by 
including all documents and papers needed for the transfer of funds 
maintained in IRA accounts. (3) The amount of the minimum investment is 
less than $25,000. (4) The sales representative makes verbal 
representations that: (a) The IRS, FTC, SEC, FCC, or other government 
agency has approved the investment; (b) the investment is not subject 
to state or federal securities laws; or (c) the investment will yield 
unrealistically high short-term profits. (5) In addition, the offering 
materials often include copies of actual FCC releases, or quotes from 
FCC personnel, giving the appearance of FCC knowledge or approval of 
the solicitation.
    Information about deceptive telemarketing investment schemes is 
available from the Federal Trade Commission (FTC) at 202-326-2222 and 
from the Securities and Exchange Commission (SEC) at 202-942-7040. 
Complaints about specific deceptive telemarketing investment schemes 
should be directed to the FTC, the SEC, or the National Fraud 
Information Center at 800-876-7060. Consumers who have concerns about 
specific 800 MHz SMR investment proposals may also call the FCC 
National Call Center at 888-CALL-FCC (888-225-5322).

2. Bidder Eligibility and Small Business Provisions

A. General Eligibility Criteria

    Any entity, other than those precluded by foreign ownership 
restrictions set forth in Sec. 310 of the Communications Act of 1934, 
as amended, 47 U.S.C. 310, is eligible to hold an 800 MHz SMR license. 
Prospective bidders should note that the Commission's rules limit the 
total CMRS spectrum (i.e., broadband PCS, cellular and SMR services) in 
which a party may have an attributable interest in any geographic area 
at any given time to 45 MHz. See 47 CFR 20.3-20.9. SMR licensees will 
be permitted to partition their service areas into smaller geographic 
service areas and to disaggregate their spectrum into smaller blocks. 
See 47 CFR 90.911.

B. Special Financial Provisions for Qualifying Small Businesses

    Qualifying small business applicants are eligible for bidding 
credits. See 47 CFR 90.910. This auction does not offer installment 
payments for small business applicants.
(1) Definitions of Small Businesses
    The Commission defined the small business definitions for the 800 
MHz SMR as (1) a ``small business,''which is defined as an entity with 
average gross revenues that do not exceed $15 million for the preceding 
three years or (2) a ``very small business,'' which is defined as an 
entity with average gross revenues that do not exceed $3 million for 
the preceding three years.
    Gross revenues include all income received by an entity, whether 
earned or passive, before any deductions are made for costs of doing 
business (e.g., cost of goods sold), as evidenced by audited financial 
statements for the relevant number of most recently completed calendar 
years, or, if audited financial statements were not prepared on a 
calendar-year basis, for the most recently completed fiscal years 
preceding the filing of the applicant's short-form application (FCC 
Form 175). If an entity was not in existence for all or part of the 
relevant period, gross revenues shall be evidenced by the audited 
financial statements of the entity's predecessor-in-interest or, if 
there is no identifiable predecessor-in-interest, unaudited financial 
statements certified by the applicant as accurate. When an applicant 
does not otherwise use audited financial statements, its gross revenues 
may be certified by its chief financial officer or its equivalent. See 
47 CFR 90.912-13.
    In determining whether an entity qualifies as a small business at 
either threshold, gross revenues of all ``controlling'' principals will 
be attributed to the prospective small business applicant, as well as 
the gross revenues of affiliates of the applicant. However, personal 
net worth is not included in the determination of eligibility for 
bidding as a small business. The term ``control'' includes both de jure 
and de facto control of the applicant. Typically, de jure control is 
evidenced by ownership of 50.1 percent of an entity's voting stock. De 
facto control is determined on a case-by-case basis. An entity must 
demonstrate at least the following indicia of control to establish that 
it retains de facto control of the applicant: (1) The entity 
constitutes or appoints more than 50 percent of the board of directors 
or partnership management committee; (2) the entity has authority to 
appoint, promote, demote and fire senior executives that control the 
day-to-day activities of the licensees; and (3) the entity plays an 
integral role in all major management decisions. The definition of 
``affiliate'' is set forth at Sec. 90.912(d) of the Commission's Rules.
(2) Bidding Credits
    The size of a bidding credit depends on the annual gross revenues 
of the bidder and its affiliates, as averaged over the preceding three 
years: One, a bidder with average gross annual revenues not exceeding 
$15 million (a ``small business'') receives a 25-percent discount on 
its winning bids for 800 MHz SMR licenses. Two, a bidder with average 
gross annual revenues not exceeding $3 million (a ``very small 
business'') receives a 35-percent discount on its winning bids for 800 
MHz SMR licenses. These bidding credits are not cumulative.
(3) Application Showing
    Applicants should note that as part of their FCC Form 175 filing 
they will be required to file supporting documentation to establish 
that they satisfy the eligibility requirements to bid as a small 
business or very small business in this auction, and that they are 
subject to audits to confirm their eligibility.
(4) Unjust Enrichment
    Winning bidders in the auction for licenses in the upper 200 
channels of the 800 MHz SMR service should note that unjust enrichment 
provisions apply to winning bidders who use bidding credits and 
subsequently assign or

[[Page 49231]]

transfer control of their licenses to an entity that does not qualify 
for the special financial provisions. See 47 CFR Sec. 90.910(b). 
Likewise, unjust enrichment provisions apply to any licensee that 
received a bidding credit and subsequently partitions a portion of its 
license or disaggregates a portion of its spectrum to an entity that 
would not have qualified for such a bidding credit.

3. Pre-Auction Procedures

A. Short-Form Application (FCC Form 175)--Due September 29, 1997

    In order to be eligible to bid in this auction, applicants must 
first submit an FCC Form 175 application. This application must be 
received at the Commission by 5:30 p.m. ET on September 29, 1997. Late 
applications will not be accepted.
    There is no application fee required when filing a FCC Form 175. 
However, to be eligible to bid, an applicant will have to submit an 
upfront payment. See part 3.C below.
(1) Filing Options
    Auction applicants are strongly encouraged to file their 
applications electronically in order to take full advantage of the 
greater efficiencies and convenience of electronic filing, bidding and 
access to bidding data. For example, electronic filing enables the 
applicant to: (a) receive interactive feedback while completing the 
application, and (b) receive immediate acknowledgement that the FCC 
Form 175 has been submitted for filing. In addition, only those 
applicants who file electronically will have the option of bidding 
electronically. However, manual filing (via hard copy) is also 
permitted. Please note that manual filers will not be permitted to bid 
electronically and must bid telephonically, unless the FCC Form 175 is 
amended electronically prior to the resubmission date for incomplete or 
deficient applicants. Applicants who file electronically may make 
amendments to their applications up until the filing deadline. The 
following is a brief description of each filing method.
    (a) Electronic Filing. Applicants wishing to file electronically 
may generally do so on a 24-hour basis beginning September 2, 1997. All 
the information required to file the FCC Form 175 electronically (i.e., 
software and help files) will be available over both the Internet and 
the FCC's Bulletin Board System (``BBS''). Information about 
downloading, installing, and running the FCC Form 175 application 
software is included in Attachment C to this Public Notice.
    (b) Manual Filing. Auction applicants will be permitted to file 
their FCC Form 175 applications in hard copy. Where any manually filed 
FCC Form 175 and 175-S exceeds five pages in length, the FCC 
additionally requires that all attachments be submitted on a 3.5-inch 
diskette, or the entire application be filed in a microfiche version. 
Manual filers must use a 1997 version of FCC Form 175 and the October 
1995 edition of the 175-S (if applicable). Earlier versions of this 
form will not be accepted for filing. Copies of FCC Forms 175 and 175-S 
can be obtained by calling 202-418-FORM.
    Manual applications may be submitted by hand delivery (including 
private ``overnight'' courier), or by U.S. mail (certified mail with 
return receipt recommended). They must be addressed to: FCC Form 175 
Filing, Auction No. 16, Federal Communications Commission, Auctions 
Division, 1270 Fairfield Road, Gettysburg, PA 17325-7245.

