PUBLIC NOTICE Federal Communications Commission 445 12th St., S.W. Washington, D.C. 20554 News Media Information 202 / 418-0500 Internet: http://www.fcc.gov TTY: 1-888-835-5322 DA 10-863 May 27, 2010 AUCTION OF LOWER AND UPPER PAGING BANDS LICENSES 69 BIDDERS QUALIFIED TO PARTICIPATE IN AUCTION 87 AU Docket No. 09-205 1. In this Public Notice, the Wireless Telecommunications Bureau (“Bureau”) identifies 69 applicants found to be qualified to bid in the upcoming auction of 9,603 licenses for lower and upper paging bands spectrum (Auction 87).1 Bidding in Auction 87 is scheduled to begin on Tuesday, June 15, 2010. This Public Notice contains bidding instructions and other important information regarding Auction 87. It also addresses the continuing obligations and auction procedures for all Auction 87 applicants, including those that have not qualified to participate. I. QUALIFIED AND NON-QUALIFIED BIDDERS A. Qualified Bidders 2. Attachment A to this Public Notice lists the name of each of the 69 qualified bidders and each bidder’s claimed bidding credit revenue range.2 Designation of an applicant as qualified to bid in the auction indicates that the applicant has provided the certifications and information concerning its qualifications for participation in the auction and timely submitted a sufficient upfront payment as required by the Commission’s competitive bidding rules.3 1 See “Auction of Lower and Upper Paging Bands Licenses Scheduled for May 25, 2010; Notice and Filing Requirements, Minimum Opening Bids, Upfront Payments, and Other Procedures for Auction 87,” AU Docket No. 09-205, Public Notice, DA 10-18 (rel. Jan. 22, 2010) (“Auction 87 Procedures Public Notice”). See also “Auction of Lower and Upper Paging Bands Licenses Rescheduled for June 15, 2010; Status of Short-Form Applications to Participate in Auction 87,” AU Docket No. 09-205, Public Notice, DA 10-588 (rel. Apr. 13, 2010) (“Auction 87 Status Public Notice”). 2 Two applicants – Silke Communications and Two-Way Communications – qualified as bidders in Auction 87, but are not eligible for the bidding credit originally requested in their respective short-form applications. Specifically, Silke Communications amended its application and requested the 25 percent bidding credit instead of the 35 percent bidding credit. Two-Way Communications originally requested the 25 percent bidding credit, but amended its application to withdraw its request for a bidding credit altogether. Therefore, these applicants are qualified, but only with the bidding credit level as shown in Attachment A. In addition, one qualified applicant requested to change its name from “Teletouch Paging LP” to “TTP Licenses, Inc.” This name change is reflected in Attachment A and within the Commission’s electronic bidding system database. Finally, one qualified applicant – Dallas County Community College District – corrected its FCC Registration Number (“FRN”) associated with its application. The correct FRN is 0001673979, which is reflected in Attachment A. 3 Under the Commission’s two-phased auction application process, a winning bidder must submit a long-form application after the close of Auction 87 to demonstrate its qualifications to hold a Commission license and, if a 2 3. In order to participate effectively in the auction, qualified bidders should again familiarize themselves with the auction rules, procedures, and other information described in the Auction 87 Procedures Public Notice and subsequent public notices.4 These public notices and other documents related to Auction 87 are available on the Commission’s auctions website at http://wireless.fcc.gov/auctions/. This Public Notice provides additional guidance. B. Non-Qualified Bidders 4. Attachment B to this Public Notice lists each applicant that submitted a short-form application but did not qualify to bid in this auction. These applicants remain subject to the Commission’s rules prohibiting certain communications in connection with Commission auctions.5 II. REGISTRATION AND BIDDING ACCESS A. Registration Materials 5. Qualified bidders have been automatically registered for the auction. Registration materials will be sent to the bidder’s contact person at the contact address identified in the bidder’s short-form application. Upon receipt, each bidder should be in possession of the following: · At least two RSA SecurID® tokens · Integrated Spectrum Auction System (ISAS) Bidder’s Guide · FCC Auction Bidder Line phone number 6. Qualified bidders are solely responsible for ensuring the security of their computer systems and their registration materials and for ensuring that only authorized bidders place bids on their behalf. The Commission assumes no responsibility or liability for these matters. WARNING: Any unauthorized entity accessing or tampering with an FCC or other government computer system will be prosecuted to the full extent of the law. 7. Any qualified bidder listed in Attachment A of