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The filings are accessible in the protests must be filed on or before the FOR FURTHER INFORMATION CONTACT: Commission’s eLibrary system by comment date. On or before the Wireless Telecommunications Bureau, clicking on the links or querying the comment date, it is not necessary to Auctions and Spectrum Access Division: docket number. serve motions to intervene or protests For legal and general auction questions: eFiling is encouraged. More detailed on persons other than the Applicant Howard Davenport (attorney) at (202) information relating to filing The Commission encourages 418–0660; Mobility Division: For requirements, interventions, protests, electronic submission of protests and licensing and service rule questions: and service can be found at: http:// interventions in lieu of paper using the Kathy Harris (attorney) or Keith Harper www.ferc.gov/docs-filing/efiling/filing- ‘‘eFiling’’ link at http://www.ferc.gov. (engineer) at (202) 418–0620. To request req.pdf. For other information, call (866) Persons unable to file electronically materials in accessible formats (Braille, 208–3676 (toll free). For TTY, call (202) should submit an original and 5 copies large print, electronic files, or audio 502–8659. of the protest or intervention to the format) for people with disabilities, Dated April 16, 2013. Federal Energy Regulatory Commission, send an email to [email protected] or call the Consumer and Governmental Affairs Nathaniel J. Davis, Sr., 888 First Street NE., Washington, DC 20426. Bureau at (202) 418–0530 or (202) 418– Deputy Secretary. This filing is accessible on-line at 0432 (TTY). [FR Doc. 2013–09777 Filed 4–24–13; 8:45 am] http://www.ferc.gov, using the SUPPLEMENTARY INFORMATION: This is a BILLING CODE 6717–01–P ‘‘eLibrary’’ link and is available for summary of the Auction 95 Procedures review in the Commission’s Public Public Notice released on March 29, Reference Room in Washington, DC. DEPARTMENT OF ENERGY 2013. The complete text of the Auction There is an ‘‘eSubscription’’ link on the 95 Procedures Public Notice, including Federal Energy Regulatory Web site that enables subscribers to an attachment and related Commission Commission receive email notification when a documents, is available for public document is added to a subscribed inspection and copying from 8:00 a.m. [ Docket No. EL13–59–000; QF11–178–002] docket(s). For assistance with any FERC to 4:30 p.m. Eastern Time (ET) Monday Online service, please email through Thursday or from 8:00 a.m. to Kootenai Electric Cooperative, Inc.; [email protected], or call 11:30 a.m. ET on Fridays in the FCC Notice of Petition for Declaratory Order (866) 208–3676 (toll free). For TTY, call Reference Information Center, 445 12th and Petition for Enforcement (202) 502–8659. Street SW., Room CY–A257, Take notice that on April 16, 2013, Comment Date: 5:00 p.m. Eastern Washington, DC 20554. The Auction 95 pursuant to section 210(h)(2) of the Time on May 7, 2013. Procedures Public Notice and related Public Utility Regulatory Policies Act of Dated: April 18, 2013. Commission documents also may be 1978 (PURPA), 16 U.S.C. 824a-3(h) Kimberly D. Bose, purchased from the Commission’s (2011) and Rule 207 of the Rules of Secretary. duplicating contractor, Best Copy and Practice and Procedure of the Federal [FR Doc. 2013–09758 Filed 4–24–13; 8:45 am] Printing, Inc. (BCPI), 445 12th Street Energy Regulatory Commission SW., Room CY–B402, Washington, DC BILLING CODE 6717–01–P (Commission), 18 CFR 385.207 (2012), 20554, telephone 202–488–5300, fax Kootenai Electric Cooperative, Inc. 202–488–5563, or you may contact BCPI (Kootenai) filed a petition for at its Web site: http:// FEDERAL COMMUNICATIONS declaratory order and petition for www.BCPIWEB.com. When ordering COMMISSION enforcement, requesting the documents from BCPI, please provide Commission to take prompt action to [AU Docket No. 13–12; DA 13–535] the appropriate FCC document number, correct the Oregon Public Utility for example, DA 13–535. The Auction Commission’s (OPUC) February 26, Auction of Lower and Upper Paging 95 Procedures Public Notice and related 2013 Order 1 concerning sale of electric Band Licenses Scheduled for July 16, documents also are available on the output from Kootenai’s Fighting Creek 2013; Notice of Filing Requirements, Internet at the Commission’s Web site: Landfill Gas Station and to make the Minimum Opening Bids, Upfront http://wireless.fcc.gov/auctions/95/, or determination that the OPUC order Payments, and Other Procedures for by using the search function for AU violates the Commission’s August 31, Auction 95 Docket No. 13–12 on the Commission’s 2 2013 order (August 31 Order). AGENCY: Federal Communications Electronic Comment Filing System Any person desiring to intervene or to Commission. (ECFS) Web page at http://www.fcc.gov/ protest this filing must file in cgb/ecfs/. ACTION: Notice. accordance with Rules 211 and 214 of I. General Information the Commission’s Rules of Practice and SUMMARY: This document announces the Procedure (18 CFR 385.211, 385.214). procedures and minimum opening bids A. Introduction Protests will be considered by the for the upcoming auction of licenses in 1. On February 1, 2013, the Wireless Commission in determining the the lower and upper paging bands Telecommunication Bureau (Bureau) appropriate action to be taken, but will (Auction 95). This document is released a public notice seeking not serve to make protestants parties to intended to familiarize prospective comment on competitive bidding the proceeding. Any person wishing to applicants with the procedures and procedures to be used in Auction 95. No become a party must file a notice of other requirements for participation in comments were submitted in response intervention or motion to intervene, as the auction. to the Auction 95 Comment Public appropriate. Such notices, motions, or DATES: Applications to participate in Notice 78 FR 11179, February 15, 2013. Auction 95 must be filed prior to 6:00 2. On March 29, 2013, the Bureau 1 Kootenai Electric Cooperative Inc. v. Idaho p.m. Eastern Time (ET) on April 30, released a Public Notice that established Power Co., OPUC Docket No. UM 1572, Order No. 13–062 (Feb. 26, 2013) (hereinafter ‘‘OPUC Order’’). 2013. Bidding for construction permits the procedures and minimum opening The OPUC Order is attached as Exhibit 1. in Auction 95 is scheduled to begin on bid amounts for the upcoming auction 2 Avista Corp., 140 FERC ¶ 61,165 (2012). July 16, 2013. of 5,905 licenses for lower and upper

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paging bands spectrum. This auction, bidding rules, including Commission this prohibition extends to which is designated as Auction 95, is decisions in proceedings regarding communications regarding the post- scheduled to start on July 16, 2013. This competitive bidding procedures, auction market structure. This summary provides an overview of the application requirements, and prohibition applies to all applicants procedures, terms and conditions obligations of Commission licensees. regardless of whether such applicants governing Auction 95 and the post- Prospective bidders should also become qualified bidders or actually auction application and payment familiarize themselves with the bid. processes. Commission’s rules relating to the lower 11. Applicants are also reminded that, 3. Auction 95 will offer 5,905 licenses and upper paging bands, and rules for purposes of this prohibition on consisting of 4,902 licenses in the lower relating to applications, environment, certain communications, 47 CFR paging bands (35–36 MHz, 43–44 MHz, practice and procedure. All bidders 1.2105(c)(7)(i) defines ‘‘applicant’’ as 152–159 MHz, 454–460 MHz) and 1,003 must also be thoroughly familiar with including all officers and directors of licenses in the upper paging bands the procedures, terms and conditions the entity submitting a short-form (929–931 MHz). Auction 95 will include contained in the Auction 95 Procedures application to participate in the auction, licenses that remained unsold from Public Notice and any future public all controlling interests of that entity, as previous auctions, licenses on which a notices that may be issued in this well as all holders of partnership and winning bidder in a previous auction proceeding. other ownership interests and any stock defaulted, and licenses for spectrum 8. The terms contained in the interest amounting to 10 percent or previously associated with licenses that Commission’s rules, relevant orders, more of the entity, or outstanding stock, cancelled or terminated. In a few cases, and public notices are not negotiable. or outstanding voting stock of the entity the available license does not cover the The Commission may amend or submitting a short-form application. For entire geographic area due to an supplement the information contained example, where an individual served as excluded area or previous partitioning. in the Bureaus public notices at any an officer for two or more applicants, 4. Attachment A to the Auction 95 time, and will issue public notices to the Bureau has found that the bids and Procedures Public Notice provides a convey any new or supplemental bidding strategies of one applicant are summary of the licenses available in information to applicants. It is the conveyed to the other applicant, and, Auction 95. Due to the large number of responsibility of all applicants to remain absent a disclosed bidding agreement, licenses in Auction 95, the complete list current with all Commission rules and an apparent violation of 47 CFR of licenses available for this auction will with all public notices pertaining to this 1.2105(c) occurs. be provided in electronic format only, auction. Copies of most auctions-related 12. Information concerning available as separate ‘‘Attachment A’’ Commission documents, including applicants’ license selections will not be files at http://wireless.fcc.gov/auctions/ public notices, can be retrieved from the available to the public. Therefore, the 95/. The ‘‘Attachment A’’ files reflect FCC Auctions Internet site at http:// Commission will inform each applicant corrections made to the market name wireless.fcc.gov/auctions. by letter of the identity of each of the provided for 43 of the licenses listed as other applicants that has applied for ii. Prohibited Communications and licenses covering any of the same or available in this auction in the Auction Compliance With Antitrust Laws overlapping geographic areas as the 95 Comment Public Notice. Those 9. To ensure the competitiveness of licenses that it has selected in its short- licenses for which the market name has the auction process, 47 CFR 1.2105(c) form application. been corrected are noted by a single ‘‘*.’’ prohibits auction applicants for licenses 13. Individuals and entities subject to The market and license numbers for in any of the same or overlapping 47 CFR 1.2105(c) should take special these licenses are unchanged. geographic license areas from care in circumstances where their B. License Descriptions communicating with each other about employees may receive information directly or indirectly relating to any 5. In the Paging Reconsideration bids, bidding strategies, or settlements competing applicant’s bids or bidding Order, 64 FR 33762, June 24, 1999, the unless such applicants have identified strategies. The Bureau has not addressed Commission concluded that the licenses each other on their short-form a situation where non-principals (i.e., in the lower paging bands should be applications (FCC Form 175) as parties those who are not officers or directors, awarded in each of the 175 geographic with whom they have entered into and thus not considered to be the areas known as Economic Areas (EAs), agreements pursuant to 47 CFR applicant) receive information regarding and the licenses in the upper paging 1.2105(a)(2)(viii). a competing applicant’s bids or bidding bands should be awarded in each of the a. Entities Subject to Section 1.2105 strategies and whether that information 51 geographic areas known as Major 10. 47 CFR 1.2105(c)’s prohibition on should be presumed to be Economic Areas (MEAs). These EAs and certain communications will apply to communicated to the applicant. MEAs encompass the United States, any applicants that submit short-form 14. An exception to the prohibition on Guam, the Northern Mariana Islands, applications seeking to participate in a certain communications allows non- Puerto Rico, the U.S. Virgin Islands, and Commission auction for licenses in the controlling interest holders to obtain American Samoa. same or overlapping geographic license interests in more than one competing 6. Tables containing the block/ area. Thus, unless they have identified applicant without violating 47 CFR frequency cross-reference list for the each other on their short-form 1.2105(c) provided specified conditions paging bands are included in applications as parties with whom they are met (including a certification that no Attachment B to the Auction 95 have entered into agreements under 47 prohibited communications have Procedures Public Notice. CFR 1.2105(a)(2)(viii), applicants for occurred or will occur), but that C. Rules and Disclaimers any of the same or overlapping exception does not extend to controlling geographic license areas must interest holders. i. Relevant Authority affirmatively avoid all communications 15. Auction 95 applicants selecting 7. Prospective applicants must with or disclosures to each other that licenses for any of the same or familiarize themselves thoroughly with affect or have the potential to affect bids overlapping geographic license areas are the Commission’s general competitive or bidding strategy. In some instances, encouraged not to use the same