    Note: Manual applications delivered to any other locations will 
not be accepted.
(2) Completion of the FCC Form 175
    Applicants should carefully review 47 CFR 1.2105 and 90.906, and 
must complete all items on the FCC Form 175 (and 175-S, if applicable). 
Instructions for completing the FCC Form 175 are in Attachment B of 
this Public Notice.
    Failure to sign a manually filed FCC Form 175 or failure to submit 
the required ownership information (for both electronic and manual 
filers) will result in dismissal of the application and loss of the 
ability to participate in the auction. Only original signatures will be 
accepted for manually filed applications.
(3) Electronic Review of FCC Form 175
    The FCC Form 175 review software may be used to review and print 
applicants' FCC Form 175 applications. In other words, applicants who 
file electronically may review their own completed FCC Form 175s. 
Applicants also have access to view other applicants' completed FCC 
Form 175s, after the filing deadline has passed and the FCC has issued 
a public notice explaining the status of the applications. There is a 
fee of $2.30 per minute for accessing this system. See Attachment C for 
details.

B. Application Processing and Minor Corrections

    After the deadline for filing the FCC Form 175 applications has 
passed, the FCC will process all timely applications to determine which 
are acceptable for filing, and subsequently will issue a public notice 
identifying: (1) Those applications accepted for filing (including FCC 
account numbers and the licenses for which they applied); (2) those 
applications rejected; and (3) those applications which have minor 
defects that may be corrected, and the deadline for filing such 
corrected applications.
    As described more fully in our rules, after the September 29, 1997 
short-form filing deadline, applicants may make only minor corrections 
to their FCC Form 175 applications. Applicants will not be permitted to 
make major modifications to their applications (e.g., change their 
license selections, change the certifying official or change control of 
the applicant). See 47 CFR 1.2105.

C. Upfront Payments--Due October 14, 1997

    In order to be eligible to bid in the auction, applicants must 
submit an upfront payment accompanied by an FCC Remittance Advice (FCC 
Form 159). All upfront payments must be received by wire transfer at 
Mellon Bank in Pittsburgh, Pennsylvania, by 6:00 p.m. E.T. on October 
14, 1997.
    Please note that:
    <bullet> All payments must be made in U.S. dollars.
    <bullet> All payments must be made by wire transfer. No other form 
of payment will be accepted.
    <bullet> Upfront payments for Auction 16 go to a different lockbox 
number from the one used in previous FCC auctions, and different from 
the lockbox number to be used for post-auction payments.
    <bullet> Failure to deliver the upfront payment by the October 14, 
1997 deadline will result in dismissal of the application and 
disqualification from participation in the auction.
(1) Wire Transfers
    For this auction, the FCC requires applicants to make their upfront 
payments by wire transfer, which experience has shown provides the 
greatest reliability and efficiency. Wire transfer payments must be 
received by 6:00 p.m. ET on October 14, 1997. 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
BNF: FCC/AC--9116878
OBI Field: (Skip one space between each information item)

[[Page 49232]]

``AUCTIONPAY''
FCC ACCOUNT NO. (same as FCC Form 159, Block 1)
PAYMENT TYPE CODE (enter ``AW8U'')
FCC CODE (same as FCC Form 159, Block 17A: ``16'')
PAYOR NAME (same as FCC Form 159, Block 3)
LOCKBOX NO. 358400

    Note: The BNF and Lockbox No. are specific to the upfront 
payments for this auction; do not use BNF or Lockbox numbers from 
previous auctions.

    Applicants must fax a completed FCC Form 159 to Mellon Bank at 412-
236-5702 at least one hour before placing the order for the wire 
transfer (but on the same business day). On the cover sheet of the fax, 
write ``Wire Transfer--Auction Payment for Auction Event #16''.
(2) FCC Form 159
    Each upfront payment must be accompanied by a completed FCC 
Remittance Advice (FCC Form 159). Proper completion of FCC Form 159 is 
critical to ensuring correct credit of upfront payments.
(3) Amount of Upfront Payment
    We have applied a uniform discount factor to the upfront payments 
associated with each license across the board, discounting the $0.02 
per bidding unit to take into account the large amount of incumbency 
that exists in the upper 800 MHz SMR channels. This incumbency factor 
has been applied equally across all channel blocks and geographic areas 
and has not been adjusted for different levels of incumbencies in each 
individual block or area. The upfront payment amounts listed in 
Attachment A reflect these calculations.
    The amount of the upfront payment required to bid on a particular 
license in Auction No. 16 is listed in Attachment A to this Public 
Notice. Upfront payments will be translated into bidding units to 
define the bidder's maximum bidding eligibility for the licenses for 
which it has applied.
    Thus, an applicant does not have to make an upfront payment to 
cover all licenses for which it has applied. Rather, the total upfront 
payment defines the maximum amount of bidding units the applicant will 
be permitted to bid on (including standing high bids) in any single 
round of bidding. At a minimum, an applicant's total upfront payment 
must be enough to establish eligibility to bid on at least one of the 
licenses applied for on its FCC Form 175, or else the applicant will 
not be eligible to participate in the auction.
    In calculating the upfront payment amount, an applicant should 
determine the maximum number of bidding units it may wish to be active 
on in any single round, and submit an upfront payment covering that 
number of bidding units. (See part 4.A(2) for a discussion of activity 
and bidding units.)

    Note: An applicant may, on its FCC Form 175, apply for every 
license being offered, but its actual bidding in any round will be 
limited by the bidding units reflected in its upfront payment. As 
explained in parts 4.A(2) and 4.A(4) below, bidders will be required 
to remain active in each round of the auction on a specified 
percentage of bidding units reflected in their upfront payment in 
order to retain their current eligibility.
(4) Refunds
    The FCC plans to use wire transfers for all Auction 16 refunds. To 
avoid delays in processing refunds, applicants should include wire 
transfer instructions with any refund request they file; they may also 
provide this information in advance by faxing it to the FCC Billings 
and Collections Branch, ATTN: Regina Dorsey or Linwood Jenkins, at 202-
418-2843. (Applicants should also note that implementation of the Debt 
Collection Improvement Act of 1996 requires the FCC to obtain a 
Taxpayer Identification Number before it can disburse refunds.) 
Eligibility for refunds is discussed later in part 5.D.

D. Auction Registration

    No later than five business 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 on at least one of the 
licenses for which they applied.
    All qualified bidders are automatically registered for the auction. 
Registration materials will be distributed prior to the auction by two 
separate overnight mailings, each containing part of the confidential 
identification codes required to place bids. These mailings only will 
be sent to the contact person at the applicant address listed in the 
FCC Form 175.
    Applicants who do not receive both registration mailings will not 
be able to submit bids. Therefore, any qualified applicant who has not 
received both mailings within three business days after the release of 
the qualified bidders public notice should contact the FCC National 
Call Center at 888-CALL-FCC (888-225-5322, press option #2 at the 
prompt). Receipt of both registration mailings is critical to 
participating in the auction and each applicant is responsible for 
ensuring it has received all of the registration material.
    Qualified bidders should note that lost login codes, passwords or 
bidder identification numbers can only be replaced by appearing in 
person at the FCC Auction Headquarters located at 2 Massachusetts 
Avenue, N.E., Washington, D.C. 20002. Only an authorized representative 
or certifying official, as designated on an applicant's FCC Form 175, 
may appear in person with two forms of identification (one of which 
must be a photo identification) in order to receive replacement codes.

E. Remote Electronic Bidding Software

    Qualified bidders who file or amend the FCC Form 175 electronically 
are allowed to bid electronically, but must purchase remote electronic 
bidding software for $175.00, including shipping and handling, by 
October 15, 1997. (Auction software is tailored to a specific auction, 
so software from prior auctions will not work for Auction 16.) Bidders 
who order remote bidding software by the ordering deadline will receive 
it with the registration mailings. A software order form will appear in 
a subsequent public notice.

F. Mock Auction

    All applicants whose FCC Form 175s have been accepted for filing 
will be eligible to participate in a mock auction beginning October 23, 
1997. The mock auction will enable applicants to become familiar with 
the electronic software prior to the auction. Free demonstration 
software will be available for use in the mock auction. Due to 
different bidding procedures in this auction from previous Commission 
auctions, participation by all bidders is strongly recommended. Details 
will be announced by public notice.

4. Auction Event

    The first round of the auction will begin at 10:00 am ET on October 
28, 1997.

A. Auction Structure

(1) Simultaneous Multiple Round Auction
    The 525 EA licenses in the upper 200 channels of the 800 MHz SMR 
service will be awarded through a single, simultaneous multiple round 
auction. Unless otherwise announced, bids will be accepted on all 
licenses in each round of the auction.