this Public Notice that has not received the registration mailing by 12:00 noon Eastern Time (ET) on Wednesday, June 9, 2010, must contact the Auctions Hotline directly at (717) 338-2868. Qualified bidders must have these registration materials to submit bids. Receipt of the registration mailing is critical to participating in both the mock auction and the actual auction, and it is the responsibility of each qualified bidder to ensure that all registration information has been received. B. Registration Material Replacement 8. In the event that a bidder’s SecurID® tokens are lost or damaged, only a person who has been designated as an authorized bidder, the contact person, or the certifying official on the applicant’s short- form application may request replacements. Qualified bidders requiring replacement of these items must call Technical Support at (877) 480-3201, option nine; (202) 414-1250; or (202) 414-1255 (TTY). bidding credit is requested, its eligibility for the requested bidding credit. Thus, a determination that a short-form application is complete and complies with the Commission’s competitive bidding rules and policies is not determinative of an applicant’s qualifications to hold a license or entitlement to a bidding credit. See 47 C.F.R. §§ 1.2107 – 1.2109; see also Amendment of Part 1 of the Commission’s Rules – Competitive Bidding Procedures, PP Docket No. 93-253, Second Report and Order, FCC 94-61, 9 FCC Rcd 2348, 2376-77 ¶¶ 163-168 (1994). Requests concerning application qualifications and eligibility for a bidding credit are generally considered after the auction during the long-form application process. In the event that an applicant is found unqualified to be a Commission licensee or ineligible for claimed designated entity benefits, it will be liable for any obligations incurred as a result of its participation in the auction. See generally 47 C.F.R. § 1.2109. 4 Auction 87 Procedures Public Notice and Auction 87 Status Public Notice. 5 See 47 C.F.R. § 1.2105(c); see also Auction 87 Procedures Public Notice at ¶ 12. 3 C. Bidding Access 9. The Commission will conduct Auction 87 over the Internet. Qualified bidders can access the Integrated Spectrum Auction System (“ISAS” or “FCC Auction System”) at http://auctions.fcc.gov or http://auctions2.fcc.gov. Bidders choosing to bid electronically should review the Integrated Spectrum Auction System (ISAS) Bidder’s Guide provided in the registration materials. Bidders are reminded that Apple® Mac OS® is not currently supported. 10. In addition to bidding electronically over the Internet, qualified bidders will also have the option of bidding by telephone via the Auction Bidder Line. The Auction Bidder Line telephone number will be supplied in the registration materials sent to all qualified bidders. Bidders choosing to bid electronically may use the Auction Bidder Line as an alternate method of bidding. When submitting bids by telephone, bidders should allow sufficient time to bid by placing their calls well in advance of the close of a round.6 11. Each authorized bidder must have his or her own SecurID® token, regardless of whether the bidder chooses to bid electronically or by telephone. Applicants with only one authorized bidder will be issued two SecurID® tokens, while applicants with two or three authorized bidders will be issued three tokens. For security purposes, the SecurID® tokens and the instructions for using them are mailed only to the contact person at the contact address listed on the applicant’s short-form application. Please note that each SecurID® token is tailored to a specific auction. SecurID® tokens issued for other auctions or obtained from a source other than the FCC will not work for Auction 87. 12. Please note that the SecurID® tokens can be recycled, and we strongly encourage bidders to return the tokens to the FCC. We will provide pre-addressed envelopes that bidders may use to return the tokens once the auction is closed. D. Bidding Contingency Plan 13. Bidders should develop comprehensive contingency plans that can be quickly implemented if bidders experience difficulty participating in the auction. While the FCC will correct any problems within Commission-controlled facilities, bidders are solely responsible for anticipating and overcoming problems such as bidder computer failures or other technical issues, loss of or problems with data connections, telephone service interruptions, adverse local weather conditions, unavailability of authorized bidders, or the loss or breach of confidential security codes. As referenced above, bidders will receive the Auction Bidder Line telephone number in their registration materials. III. BIDDING TOOLS A. Mock Auction 14. The Bureau strongly encourages all qualified bidders to participate in the mock auction that will be conducted Friday, June 11, 2010. The mock auction will allow qualified bidders to familiarize themselves with the FCC Auction System and to ask FCC auction staff and technical support staff questions about the system and about auction conduct. The Bureau will conduct this auction over the Internet, and bidders will also have the option of bidding by telephone. 