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individual as an authorized bidder. A placed auction participants on notice relating to post-auction market violation of 47 CFR 1.2105(c) could that the use of its bidding system ‘‘to structure. occur if an individual acts as the disclose market information to 22. If parties agree in principle on all authorized bidder for two or more competitors will not be tolerated and material terms prior to the short-form competing applicants, and conveys will subject bidders to sanctions.’’ application filing deadline, each party information concerning the substance of Applicants also should use caution in to the agreement must identify the other bids or bidding strategies between such their dealings with other parties, such as party or parties to the agreement on its applicants. Similarly, if the authorized members of the press, financial analysts, short-form application under 47 CFR bidders are different individuals or others who might become conduits 1.2105(c), even if the agreement has not employed by the same organization for the communication of prohibited been reduced to writing. If the parties (e.g., law firm, engineering firm or bidding information. For example, have not agreed in principle by the consulting firm), a violation similarly where limited information disclosure short-form filing deadline, they should could occur. In such a case, at a procedures are in place, as in the case not include the names of parties to minimum, applicants should certify on for Auction 95, an applicant’s statement discussions on their applications, and their applications that precautionary to the press that it has lost bidding they may not continue negotiation, steps have been taken to prevent eligibility and intends to stop bidding in discussion or communication with any communication between authorized the auction could give rise to a finding other applicants after the short-form bidders, and that the applicant and its of a 47 CFR 1.2105(c) violation. application filing deadline. bidders will comply with 47 CFR Similarly, an applicant’s public 23. 47 CFR 1.2105(c) does not prohibit 1.2105(c). statement of intent not to participate in non-auction-related business Auction 95 bidding could also violate negotiations among auction applicants. b. Prohibition Applies Until Down the rule. However, certain discussions or Payment Deadline 19. Applicants are also hereby placed exchanges could touch upon 16. 47 CFR 1.2105(c)’s prohibition on on notice that public disclosure of impermissible subject matters because certain communications begins at the information relating to bidder interests they may convey pricing information short-form application filing deadline and bidder identities that has not yet and bidding strategies. Such subject and ends at the down payment deadline been made public by the Commission at areas include, but are not limited to, after the auction closes, which will be the time of disclosure may violate the issues such as management, sales, local announced in a future public notice. provisions of 47 CFR 1.2105(c) that marketing agreements, and other c. Prohibited Communications prohibit certain communications. This transactional agreements. is so even though similar types of e. Section 1.2105(c) Certification 17. Applicants must not communicate information were revealed prior to and directly or indirectly about bids or during other Commission auctions 24. By electronically submitting a bidding strategy to other applicants in subject to different information short-form application, each applicant this auction. 47 CFR 1.2105(c) prohibits procedures. in Auction 95 certifies its compliance not only communication about an 20. In addition, when completing with 47 CFR 1.2105(c). In particular, an applicant’s own bids or bidding short-form applications, applicants applicant must certify under penalty of strategy, it also prohibits should avoid any statements or perjury it has not entered and will not communication of another applicant’s disclosures that may violate 47 CFR enter into any explicit or implicit bids or bidding strategy. While 47 CFR 1.2105(c), particularly in light of the agreements, arrangements or 1.2105(c) does not prohibit non-auction- limited information procedures in effect understandings of any kind with any related business negotiations among for Auction 95. Specifically, applicants parties, other than those identified in auction applicants, each applicant must should avoid including any information the application, regarding the amount of remain vigilant so as not to directly or in their short-form applications that the applicant’s bids, bidding strategies, indirectly communicate information might convey information regarding or the particular licenses on which it that affects, or could affect, bids, their license selection, such as using will or will not bid. However, the bidding strategy, or the negotiation of applicant names that refer to licenses Bureau cautions that merely filing a settlement agreements. being offered, referring to certain certifying statement as part of an 18. Applicants are cautioned that the licenses or markets in describing application will not outweigh specific Commission remains vigilant about bidding agreements, or including any evidence that a prohibited prohibited communications taking place information in attachments that may communication has occurred, nor will it in other situations. For example, the otherwise disclose applicants’ license preclude the initiation of an Commission has warned that prohibited selections. investigation when warranted. The ‘‘communications concerning bids and Commission has stated that it intends to d. Disclosure of Bidding Agreements bidding strategies may include scrutinize carefully any instances in and Arrangements communications regarding capital calls which bidding patterns suggest that or requests for additional funds in 21. The Commission’s rules do not collusion may be occurring. Any support of bids or bidding strategies to prohibit applicants from entering into applicant found to have violated 47 CFR the extent such communications convey otherwise lawful bidding agreements 1.2105(c) may be subject to sanctions. information concerning the bids and before filing their short-form bidding strategies directly or applications, as long as they disclose the f. Duty To Report Prohibited indirectly.’’ Moreover, the Commission existence of the agreement(s) in their Communications has found a violation of 47 CFR short-form applications. Applicants 25. 47 CFR 1.2105(c)(6) provides that 1.2105(c) where an applicant used the must identify in their short-form any applicant that makes or receives a Commission’s bidding system to applications all parties with whom they communication that appears to violate disclose ‘‘its bidding strategy in a have entered into any agreements, 47 CFR 1.2105(c) must report such manner that explicitly invited other arrangements, or understandings of any communication in writing to the auction participants to cooperate and kind relating to the licenses being Commission immediately, and in no collaborate in specific markets,’’ and has auctioned, including any agreements case later than five business days after

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the communication occurs. The inadvertent dissemination of j. Antitrust Laws Commission has clarified that each information in such reports. Any reports 33. Regardless of compliance with the applicant’s obligation to report any such required by 47 CFR 1.2105(c) must be Commission’s rules, applicants remain communication continues beyond the filed consistent with the instructions set subject to the antitrust laws, which are five-day period after the communication forth in the Auction 95 Procedures designed to prevent anticompetitive is made, even if the report is not made Public Notice. For Auction 95, such behavior in the marketplace. within the five-day period. reports must be filed with the Chief of Compliance with the disclosure 26. In addition, 47 CFR 1.65 requires the Auctions and Spectrum Access requirements of 47 CFR 1.2105(c) will an applicant to maintain the accuracy Division, Wireless Telecommunications not insulate a party from enforcement of and completeness of information Bureau, by the most expeditious means the antitrust laws. For instance, a furnished in its pending application and available. Any such report should be violation of the antitrust laws could to notify the Commission of any submitted by email to Ms. Wiener at the arise out of actions taking place well substantial change that may be of following email address: before any party submitted a short-form decisional significance to that [email protected]. If you choose application. The Commission has cited application. Thus, 47 CFR 1.65 requires instead to submit a report in hard copy, an auction applicant to notify the a number of examples of potentially any such report must be delivered only anticompetitive actions that would be Commission of any substantial change to: Margaret W. Wiener, Chief, Auctions to the information or certifications prohibited under antitrust laws: For and Spectrum Access Division, Wireless example, actual or potential competitors included in its pending short-form Telecommunications Bureau, Federal application. An applicant is therefore may not agree to divide territories in Communications Commission, 445 12th order to minimize competition, required by 47 CFR 1.65 to report to the Street, SW., Room 6423, Washington, Commission any communication the regardless of whether they split a market DC 20554. in which they both do business, or applicant has made to or received from 30. A party seeking to report such a another applicant after the short-form whether they merely reserve one market prohibited communication should for one and another market for the other. application filing deadline that affects consider submitting its report with a or has the potential to affect bids or Similarly, the Bureau previously request that the report or portions of the bidding strategy, unless such reminded potential applicants and submission be withheld from public communication is made to or received others that even where the applicant inspection by following the procedures from a party to an agreement identified discloses parties with whom it has specified in 47 CFR 0.459. Such parties under 47 CFR 1.2105(a)(2)(viii). reached an agreement on the short-form 27. 47 CFR 1.65(a) and 1.2105(c) also are encouraged to coordinate with application, thereby permitting require each applicant in competitive the Auctions and Spectrum Access discussions with those parties, the bidding proceedings to furnish Division staff about the procedures for applicant is nevertheless subject to additional or corrected information submitting such reports. The Auction 95 existing antitrust laws. within five days of a significant Procedures Public Notice provides 34. To the extent the Commission occurrence, or to amend its short-form additional guidance on procedures for becomes aware of specific allegations application no more than five days after submitting application-related that suggest that violations of the federal the applicant becomes aware of the need information. antitrust laws may have occurred, the for amendment. These rules are h. Winning Bidders Must Disclose Commission may refer such allegations intended to facilitate the auction Terms of Agreements to the United States Department of process by making the information Justice for investigation. If an applicant available promptly to all participants 31. Each applicant that is a winning is found to have violated the antitrust and to enable the Bureau to act bidder will be required to disclose in its laws or the Commission’s rules in expeditiously on those changes when long-form applications the specific connection with its participation in the such action is necessary. terms, conditions, and parties involved competitive bidding process, it may be in any agreement it has entered into. subject to forfeiture of its upfront g. Procedure for Reporting Prohibited This applies to any bidding consortia, payment, down payment, or full bid Communications joint venture, partnership, or agreement, amount and may be prohibited from 28. A party reporting any understanding, or other arrangement participating in future auctions, among communication pursuant to 47 CFR entered into relating to the competitive other sanctions. 1.65, 1.2105(a)(2), or 1.2105(c)(6) must bidding process, including any iii. Incumbency Issues take care to ensure that any report of a agreement relating to the post-auction prohibited communication does not market structure. Failure to comply with 35. There are pre-existing paging itself give rise to a violation of 47 CFR the Commission’s rules can result in incumbent licenses, including public 1.2105(c). For example, a party’s report enforcement action. safety entities licensed under either 47 U.S.C. 337 or 47 CFR 1.925. Incumbent of a prohibited communication could i. Additional Information Concerning (non-geographic) paging licensees violate the rule by communicating Rule Prohibiting Certain operating under their existing prohibited information to other Communications applicants through the use of authorizations are entitled to full Commission filing procedures that 32. A summary listing of documents protection from co-channel interference. would allow such materials to be made issued by the Commission and the Geographic area licensees are likewise available for public inspection. Bureau addressing the application of 47 afforded co-channel interference 29. 47 CFR 1.2105(c) requires parties CFR 1.2105(c) may be found in protection from incumbent licensees. to file only a single report concerning a Attachment E of the Auction 95 Geographic area licensees are obligated prohibited communication and to file Procedures Public Notice. These to resolve possible interference concerns that report with Commission personnel documents are available on the of adjacent geographic area licensees by expressly charged with administering Commission’s auction Web page at negotiating a mutually acceptable the Commission’s auctions. This rule is http://wireless.fcc.gov/auctions/ agreement with the neighboring designed to minimize the risk of prohibited_communications. geographic licensee.