[[Page 49233]]

(2) Maximum Eligibility and Activity Rules
    As explained in part 3.B(3) above, the amount of the upfront 
payment submitted by a bidder determines the initial maximum 
eligibility (in bidding units) for each bidder. In order to ensure that 
the auction closes within a reasonable period of time, an activity rule 
requires bidders to bid actively throughout the auction, rather than 
wait until the end before participating. Bidders are required to be 
active on a percentage of their maximum eligibility during each round 
of the auction. Details of the specific percentages for each stage are 
set forth under Auction Stages in part 4.A(4) below. A bidder that does 
not satisfy the activity rule will either lose bidding eligibility or 
use an activity rule waiver, as explained by Activity Rule Waivers and 
Reducing Eligibility in part 4.A(3) below.
    A bidder is considered active on a license in the current round if 
it either is the high bidder at the end of the previous bidding period 
and does not withdraw the high bid in the current round, or if it 
submits an acceptable bid in the current round (see Minimum Acceptable 
Bids in part 4.B(2) below). A bidder's activity level in a round is the 
sum of the bidding units associated with licenses on which the bidder 
is active. The minimum required activity level is expressed as a 
percentage of the bidder's maximum bidding eligibility and increases as 
the auction progresses, as set forth under Auction Stages in parts 
4.A(4) and 4.A(5) below.
(3) Activity Rule Waivers and Reducing Eligibility
    Each bidder will be provided five activity rule waivers that may be 
used in any round during the course of the auction. Use of an activity 
rule waiver preserves the bidder's current bidding eligibility despite 
the bidder's activity in the current round being below the required 
minimum level. An activity rule waiver applies to an entire round of 
bidding and not to a particular license.
    The FCC auction system assumes that bidders with insufficient 
activity would prefer to use an activity rule waiver (if available) 
rather than lose bidding eligibility. Therefore, the system will 
automatically apply a waiver (known as an ``automatic waiver'') at the 
end of any bidding period where a bidder's activity level is below the 
minimum required unless: (1) There are no activity rule waivers 
available; or (2) the bidder overrides the automatic application of a 
waiver by reducing eligibility, thereby meeting the minimum 
requirements.
    A bidder with insufficient activity who wants to reduce its bidding 
eligibility rather than use an activity rule waiver must affirmatively 
override the automatic waiver mechanism during the bidding period by 
using the reduce eligibility function in the software. In this case, 
the bidder's eligibility is permanently reduced to bring the bidder 
into compliance with the activity rules as described in Auction Stages, 
part 4.A(4) below. Once eligibility has been reduced, a bidder will not 
be permitted to regain its lost bidding eligibility.
    Finally, a bidder may proactively use an activity rule waiver as a 
means to keep the auction open without placing a bid. If a bidder 
submits a proactive waiver (using the proactive waiver function in the 
bidding software) during a bidding period in which no bids are 
submitted, the auction will remain open and the bidder's eligibility 
will be preserved. An automatic waiver invoked in a round in which 
there are no new valid bids will not keep the auction open.
(4) Auction Stages
    The auction is composed of three stages, which are each defined by 
an increasing activity rule. Below are the proposed activity levels for 
each stage of the auction. The FCC reserves the discretion to alter the 
activity percentages before and during the auction.
    Stage One: In each round of the first stage of the auction, a 
bidder desiring to maintain its current eligibility is required to be 
active on licenses encompassing at least 80 percent of its current 
bidding eligibility. Failure to maintain the requisite activity level 
will result in a reduction in the bidder's bidding eligibility in the 
next round of bidding (unless an activity rule waiver is used). During 
Stage One, reduced eligibility for the next round will be calculated by 
multiplying the current round activity by five-fourths (\5/4\).
    Stage Two: In each round of the second stage, a bidder desiring to 
maintain its current eligibility is required to be active on 90 percent 
of its current bidding eligibility. During Stage Two, reduced 
eligibility for the next round will be calculated by multiplying the 
current round activity by ten-ninths (10/9).
    Stage Three: In each round of the third stage, a bidder desiring to 
maintain its current eligibility is required to be active on 98 percent 
of its current bidding eligibility. In this final stage, reduced 
eligibility for the next round will be calculated by multiplying the 
current round activity by fifty-fortyninths (50/49).
    Caution: Since activity requirements increase in each auction 
stage, bidders must carefully check their current activity during the 
bidding period of the first round following a stage transition. This is 
especially critical for bidders who have standing high bids and do not 
plan to submit new bids. In past auctions, some bidders inadvertently 
lost bidding eligibility or used an activity rule waiver because they 
did not reverify their activity status at stage transitions. Bidders 
may check their activity against the required minimum activity level by 
using the bidding software's bidding module.
(5) Stage Transitions
    The auction will start in Stage One. Under our general guidelines 
it will advance to the next stage (i.e., from Stage One to Stage Two, 
and from Stage Two to Stage Three) when in each of three consecutive 
rounds of bidding, the high bid has increased on 10 percent or less of 
the licenses being auctioned (as measured in bidding units). However, 
the FCC retains the discretion to accelerate the auction by 
announcement. This determination will be based on a variety of measures 
of bidder activity including, but not limited to, the auction activity 
level, the percentages of licenses (measured in terms of bidding units) 
on which there are new bids, the number of new bids, and the percentage 
increase in revenue.
(6) Auction Stopping Rules
    Barring extraordinary circumstances, bidding will remain open on 
all licenses until bidding stops on every license. Thus, the auction 
will close for all licenses when one round passes during which no 
bidder submits a new acceptable bid on any license, applies a proactive 
waiver, or withdraws a previous high bid.
    The FCC retains the discretion, however, to keep an auction open 
even if no new acceptable bids or proactive waivers are submitted, and 
no previous high bids are withdrawn. In this event, the effect will be 
the same as if a bidder had submitted a proactive waiver. Thus, the 
activity rule will apply as usual, and a bidder with insufficient 
activity will either lose bidding eligibility or use an activity rule 
waiver (if it has any left).
    Further, in its discretion, the FCC reserves the right to declare 
that the auction will end after a specified number of additional rounds 
(``special stopping rule''). If the FCC invokes this special stopping 
rule, it will accept bids in the final round(s) only for licenses on 
which the high bid increased in at least one of the preceding specified 
number of rounds. The FCC intends to exercise

[[Page 49234]]

this option only in extreme 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. Before exercising this option, the 
FCC is likely to attempt to increase the pace of the auction by, for 
example, moving the auction into the next stage (where bidders would be 
required to maintain a higher level of bidding activity), 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.
(7) Auction Delay, Suspension or Cancellation
    By public notice or by announcement during the auction, the FCC 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 FCC, 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 FCC to 
delay or suspend the auction.