15. Qualified bidders can access the mock auction at http://auctions.fcc.gov or http://auctions2.fcc.gov. Bidders choosing to bid electronically should review the Integrated Spectrum Auction System (ISAS) Bidder’s Guide provided in the registration materials. Qualified bidders that wish to place bids by telephone should use the Auction Bidder Line telephone number supplied in the Auction 87 registration materials. 16. The mock auction will include a selection of 1,050 licenses out of the 9,603 available in Auction 87 and will follow the rules governing the actual auction. The mock auction will be identified as Mock Auction 74. The FCC Auction System will also assume that each bidder submitted an upfront 6 Because the length of a call to place bids may vary, bidders should allow a minimum of 10 minutes. 4 payment sufficient to give the bidder initial (maximum) eligibility of 525,000 bidding units. The mock auction will simulate the start of the auction, and each bidder will be required to be active on 80 percent of its current bidding eligibility. If a bidder does not meet this requirement, it will have a waiver automatically applied (if the bidder has any waivers available), or its current eligibility will be permanently reduced (if the bidder has no waivers remaining), possibly curtailing or eliminating the bidder from further bidding in the mock auction. 17. The mock auction bidding schedule for Friday, June 11, 2010, will be as follows: Round 1 10:00 a.m. - 11:00 a.m. ET Round 2 12:30 p.m. - 1:30 p.m. ET Round 3 3:00 p.m. - 3:45 p.m. ET Round 4 5:00 p.m. - 5:30 p.m. ET B. Watchlists 18. The FCC Auction System sets up for each qualified bidder a default watchlist, called “All Licenses,” which contains every license selected on the bidder’s short-form application. Qualified bidders may create additional watchlists containing licenses of their own choosing, and licenses may appear in multiple watchlists. Bidders may access the FCC Auction System and begin creating their watchlists upon receipt of their SecurID® tokens. Instructions for creating watchlists will be provided in the Integrated Spectrum Auction System (ISAS) Bidder’s Guide. Please note that watchlists created in the mock auction will not display in Auction 87. C. Bidder Questions during the Mock Auction and Auction 87 19. FCC auction staff and technical support staff will be available during the auction. Only a person who has been designated as an authorized bidder, the contact person, or the certifying official on the applicant’s short-form application should call on behalf of a bidder. When calling, the person should state that he or she is calling on behalf of a bidder with a time-sensitive auction question. To place bids by phone or to ask questions during the auction, bidders should use the FCC Auction Bidder Line telephone number supplied in the registration materials. Otherwise, bidders should refer to the contact information provided in Section VII “Contact Information” below. D. Bidder Suggestions 20. The FCC Auction System includes a function for bidders to submit suggestions to the FCC, but this is not an appropriate mechanism for asking time-sensitive questions that may need an immediate response, such as questions about auction procedures or other issues. Those questions should be directed to the Auction Bidder Line or to the appropriate telephone number provided in Section VII “Contact Information” below. IV. AUCTION INFORMATION A. Auction Announcements 21. The Commission will post pertinent auction information as announcements in the FCC Auction System. Bidders should routinely check for announcements each time they enter the FCC Auction System and should read this information carefully. B. Bidding Schedule 22. Auction 87 bidding will begin on Tuesday, June 15, 2010, with two rounds and the schedule will be as follows: Bidding Round 10:00 a.m. - 12:00 p.m. ET Bidding Round 2:00 p.m. - 4:00 p.m. ET 5 23. The bidding schedule for Wednesday, June 16, 2010, and continuing until further notice, will be: Round 1 10:00 a.m. - 11:00 a.m. ET Round 2 1:00 p.m. - 2:00 p.m. ET Round 3 4:00 p.m. - 5:00 p.m. ET 24. The Bureau will set the pace of the auction based upon monitoring of the bidding and assessment of the auction’s progress. All subsequent schedule changes will be made by announcement via the FCC Auction System during the course of the auction. C. Bid Amounts 25. Each license in Auction 87 will have a minimum opening bid amount, as previously announced.7 In addition to the minimum opening bid, Auction 87 will begin with eight additional bid amounts (for a total of nine bid amounts) per license.8 The Bureau retains the discretion to change the minimum acceptable bid amounts, the additional