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a. International Coordination applicable Commission rules, orders that should be undertaken prior to 36. Potential bidders seeking licenses and any pending proceedings related to participating in this auction. As always, for geographic areas adjacent to the the service, in order to make reasoned, the burden is on the potential bidder to Canadian and Mexican border should be appropriate decisions about their determine how much research to aware that the use of some or all of the participation in this auction and their undertake, depending upon specific bidding strategy. channels they acquire in the auction facts and circumstances related to its 40. The Bureau reminds each could be restricted as a result of current interests. potential bidder that it is solely or future agreements with Canada or 43. The Bureau also reminds each responsible for investigating and applicant that pending and future Mexico. Licensees on the lower paging evaluating all technical and marketplace channels must submit a FCC Form 601 judicial proceedings, as well as pending factors that may have a bearing on the and future proceedings before the to obtain authorization to operate value of the licenses they are seeking in stations north of Line A or east of Line Commission—including applications, this auction. Each bidder is responsible applications for modification, petitions C because these channels are subject to for assuring that, if it wins a license, it the Above 30 Megacycles per Second for rulemaking, requests for special will be able to build and operate temporary authority, waiver requests, Agreement with Industry Canada. facilities in accordance with the Although the upper paging channels do petitions to deny, petitions for Commission’s rules. The FCC makes no reconsideration, informal objections, not require coordination with Canada, representations or warranties about the the U.S.-Canada Interim Coordination and applications for review—may relate use of this spectrum for particular to particular applicants, incumbent Considerations for the Band 929–932 services. Applicants should be aware MHz, as amended, assigns specific 929 licensees, or the licenses available in that an FCC auction represents an Auction 95. Each prospective applicant MHz and 931 MHz frequencies to the opportunity to become an FCC licensee United States for licensing along certain is responsible for assessing the subject to certain conditions and likelihood of the various possible longitudes above Line A, and assigns regulations. An FCC auction does not other specific 929 MHz and 931 MHz outcomes and for considering the constitute an endorsement by the FCC of potential impact on licenses available in frequencies to Canada for licensing any particular service, technology, or along certain longitudes along the U.S.- this auction. product, nor does an FCC license 44. Applicants are solely responsible Canada border. In addition, the 929 constitute a guarantee of business MHz and 931 MHz frequencies assigned for identifying associated risks and for success. investigating and evaluating the degree to Canada are unavailable for use by 41. An applicant should perform its to which such matters may affect their U.S. licensees above Line A as set out due diligence research and analysis ability to bid on, otherwise acquire, or in the agreement. before proceeding, as it would with any make use of the licenses available in b. Quiet Zones new business venture. In particular, the Bureau strongly encourages each Auction 95. Each potential bidder is 37. Paging licensees must potential bidder to review all responsible for undertaking research to individually apply for and receive a Commission orders establishing rules ensure that any licenses won in this separate license for each transmitter if and policies for the lower and upper auction will be suitable for its business the proposed operation would affect the paging bands. Additionally, each plans and needs. Each potential bidder radio quiet zones set forth in the potential bidder should perform must undertake its own assessment of Commission’s rules. technical analyses or refresh their the relevance and importance of information gathered as part of its due iv. Due Diligence previous analyses to assure itself that, should it become a winning bidder for diligence efforts. 38. Potential bidders are reminded any Auction 95 license, it will be able 45. Applicants may research the that there are a number of incumbent to build and operate facilities that will Bureau’s licensing database in order to licensees already licensed and operating fully comply with all applicable determine which frequencies are on frequencies that will be subject to the technical and legal requirements. The already licensed to incumbent licensees. upcoming auction. Geographic area Bureau strongly encourages each Applicants may obtain information licensees in accordance with the applicant to inspect any prospective about licenses available in Auction 95 Commission’s rules must protect such transmitter sites located in, or near, the through the Bureau’s online licensing incumbents from harmful interference. service area for which it plans to bid, databases at http://wireless.fcc.gov/uls. These limitations may restrict the ability confirm the availability of such sites, 46. The Commission makes no of such geographic area licensees to use and to familiarize itself with the representations or guarantees regarding certain portions of the electromagnetic Commission’s rules regarding the the accuracy or completeness of spectrum or provide service to certain National Environmental Policy Act. information in its databases or any third areas in their geographic license areas. 42. The Bureau strongly encourages party databases, including, for example, 39. The Bureau caution potential each applicant to conduct its own court docketing systems. To the extent applicants formulating their bidding research prior to Auction 95 in order to the Commission’s databases may not strategies to investigate and consider the determine the existence of pending include all information deemed extent to which these frequencies are administrative or judicial proceedings, necessary or desirable by an applicant, occupied. For example there are including pending allocation it must obtain or verify such incumbent operations already licensed rulemaking proceedings that might information from independent sources and operating in the bands that must be affect its decision to participate in the or assume the risk of any protected. These limitations may restrict auction. The Bureau strongly incompleteness or inaccuracy in said the ability of paging licensees to use encourages each participant in Auction databases. Furthermore, the certain portions of the electromagnetic 95 to continue such research throughout Commission makes no representations spectrum or provide service to certain the auction. The due diligence or guarantees regarding the accuracy or areas in their geographic license areas. considerations mentioned in the completeness of information that has Bidders should become familiar with Auction 95 Procedures Public Notice do been provided by incumbent licensees the status of these operations and not comprise an exhaustive list of steps and incorporated into its databases.

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v. Use of Integrated Spectrum Auction vi. Environmental Review Requirements prepare environmental assessments for System 48. Licensees must comply with the any facility that may have a significant impact in or on wilderness areas, 47. Bidders will be able to participate Commission’s rules regarding implementation of the National wildlife preserves, threatened or in Auction 95 over the Internet using Environmental Policy Act and other endangered species, or designated the Commission’s web-based Integrated federal environmental statutes. The critical habitats, historical or Spectrum Auction System (ISAS or FCC construction of a wireless antenna archaeological sites, Indian religious Auction System). The Commission facility is a federal action, and the sites, floodplains, and surface features. makes no warranty whatsoever with licensee must comply with the In addition, the licensee must prepare respect to the FCC Auction System. In Commission’s environmental rules for environmental assessments for facilities no event shall the Commission, or any each such facility. These environmental that include high intensity white lights of its officers, employees, or agents, be rules require, among other things, that in residential neighborhoods or liable for any damages whatsoever the licensee consult with expert excessive radio frequency emission. (including, but not limited to, loss of agencies having environmental vii. Bidding Methodology business profits, business interruption, responsibilities, including the U.S. Fish loss of business information, or any and Wildlife Service, the State Historic 49. The bidding methodology for other loss) arising out of or relating to Preservation Office, the U.S. Army Auction 95 will be a simultaneous the existence, furnishing, functioning, Corps of Engineers, and the Federal multiple round format. The Commission or use of the FCC Auction System that Emergency Management Agency will conduct this auction over the is accessible to qualified bidders in (through the local authority with Internet using the FCC Auction System. connection with this auction. Moreover, jurisdiction over floodplains). In Qualified bidders are permitted to bid no obligation or liability will arise out assessing the effect of facility electronically via the Internet or by telephone using the telephonic bidding of the Commission’s technical, construction on historic properties, the option. All telephone calls are recorded. programming, or other advice or service licensee must follow the provisions of the FCC’s Nationwide Programmatic provided in connection with the FCC viii. Pre-Auction Dates and Deadlines Agreement Regarding the Section 106 Auction System. National Historic Preservation Act 50. The following dates and deadlines Review Process. The licensee must apply:

Auction Tutorial Available (via Internet) ...... by April 30, 2013. Short-Form Application (FCC Form 175) Filing Window Opens ...... April 30, 2013; 12:00 noon ET. Short-Form Application (FCC Form 175) Filing Window Deadline ...... May 9, 2013; prior to 6:00 p.m. ET. Upfront Payments (via wire transfer) ...... June 13, 2013; 6:00 p.m. ET. Mock Auction ...... July 12, 2013. Auction Begins ...... July 16, 2013.

ix. Requirements for Participation the applicant is legally, technically, and Auction 95 Procedures Public Notice. If financially qualified to participate in an applicant claims eligibility for a 51. Those wishing to participate in Commission auctions for licenses or bidding credit, the information provided this auction must: (1) Submit a short- permits. The short-form application is in its FCC Form 175 will be used to form application (FCC Form 175) the first part of the Commission’s two- determine whether the applicant is electronically prior to 6:00 p.m. ET, on phased auction application process. In eligible for the claimed bidding credit. May 9, 2013, following the electronic the first phase, parties desiring to Applicants filing a short-form filing procedures set forth in participate in the auction must file a application are subject to the Attachment C to the Auction 95 streamlined, short-form application in Commission’s anti-collusion rules Procedures Public Notice; (2) Submit a which they certify under penalty of beginning at the deadline for filing. sufficient upfront payment and an FCC perjury as to their qualifications. 54. Applicants bear full responsibility Remittance Advice Form (FCC Form Eligibility to participate in bidding is for submitting accurate, complete and 159) by 6:00 p.m. ET, on June 13, 2013, based on the applicant’s short-form timely short-form applications. All following the procedures and application and certifications, and on its applicants must certify on their short- instructions set forth in Attachment D to upfront payment, as explained below. In form applications under penalty of the Auction 95 Procedures Public the second phase of the process, each perjury that they are legally, technically, Notice; and (3) Comply with all winning bidder must file a more financially and otherwise qualified to provisions outlined in the Auction 95 comprehensive long-form application hold a license. Applicants should read Procedures Public Notice and applicable (FCC Form 601) and have a complete carefully the instructions set forth in Commission rules. and accurate ownership disclosure Attachment C to the Auction 95 II. Short-Form Application (FCC Form information report (FCC Form 602) on Procedures Public Notice and should 175) Requirements file with the Commission. consult the Commission’s rules to 53. Every entity and individual ensure that, in addition to the materials A. General Information Regarding seeking a license available in Auction all the information required is included Short-Form Applications 95 must file a short-form application within their short-form application. 52. An application to participate in an electronically via the FCC Auction 55. An individual or entity may not FCC auction, referred to as a short-form System prior to 6:00 p.m. ET on May 9, submit more than one short-form application or FCC Form 175, provides 2013, following the procedures application for a single auction. If a information used to determine whether prescribed in Attachment C to the party submits multiple short-form