B. Bidding Procedures

(1) Round Structure
    The initial bidding schedule will be announced by public notice at 
least one week before the start of the auction, and will be included in 
the registration mailings. The round structure for each bidding round 
contains a single bidding period followed by the release of the round 
results. Participants should note that the round structure for this 
auction is the same structure as was used in the recent Wireless 
Communications Service auction. This format is different from the round 
structure used in previous Commission auctions.
    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 
FCC may increase or decrease the amount of time for the performance and 
review periods, or the number of rounds per day, depending upon the 
bidding activity level and other factors.
(2) Minimum Acceptable Bids
    There will be no minimum opening bid and no minimum bid increment 
for a license until the license has received an initial bid. For 
further discussion, see pages five and six above. Once there is a 
standing high bid on a license, a bid increment will be applied to that 
license to establish a minimum acceptable bid for the following round. 
The Commission will release the specific methodology for calculating 
this increment before the start of the auction.
(3) High Bids
    Each bid will be date-and time-stamped when it is entered into the 
computer system. In the event of tie bids, the Commission will identify 
the high bidder on the basis of the order in which bids are received by 
the Commission, starting with the earliest bid.
(4) Bidding
    Durng a bidding period, a bidder may submit bids for as many 
licenses as it is eligible, as well as withdraw high bids from previous 
bidding periods, remove bids placed in the same bidding period, or 
permanently reduce eligibility. Bidders also have the option of making 
multiple submissions and withdrawals in each bidding period, and will 
not have a separate period to withdraw bids. If a bidder enters 
multiple bids for a license in the same round, the system takes the 
last bid entered as that bidder's bid for the round. A bidder's maximum 
eligibility in the first round of the auction is determined by: (a) The 
licenses applied for on FCC Form 175 and (b) the upfront payment amount 
deposited. The bid submission screens will be tailored for each bidder 
to include only those licenses for which the bidder applied on its FCC 
Form 175. A bidder also has the option to further tailor its bid 
submission screens to call up specified groups of licenses.
    The bidding software requires each bidder to login to the FCC 
Auction System during the bidding period using the FCC Account Number, 
Bidder Identification Number, and confidential security codes provided 
in the registration materials. Bidders are encouraged to download and 
print bid confirmations after they submit their bids.
(5) Bid Withdrawal and Bid Removal
    (a) Procedures. Before the close of a bidding period, a bidder has 
the option of removing any bids placed in that round. By using the 
remove bid function in the software, 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. Note 
that removing a bid will affect a bidder's eligibility for the round in 
which it is removed.
    Once a round closes, a bidder may no longer remove a bid. However, 
in the next round, a bidder may withdraw standing high bids from 
previous rounds using the withdraw bid function. A high bidder that 
withdraws its standing high bid from a previous round is subject to the 
bid withdrawal payments specified in 47 CFR 90.905. The procedure for 
withdrawing a bid and receiving a withdrawal confirmation is 
essentially the same as the bidding procedure described in Bidding, 
part 4.B(4) above. To prevent strategic delays to the close of the 
auction, the FCC retains the discretion to limit the number of times 
that a bidder may re-bid on a license from which it has withdrawn a 
high bid. Bidders should note that abuse of the Commission's bid 
withdrawal procedures could result in the denial of the ability to bid 
on a market.
    If a high bid is withdrawn, the license will be offered in the next 
round at the second highest bid price, which may be less than, or equal 
to, in the case of tie bids, the amount of the withdrawn bid, without 
any bid increment. The FCC will serve as a ``place holder'' on the 
license until a new acceptable bid is submitted on that license.
    (b) Calculation. Generally, a bidder who withdraws a standing high 
bid during the course of an auction will be subject to a payment equal 
to the lower of (1) the difference between the net withdrawn bid and 
the subsequent net winning bid, or (2) the difference between the gross 
withdrawn bid and the subsequent gross winning bid for that license. 
See 47 CFR 90.905. No withdrawal payment will be assessed if the 
subsequent winning bid exceeds the withdrawn bid.
(6) Round Results
    The bids placed during a bidding period are not published until the 
conclusion of that bidding period. After a bidding period closes, the 
FCC will compile reports of all bids placed, bids withdrawn, current 
high bids, new minimum accepted bids, and bidder eligibility status 
(bidding eligibility and activity rule waivers), and post the reports 
for public access.
    Reports reflecting bidders' identities and bidder identification 
numbers for Auction 16 will be available before and during the auction. 
Thus, bidders will know in advance of this auction the identities of 
the bidders against whom they are bidding.

[[Page 49235]]

(7) Auction Announcements
    The FCC will use auction announcements to announce items such as 
schedule changes and stage transitions. All FCC auction announcements 
will be available on the FCC remote electronic bidding system, as well 
as the Internet and the FCC Bulletin Board System.
(8) Other Matters
    As noted in part 3.B above, after the short-form filing deadline, 
applicants may make only minor changes to their FCC Form 175 
applications. For example, permissible minor changes include deletion 
and addition of authorized bidders (to a maximum of three) and revision 
of exhibits. Filers should make these changes on-line, and submit a 
letter to Kathleen O'Brien Ham, Chief, Auctions Division, Wireless 
Telecommunications Bureau, Federal Communications Commission, 2025 M 
Street, NW., Room 5322, Washington, DC, 20554 (and mail a separate copy 
to Alice Elder, Auctions Division), briefly summarizing the changes. 
Questions about other changes should be directed to the FCC Auctions 
Division at 202-418-0660.

5. Post-Auction Procedures

A. Down Payments and Withdrawn Bid Payments

    After bidding has ended, the FCC will issue a public notice 
declaring the auction closed (``auction closing notice''), identifying 
the winning bids and bidders for each license, and listing withdrawn 
bid payments due.
    Within ten business days after release of the public notice 
announcing the close of the auction, each winning bidder must submit 
sufficient funds to bring the total amount of money on deposit with the 
government (upfront payment less any withdrawal payments) to 20 percent 
of its high bids, unless it is an eligible small or very small business 
who elected to bid using bidding credits, then it must submit 
sufficient funds to bring the total amount of money on deposit with the 
government (upfront payment less any withdrawal payments) to 20 percent 
of its net winning bids (actual bids less any applicable bidding 
credits). See 47 CFR 90.907. In addition, by the same deadline all 
bidders must pay any withdrawn bid amounts due under Sec. 90.905 of the 
Commission's Rules, as discussed in part 4.B(5) above. Upfront payments 
are applied first to satisfy any outstanding bid withdrawal payments 
before being applied toward down payments. 47 CFR 1.2104(g)(2).

B. Long-Form Application

    Within ten business days after release of the auction closing 
notice, winning bidders must submit a properly completed long-form 
application and required exhibits for each 800 MHz SMR license won 
through the auction. Winning small business or very small business 
bidders must include an exhibit demonstrating their eligibility for the 
small business provisions. See 47 CFR 1.2107 (c)-(d). Further filing 
instructions will be provided to auction winners at the close of the 
auction.

C. Application Processing and Grant; Final Payments

    Once a high bidder has submitted its down payment and filed an 
acceptable long-form application, the FCC will release a public notice 
announcing acceptance of the long-form application. Unless otherwise 
announced, parties will have thirty days following the public notice to 
file petitions to deny. Oppositions to petitions to deny are due within 
ten days after the filing of the petition to deny. Replies to 
oppositions may be filed within five days after the time for filing the 
oppositions has expired. See 47 CFR 1.45, 1.2105(b) and (c). If the 
Commission dismisses or denies all petitions to deny, the Commission 
will announce by public notice that it is prepared to award a license, 
and the winning bidder will then have ten business days to submit the 
balance of its winning bid. If this payment is made, the license will 
be granted.
    Winning bidders will receive further instructions and detailed 
payment information after the auction closes.

D. Refund of Remaining Upfront Payment Balance

    All applicants who submitted upfront payments but were not winning 
bidders for any 800 MHz SMR license may be entitled to a refund of 
their remaining upfront payment balance after the conclusion of the 
auction. No refund will be made unless there are excess funds on 
deposit from that applicant after any applicable bid withdrawal 
payments have been paid.
    Bidders who drop out of the auction completely may be eligible for 
a refund of their upfront payments before the close of the auction. 
However, bidders who reduce their eligibility and remain in the auction 
are not eligible for partial refunds of upfront payments until the 
close of the auction. Qualified bidders who have exhausted all their 
activity rule waivers, have no remaining bidding eligibility, and have 
not withdrawn a high bid during the auction must submit a written 
refund request, along with a Taxpayer Identification Number (``TIN'') 
and a copy of their bidding eligibility screen print, to: Federal 
Communications Commission, Billings and Collections Branch, Attn: 
Regina Dorsey or Linwood Jenkins, 1919 M Street, NW., Room 452, 
Washington, DC 20554.
    Bidders can also fax their request to the Billings and Collections 
Branch at (202) 418-2843. Once the request has been approved, a refund 
will be sent to the address provided on the FCC Form 159.

    Note: Refund processing generally takes up to two weeks to 
complete. Bidders with questions about refunds should contact Regina 
Dorsey or Linwood Jenkins at 202-418-1995.

E. Default and Disqualification

    Any high bidder that defaults or is disqualified after the close of 
the auction (i.e., fails to remit the required down payment within the 
prescribed period of time, fails to submit a timely long-form 
application, fails to make full payment, or is otherwise disqualified) 
will be subject to the payments described in Sec. 90.905 of the 
Commission's Rules. In the event that the amount of those payments 
cannot be determined (i.e., until the license has been reauctioned), 
the FCC can require a ``deposit'' of at least three (3) percent of the 
defaulted bid amount. See In Re C. H. PCS, Inc., BTA No. B347 Frequency 
Block C, Order, DA 96-1825 (released November 4, 1996). See also 
Wireless Telecommunications Bureau Will Strictly Enforce Default 
Payment Rules, Public Notice, DA 96-41 (April 4, 1996). Under certain 
circumstances the FCC can also reauction the license to existing or new 
applicants, or offer it to the other highest bidders (in descending 
order) at their final bids. See 47 CFR 90.905. In addition, if a 
default or disqualification involves gross misconduct, 
misrepresentation or bad faith by an applicant, the FCC 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. See 47 CFR 1.2107(d).