bid amounts, the cap (if any) on bid amounts, the number of acceptable bid amounts, and the parameters of the formulas used to calculate bid amounts if it determines that circumstances so dictate. Further, the Bureau retains the discretion to do so on a license- by-license basis.9 D. Round Results 26. Round results will be available approximately 30 – 45 minutes after the close of each round. Auction 87 will be conducted using procedures that limit the disclosure of information on bidder interests and identities until after the close of bidding.10 27. Two types of reports will be available to bidders during the auction: (1) publicly available information, and (2) bidder-specific information available only to that bidder when logged in to the FCC Auction System. The public information will be available on the FCC Auction System results page and in downloadable files. When a bidder is logged in to the FCC Auction System, it will have a selection of “My Bid Reports” available to it on the FCC Auction System’s bidding page. Information in “My Bid Reports” allows only the respective bidder to view all of its actions in the current and previous rounds of the auction. Samples of the downloadable files are available on the web page for Auction 87 at http://wireless.fcc.gov/auctions/87, via the “Sample Results Files” link in the “General Information” section of the page. Due to the large number of licenses in this auction, the XML Database Cumulative files will not be available during the auction. 28. Detailed instructions for reviewing and downloading round results are provided in the Integrated Spectrum Auction System (ISAS) Bidder’s Guide. The bidder’s guide is included with qualified bidders’ registration materials and is available in electronic form through the “HELP” link in the FCC Auction System. V. MAINTAINING APPLICANT OBLIGATIONS A. Prohibition of Certain Communications 29. We remind applicants that section 1.2105(c) of the Commission’s rules prohibits applicants for licenses in any of the same or overlapping geographic areas from communicating with each other about bids, bidding strategies, or settlements, which may include communications regarding post-auction 7 Auction 87 Procedures Public Notice at ¶¶ 168-172. Attachment A of the Auction 87 Procedures Public Notice sets forth the minimum opening bid amounts for each license offered in Auction 87. 8 Id. at ¶¶ 173, 177-79. 9 Id. at ¶ 179. 10 Id. at ¶¶ 135-144, 198. 6 market structure, unless they have identified each other on their short-form applications as parties with which they have entered into agreements under section 1.2105(a)(2)(viii).11 In Auction 87, the prohibition on certain communications applies to any applicants that selected any of the same licenses or licenses in the same geographic area.12 30. The prohibition on certain communications is effective as of the short-form application filing deadline, which for Auction 87 was March 16, 2010, at 6:00 p.m. ET, and extends until the post-auction down payment deadline, which will be announced in a public notice released shortly following close of bidding.13 The prohibition applies to all applicants regardless of whether such applicants become qualified bidders or actually bid.14 For further information on the prohibition, applicants should refer to the Auction 87 Procedures Public Notice.15 B. Maintenance of Anonymous Bidding 31. We remind applicants that, under the anonymous bidding procedures in effect for Auction 87, the Commission is withholding from public release, until after the close of the auction, any information that may indicate specific applicants’ interests in the auction – including, among other things, license selections, upfront payments, and eligibility information – and the identities of bidders making bids or taking other bidding-related actions. Accordingly, communication to other applicants or public disclosure of such non-public information would appear to violate the Commission’s anonymous bidding procedures and section 1.2105(c) of the Commission’s rules.16 32. This prohibition would include communication of any such non-public information by an applicant to the public, financial analysts, or the press, as well as any such communication by an applicant to another applicant for one or more licenses covering geographic areas also covered by the applicant’s license selections on its short-form application.17 Examples of communications that may raise concern, 11 47 C.F.R. §§ 1.2105(a)(2)(viii), 1.2105(c)(1). See also Amendment of Part 1 of the Commission’s Rules – Competitive Bidding Procedures, WT Docket No. 97-82, Seventh Report and Order, FCC 01-270, 16 FCC Rcd 17,546 (2001) (“Part 1 Seventh Report and Order”); Order on Reconsideration of the Third Report and Order, Fifth Report and Order, and Fourth Further Notice of Proposed Rule Making, FCC 00-274, 15 FCC Rcd 15,293, 15,297-98 ¶¶ 7-8 (2000). 