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applications, only one application may perjury in its short-form application that information submitted in an FCC Form be accepted for filing. it has not entered and will not enter into 602 or in an FCC Form 175 filed for a 56. Applicants should note that any explicit or implicit agreements, previous auction using ISAS) will submission of a short-form application arrangements or understandings of any automatically be entered into the (and any amendments thereto) kind with any parties, other than those applicant’s short-form application. Each constitutes a representation by the identified in the application, regarding applicant must carefully review any certifying official that he or she is an the amount of its bids, bidding information automatically entered to authorized representative of the strategies, or the particular licenses on confirm that it is complete and accurate applicant, that he or she has read the which it will or will not bid. If an as of the deadline for filing the short- form’s instructions and certifications, applicant has had discussions, but has form application. Any information that and that the contents of the application, not reached an agreement by the short- needs to be corrected or updated must its certifications, and any attachments form application filing deadline, it be changed directly in the short-form are true and correct. Applicants are not should not include the names of parties application. permitted to make major modifications to the discussions on its application and to their applications; such may not continue such discussions with E. Designated Entity Provisions impermissible changes include a change any applicants after the deadline. 64. Eligible applicants in Auction 95 of the certifying official to the 61. After the filing of short-form may claim small business bidding application. Submission of a false applications, the Commission’s rules do credits. In addition to the information certification to the Commission may not prohibit a party holding a non- provided applicants should review result in penalties, including monetary controlling, attributable interest in one carefully the Commission’s decisions forfeitures, license forfeitures, applicant from acquiring an ownership regarding the designated entity ineligibility to participate in future interest in or entering into a joint provisions. auctions, and/or criminal prosecution. bidding arrangement with other applicants, provided that: (1) The i. Bidding Credits for Small Businesses B. License Selection attributable interest holder certifies that 65. A bidding credit represents an 57. An applicant must select the it has not and will not communicate amount by which a bidder’s winning licenses on which it wants to bid from with any party concerning the bids or bid will be discounted. For Auction 95, the ‘‘Eligible Licenses’’ list on its short- bidding strategies of more than one of bidding credits will be available to form application. To assist in the applicants in which it holds an small businesses and consortia thereof. identifying licenses of interest that will attributable interest, or with which it a. Bidding Credit Eligibility Criteria be available in Auction 95, the FCC has entered into a joint bidding Auction System includes a filtering arrangement; and (2) the arrangements 66. In the Paging Second Report and mechanism that allows an applicant to do not result in a change in control of Order, 62 FR 11616, March 12, 1997, the filter the ‘‘Eligible Licenses’’ list. any of the applicants. While 47 CFR Commission adopted small business Selections for one or more of the filter 1.2105(c) does not prohibit non-auction- bidding credits to promote and facilitate criteria can be made and the system will related business negotiations among the participation of small businesses in produce a list of licenses satisfying the auction applicants, the Bureau reminds competitive bidding for licenses in the specified criteria. Any or all of the applicants that certain discussions or paging service. In the Paging licenses in the filtered results may be exchanges could touch upon Reconsideration Order, the Commission selected. Applicants will also be able to impermissible subject matters because subsequently increased the size of the select licenses from one set of filtered they may convey pricing information bidding credits. results and then filter on different and bidding strategies. Compliance with 67. The level of bidding credit is criteria to select additional licenses. the disclosure requirements of 47 CFR determined as follows: (1) A bidder with 58. Applicants interested in 1.2105(c) will not insulate a party from attributed average annual gross revenues participating in Auction 95 must have enforcement of the antitrust laws. that do not exceed $15 million for the selected license(s) available in this preceding three years will receive a 25 D. Ownership Disclosure Requirements auction by the short-form application percent discount on its winning bid; (2) filing deadline. Applicants must review 62. Each applicant must comply with A bidder with attributed average annual and verify their license selections before the uniform Part 1 ownership disclosure gross revenues that do not exceed $3 the deadline for submitting short-form standards and provide information million for the preceding three years applications. License selections cannot required by 47 CFR 1.2105 and 1.2112. will receive a 35 percent discount on its be changed after the short-form Specifically, in completing the short- winning bid and; (3) Bidding credits are application filing deadline. The FCC form application, an applicant will be not cumulative; qualifying applicants Auction System will not accept bids on required to fully disclose information on receive either the 25 percent or the 35 licenses that were not selected on the the real party- or parties-in-interest and percent bidding credit on its winning applicant’s short-form application. the ownership structure of the bid, but not both. Applicants should applicant, including both direct and note that unjust enrichment provisions C. Disclosure of Bidding Arrangements indirect ownership interests of 10 apply to a winning bidder that utilizes 59. An applicant will be required to percent or more, as prescribed in 47 a bidding credit and subsequently seeks identify in its short-form application all CFR 1.2105 and 1.2112. Each applicant to assign or transfer control of its license real parties in interest with whom it has is responsible for ensuring that to an entity not qualifying for the same entered into any agreements, information submitted in its short-form level of bidding credit. arrangements, or understandings of any application is complete and accurate. kind relating to the licenses being 63. In certain circumstances, an b. Revenue Disclosure on Short-Form auctioned, including any agreements applicant’s most current ownership Application relating to post-auction market information on file with the 68. An entity applying as a small structure. Commission, if in an electronic format business must provide gross revenues 60. Each applicant will also be compatible with the short-form for the preceding three years of each of required to certify under penalty of application (FCC Form 175) (such as the following: (1) The applicant, (2) its

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affiliates, (3) its controlling interests, (4) resale (including wholesale) in an attachment, an affirmative the affiliates of its controlling interests, relationships—referred to as statement that the applicant, affiliate and (5) the entities with which it has an ‘‘attributable material relationships’’—in and/or controlling interest is an eligible attributable material relationship. determining designated entity eligibility rural telephone cooperative within the Certification that the average annual for bidding credits. An applicant or meaning of 47 CFR 1.2110(b)(3)(iii), and gross revenues of such entities and licensee has an ‘‘attributable material the applicant must supply any individuals for the preceding three years relationship’’ when it has one or more additional information as may be do not exceed the applicable limit is not agreements with any individual entity required to demonstrate eligibility for sufficient. Additionally, if an applicant for the lease or resale (including under the exemption from the attribution rule. is applying as a consortium of small a wholesale agreement) of, on a Applicants seeking to claim this businesses, this information must be cumulative basis, more than 25 percent exemption must meet all of the provided for each consortium member. of the spectrum capacity of any conditions. Additional guidance on individual license held by the applicant claiming this exemption may be found ii. Attributable Interests or licensee. The attributable material in Attachment C to the Auction 95 a. Controlling Interests relationship will cause the gross Procedures Public Notice. revenues of that entity and its 69. Controlling interests of an e. Bidding Consortia applicant include individuals and attributable interest holders to be entities with either de facto or de jure attributed to the applicant or licensee 76. A consortium of small businesses control of the applicant. Typically, for the purposes of determining the is a conglomerate organization ownership of greater than 50 percent of applicant’s or licensee’s (1) eligibility composed of two or more entities, each an entity’s voting stock evidences de for designated entity benefits and (2) of which individually satisfies the jure control. De facto control is liability for ‘‘unjust enrichment’’ on a definition of a small business. Thus, determined on a case-by-case basis. The license-by-license basis. each member of a consortium of small following are some common indicia of 73. The Commission grandfathered businesses that applies to participate in de facto control: (1) The entity material relationships in existence Auction 95 must individually meet the constitutes or appoints more than 50 before the release of the Designated criteria for small businesses. Each percent of the board of directors or Entity Second Report and Order, consortium member must disclose its management committee; (2) the entity meaning that those preexisting gross revenues along with those of its has authority to appoint, promote, relationships alone would not cause the affiliates, its controlling interests, the demote, and fire senior executives that Commission to examine a designated affiliates of its controlling interests, and control the day-to-day activities of the entity’s ongoing eligibility for existing any entities having an attributable licensee and; (3) the entity plays an benefits or its liability for unjust material relationship with the member. integral role in management decisions. enrichment. The Commission did not, Although the gross revenues of the 70. Applicants should refer to 47 CFR however, grandfather preexisting consortium members will not be 1.2110(c)(2) of the Commission’s rules material relationships for aggregated for purposes of determining and Attachment C of the Auction 95 determinations of an applicant’s or the consortium’s eligibility as a small Procedures Public Notice to understand licensee’s designated entity eligibility business, this information must be how certain interests are calculated in for future auctions or in the context of provided to ensure that each individual determining control. For example, future assignments, transfers of control, consortium member qualifies for any pursuant to 47 CFR 1.2110(c)(2)(ii)(F), spectrum leases, or other reportable bidding credit awarded to the officers and directors of an applicant are eligibility events. Rather, in such consortium. circumstances, the Commission considered to have controlling interest F. Tribal Lands Bidding Credit in the applicant. reexamines the applicant’s or licensee’s designated entity eligibility, taking into 77. To encourage the growth of b. Affiliates account all existing material wireless services in federally recognized 71. Affiliates of an applicant or relationships, including those tribal lands, the Commission has controlling interest include an previously grandfathered. implemented a tribal lands bidding credit. Applicants do not provide individual or entity that: (1) Directly or d. Gross Revenue Exceptions indirectly controls or has the power to information regarding tribal lands control the applicant; (2) is directly or 74. The Commission has also made bidding credits on their short-form indirectly controlled by the applicant; other modifications to its rules applications. Instead, winning bidders (3) is directly or indirectly controlled by governing the attribution of gross may apply for the tribal lands bidding a third party that also controls or has the revenues for purposes of determining credit after the auction when they file power to control the applicant; or (4) designated entity eligibility. For their more detailed, long-form has an ‘‘identity of interest’’ with the example, the Commission has clarified applications. that, in calculating an applicant’s gross applicant. The Commission’s definition G. Provisions Regarding Former and of an affiliate of the applicant revenues under the controlling interest Current Defaulters encompasses both controlling interests standard, it will not attribute to the of the applicant and affiliates of applicant the personal net worth, 78. Current defaulters or delinquents controlling interests of the applicant. including personal income, of its are not eligible to participate in Auction For more information regarding officers and directors. 95, but former defaulters or delinquents affiliates, applicants should refer to 47 75. The Commission has also can participate so long as they are CFR 1.2110(c)(5) and Attachment C to exempted from attribution to the otherwise qualified and make upfront the Auction 95 Procedures Public applicant the gross revenues of the payments that are fifty percent more Notice. affiliates of a rural telephone than would otherwise be necessary. An cooperative’s officers and directors, if applicant is considered a ‘‘current c. Material Relationships certain conditions specified in 47 CFR defaulter’’ or a ‘‘current delinquent’’ 72. The Commission requires the 1.2110(b)(3)(iii) are met. An applicant when it, any of its affiliates, any of its consideration of certain leasing and claiming this exemption must provide, controlling interests, or any of the

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affiliates of its controlling interests, is in Auctions and Spectrum Access Division I. Minor Modifications to Short-Form default on any payment for any staff if they have any questions about Applications Commission construction permit or default and delinquency disclosure 85. After the deadline for filing initial license (including a down payment) or requirements. applications, an Auction 95 applicant is 81. The Commission considers is delinquent on any non-tax debt owed permitted to make only minor changes outstanding debts owed to the United to any Federal agency as of the filing to its application. Permissible minor States Government, in any amount, to be deadline for short-form applications. An changes include, among other things, a serious matter. The Commission applicant is considered a ‘‘former deletion and addition of authorized adopted rules, including a provision defaulter’’ or a ‘‘former delinquent’’ bidders (to a maximum of three) and referred to as the ‘‘red light rule,’’ that when it, any of its affiliates, any of its revision of addresses and telephone implement its obligations under the controlling interests, or any of the numbers of the applicants and their affiliates of its controlling interests, Debt Collection Improvement Act of contact persons. An applicant is not have defaulted on any Commission 1996, which governs the collection of permitted to make a major modification construction permit or license or been debts owed to the United States. Under to its application (e.g., change of license delinquent on any non-tax debt owed to the red light rule, applications and other selection, change control of the any Federal agency, but have since requests for benefits filed by parties that applicant, change the certifying official, remedied all such defaults and cured all have outstanding debts owed to the or claim eligibility for a higher of the outstanding non-tax Commission will not be processed. In percentage of bidding credit) after the delinquencies. the same rulemaking order, the 79. On the short-form application, an Commission explicitly declared, initial application filing deadline. Thus, applicant must certify under penalty of however, that its competitive bidding any change in control of an applicant perjury that it, its affiliates, its rules are not affected by the red light resulting from a merger, for example controlling interests, and the affiliates of rule. As a consequence, the will be considered a major modification, its controlling interests, as defined by 47 Commission’s adoption of the red light and the application will consequently CFR 1.2110 are not in default on any rule does not alter the applicability of be dismissed. payment for a Commission construction any of its competitive bidding rules, 86. If an applicant wishes to make permit or license (including down including the provisions and permissible minor changes to its short- payments) and that it is not delinquent certifications of 47 CFR 1.2105 and form application, such changes should on any non-tax debt owed to any 1.2106, with regard to current and be made electronically to its short-form Federal agency. Each applicant must former defaults or delinquencies. application using the FCC Auction also state under penalty of perjury 82. Applicants are reminded, System whenever possible. For the whether it, its affiliates, its controlling however, that the Commission’s Red change to be submitted and considered interests, and the affiliates of its Light Display System, which provides by the Commission, be sure to click on controlling interests, have ever been in information regarding debts currently the SUBMIT button. After the revised default on any Commission construction owed to the Commission, may not be application has been submitted, a permit or license or have ever been determinative of an auction applicant’s confirmation page will be displayed delinquent on any non-tax debt owed to ability to comply with the default and stating the submission time, submission any Federal agency. Prospective delinquency disclosure requirements of date, and a unique file number. applicants are reminded that 47 CFR 1.2105. Thus, while the red light 87. An applicant cannot use the FCC submission of a false certification to the rule ultimately may prevent the Auction System outside of the initial Commission is a serious matter that may processing of long-form applications by and resubmission filing windows to result in severe penalties, including auction winners, an auction applicant’s make changes to its short-form monetary forfeitures, license lack of current ‘‘red light’’ status is not application for other than revocations, exclusion from necessarily determinative of its administrative changes (e.g., changing participation in future auctions, and/or eligibility to participate in an auction or certain contact information or the name criminal prosecution. of its upfront payment obligation. of an authorized bidder). If these or 80. Applicants are encouraged to 83. Moreover, prospective applicants other permissible minor changes need to review the Bureau’s previous guidance in Auction 95 should note that any long- be made outside of these windows, the on default and delinquency disclosure form applications filed after the close of applicant must submit a letter briefly requirements in the context of the short- bidding will be reviewed for compliance summarizing the changes and form application process. For example, with the Commission’s red light rule, subsequently update its short-form it has been determined that, to the and such review may result in the application in the FCC Auction System extent that Commission rules permit dismissal of a winning bidder’s long- once it is available. Moreover, after the late payment of regulatory or form application. filing window has closed, the system application fees accompanied by late will not permit applicants to make fees, such debts will become delinquent H. Optional Applicant Status certain changes, such as the applicant’s for purposes of 47 CFR 1.2105(a) and Identification legal classification and license 1.2106(a) only after the expiration of a 84. Applicants owned by members of selections. final payment deadline. Therefore, with minority groups and/or women, as 88. Any letter describing changes to respect to regulatory or application fees, defined in 47 CFR 1.2110(c)(3), and an applicant’s short-form application the provisions of 47 CFR 1.2105(a) and rural telephone companies, as defined must be submitted by email to 1.2106(a) regarding default and in 47 CFR 1.2110(c)(4), may identify [email protected]. The email delinquency in connection with themselves regarding this status in summarizing the changes must include competitive bidding are limited to filling out their short-form applications. a subject or caption referring to Auction circumstances in which the relevant This applicant status information is 95 and the name of the applicant, for party has not complied with a final collected for statistical purposes only example, ‘‘Re: Changes to Auction 95 Commission payment deadline. Parties and assists the Commission in Short-Form Application of ABC Corp.’’ are also encouraged to consult with the monitoring the participation of The Bureau requests that parties format Wireless Telecommunications Bureau’s ‘‘designated entities’’ in its auctions. any attachments to email as Adobe®