F. Service and Construction Requirements

    EA-based licensees in the upper 200 channels of the 800 MHz SMR 
service are subject to a five-year construction deadline. See 47 CFR 
90.685.

News Media Contact: Audrey Spivack (202) 418-0654

[[Page 49236]]

Wireless Telecommunications Bureau Contacts:
Internet address: http://www.fcc.gov/wtb
Auctions and Industry Analysis Division:
    Legal Questions (auctions rules)--Alice Elder (202) 418-0660
    General Information--Kathy Garland (888) 225-5322 (press option #2 
at the prompt) and Ruby Hough (202) 418-0660
Commercial Wireless Division:
    Legal Questions (service rules)--Wilbert Nixon (202) 418-0620
    Licensing Questions--Eric Smith and Linda Spence (888) 225-5322 
(press option #2 at the prompt)

Federal Communications Commission.
Shirley S. Suggs,
Chief, Publications Branch.

Attachment A--List of Licenses Offered

    The attached table lists the 525 licenses to be auctioned in the 
upper 200 channels of the 800 MHz SMR service. The licenses consist of 
three licenses in each of 175 Economic Area (``EAs''). More information 
regarding EAs is available on the Commission's Office of Engineering 
and Technology's Internet web page at: <a href="http://www.fcc.gov/oet/info/
maps/bea/

Attachment">http://www.fcc.gov/oet/info/
maps/bea/

Attachment</a> B-- Guidelines for Completion of FCC Forms 159 and 175 and 
Exhibits

A. FCC Form 175

    Because of the significance of the Form 175 application to the 
auction, bidders should especially note the following:
    Paper form version: Manual filers must use a 1997 edition of the 
FCC Form 175 and the October 1995 edition of the 175-S (if applicable). 
Earlier versions of the FCC Form 175 will not be accepted. Copies of 
the FCC Form 175 can be obtained by calling the Commission's Forms 
Distribution Center at 1-800-418-3676 (outside Washington, D.C.) or 
202-418-3676 (in the Washington area). Copies of the FCC Form 175 can 
also be obtained via Fax-On-Demand at 202-418-0177. If applicants have 
any questions concerning availability of the FCC Form 175, they should 
call the FCC Records Management Branch at 202-418-0210.
    Items 2-5: Give a street address (not a Post Office box number) for 
the applicant, suitable for mail or private parcel delivery. The FCC 
will send all registration materials and other written communications 
to the applicant at this address.
    Item 6: The 800 MHz SMR auction will be the sixteenth auction 
conducted by the FCC. For ``Auction No.'' in item 6 of the FCC Form 
175, enter ``16.''
    Item 7: Applicants must create a ten-digit FCC Account Number, 
which the Commission will use to identify and track applicants:
    <bullet> A bidder that has a taxpayer identification number (TIN) 
must create this FCC account number by using its TIN, plus the prefix 
of ``0'' (i.e., 0123456789). A TIN is either the Employer 
Identification Number (EIN) in the case of a business, or the Social 
Security Number (SSN) in the case of an individual.
    <bullet> If--and only if--an applicant does not have a taxpayer 
identification number, the applicant should use its ten-digit area code 
and telephone number (i.e., 2025551234) on an interim basis. However, 
the FCC must have a TIN before it will be able to issue a license or 
refund upfront payments.
    Each applicant must include its FCC Account Number when submitting 
amendments, additional information, or other correspondence or 
inquiries regarding its application, and must include this same number 
on each FCC Form 159 (FCC Remittance Advice) accompanying required 
auction deposits or payments.
    Item 8: Applicants must indicate their legal classification. The 
July 1997 version of FCC Form 175 requires the applicant to classify 
itself as an individual, partnership, trust, corporation, government 
entity, limited liability company (LLC) or association. In the event an 
applicant that classifies itself as a government entity, LLC or 
association uses an earlier version of the form (which does not include 
these specific classifications), it should check the box labelled 
``other'' and specify its classification in the blank space provided.
    Items 9 and 10: A box does not need to be checked in Item 9 unless 
small business status is selected in Item 10. Applicants should be 
aware that they will be committed to their election choices. 
(Applicants are also requested to indicate their status as a rural 
telephone company, minority-owned business or women-owned business as 
well, so the FCC can monitor its performance in promoting economic 
opportunities for these designated entities.) Be advised that this is 
the sole opportunity applicants have to elect small business status and 
bidding credit level (if applicable), and there is no opportunity to 
change the election(s) made once the short-form filing deadline passes.
    <bullet> Small or very small business applicants eligible for 
bidding credits should check that gross revenues do not exceed the 
maximum dollar amount specified in the FCC rules governing the 
auctionable service in Item 9.
    <bullet> Small or very small business applicants should enter the 
applicable bidding credit in Item 10: either 25 or 35 percent. 
Applicants should be aware that this is the sole opportunity that they 
will have to elect the appropriate bidding credit.
    <bullet> Applicants should leave the Installment Payment Plan Type 
blank, as none is available for this auction.
    Item 11: For each license on which they seek bidding eligibility, 
applicants must identify the market number in the Market No. column, 
and the frequency block or blocks in the Frequency Block/Channel No. 
set of columns. The market number for each EA is listed in Attachment 
A; frequency blocks are A, B, and C. Applicants that wish to bid on all 
EAs in a given frequency block or blocks should check the ``ALL'' box 
in the Market No. column and list the frequency block or blocks desired 
in the Frequency Block/Channel No. headings. If filing manually, the 
FCC Form 175 provides space to list only five markets, applicants 
should use one or more FCC Form 175-S to list any additional markets.
    Applicants should identify all licenses they want to be eligible to 
bid on in the auction in Item 11. Be advised that there is no 
opportunity to change this list once the short-form filing deadline 
passes. The FCC auction system will not accept bids on licenses an 
applicant has not applied for on its FCC Form 175.
    Item 12: Applicants must list the name(s) of the person(s) (no more 
than three) authorized to represent them at the auction. Only those 
individuals listed on the FCC Form 175 will be authorized to place or 
withdraw bids for the applicant during the auction.
    Certifications: Applicants should carefully read the list of 
certifications on the FCC Form 175. These certifications help to ensure 
a fair and competitive auction and require, among other things, 
disclosure to the Commission of certain information on applicant 
ownership and agreements or arrangements concerning the auction. 
Submission of an FCC Form 175 application constitutes a representation 
by the certifying official that he or she is an authorized 
representative of the applicant, has read the form's instructions and 
certifications, and that the contents of the application and its 
attachments are true and correct. Submission of a false certification 
to the Commission may result in penalties, including monetary 
forfeitures, license forfeitures,

[[Page 49237]]

ineligibility to participate in future auctions, and/or criminal 
prosecution.
    Contact person: If the Commission wishes to communicate with the 
applicant by telephone or fax, those communications will be directed to 
the contact person identified on the FCC Form 175. Space is provided 
for both a telephone number, fax number, and e-mail address. All 
written communication and registration information will be directed to 
the applicant's contact person at the address specified on the FCC Form 
175. Applicants must provide a street address; no P.O. Box addresses 
may be used.
    Signature: Manually filed FCC Form 175s must bear an original 
signature. Absence of an original signature will result in dismissal of 
the application and disqualification from participating in the auction. 
(Applicants filing electronically should type the name of the 
certifying official in the signature block.)
    Paper or Diskette Copies: For this auction the FCC will accept, in 
lieu of paper copies, a 3.5-inch diskette which contains ASCII text 
(.TXT) files of all exhibit documentation attached to the FCC Form 175. 
(Applicants that use a word processing program to prepare these files 
must be sure to save the files in the ASCII format before submitting 
the diskette, and verify that the ASCII files contain all exhibit 
information.)
    Completeness: Applicants must submit all information required by 
the FCC Form 175 and by applicable rules, including a certifying 
signature on manual filings. Failure to submit required information by 
the resubmission date will result in dismissal of the application and 
inability to participate in the auction. See 47 CFR 1.2105(b).
    Continuing Accuracy: Each applicant is responsible for the 
continuing accuracy and completeness of information furnished in the 
FCC Form 175 and its exhibits. See 47 CFR Sec. 1.65. It is the FCC's 
position that ten business days from a reportable change is a 
reasonable period of time in which applicants must amend their FCC Form 
175s. Applicants are reminded that Certification 6 on the FCC Form 175 
includes consent to be audited.