12 For a more detailed discussion of considerations relating to prohibited communications in the context of Auction 87, see Auction 87 Procedures Public Notice at ¶¶ 10-35. See also “Wireless Telecommunications Bureau Clarifies Spectrum Auction Anti-Collusion Rules,” Public Notice, 11 FCC Rcd 9645 (1995). 13 47 C.F.R. § 1.2105(c)(1). 14 For example, the Commission imposed a forfeiture in the amount of $100,000 for violation of section 1.2105(c), even though the applicant never made an upfront payment for the auction and was not listed as a qualified bidder. See Northeast Communications of Wisconsin, LLC, Forfeiture Order, DA 04-3027, 19 FCC Rcd 18,635 (2004). The Commission subsequently reduced the amount of the forfeiture to $75,000 on account of the parties’ history of compliance with Commission rules. See Star Wireless, LLC and Northeast Communications of Wisconsin, Inc., Order on Review, FCC 07-08, 22 FCC Rcd 8943 (2007), review denied, Star Wireless, LLC v FCC, 522 F.3d 469 (D.C. Cir. 2008) (section 1.2105(c) applies to applicants regardless of whether they are qualified to bid). The United States District Court for the Eastern District of Wisconsin recently granted summary judgment in favor of the United States pursuant to an effort by the Department of Justice to enforce the forfeiture. United States v. Northeast Communications of Wisconsin, LLC, Decision and Order, Case No. 07-C-715 (June 25, 2008). See also Letter to Robert Pettit, Esq., from Margaret W. Wiener, Chief, Auctions and Industry Analysis Div., DA 00-2904, 16 FCC Rcd 10,080 (WTB/Auc. Div. 2000) (declining to exempt an applicant’s controlling interest from coverage by the rule, even though the applicant never made an upfront payment for the auction and was not listed as a qualified bidder). 15 Auction 87 Procedures Public Notice at ¶¶ 10-35. 16 Id. at ¶¶ 135-144. 17 The Commission has long expressed the concern that applicants should use caution in their dealings with other parties, such as members of the press, financial analysts, or others who might become a conduit for the 7 given the anonymous bidding procedures in effect for Auction 87, include an applicant’s statement to the press about its upfront payment or bidding eligibility, and an applicant’s statement to the press that it is or is not interested in bidding in the auction. C. Disclosure Obligations and Possible Sanctions 33. Section 1.2105(c)(6) provides that any applicant that makes or receives a communication that appears to violate section 1.2105(c) must report such communication in writing to the Commission immediately, and in no case later than five business days after the communication occurs.18 The Commission has clarified that each applicant’s obligation to report any such communication continues beyond the five-day period after the communication is made, even if the report is not made within the five day period.19 34. In addition, section 1.65 of the Commission’s rules requires an applicant to maintain the accuracy and completeness of information furnished in its pending application and to notify the Commission of any substantial change that may be of decisional significance to that application.20 Thus, section 1.65 requires an auction applicant to notify the Commission of any substantial change to the information or certifications included in its pending short-form application. Applicants are therefore required by section 1.65 to report to the Commission any communications of bids or bidding strategies that result in a bidding arrangement, agreement, or understanding after the short-form filing application deadline.21 35. The Commission recently amended sections 1.65(a) and 1.2105(c) of its rules to require applicants in competitive bidding proceedings to furnish additional or corrected information within five days of a significant occurrence, or to amend their short-form applications no more than five days after the applicant becomes aware of the need for amendment.22 The Commission made this change to facilitate the auction process, by making the information available promptly to all participants and enabling the Bureau to act expeditiously on those changes when such action is necessary.23 communication of non-public information relating to auctions, such as bids and bidding strategies. Compare “Wireless Telecommunications Bureau Responds to Questions About the Local Multipoint Distribution Service Auction, Public Notice,” DA 98-37, 13 FCC Rcd 341, 347-8 (1998) (“Public statements can give rise to collusion concerns. This has occurred in the antitrust context, where certain public statements can support other evidence which tends to indicate the existence of a conspiracy.”). 18 47 C.F.R. § 1.2105(c)(6); see also Part 1 Seventh Report and Order, 16 FCC Rcd at 17555 ¶ 17. 