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Acrobat® (pdf) or Microsoft® Word amendment will not be accepted and this web-based tool include links to documents. Questions about short-form may result in the dismissal of the auction-specific Commission releases, application amendments should be application. After the short-form filing email links for contacting Commission directed to the Auctions and Spectrum deadline, applicants may make only licensing and auctions staff, a timeline Access Division at (202) 418–0660. minor changes to their applications. For with deadlines for auction preparation, 89. Any application amendment and changes to be submitted and considered and screen shots of the online related statements of fact must be by the Commission, be sure to click on application and bidding system. The certified by (1) the applicant, if the the SUBMIT button in the FCC Auction tutorial will be accessible through a web applicant is an individual; (2) one of the System. In addition, an applicant cannot browser with Adobe Flash Player. partners if the applicant is a update its short-form application using 94. The auction tutorial will be partnership; (3) an officer, director, or the FCC Auction System after the initial accessible from the FCC’s Auction 95 duly authorized employee, if the and resubmission filing windows close. Web page at http://wireless.fcc.gov/ applicant is a corporation; (4) a member If information needs to be submitted auctions/95/through an ‘‘Auction who is an officer, if the applicant is an pursuant to 47 CFR 1.65 after these Tutorial’’ link. Once posted, this tutorial unincorporated association; (5) the windows close, a letter briefly will remain available and accessible trustee, if the applicant is an amateur summarizing the changes must be anytime for reference in connection radio service club; or (6) a duly elected submitted by email to with the procedures outlined in the or appointed official who is authorized [email protected]. This email must Auction 95 Procedures Public Notice. to make such certifications under the include a subject or caption referring to B. Short-Form Applications—Due Prior laws of the applicable jurisdiction, if the Auction 95 and the name of the to 6:00 p.m. ET on May 9, 2013 applicant is a governmental entity. applicant. The Bureau requests that 90. Applicants must not submit parties format any attachments to email 95. In order to be eligible to bid in this application-specific material through as Adobe® Acrobat® (pdf) or Microsoft® auction, applicants must first follow the the Commission’s Electronic Comment Word documents. A party seeking to procedures set forth in Attachment C to Filing System, which was used for submit information that might reflect the Auction 95 Procedures Public Notice submitting comments regarding Auction non-public information, such as an to submit a short-form application (FCC 95. Further, as discussed above, parties applicant’s license selections, upfront Form 175) electronically via the FCC submitting information related to their payment amount, or bidding eligibility, Auction System. This short-form applications should use caution to should consider submitting any such application must be submitted prior to ensure that their submissions do not information along with a request that 6:00 p.m. ET on May 9, 2013. Late contain confidential information or the filing or portions of the filing be applications will not be accepted. No communicate information that would withheld from public inspection until application fee is required, but an violate 47 CFR 1.2105(c) or the limited the end of the prohibition of certain applicant must submit a timely upfront information procedures adopted for communications pursuant to 47 CFR payment to be eligible to bid. Auction 95. A party seeking to submit 96. Applications may generally be 1.2105(c). information that might reflect non- filed at any time beginning at noon ET public information, such as an III. Pre-Auction Procedures on April 30, 2013, until the filing applicant’s license selections, upfront window closes at 6:00 p.m. ET on May A. Online Auction Tutorial—Available payment amount, or bidding eligibility, 9, 2013. Applicants are strongly April 30, 2013 should consider submitting any such encouraged to file early and are information along with a request that 92. No later than Tuesday, April 30, responsible for allowing adequate time the filing or portions of the filing be 2013, an auction tutorial will be for filing their applications. withheld from public inspection until available on the Auction 95 Web page Applications can be updated or the end of the prohibition of certain for prospective bidders to familiarize amended multiple times until the filing communications pursuant to 47 CFR themselves with the auction process. deadline on May 9, 2013. 1.2105(c). This online tutorial will provide 97. An applicant must always click on information about pre-auction the SUBMIT button on the ‘‘Certify & J. Maintaining Current Information in procedures, completing short-form Submit’’ screen to successfully submit Short-Form Applications applications, auction conduct, the FCC its FCC Form 175 and any 91. 47 CFR 1.65 and 1.2105(b) require Auction Bidding System, auction rules, modifications; otherwise the application an applicant to maintain the accuracy and paging rules. The tutorial will also or changes to the application will not be and completeness of information provide an avenue to ask FCC staff received or reviewed by Commission furnished in its pending application and questions about the auction, auction staff. Additional information about in competitive bidding proceedings to procedures, filing requirements, and accessing, completing, and viewing the furnish additional or corrected other matters related to this auction. FCC Form 175 is included in information to the Commission within 93. The Auction 95 online tutorial Attachment C. FCC Auctions Technical five days of a significant occurrence, or replaces the live bidder seminars that Support is available at (877) 480–3201, to amend a short form application no have been offered for many previous option nine; (202) 414–1250; or (202) more than five days after the applicant auctions. The Bureau believes parties 414–1255 (text telephone (TTY)); hours becomes aware of the need for the interested in participating in this of service are Monday through Friday, amendment. Changes that cause a loss auction will find the interactive, online from 8:00 a.m. to 6:00 p.m. ET. In order of or reduction in the percentage of tutorial a more efficient and effective to provide better service to the public, bidding credit specified on the way to further their understanding of all calls to Technical Support are originally-submitted application must the auction process. The tutorial will recorded. be reported immediately, and no later allow viewers to navigate the than five business days after the change presentation outline, review written C. Application Processing and Minor occurs. If an amendment reporting notes, listen to audio recordings of the Corrections changes is a ‘‘major amendment,’’ as notes, and search for topics using a text 98. After the deadline for filing FCC defined by 47 CFR 1.2105, the major search function. Additional features of Form 175 applications, the Commission

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will process all timely submitted 95.’’ In order to meet the upfront eligibility on the licenses on which they applications to determine which are payment deadline, an applicant’s will bid. The Bureau proposed, in the complete, and subsequently will issue a payment must be credited to the Auction 95 Comment Public Notice, that public notice identifying (1) those that Commission’s account for Auction 95 the amount of the upfront payment are complete; (2) those that are rejected; before the deadline. would determine a bidder’s initial and (3) those that are incomplete or 104. Each applicant is responsible for bidding eligibility, the maximum deficient because of minor defects that ensuring timely submission of its number of bidding units on which a may be corrected. The public notice will upfront payment and for timely filing of bidder may place bids. Under the include the deadline for resubmitting an accurate and complete FCC Bureau’s proposal, in order to bid on a corrected applications. Remittance Advice Form (FCC Form particular license, a qualified bidder 99. After the application filing 159). An applicant should coordinate must have selected the license on its deadline on May 9, 2013, applicants can with its financial institution well ahead FCC Form 175 and must have a current make only minor corrections to their of the due date regarding its wire eligibility level that meets or exceeds applications. They will not be permitted transfer and allow sufficient time for the the number of bidding units assigned to to make major modifications (e.g., transfer to be initiated and completed that license. At a minimum, therefore, change license selection, change control prior to the deadline. The Commission an applicant’s total upfront payment of the applicant, change the certifying repeatedly has cautioned auction must be enough to establish at least 500 official, or claim eligibility for a higher participants about the importance of bidding units of eligibility to bid on at percentage of bidding credit). planning ahead to prepare for least one of the licenses selected on its 100. Commission staff will unforeseen last-minute difficulties in FCC Form 175, or else the applicant will communicate only with an applicant’s making payments by wire transfer. Each not be eligible to participate in the contact person or certifying official, as applicant also is responsible for auction. An applicant does not have to designated on the short-form obtaining confirmation from its make an upfront payment to cover all application, unless the applicant’s financial institution that its wire licenses the applicant selected on its certifying official or contact person transfer to U.S. Bank was successful and FCC Form 175, but only enough to cover notifies the Commission in writing that from Commission staff that its upfront the maximum number of bidding units applicant’s counsel or other payment was timely received and that it that are associated with licenses on representative is authorized to speak on was deposited into the proper account. which they wish to place bids and hold its behalf. Authorizations may be sent 105. Please note the following provisionally winning bids in any given by email to [email protected]. information regarding upfront round. The total upfront payment does payments: (1) All payments must be not affect the total dollar amount the D. Upfront Payments—Due June 13, made in U.S. dollars; (2) All payments bidder may bid on any given license. 2013 must be made by wire transfer; (3) 108. In the Auction 95 Comment 101. In order to be eligible to bid in Upfront payments for Auction 95 go to Public Notice, the Bureau proposed to this auction, an upfront payment must a lockbox number different from the make the upfront payments equal to the be submitted and accompanied by an lockboxes used in previous FCC minimum opening bids. The Bureau FCC Remittance Advice Form (FCC auctions and; (4) Failure to deliver a further proposed that each license be Form 159). After completing its short- sufficient upfront payment as instructed assigned a specific number of bidding form application, an applicant will have by the June 13, 2013, deadline will units equal to the upfront payment access to an electronic version of the result in dismissal of the short-form listed for the license, on a bidding unit FCC Form 159 that can be printed and application and disqualification from for dollar basis. The bidding unit level sent by fax to U.S. Bank in St. Louis, participation in the auction. for each license will remain constant Missouri. All upfront payments must be throughout the auction. The Bureau made as instructed in the Auction 95 ii. FCC Form 159 received no comments on the proposal. Procedures Public Notice and must be 106. An accurate and complete FCC The Bureau adopts its proposed upfront received in the proper account at U.S. Remittance Advice Form (FCC Form payments. The upfront payment and Bank before 6:00 p.m. ET on June 13, 159, Revised 2/03) must be faxed to U.S. bidding units for each license will be 2013. Bank to accompany each upfront $500 and 500 bidding units. The payment. Proper completion of this complete list of licenses for Auction 95 i. Making Upfront Payments by Wire form is critical to ensuring correct is available as separate ‘‘Attachment A’’ Transfer crediting of upfront payments. Detailed files at http://wireless.fcc.gov/auctions/ 102. Wire transfer payments must be instructions for completion of FCC Form 95/. received before 6:00 p.m. ET on June 13, 159 are included in Attachment D of the 109. In calculating its upfront 2013. No other payment method is Auction 95 Procedures Public Notice. payment amount, an applicant should acceptable. To avoid untimely An electronic pre-filled version of the determine the maximum number of payments, applicants should discuss FCC Form 159 is available after bidding units on which it may wish to arrangements (including bank closing submitting the FCC Form 175. Payers be active (bid on or hold provisionally schedules) with their bankers several using the pre-filled FCC Form 159 are winning bids on) in any single round, days before they plan to make the wire responsible for ensuring that all of the and submit an upfront payment amount transfer, and allow sufficient time for information on the form, including covering that number of bidding units. the transfer to be initiated and payment amounts, is accurate. The FCC In order to make this calculation, an completed before the deadline. Form 159 can be completed applicant should add together the 103. At least one hour before placing electronically, but it must be filed with bidding units for all licenses on which the order for the wire transfer (but on U.S. Bank by fax. it seeks to be active in any given round. the same business day), applicants must Applicants should check their fax a completed FCC Form 159 (Revised iii. Upfront Payments and Bidding calculations carefully, as there is no 2/03) to U.S. Bank at (314) 418–4232. Eligibility provision for increasing a bidder’s On the fax cover sheet, write ‘‘Wire 107. Applicants must make upfront eligibility after the upfront payment Transfer—Auction Payment for Auction payments sufficient to obtain bidding deadline.