B. Exhibits and Attachments

    In addition to the FCC Form 175 itself, applicants must submit 
additional information required by the FCC's rules. Although we do not 
require a particular format for this information, we have developed the 
following guidelines that will facilitate the processing of short-form 
applications. We encourage applicants filing both electronically and 
manually to submit this information using the following format. All 
exhibits must be in ASCII text (.TXT).
    Exhibit A--Applicant Identity and Ownership Information: 47 CFR 
1.2105(2)(ii) requires each applicant to fully disclose the real party 
or parties-in-interest in an exhibit to its FCC Form 175 application. 
The information should provide the name, citizenship and address of all 
partners, if the applicant is a partnership; or a responsible officer 
or director, if the applicant is a corporation; of the trustee, if the 
applicant is a trust; or, if the applicant is none of the foregoing, 
list the name, address and citizenship of a principal or other 
responsible person.
    Exhibit B--Agreements with Other Parties/Joint Bidding 
Arrangements: Applicants must attach an exhibit identifying all parties 
with whom they have entered into any agreements, arrangements or 
understandings which relate in any way to the licenses being auctioned, 
including any relating to the post-auction market structure. See 47 CFR 
1.2105(a)(2)(viii).
    Be aware that pursuant to Certification (4) on the FCC Form 175, 
the applicant certifies that it will not enter into any explicit or 
implicit agreements or understandings of any kind with parties not 
identified in the application regarding bid amounts, bidding strategies 
or the particular licenses the applicant will or will not bid. See 47 
CFR 1.2105(a)(2)(ix). To prevent collusion, the Commission's rules 
generally prohibit communication during the course of the auction among 
applicants for the same license areas when such communications concern 
bids, bidding strategies, or settlements. 47 CFR 1.2105(c).
    Exhibit C--Status as a Small or Very Small Business Applicant: 
Applicants claiming status as a small or very small business must 
attach an exhibit regarding this status.
    <bullet> Small or very small business applicants must state the 
average gross revenues for the preceding three years for the applicant 
(including affiliates), as prescribed by 47 CFR 90.913. Certification 
that the average gross revenues for the preceding three years do not 
exceed the required limit is not sufficient.
    Exhibit D--Information Requested of Designated Entities: Applicants 
owned by minorities or women as defined in 47 CFR 1.2110(b), or who are 
rural telephone companies, may attach an exhibit regarding this status. 
This information, in conjunction with the information in Item 10, will 
assist the Commission in monitoring the participation of these 
``designated entities'' in its auctions.
    Exhibit E--Miscellaneous Information: Applicants wishing to submit 
additional information should include it in Exhibit E.
    Applicants are reminded that all information required in connection 
with applications to participate in spectrum auctions is necessary to 
determine the applicants' qualifications, and as such will be available 
for public inspection. Required proprietary information may be 
redacted, or confidentiality may be requested, following the procedures 
set out in 47 CFR 0.459. Any such requests must be submitted in writing 
to Kathleen O'Brien Ham, Chief, Auctions Division, Wireless 
Telecommunications Bureau, Federal Communications Commission, 2025 M 
Street, NW., Room 5322, Washington, DC 20554 (with a separate copy 
mailed to Alice Elder, Auctions Division), in which case the applicant 
must indicate in Exhibit E that it has filed a confidentiality request. 
Because the required information bears on applicants' qualifications, 
the FCC envisions that confidentiality requests will not be routinely 
granted.
    Waivers: Applicants requesting waiver of any rules must submit a 
statement of reasons sufficient to justify the waiver sought.

Auction Specific Instructions: FCC Remittance Advice, FCC Form 159 
Upfront Payments

    The following information supplements the standard instructions for 
FCC Form 159, and is provided to help ensure its correct completion for 
upfront payments for the 800 MHz Specialized Mobile Radio Service (SMR) 
auction (Auction 16). Applicants need to complete FCC Form 159 
carefully, since:

Mistakes may affect their bidding eligibility, and
Lack of consistency between information in FCC Form 159, FCC Form 175, 
FCC Form 600, and correspondence about an application may cause 
processing delays.

    Therefore appropriate cross-references between the FCC Form 159 
Remittance Advice and the FCC Form 175 Short Form Application are 
described below.

[[Page 49238]]



------------------------------------------------------------------------
           Block No.                       Required information         
------------------------------------------------------------------------
(RESERVED).....................  In the upper left hand corner of the   
                                  form is a rectangle with              
                                  ``(RESERVED)'' in the middle. Enter   
                                  the number ``358400'' somewhere in    
                                  this rectangle.                       
1..............................  FCC Account Number--Same as FCC Form   
                                  175, block 7. Note: It is critical    
                                  that this number exactly match the    
                                  applicant's account number shown on   
                                  FCC Form 175.                         
2..............................  Total Amount Paid--Enter the total     
                                  amount of the upfront payment         
                                  associated with the FCC Form 159.     
3..............................  Payor Name--Enter the name of the      
                                  person or company making the payment. 
                                  If the applicant itself is the payor, 
                                  this entry would be the same as FCC   
                                  Form 175, block 1.                    
4-8............................  Street Address, City, State, ZIP Code--
                                  Enter the street mailing address (not 
                                  Post Office box number) where mail    
                                  should be sent to the payor. If the   
                                  applicant is the payor, these entries 
                                  would be the same as FCC Form 175,    
                                  blocks 2 through 5.                   
9..............................  Daytime Telephone Number--Enter the    
                                  telephone number of a person          
                                  knowledgeable about this upfront      
                                  payment.                              
10.............................  Country Code--For addresses outside the
                                  United States, enter the appropriate  
                                  postal country code (available from   
                                  the Mailing Requirements Department of
                                  the U.S. Postal Service).             
14A............................  Payment Type Code--Enter ``AW8U.''     
15A............................  Quantity--Enter the numeral ``1.''     
16A............................  Amount Due--Enter the total upfront    
                                  payment indicated in block 2.         
17A............................  FCC Code 1--Enter the number ``16''    
                                  (indicating Auction 16).              
------------------------------------------------------------------------

    Notes:
    <bullet> Blocks 12A and 18A do not apply, so leave them blank.
    <bullet> If applicant is different from the payor, complete 
blocks 11A, 13A, 19A, 20A and 21A for the applicant, using the same 
information shown on FCC Form 175. Otherwise leave them blank.
    <bullet> Since this auction does not involve multiple 
applications, leave blocks 11B through 21B blank. For the same 
reason, do not use Advice (Continuation Sheet), FCC Form 159-C, for 
upfront payments.
    <bullet> Since credit card payments will not be accepted for 
this auction, leave blocks 22 and 23 blank.
    Attachment B contains blank copies of FCC Forms 175 and 159.
    Electronic filers use on-line software to generate these forms 
and do not need paper copies. Manual filers can obtain paper copies 
by calling 202-418-FORM.

Attachment C--Electronic Filing of FCC Form 175

    The Commission has implemented a remote access system to allow 
applicants to submit their FCC Form 175 applications electronically. 
The remote access system for initial filing of the FCC Form 175 
applications will generally be available 24 hours per day beginning at 
approximately the same time as the release of this Public Notice. FCC 
Form 175 applications that are filed electronically using this remote 
access system must be submitted and confirmed by 5:30 p.m. ET on 
September 29, 1997. Late applications or unconfirmed submissions of 
electronic data will not be accepted. The electronic filing process 
consists of an initial filing period and a resubmission period to make 
minor corrections.
    The FCC Remote Electronic Auction System includes various software, 
with which applicants can:

1. file an FCC Form 175 short-form application,
2. review other FCC Form 175 applications filed,
3. submit and withdraw bids and activity rule waivers,
4. receive auction messages/announcements and submit suggestions,
5. create and download customized round results files, and
6. file a long-form application.