19 See Service Rules for the 698-746, 747-762 and 777-792 MHz Bands, WT Docket No. 06-150, Revision of the Commission’s Rules to Ensure Compatibility with Enhanced 911 Emergency Calling Systems, CC Docket No. 94- 102, Section 68.4(a) of the Commission’s Rules Governing Hearing Aid-Compatible Telephones, WT Docket No. 01-309, Biennial Regulatory Review – Amendment of Parts 1, 22, 24, 27, and 90 to Streamline and Harmonize Various Rules Affecting Wireless Radio Services, WT Docket 03-264, Former Nextel Communications, Inc. Upper 700 MHz Guard Band Licenses and Revisions to Part 27 of the Commission’s Rules, WT Docket No. 06-169, Implementing a Nationwide, Broadband, Interoperable Public Safety Network in the 700 MHz Band, PS Docket No. 06-229, Development of Operational, Technical and Spectrum Requirements for Meeting Federal, State and Local Public Safety Communications Requirements Through the Year 2010, WT Docket No. 96-86, Declaratory Ruling on Reporting Requirement under Commission’s Part 1 Anti-Collusion Rule, WT Docket No. 07-166, Second Report and Order, FCC 07-132, 22 FCC Rcd 15,289, 15,395 ¶¶ 285-86 (2007). 20 47 C.F.R. § 1.65. 21 See Part 1 Seventh Report and Order, 16 FCC Rcd at 17552 ¶ 12. 22 Procedural Amendments to Commission Part 1 Competitive Bidding Rules, WT Docket No. 10-18, Order, FCC 10-4, 25 FCC Rcd 521, 523 ¶ 8 (2010) (“Part 1 Procedural Amendments Order”). 23 Id. 8 36. Parties reporting prohibited communications must take care to ensure that any such reports do not themselves give rise to a violation of section 1.2105(c). For example, a party’s report of a prohibited communication could violate the rule by communicating prohibited information to other applicants through the use of Commission filing procedures that would allow such materials to be made available for public inspection. The Commission recently amended section 1.2105(c) to minimize the risk of inadvertent dissemination by requiring parties to file only a single report and to file that report with Commission personnel expressly charged with administering the Commission’s auctions.24 Pursuant to the amended rule, any reports required by section 1.2105(c) must be filed consistent with the instructions set forth in this Public Notice.25 For Auction 87, such reports should be filed with the Chief of the Auctions and Spectrum Access Division, Wireless Telecommunications Bureau, by the most expeditious means available. Specifically, any such reports should be submitted by e-mail at the following address: auction87@fcc.gov, or delivered to the following address: Margaret W. Wiener, Chief, Auctions and Spectrum Access Division, Wireless Telecommunications Bureau, Federal Communications Commission, 445 12th Street, SW, Room 6423, Washington, DC 20554. 37. A party seeking to report such prohibited communications should consider submitting its report with a request that the report or portions of the submission be withheld from public inspection.26 Parties should also include a cover sheet to avoid the inadvertent dissemination of information contained in the report. Such parties are also encouraged to consult with the Auctions and Spectrum Access Division staff if they have any questions about the procedures for submitting such reports.27 The Auction 87 Procedures Public Notice provides additional guidance on procedures for submitting application- related information.28 38. Applicants that are winning bidders will be required to disclose in their long-form applications the specific terms, conditions, and parties involved in all bidding consortia, joint ventures, partnerships, or other agreements or arrangements entered into relating to the competitive bidding process.29 Any applicant found to have violated section 1.2105(c) of the Commission’s rules may be subject to sanctions.30 In addition, we remind applicants that they are subject to the antitrust laws, which are designed to prevent anti-competitive behavior in the marketplace. If an applicant is found to have violated the antitrust laws in connection with its participation in the competitive bidding process, it may be subject to forfeiture of its upfront payment, down payment, or full bid amount, and it may be prohibited from participating in future auctions.31 D. Submission of Auction-Related Filings 39. As noted above, applicants seeking to amend their short-form applications during the auction must make modifications to their short-form applications electronically and submit a letter, briefly summarizing the changes, by e-mail to the attention of Margaret Wiener, Chief, Auctions and Spectrum 24 Part 1 Procedural Amendments Order at 522 ¶ 4. 25 Id. 26 See 47 C.F.R. § 0.459 (procedures for requesting that materials or information submitted to the Commission be withheld from public inspection). If an applicant requests confidential treatment of a document, the cover page of the filing must prominently display that the applicant is seeking confidential treatment for that document. For example, a filing might include a cover page stamped with “Request for Confidential Treatment Attached” or “Not for Public Inspection.” Any such request must cover all of the material to which the request applies. See 47 C.F.R. § 0.459(a). 