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110. If an applicant is a former 115. In the event that SecurID® tokens successive bidding rounds in which defaulter, it must calculate its upfront are lost or damaged, only a person who eligible bidders may place bids on payment for all of its identified licenses has been designated as an authorized individual licenses. A bidder may bid by multiplying the number of bidding bidder, the contact person, or the on, and potentially win, any number of units on which it wishes to be active by certifying official on the applicant’s licenses. The Bureau received no 1.5. In order to calculate the number of short-form application may request comment on this proposal, and this bidding units to assign to former replacements. To request replacement of proposal is adopted. Unless otherwise defaulters, the Commission will divide these items, call Technical Support at announced, bids will be accepted on all the upfront payment received by 1.5 and (877) 480–3201, option nine; (202) 414– licenses in each round of the auction round the result up to the nearest 1250; or (202) 414–1255 (TTY). until bidding stops on every license. bidding unit. G. Remote Electronic Bidding ii. Limited Information Disclosure E. Applicant’s Wire Transfer 116. The Commission will conduct Procedures: Information Available to Information for Purposes of Refunds of this auction over the Internet, and Bidders Before and During the Auction Upfront Payments telephonic bidding will be available as 120. In the Auction 95 Comment 111. To ensure that refunds of upfront well. Only qualified bidders are Public Notice, the Bureau proposed to payments are processed in an permitted to bid. Each applicant should withhold, until after the close of expeditious manner, the Commission is indicate its bidding preference— bidding, public release of (1) bidders’ requesting that all pertinent information electronic or telephonic—on its FCC license selections on their short-form be supplied. Applicants can provide the Form 175. In either case, each applications (FCC Form 175), (2) the authorized bidder must have its own amounts of bidders’ upfront payments information electronically during the ® initial short-form application filing SecurID token, which the Commission and bidding eligibility, and (3) window after the form has been will provide at no charge. Each information that may reveal the applicant with one authorized bidder identities of bidders placing bids and submitted. (Applicants are reminded ® that information submitted as part of an will be issued two SecurID tokens, taking other bidding-related actions. FCC Form 175 will be available to the while applicants with two or three The Bureau sought comment on the public; for that reason, wire transfer authorized bidders will be issued three proposal to implement anonymous tokens. For security purposes, the bidding and on any alternatives for information should not be included in ® an FCC Form 175.) Specific instructions SecurID tokens, the telephonic bidding Auction 95. The Bureau received no telephone number, and the ‘‘Integrated comment on this proposal. Because the were provided in the Auction 95 Spectrum Auction System (ISAS) Bureau finds that the competitive Procedures Public Notice for submission Bidder’s Guide’’ are only mailed to the benefits associated with anonymous of wire transfer instructions by fax. contact person at the contact address bidding support adoption of such F. Auction Registration listed on the FCC Form 175. Each procedures, it adopts the limited SecurID® token is tailored to a specific information procedures proposed in the 112. Approximately ten days before auction. SecurID® tokens issued for Auction 95 Comment Public Notice. the auction, the Bureau will issue a other auctions or obtained from a source 121. In Auction 95, the Commission public notice announcing all qualified other than the FCC will not work for will not disclose information regarding bidders for the auction. Qualified Auction 95. license selection or the amounts of bidders are those applicants with bidders’ upfront payments and bidding submitted FCC Form 175 applications H. Mock Auction—July 12, 2013 eligibility. As in the past, the that are deemed timely-filed, accurate, 117. All qualified bidders will be Commission will disclose the other and complete, provided that such eligible to participate in a mock auction portions of applicants’ short-form applicants have timely submitted an on Friday, July 12, 2013. The mock applications through its online database, upfront payment that is sufficient to auction will enable bidders to become and certain application-based qualify them to bid. familiar with the FCC Auction System information through public notices. 113. All qualified bidders are prior to the auction. The Bureau 122. To assist applicants in automatically registered for the auction. strongly recommends that all bidders identifying other parties subject to 47 Registration materials will be participate in the mock auction. Details CFR 1.2105(c), the Bureau will notify distributed prior to the auction by will be announced by public notice. separately each applicant in Auction 95 overnight mail. The mailing will be sent whether applicants with short-form IV. Auction only to the contact person at the contact applications to participate in pending address listed in the FCC Form 175 and 118. The first round of bidding for auctions, including but not limited to will include the SecurID® tokens that Auction 95 will begin on Tuesday, July Auction 95, have applied for licenses in will be required to place bids, the 16, 2013. The initial bidding schedule any of the same or overlapping ‘‘Integrated Spectrum Auction System will be announced in a public notice geographic areas as that applicant. (ISAS) Bidder’s Guide,’’ and the listing the qualified bidders, which is Specifically, after the Bureau conducts Auction Bidder Line phone number. released approximately 10 days before its initial review of applications to 114. Qualified bidders that do not the start of the auction. participate in Auction 95, it will send to receive this registration mailing will not A. Auction Structure each applicant in Auction 95 a letter be able to submit bids. Therefore, if this that lists the other applicants that have mailing is not received by noon on i. Simultaneous Multiple Round pending short-form applications for Wednesday, July 10, 2013, call the Auction licenses in any of the same or Auctions Hotline at (717) 338–2868. 119. In Auction 95 all licenses will be overlapping geographic areas. The list Receipt of this registration mailing is auctioned in a single auction using the will identify the other applicants by critical to participating in the auction, Commission’s standard simultaneous name but will not list their license and each applicant is responsible for multiple-round auction format. This selections. As in past auctions, ensuring it has received all of the type of auction offers every license for additional information regarding other registration material. bid at the same time and consists of applicants that is needed to comply

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with 47 CFR 1.2105(c)—such as the number of bidding units on which a bidder’s ability to place additional bids identities of other applicants’ bidder may be active. As noted earlier, in the auction. controlling interests and entities with a each license is assigned a specific iv. Auction Stages greater than ten percent ownership number of bidding units as listed in the interest—will be available through the complete list of licenses available as 130. In the Auction 95 Comment publicly accessible online short-form separate ‘‘Attachment A’’ files at Public Notice, the Bureau proposed to application database. http://wireless.fcc.gov/auctions/95/. conduct the auction in two stages and 123. When completing short-form Bidding units assigned to each license employ an activity rule. Under the applications, applicants should avoid do not change as prices rise during the Bureau’s proposal, a bidder desiring to any statements or disclosures that may auction. Upfront payments are not maintain its current bidding eligibility violate the Commission’s prohibition of attributed to specific licenses. Rather, a would be required to be active on certain communications, pursuant to 47 bidder may place bids on any of the licenses representing at least 80 percent CFR 1.2105(c), particularly in light of licenses selected on its FCC Form 175 of its current bidding eligibility, during the Commission’s procedures regarding as long as the total number of bidding each round of Stage One, and at least 95 the availability of certain information in units associated with those licenses percent of its current bidding eligibility Auction 95. While applicants’ license does not exceed its current eligibility. in Stage Two. The Commission received selections will not be disclosed until Eligibility cannot be increased during no comments on this proposal. The after Auction 95 closes, the Commission the auction; it can only remain the same Bureau finds, for now, that two stages will disclose other portions of short- or decrease. Thus, in calculating its for an activity requirement adequately form applications through its online upfront payment amount, an applicant balances the desire to conclude the database and public notices. must determine the maximum number auction quickly with giving sufficient Accordingly, applicants should avoid of bidding units it may wish to bid on time for bidders to consider the status including any information in their or hold provisionally winning bids on of the bidding and to place bids. short-form applications that might in any single round, and submit an Therefore, the Bureau adopts the two convey information regarding license upfront payment amount covering that stages as described in the Auction 95 selections. For example, applicants total number of bidding units. At a Procedures Public Notice. Activity Rule should avoid using applicant names that minimum, an applicant’s upfront Waivers. refer to licenses being offered, referring payment must cover the bidding units 131. In the Auction 95 Comment to certain licenses or markets in for at least one of the licenses it selected Public Notice, the Bureau proposed that describing bidding agreements, or on its FCC Form 175. The total upfront each bidder in the auction be provided including any information in payment does not affect the total dollar with three activity rule waivers. The attachments that may otherwise disclose amount a bidder may bid on any given Bureau received no comments on this applicants’ license selections. license. issue. 124. If an applicant is found to have 127. In order to ensure that an auction violated the Commission’s rules or 132. Therefore, the Bureau adopts this antitrust laws in connection with its closes within a reasonable period of proposal to provide bidders with three participation in the competitive bidding time, an activity rule requires bidders to activity rule waivers. Bidders may use process, the applicant may be subject to bid actively throughout the auction, an activity rule waiver in any round various sanctions, including forfeiture rather than wait until late in the auction during the course of the auction. Use of of its upfront payment, down payment, before participating. Bidders are an activity rule waiver preserves the or full bid amount and prohibition from required to be active on a specific bidder’s eligibility despite its activity in participating in future auctions. percentage of their current bidding the current round being below the 125. The Bureau hereby warns eligibility during each round of the required minimum activity level. An applicants that the direct or indirect auction. A bidder’s activity level in a activity rule waiver applies to an entire communication to other applicants or round is the sum of the bidding units round of bidding and not to a particular the public disclosure of non-public associated with licenses covered by the license. Waivers can be either proactive information (e.g., bid withdrawals, bidder’s new and provisionally winning or automatic and are principally a proactive waivers submitted, reductions bids. mechanism for auction participants to in eligibility) could violate the 128. A bidder is considered active on avoid the loss of bidding eligibility in Commission’s anonymous bidding a license in the current round if it is the event that exigent circumstances procedures and 47 CFR 1.2105(c). To either the provisionally winning bidder prevent them from placing a bid in a the extent an applicant believes that at the end of the previous bidding round particular round. such a disclosure is required by law or and does not withdraw the 133. The FCC Auction System regulation, including regulations issued provisionally winning bid in the current assumes that a bidder with insufficient by the Securities and Exchange round, or if it submits a bid in the activity would prefer to apply an Commission, the Bureau strongly urges current round. activity rule waiver (if available) rather that the applicant consult with the 129. The minimum required activity than lose bidding eligibility. Therefore, Commission staff in the Auctions and is expressed as a percentage of the the system will automatically apply a Spectrum Access Division before bidder’s current eligibility, and waiver at the end of any bidding round making such disclosure. increases by stage as the auction in which a bidder’s activity level is progresses. Because these procedures below the minimum required unless (1) iii. Eligibility and Activity Rules have proven successful in maintaining the bidder has no activity rule waivers 126. The Bureau will use upfront the pace of previous auctions, the remaining or (2) the bidder overrides the payments to determine initial Bureau adopts them for Auction 95. automatic application of a waiver by (maximum) eligibility (as measured in Failure to maintain the requisite activity reducing eligibility. If no waivers bidding units) for Auction 95. The level will result in the use of an activity remain and the activity requirement is amount of the upfront payment rule waiver, if any remain, or a not satisfied, the FCC Auction System submitted by a bidder determines initial reduction in the bidder’s eligibility, will permanently reduce the bidder’s bidding eligibility, the maximum possibly curtailing or eliminating the eligibility, possibly curtailing or