    In 1995 the FCC issued a Report and Order in WT Docket No. 95-69, 
FCC 95-308, 60 FR 38,276 (July 26, 1995), establishing fair and 
reasonable charges for auction software and on-line access to the FCC's 
wide area network to use the software. It established the following 
schedule of charges:

------------------------------------------------------------------------
                                                           Access per   
                                          Software           minute     
------------------------------------------------------------------------
FCC Form 175 Filing................  FREE.............  FREE.           
FCC Form 175 Review................  FREE.............  $2.30.          
Bid Submission.....................  $175.00..........  $2.30.          
Messages/Announcements.............  FREE.............  $2.30.          
Suggestion Box.....................  FREE.............  $2.30.          
Round Results Reports..............  FREE.............  $2.30.          
Bidding Analysis...................  FREE.............  Off-Line.       
------------------------------------------------------------------------

    Parties interested in filing FCC Form 175 applications 
electronically may do so in one of two ways:
    <bullet> Via a (202) number code telephone service with no 
additional access charge or
    <bullet> Via a 900 number telephone service at a charge of $2.30 
per minute. The first minute of connection time to the 900 number 
service will be at no charge.
    Similarly, parties interested in reviewing FCC Form 175 
applications electronically will do so via the 900 telephone service at 
a charge of $2.30 per minute. The first minute of connection time to 
the 900 number service will be at no charge. Applicants who wish to 
file their FCC Form 175 electronically or review other FCC Form 175 
applications on-line will need the following hardware and software:

Hardware Requirements

<bullet> CPU: Intel 80486 or above
<bullet> RAM: 8 MB RAM (more recommended if you intend to open multiple 
applications)
<bullet> Hard Disk: 12 MB available disk space
<bullet> Modem: v.32bis 14.4kbps Hayes compatible modem
<bullet> Monitor: VGA or above
<bullet> Mouse or other pointing device

    To create backup installation disks for the FCC Form 175 
Application, you will need the following:

<bullet> 1.44 MB 3.5'' Floppy Drive
<bullet> Three blank MS-DOS<SUP></SUP> formatted 1.44-MB floppy disks

Software Requirements

<bullet> FCC Form 175 Application Software (available through the 
Internet and the FCC Bulletin Board System)
<bullet> Microsoft Windows 3.1 or Microsoft Windows for Workgroups 
v3.11

    Note: The FCC Form 175 Application has not been tested in a 
Macintosh, OS/2, or Windows 95 environment. Therefore, the FCC will 
not support operating systems other than Microsoft Windows 3.1 or 
Microsoft Windows for Workgroups v3.11. This includes any other 
emulated Windows environment. If your Windows is in a networked 
environment, check with your local network administrator for any 
potential conflicts with the PPP (Point-to-Point Protocol) Dialer 
that is incorporated into the FCC Form 175 Application. This usually 
includes any TCP/IP installed network protocol.

    The PPP Dialer that is incorporated into the FCC Form 175 
Application will establish a point-to-point connection from your PC to 
the FCC Network. This point-to-point connection is not routed through 
the Internet.
    Applicants who wish to file their FCC applications electronically 
or who wish to view other applicants' applications

[[Page 49239]]

must first download the software from either the Internet or the FCC 
Bulletin Board System. Applicants must download the following 
compressed files to install the software: f175v11a.exe, f175v11b.exe, 
f175v11c.exe.

Download Method 1: Internet Access

    You may download the compressed files from your Internet browser 
using either http or ftp, as described in the following sections.

<bullet> Internet Browser via http: http://www.fcc.gov
    1. Connect to your Internet service provider and start your 
Internet browser.
    2. Enter the following location: http://www.fcc.gov
    3. Click on Auctions
    4. Scroll down to Auction 16 and click on the Auctions Tools/
Programs icon.
    5. Download the following files: f175v11a.exe, f175v11b.exe, 
f175v11c.exe
    <bullet> Internet Browser via ftp: <a href="ftp://ftp.fcc.gov/pub/Auctions/
SMR/800/Auction__16/Programs">ftp://ftp.fcc.gov/pub/Auctions/
SMR/800/Auction__16/Programs</a>

1. Connect to your Internet service provider and start your Internet 
browser.
2. Enter the following location: ftp://ftp.fcc.gov
3. Click on the pub directory
    Click on the Auctions directory
    Click on the SMR directory
    Click on the 800 directory
    Click on the Auction__16 directory
    Click on the Programs directory
4. Download the following files: f175v11a.exe, f175v11b.exe, 
f175v11c.exe
    Download Method 2: Dial-In Access to the FCC Auction Bulletin Board 
System (BBS): The FCC Auction Bulletin Board System (BBS) provides 
dial-in access for the FCC Form 175 Application Software. To access the 
FCC Auction BBS, use a communications package that can handle at least 
Xmodem protocol (such as PcAnyWhere, Procomm, or Microsoft Terminal in 
Windows 3.x) to dial in to (202) 682-5851. Use the settings of 8 data 
bits, no parity and 1 stop bit (8,N,1). Once your computer is connected 
to the Auction BBS, do the following:

1. To create an account:
    (a) Enter your first name.

    Note: Throughout these instructions, ``enter'' means to type the 
appropriate information and then press the Enter key.

    (b) Enter your last name.
    (c) When asked whether you want to create an account, enter Y.
    (d) When prompted, enter a password. The password can be from four 
to ten characters long, where the characters can be either letters or 
numbers.
    (e) To confirm the password, enter it again.
    (f) When prompted for contact information, enter your voice phone 
number. Include the area code; for example, you might enter 202-555-
1234.
    (g) Enter your company name.

    2. On the Welcome screen, enter C for Continue. (You may also enter 
c, the program accepts either case.)
    Since C is the default (automatic) selection, you can also just 
press Enter to continue.
    3. When asked whether you want to view the bulletin menu. Enter Y 
for Yes. Then, to continue, press Enter to obtain the FCC Auction BBS 
Main Menu.
    4. Enter A (for Auction Menu) to obtain the Auction Library Menu. 
The top options on this menu provide a range of numbers to represent 
the available auctions.
    5. To select Auction 16, enter B to select the second range.
    6. On the Auctions Library Menu, enter the number of the auction 
you want. Enter 16, in this case.
    The Auction Menu appears.
    7. Enter P to select Program files. The list of available files for 
Auction 16 appears. These files are sorted by date, with the most 
recent files at the beginning of the list.
    8. To scroll downward to the next screen of file names, either 
press Enter or enter C for Continue. To scroll upward to the preceding 
screen of file names, enter P for Previous.
    Note that on each screen, file names are numbered separately, 
starting with 1.
    9. To select one or more files for downloading or viewing, mark the 
files you want. The program marks a file by preceding its name with an 
asterisk (*).
    You can do the following:
    <bullet> To mark an individual file, enter its line number.
    <bullet> To mark a range of files, enter M (for Mark) and then 
enter the range of files in response to the prompt.
    For example, to mark files 6 through 12, enter 6-12 at the prompt.
    <bullet> To unmark a file, enter its number again.
    You can also use Mark to unmark a range of files. Use any of these 
techniques to mark the following files: f175v11a.exe, f175v11b.exe, 
f175v11c.exe
    10. When you have finished marking files, download them as follows:
    (a) Enter D for Download.
    The program displays a list that summarizes the download operation. 
The Time column lists the download time for each file; the Total Time 
column lists a running total of the download times.
    (b) Enter D to proceed.
    (c) Select the file transfer protocol that has been specified in 
your terminal emulation software (e.g., Xmodem or Zmodem). When the 
download operation has finished, the list of files reappears.
    11. Enter X to leave the BBS.

Extracting the FCC Form 175 Application

    The FCC Form 175 Application files are downloaded in a self-
extracting, compressed file format. When you have downloaded all of the 
compressed files for the FCC Form 175 Application, you must extract the 
FCC Form 175 Application from those files. To extract the software, 
start File Manager in the Main Program group, open the file folder 
where you downloaded the files, and double-click on f175v11a.exe. A 
message will appear listing the default directory to which the software 
will extract. If this directory does not exist, it will be created 
automatically. Press Unzip to begin extracting the software from the 
compressed file. When the extraction is complete, a message will appear 
listing the number of files that were unzipped. Press OK and repeat the 
above process for the remaining compressed files (f175v11b.exe, 
f175v11c.exe). Be sure to extract to the same directory as the first 
compressed file.