27 See Section VII. “Contact Information.” below. 28 See Auction 87 Procedures Public Notice at ¶¶ 27-33, 95-102. 29 See 47 C.F.R. § 1.2107(d). 30 See 47 C.F.R. §§ 1.2105(c), 1.2109(d). 31 See 47 C.F.R. § 1.2109(d). 9 Access Division, at the following address: auction87@fcc.gov. The e-mail summarizing the changes must include a subject or caption referring to Auction 87 and the name of the applicant. 40. Parties wishing to submit requests, complaints, or other information concerning Auction 87 should, in addition to following other procedures prescribed by the Commission’s rules, send a copy by e-mail to the attention of Margaret Wiener, Chief, Auctions and Spectrum Access Division, at the following address: auction87@fcc.gov. The Commission occasionally receives complaints regarding certain bidders and requests to suspend bidding during an auction. While the Commission reserves the right to take appropriate action during an auction to preserve the integrity of the auction process, it is generally our practice to address any such allegations only after the winning bidders have submitted their long-form applications, when there is greater opportunity for investigation of such allegations, if warranted. The Commission will not investigate any complaints or allegations that are not accompanied by full contact information – including name, address, and telephone number – for the complaining party or parties. 41. Finally, parties wishing to make suggestions concerning Auction 87 or future auctions should present such ideas using the suggestion feature of the FCC Auction System. (As mentioned above, this feature is not an appropriate mechanism for posing time-sensitive questions that need an immediate response.) Commission staff considers all suggestions, but may not always provide an individualized response. E. Amendments to Short-Form Applications (FCC Form 175) 42. Applicants must maintain the accuracy and completeness of information furnished in their short-form applications, including their attachments.32 Applicants should amend their short-form applications to furnish additional or corrected information within five days of a significant occurrence, or to amend their short-form applications no more than five days after the applicant becomes aware of the need for amendment.33 Applicants must modify their short-form applications electronically and submit a letter briefly summarizing the changes by e-mail to the attention of Margaret Wiener, Chief, Auctions and Spectrum Access Division, at the following address: auction87@fcc.gov. The e-mail summarizing the changes must include a subject or caption referring to Auction 87 and the name of the applicant. The Bureau requests that parties format any attachments to e-mail as Adobe® Acrobat® (pdf) or Microsoft® Word documents. Applicants must not submit application-specific material through the Commission’s Electronic Comment Filing System (“ECFS”). Questions about changes should be directed to the Auctions and Spectrum Access Division at (202) 418-0660. 43. As described in the Commission’s rules, applicants may make only minor corrections to their short-form applications (e.g., deletion and addition of authorized bidders or change in contact information).34 Major modifications (e.g., license selection changes, newly-claimed or increased bidding credit, or changing control of the applicant) will not be accepted.35 Bidders must immediately report any change affecting their eligibility for a bidding credit. Bidders should clearly state the nature of the change in an amendment to their short-form application and in the summary letter referenced above. In cases of diminished bidding credit eligibility, the Commission will make appropriate adjustments in the bidding credit prior to the computation of any down and final payment amounts due. 44. When amending short-form applications, applicants must avoid any statements or disclosures that may violate section 1.2105(c) of the Commission’s rules, particularly in light of the limited information disclosure procedures in place for Auction 87.36 Applicants should avoid including any 32 See 47 C.F.R. § 1.65. 33 Part 1 Procedural Amendments Order at 523 ¶ 8. 34 See 47 C.F.R. § 1.2105(b). 35 Id. 36 See Auction 87 Procedures Public Notice at ¶ 142. 