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eliminating the ability to place to change the pace of the auction. For bidders public notice. Multiple bidding additional bids in the auction. example, the Bureau may adjust the rounds may be conducted each day. 134. A bidder with insufficient pace of bidding by changing the number 141. The Bureau has the discretion to activity may wish to reduce its bidding of bidding rounds per day and/or the change the bidding schedule in order to eligibility rather than use an activity minimum acceptable bids. The Bureau foster an auction pace that reasonably rule waiver. If so, the bidder must proposed to retain the discretion to balances speed with the bidders’ needs affirmatively override the automatic exercise any of these options with or to study round results and adjust their waiver mechanism during the bidding without prior announcement during the bidding strategies. The Bureau may round by using the ‘‘reduce eligibility’’ auction. The Bureau received no change the amount of time for the function in the FCC Auction System. In comment on these proposals and adopts bidding rounds, the amount of time this case, the bidder’s eligibility is them for Auction 95. between rounds, or the number of permanently reduced to bring it into rounds per day, depending upon compliance with the activity rule vi. Auction Delay, Suspension, or bidding activity and other factors. described above. Reducing eligibility is Cancellation an irreversible action; once eligibility ii. Reserve Price and Minimum Opening 138. In the Auction 95 Comment Bids has been reduced, a bidder will not be Public Notice, the Bureau proposed that, 142. In the Auction 95 Comment permitted to regain its lost bidding by public notice or by announcement Public Notice, the Bureau did not eligibility, even if the round has not yet during the auction, it may delay, propose to establish reserve prices for closed. suspend, or cancel the auction in the 135. Finally, a bidder may apply an the licenses in Auction 95. The Bureau event of natural disaster, technical activity rule waiver proactively as a did, however, propose to establish obstacle, administrative or weather means to keep the auction open without minimum opening bids for each license, necessity, evidence of an auction placing a bid. If a proactive waiver is reasoning that a minimum opening bid, security breach or unlawful bidding applied (using the ‘‘apply waiver’’ which has been used in other auctions, activity, or for any other reason that function in the FCC Auction System) is an effective tool for accelerating the affects the fair and efficient conduct of during a bidding round in which no competitive bidding process. competitive bidding. The Bureau bids are placed or withdrawn, the Specifically, for Auction 95, the Bureau received no comment on this issue. auction will remain open and the proposed to set the minimum opening bidder’s eligibility will be preserved. 139. Because this approach has bid for each license at $500. However, an automatic waiver applied proven effective in resolving exigent 143. The Bureau sought comment on by the FCC Auction System in a round circumstances in previous auctions, the its proposal for minimum opening bids in which there are no new bids, Bureau adopts these proposals regarding and, in the alternative, on whether, withdrawals, or proactive waivers will auction delay, suspension, or consistent with Section 309(j), the not keep the auction open. A bidder cancellation. By public notice or by public interest would be served by cannot submit a proactive waiver after announcement during the auction, the having no minimum opening bids. The bidding in a round, and applying a Bureau may delay, suspend, or cancel Bureau received no comments on our proactive waiver will preclude it from the auction in the event of natural proposed minimum opening bids. placing any bids in that round. disaster, technical obstacle, 144. The Bureau finds that the Applying a waiver is irreversible; once administrative or weather necessity, proposed minimum opening bids will a bidder submits a proactive waiver, the evidence of an auction security breach promote an appropriate auction pace bidder cannot unsubmit the waiver even or unlawful bidding activity, or for any and avoid unnecessarily prolonging if the round has not yet ended. other reason that affects the fair and Auction 95. The Bureau therefore efficient conduct of competitive v. Auction Stopping Rules adopts its proposal to set the minimum bidding. In such cases, the Bureau, in its opening bid for each license available in 136. For Auction 95, the Bureau sole discretion, may elect to resume the Auction 95 at $500. The complete list of proposed to employ a simultaneous auction starting from the beginning of licenses for Auction 95 is available as stopping rule approach, which means the current round or from some separate ‘‘Attachment A’’ files at all licenses remain available for bidding previous round, or cancel the auction in http://wireless.fcc.gov/auctions/95/. until bidding stops simultaneously on its entirety. Network interruption may every license. More specifically, bidding cause the Bureau to delay or suspend iii. Bid Amounts will close on all licenses after the first the auction. The Bureau emphasize that 145. In the Auction 95 Comment round in which no bidder submits any it will exercise use of this authority Public Notice, the Bureau proposed that new bids, applies a proactive waiver, or solely at its discretion, and not as a in each round, eligible bidders be able withdraws any provisionally winning substitute for situations in which to place a bid on a given license using bids. The Bureau also sought comment bidders may wish to apply their activity one or more pre-defined bid amounts. on alternative versions of the rule waivers. Under the proposal, the FCC Auction simultaneous stopping rule for Auction System interface will list the acceptable 95. B. Bidding Procedures bid amounts for each license. No 137. The Bureau proposed to exercise i. Round Structure comments were received on this issue. the options discussed in the Auction 95 Based on the Commission’s experience Procedures Public Notice only in certain 140. The initial schedule of bidding in prior auctions, the Bureau adopts this circumstances, for example, where the rounds will be announced in the public proposal for Auction 95. auction is proceeding unusually slowly notice listing the qualified bidders, or quickly, there is minimal overall which is released approximately 10 a. Minimum Acceptable Bids bidding activity, or it appears likely that days before the start of the auction. Each 146. The first of the acceptable bid the auction will not close within a bidding round is followed by the release amounts is called the minimum reasonable period of time or will close of round results. Details regarding acceptable bid amount. The minimum prematurely. Before exercising these formats and locations of round results acceptable bid amount for a license will options, the Bureau is likely to attempt will also be included in the qualified be equal to its minimum opening bid

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amount until there is a provisionally license may increase compared with the bidding. There will be no on-site winning bid for the license. After there corresponding provisionally winning bidding during Auction 95. Please note is a provisionally winning bid for a bid, and (b) the amount by which any that telephonic bid assistants are license, the minimum acceptable bid additional bid amount may increase required to use a script when entering amount will be a certain percentage compared with the immediately bids placed by telephone. Telephonic higher. That is, the minimum acceptable preceding acceptable bid amount. No bidders are therefore reminded to allow bid amount will be calculated by commenters addressed this question. sufficient time to bid by placing their multiplying the provisionally winning 151. Therefore, the Bureau adopts its calls well in advance of the close of a bid amount times one plus the proposal to begin the auction with eight round. The length of a call to place a minimum acceptable bid percentage. additional bid amounts per license. The telephonic bid may vary; please allow a For example, if the minimum acceptable Bureau will also start the auction minimum of ten minutes. bid percentage is 10 percent, the without a limit on the dollar amount by 156. A bidder’s ability to bid on minimum acceptable bid amount will which minimum acceptable bids and specific licenses is determined by two equal (provisionally winning bid additional bid amounts may increase. factors: (1) the licenses selected on the amount) * (1.10), rounded. In the case The Bureau retains the discretion to bidder’s FCC Form 175 and (2) the of a license for which the provisionally change the minimum acceptable bid bidder’s eligibility. The bid submission winning bid has been withdrawn, the amounts, the minimum acceptable bid screens will allow bidders to submit minimum acceptable bid amount will percentage, the bid increment bids on only those licenses the bidder equal the second highest bid received percentage, and the number of selected on its FCC Form 175. for the license. acceptable bid amounts if the Bureau 157. In order to access the bidding 147. In the Auction 95 Comment determine that circumstances so dictate. function of the FCC Auction System, Public Notice, the Bureau proposed to Further, the Bureau proposed to retain bidders must be logged in during the use a minimum acceptable bid the discretion to do so on a license-by- bidding round using the passcode percentage of 10 percent. The Bureau license basis. If the Bureau exercise this generated by the SecurID® token and a did not receive any comments on this discretion, it will alert bidders by personal identification number (‘‘PIN’’) proposal. Our experience in previous announcement in the FCC Auction created by the bidder. Bidders are auctions assures us that a minimum System during the auction. strongly encouraged to print a ‘‘round acceptable bid percentage of 10 percent summary’’ for each round after they is sufficient to ensure active bidding. iv. Provisionally Winning Bids have completed all of their activity for Therefore, the Bureau will begin the 152. At the end of each bidding that round. auction with a minimum acceptable bid round, a ‘‘provisionally winning bid’’ 158. In each round, eligible bidders percentage of 10 percent. will be determined based on the highest will be able to place bids on a given bid amount received for each license. A license in any of up to nine pre-defined b. Additional Bid Amounts provisionally winning bid will remain bid amounts. For each license, the FCC 148. Any additional bid amounts are the provisionally winning bid until Auction System will list the acceptable calculated using the minimum there is a higher bid on the same license bid amounts in a drop-down box. acceptable bid amount and a bid at the close of a subsequent round. Bidders use the drop-down box to select increment percentage, which need not Provisionally winning bids at the end of from among the acceptable bid amounts. be the same as the percentage used to the auction become the winning bids. The FCC Auction System also includes calculate the minimum acceptable bid Bidders are reminded that provisionally an ‘‘upload’’ function that allows text amount. The first additional acceptable winning bids count toward activity for files containing bid information to be bid amount equals the minimum purposes of the activity rule. uploaded. acceptable bid amount times one plus 153. In the Auction 95 Comment 159. Until a bid has been placed on the bid increment percentage, rounded. Public Notice, the Bureau proposed to a license, the minimum acceptable bid If, for example, the bid increment use a random number generator to select amount for that license will be equal to percentage is 5 percent, the calculation a single provisionally winning bid in its minimum opening bid amount. Once is (minimum acceptable bid amount) * the event of identical high bid amounts there are bids on a license, minimum (1 + 0.05), rounded, or (minimum being submitted on a license in a given acceptable bids for the following round acceptable bid amount) * 1.05; the round (i.e., tied bids). No comments will be determined. second additional acceptable bid were received on this proposal. 160. During a round, an eligible amount equals the minimum acceptable 154. The Bureau adopts the tied bids bidder may submit bids for as many bid amount times one plus two times proposal. The FCC Auction System will licenses as it wishes (providing that it the bid increment percentage, rounded, assign a random number to each bid is eligible to bid on the specific license), or (minimum acceptable bid amount) * upon submission. The tied bid with the remove bids placed in the current 1.10, etc. highest random number wins the bidding round, withdraw provisionally 149. The Bureau proposed to start tiebreaker, and becomes the winning bids from previous rounds, or with eight additional bid amounts (for a provisionally winning bid. Bidders, permanently reduce eligibility. If total of nine bid amounts) per license regardless of whether they hold a multiple bids are submitted for the same but also sought comment on whether, in provisionally winning bid, can submit license in the same round, the system the alternative, to use fewer or no higher bids in subsequent rounds. takes the last bid entered as that additional bid amounts per license in a However, if the auction were to end bidder’s bid for the round. Bidding units given round. The Bureau proposed to with no other bids being placed, the associated with licenses for which the use a bid increment percentage of 5 winning bidder would be the one that bidder has removed or withdrawn bids percent. The Bureau received no placed the provisionally winning bid. do not count towards current activity. comments on this proposal. 161. Finally, bidders are cautioned to 150. The Bureau also sought comment v. Bidding select their bid amounts carefully on the circumstances under which the 155. All bidding will take place because bidders that withdraw a Bureau should limit (a) the amount by remotely either through the FCC provisionally winning bid from a which a minimum acceptable bid for a Auction System or by telephonic previous round, even if the bid was