Installing the FCC Form 175 Application

    After you extract the software from the compressed files, you must 
install the FCC Form 175 Application. To install the software, start 
File Manager, open the file folder to which you extracted the software, 
and double-click on setup.exe.
    To begin, the setup program shows a screen listing the default 
directory to which the software will install. Press the Install button, 
then press OK to install to the specified directory. If the directory 
does not exist, the setup program will create it automatically.
    When the installation is complete, a message may appear asking you 
to restart Windows so that the changes made by the installation may 
take effect. Press Restart to restart Windows or press Stay Here to 
restart at a later time. Do not use the FCC Form 175 Application until 
you have restarted Windows.

[[Page 49240]]

Creating Backup Installation Disks for the FCC Form 175 Application

    To create backup installation disks for the FCC Form 175 
Application, go to File Manager, open the file folder to which you 
extracted the software, double-click on backup.bat, and follow the 
instructions on the screen.

Running the FCC Form 175 Application

    When the installation process is complete, you will have a new 
Program Manager group called FCC Form 175 Application v11 with the 
following icons: Configure PPP, FCC Form 175 Submit, FCC Form 175 
Review, Suggestion Box, Readme File, and Uninstall. You must verify/
modify the parameters in the Configure PPP program prior to 
establishing a PPP connection. Please consult the readme.txt file 
included with the software for information regarding Configure PPP.
    Double-click on an icon to start the respective system.

Uninstalling the FCC Form 175 Application

    To uninstall the FCC Form 175 Application, double-click on the 
Uninstall icon in the FCC Form 175 v11 program group. Press Start to 
uninstall the software.
    Note that the Uninstall program will remove all versions of the FCC 
Form 175 software located in that installation directory.
    Alternatively, you may uninstall the FCC Form 175 Application by 
deleting the directory to which you installed the software, then 
switching to Program Manager and deleting the FCC Form 175 v11 icons 
and group.

Help

    Detailed instructions for using all FCC Remote Electronic Auction 
System software are contained in the readme file associated with the 
software and in the context-sensitive help function associated with 
each software system.
    For technical assistance in installing or using the FCC Form 175 
Application, contact the FCC Technical Support Hotline at (202) 414-
1250. The FCC Technical Support Hotline will be generally available 
Monday through Friday, from 9 a.m. to 6 p.m. ET.

How To Monitor FCC Auctions

    Auction announcements and round results for Auction 16 will be 
accessible through the FCC Wide Area Network, the Internet and the FCC 
Auction Bulletin Board System (BBS). Using these tools, you can check 
on round results and/or read material released by the Commission during 
the course of the auction. Additionally, a software tool for tracking 
the progress of the FCC's SMR 800 MHz auction will be made available to 
the public prior to the start of the auction. The software for the 
tracking tool will be available via the Internet and the FCC Auctions 
Bulletin Board System. A public notice will be released to provide 
detailed installation and access instructions.
    Disclaimer. The Commission makes no warranty whatsoever with 
respect to the auctions tracking software packages. In no event shall 
the Commission, or any of its officers, employees, or agents, be liable 
for any damages whatsoever (including, but not limited to, loss of 
business profits, business interruption, loss of business information, 
or any other loss) arising out of or relating to the existence, 
furnishing, functioning or use of the auctions tracking software 
packages. Moreover, no obligation or liability will arise out of the 
Commission's technical, programming or other advice or service provided 
in connection with the auctions tracking software packages.

Attachment D--Summary Listing of Documents From the Commission and the 
Wireless Telecommunications Bureau

Addressing Application of the Anti-Collusion Rules

    To date, discussion concerning the anti-collusion rules may be 
found in the following Commission and Bureau items:

Commission Decisions

    Second Report and Order in PP Docket No. 93-253, FCC 94-61, 59 FR 
18493, 9 FCC Rcd 2348 (1994), paragraphs 221-226.
    Fifth Report and Order in PP Docket No. 93-253, FCC 94-178, 59 FR 
37,566, 9 FCC Rcd 5532 (1994), paragraphs 91-92.
    *Internet Address: <a href="http://www.fcc.gov/wtb/auctions/smr200u1/
frao3253.pdf/txt/wp">http://www.fcc.gov/wtb/auctions/smr200u1/
frao3253.pdf/txt/wp</a>
    Second Memorandum Opinion and Order in PP Docket No. 93-253, FCC 
94-215, 59 FR 44,272, 9 FCC Rcd 7245 (1994), paragraphs 48-55.
    Fourth Memorandum Opinion and Order in PP Docket No. 93-253, FCC 
94-264, 59 FR 53364, 9 FCC Rcd 6858 (1994), paragraphs 47-60.
    *Internet Address: http://www.fcc.gov/wtb/auctions/smr200u1/fmoo 
4264.pdf/txt/wp
    Memorandum Opinion and Order in PP Docket No. 93-253, FCC 94-295, 9 
FCC Rcd 7684 (1994), paragraphs 8-12.
    In re Commercial Realty St. Pete, Notice of Apparent Liability for 
Forfeiture, 10 FCC Rcd 4277 (1995).
    In re Applications of GWI PCS, Inc. For Authority to Construct and 
Operate Broadband PCS Systems Operating on Frequency Block C, 
Memorandum Opinion and Order, DA 96-674 (released April 4, 1997).

Wireless Telecommunications Bureau Decisions

    Order in PP Docket No. 93-253 and MM Docket No. 94-131, DA 95-2292, 
(released November 3, 1995).

Public Notices

    ``Wireless Telecommunications Bureau Clarifies Spectrum Auction 
Anti-Collusion Rules,'' Public Notice, DA 95-2244 (released October 26, 
1995).
    *Internet Address: <a href="http://www.fcc.gov/Bureaus/Wireless/Public_
Notices/1995/da952244.txt">http://www.fcc.gov/Bureaus/Wireless/Public_
Notices/1995/da952244.txt</a> ``Wireless Telecommunications Bureau Provides 
Guidance on the Anti-Collusion Rule for D, E and F Block Bidders,'' 
Public Notice, DA 96-1460 (released August 28, 1996). *Internet 
Address: http://www.fcc.gov/wtb/auctions/smr200u1/da961460.txt/wp/pdf

Letters From the Office of General Counsel and the Wireless 
Telecommunications Bureau

    Letter to Gary M. Epstein and James H. Barker from William E. 
Kennard, General Counsel, Federal Communications Commission (released 
October 25, 1994).
    Letter to Alan F. Ciamporcero from William E. Kennard, General 
Counsel, Federal Communications Commission (released October 25, 1996).
    Letter to R. Michael Senkowski from Rosalind K. Allen, Acting 
Chief, Commercial Radio Division, Wireless Telecommunications Bureau 
(released December 1, 1994).
    Letter to Leonard J. Kennedy from Rosalind K. Allen, Acting Chief, 
Commercial Radio Division, Wireless Telecommunications Bureau (released 
December 14, 1994).
    Letter to Jonathan D. Blake and Robert J. Rini from Kathleen 
O'Brien Ham, Chief, Auctions Division, Wireless Telecommunications 
Bureau, DA 95-2404 (released November 28, 1995).
    Letter to Mark Grady from Kathleen O'Brien Ham, Chief, Auctions 
Division, Wireless Telecommunications Bureau, DA 96-587 (released April 
16, 1996).
    Letter to David L. Nace from Kathleen O'Brien Ham, Chief, Auctions 
Division, Wireless Telecommunications Bureau, DA 96-1566 (released 
September 17, 1996).

[[Page 49241]]

Miscellaneous

    The Commission has received a formal complaint alleging that the 
practice of using ``trailer'' bids to signal interest in particular 
markets (e.g. by using the BTA number of a market as the final three 
digits of the bid amount) is an improper disclosure of bidding 
strategy, and as such violates the anti-collusion rule, 47 CFR 
1.2105(c). The Commission has reached no determination on the merits of 
this argument. See In re Application of Mercury PCS II, LLC to Bid in 
the Broadband PCS Auction for Authorization to Serve BTAs 013 
(Amarillo, Texas) and 264 (Lubbock, Texas) on Frequency Blocks D, E and 
F (Auction No. 11), Emergency Motion for Disqualification (filed 
November 26, 1996) and related pleadings.

    *Please Note: When the address is followed by .pdf/txt/wp, the 
document is available in more than one format. In order to review a 
document in its entirety (including footnotes), it is necessary to 
access the document in the Word Perfect or Acrobat Reader formats.

pdf = Acrobat Reader
txt = Text format
wp = Word Perfect format

[FR Doc. 97-24930 Filed 9-18-97; 8:45 am]
BILLING CODE 6712-01-U


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