10 information in their short-form applications that might convey information regarding license selections, such as using applicant names that refer to licenses being offered, referring to certain licenses or markets in describing bidding agreements, or including any information in attachments that may otherwise disclose applicants’ license selections. Therefore, a party seeking to submit information that might reflect non-public information, such as an applicant’s license selections, upfront payment amount, or bidding eligibility, should consider submitting any such information along with a request that the filing or portions of the filing be withheld from public inspection until the end of the prohibition of certain communications pursuant to section 1.2105(c). F. Ex Parte Rule 45. Applicants should also be aware that the Commission has generally treated mutually exclusive short-form applications as exempt proceedings and, therefore, not subject to the ex parte prohibitions that pertain to restricted proceedings.37 G. Due Diligence 46. We remind potential bidders that they are solely responsible for investigating and evaluating all technical and marketplace factors that may have a bearing on the value of the licenses being offered in Auction 87. The Commission makes no representations or warranties about the use of this spectrum for particular services. We strongly encourage potential bidders to conduct their own research prior to the beginning of bidding in Auction 87 in order to determine the existence of pending proceedings, pleadings, applications, or authorizations that might affect their decisions regarding participation in the auction. Each potential bidder is solely responsible for identifying associated risks and for investigating and evaluating the degree to which such matters may affect the bidder’s ability to bid on, otherwise acquire, or make use of licenses available in Auction 87. In addition, potential bidders should perform technical analyses sufficient to assure themselves that, should they prevail in competitive bidding for a specific license, they will be able to build and operate facilities that will comply fully with the Commission’s technical and legal requirements. 47. Participants should continue such research throughout the auction. For further details regarding due diligence, qualified bidders should refer to the Auction 87 Procedures Public Notice under Section I.C.4.38 VI. POST-AUCTION INFORMATION A. Post-Auction Procedures 48. Shortly after bidding has ended, the Commission will issue a public notice declaring the auction closed, identifying the winning bidders, and establishing the deadlines for submitting down payments and final payments.39 Winning bidders will have 10 business days following that public notice to make down payments and file a long-form application (FCC Form 601) and an ownership disclosure information report (FCC Form 602).40 Winning bidders claiming eligibility to receive a bidding credit will be subject to more extensive reporting requirements contained in section 1.2112(b) of the Commission’s rules.41 In addition, winning bidders with foreign ownership interests will be required to comply with 47 U.S.C. § 310(b) at the long-form application stage. Further instructions regarding these 37 See “Commission Announces that Mutually Exclusive ‘Short-Form’ Applications (Form 175) to Participate in Competitive Bidding Process (‘Auctions’) Are Treated as Exempt for Ex Parte Purposes,” Public Notice, FCC 94- 283, 9 FCC Rcd 6760 (1994). See also 47 C.F.R. § 1.1202(d)(1) Note 1. 38 See Auction 87 Procedures Public Notice at ¶¶ 39-48. 39 For more detail, see Auction 87 Procedures Public Notice at ¶¶ 200-215. 40 See 47 C.F.R. § 1.2107. 41 47 C.F.R. § 1.2112(b). 11 post-auction procedures are contained in the Auction 87 Procedures Public Notice and will be provided in the public notice announcing the winning bids.42 B. Upfront Payment Refunds 49. Qualified bidders are advised not to request refunds of any unused upfront payment balances until after the Bureau issues a public notice announcing the winning bidders in Auction 87. VII. CONTACT INFORMATION 50. For further information concerning Auction 87, please contact: General Auction 87 Information General Auction Questions FCC Auctions Hotline (888) 225-5322, option two; or (717) 338-2868 Auction 87 Process and Procedures Auctions and Spectrum Access Division (717) 338-2868 Roy Knowles (Analyst) Barbara Sibert (Project Manager) Auction 87 Legal Information Auction Rules, Policies, Regulations Auctions and Spectrum Access Division (202) 418-0660 Scott Mackoul (Attorney) Licensing Information Service Rules, Policies, Regulations Licensing Issues, Engineering Issues Due Diligence, Incumbency Issues Mobility Division (202) 418-0620 Michael Connelly (Attorney) Melvin Spann (Engineer) Technical Support Electronic Filing FCC Auction System (Hardware/Software Issues) FCC Auctions Technical Support Hotline (877) 480-3201, option nine; or (202) 414-1250 (202) 414-1255 (TTY) Hours of service: 8:00 a.m. – 6:00 p.m. ET, Monday through Friday Auction Payments Instructions for Wiring Upfront Payments Auctions Accounting Group (202) 418-0578 Gail Glasser 51. To request materials in accessible formats (Braille, large print, electronic files, audio format) for people with disabilities, send an e-mail to fcc504@fcc.gov or call the Consumer and Governmental Affairs Bureau at (202) 418-0530 or (202) 418-0432 (TTY). - FCC - 42 See Auction 87 Procedures Public Notice at ¶¶ 200-215. See also 47 C.F.R. §§ 1.2107, 1.2109(a).