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mistakenly or erroneously made, are 167. Calculation of Bid Withdrawal winning bid amount, the minimum subject to bid withdrawal payments. Payment. Generally, the Commission acceptable bid amount for the following imposes payments on bidders that round, the amounts of all bids placed on vi. Bid Removal and Bid Withdrawal withdraw provisionally winning bids the license during the round, and 162. In the Auction 95 Comment during the course of an auction. If a whether the license is FCC held. The Public Notice, the Bureau proposed bid bidder withdraws its bid and there is no system will also provide an entire removal and bid withdrawal higher bid in the same or subsequent license history detailing all activity that procedures. The Bureau sought auction(s), the bidder that withdrew its has taken place on a license with the comment on permitting a bidder to bid is responsible for the difference ability to sort by round number. The remove a bid before the close of the between its withdrawn bid and the reports will be publicly accessible. round in which the bid was placed. winning bid in the same or subsequent Moreover, after the auction closes, the With respect to bid withdrawals, the auction(s). If there are multiple bid Bureau will make available complete Bureau proposed limiting each bidder to withdrawals on a single license and no reports of all bids placed during each withdrawals of provisionally winning subsequent higher bid is placed and/or round of the auction, including bidder bids in only one round during the the license is not won in the same identities. course of the auction. The round in auction, the payment for each bid viii. Auction Announcements which withdrawals are used would be at withdrawal will be calculated based on each bidder’s discretion. the sequence of bid withdrawals and the 171. The Commission will use auction 163. The Bureau received no amounts withdrawn. No withdrawal announcements to report necessary comments on this issue. The proposed payment will be assessed for a information such as schedule changes procedures will provide each bidder withdrawn bid if either the subsequent and stage transitions. All auction with appropriate flexibility during the winning bid or any subsequent announcements will be available by auction; therefore the Bureau adopts intervening withdrawn bid, in either the clicking a link in the FCC Auction this proposal for Auction 95. same or subsequent auction(s), equals or System. 164. Bid Removal. Before the close of exceeds that withdrawn bid. Thus, a V. Post-Auction Procedures a bidding round, a bidder has the option bidder that withdraws a bid will not be of removing any bids placed in that responsible for any final withdrawal 172. Shortly after bidding has ended, round. By using the ‘‘remove bids’’ payment if there is a subsequent higher the Commission will issue a public function in the FCC Auction System, a bid in the same or subsequent notice declaring the auction closed, bidder may effectively ‘‘undo’’ any bid auction(s). identifying the winning bidders, and 168. 47 CFR 1.2104(g)(1) sets forth the placed within that round. A bidder establishing the deadlines for payment obligations of a bidder that removing a bid placed in the same submitting down payments, final withdraws a provisionally winning bid round is not subject to withdrawal payments, long-form applications, and on a license during the course of an payments. If a bid is placed on a license ownership disclosure information auction, and provides for the assessment during a round, it will count towards reports. of interim bid withdrawal payments. In the activity for that round, but when the Auction 95 Comment Public Notice, A. Down Payments that bid is then removed during the the Bureau proposed to establish this same round it was placed, the activity percentage at ten percent for Auction 95 173. Within ten business days after associated with it is also removed, i.e., and sought comment on the proposal. release of the auction closing public a bid that is removed does not count 169. The Bureau received no notice, each winning bidder must toward bidding activity. comments on this issue. The Bureau submit sufficient funds (in addition to 165. Bid Withdrawal. Once a round adopted a ten percent payment amount its upfront payment) to bring its total closes, a bidder may no longer remove for prior paging auctions, and the amount of money on deposit with the a bid. However, in a later round, a Bureau adopts its proposal for a ten Commission for Auction 95 to twenty bidder may withdraw provisionally percent payment amount for this percent of the net amount of its winning winning bids from previous rounds for auction. The Commission will assess an bids (gross bids less any applicable licenses using the ‘‘withdraw bids’’ interim withdrawal payment equal to small business bidding credit). function in the FCC Auction System. A ten percent of the amount of the B. Final Payments provisionally winning bidder that withdrawn bids. The ten percent withdraws its provisionally winning bid interim payment will be applied toward 174. Each winning bidder will be from a previous round during the any final bid withdrawal payment that required to submit the balance of the net auction is subject to the bid withdrawal will be assessed after subsequent amount of its winning bids within ten payments specified in 47 CFR 1.2104(g). auction of the license. Assessing an business days after the applicable Once a bid withdrawal is submitted interim bid withdrawal payment deadline for submitting down payments. during a round, that withdrawal cannot ensures that the Commission receives a C. Long-Form Application (FCC Form be unsubmitted even if the round has minimal withdrawal payment pending 601) not yet ended. assessment of any final withdrawal 166. If a provisionally winning bid is payment. 47 CFR 1.2104(g) provides 175. Within ten business days after withdrawn, the minimum acceptable specific examples showing application release of the auction closing notice, bid amount will equal the amount of the of the bid withdrawal payment rule. winning bidders must electronically second highest bid received for the submit a properly completed long-form license, which may be less than, or in vii. Round Results application (FCC Form 601) for the the case of tied bids, equal to, the 170. Limited information about the license(s) they won through Auction 95. amount of the withdrawn bid. The results of a round will be made public Winning bidders claiming eligibility for Commission will serve as a placeholder after the conclusion of the round. a small business bidding credit must provisionally winning bidder on the Specifically, after a round closes, the demonstrate their eligibility for the license until a new bid is submitted on Bureau will make available for each bidding credit. Further instructions on that license. license, its current provisionally these and other filing requirements will

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be provided to winning bidders in the credit, the applicant will have 180 days G. Refund of Remaining Upfront auction closing public notice. from the close of the long-form Payment Balance application filing window to amend its D. Ownership Disclosure Information 185. After the auction, applicants that application to select the specific tribal Report (FCC Form 602) are not winning bidders or are winning lands to be served and provide the bidders whose upfront payment 176. Within ten business days after required tribal government release of the auction closing public exceeded the total net amount of their certifications. Licensees receiving a winning bids may be entitled to a notice, each winning bidder must also tribal lands bidding credit are subject to refund of some or all of their upfront comply with the ownership reporting performance criteria as set forth in 47 payment. All refunds will be returned to requirements in 47 CFR 1.913, 1.919, CFR 1.2110(f)(3)(vii). and 1.2112 by submitting an ownership 181. For additional information on the the payer of record, as identified on the disclosure information report for tribal lands bidding credit, including FCC Form 159, unless the payer submits wireless telecommunications services how the amount of the credit is written authorization instructing (FCC Form 602) with its long-form calculated, applicants should review the otherwise. Bidders should not request a application. Commission’s rulemaking proceeding refund of their upfront payments before 177. If an applicant already has a regarding tribal lands bidding credits the Commission releases a public notice complete and accurate FCC Form 602 on and related public notices. Relevant declaring the auction closed, identifying file in ULS, it is not necessary to file a documents can be viewed on the the winning bidders, and establishing new report, but applicants must verify Commission’s Web site by going to the deadlines for submitting down that the information on file with the http://wireless.fcc.gov/auctions/ and payments, long-form applications, and Commission is complete and accurate. If clicking on the Tribal Lands Credits final payments. the applicant does not have an FCC link. Federal Communications Commission. Form 602 on file, or if it is not complete F. Default and Disqualification Gary D. Michaels, and accurate, the applicant must submit Deputy Chief, Auctions and Spectrum Access one. 182. Any winning bidder that defaults Division, WTB. 178. When an applicant submits a or is disqualified after the close of the [FR Doc. 2013–09802 Filed 4–24–13; 8:45 am] short-form application, ULS auction (i.e., fails to remit the required automatically creates an ownership down payment within the prescribed BILLING CODE 6712–01–P record. This record is not an FCC Form period of time, fails to submit a timely 602, but may be used to pre-fill the FCC long-form application, fails to make full Form 602 with the ownership payment, or is otherwise disqualified) FEDERAL HOUSING FINANCE information submitted on the will be subject to the payments AGENCY applicant’s short-form application. described in 47 CFR 1.2104(g)(2). This [No. 2013–N–07] Applicants must review the pre-filled payment consists of a deficiency information and confirm that it is payment, equal to the difference Proposed Collection; Comment complete and accurate as of the filing between the amount of the Auction 95 Request date of the long-form application before bidder’s winning bid and the amount of AGENCY: Federal Housing Finance the winning bid the next time a license certifying and submitting the FCC Form Agency. 602. Further instructions will be covering the same spectrum is won in provided to winning bidders in the an auction, plus an additional payment ACTION: 60-day Notice of Submission of auction closing public notice. equal to a percentage of the defaulter’s Information Collection for Approval bid or of the subsequent winning bid, From Office of Management and Budget. E. Tribal Lands Bidding Credit whichever is less. SUMMARY: In accordance with the 179. A winning bidder that intends to 183. The percentage of the applicable requirements of the Paperwork use its license(s) to deploy facilities and bid to be assessed as an additional Reduction Act of 1995, the Federal provide services to federally recognized payment for defaults in a particular Housing Finance Agency (FHFA) is tribal lands that are unserved by any auction is established in advance of the seeking public comments concerning a telecommunications carrier or that have auction. Accordingly, in the Auction 95 proposed information collection to be a wireline penetration rate equal to or Comment Public Notice, the Bureau known as the ‘‘National Survey of below 85 percent is eligible to receive a proposed to set the additional default Mortgage Borrowers’’ (NSMB). This is a tribal lands bidding credit as set forth in payment for this auction at ten percent new collection that has not yet been 47 CFR 1.2107 and 1.2110(f). A tribal of the applicable bid. The Bureau assigned a control number by the Office lands bidding credit is in addition to, received no comments on this proposal, of Management and Budget (OMB). and separate from, any other bidding and it is therefore adopted. FHFA intends to submit the proposed credit for which a winning bidder may 184. Finally, in the event of a default, information collection to OMB for qualify. the Commission has the discretion to re- 180. Unlike other bidding credits that auction the license or offer it to the next review and approval of a three-year are requested prior to the auction, a highest bidder (in descending order) at control number. winning bidder applies for the tribal its final bid amount. In addition, if a DATES: Interested persons may submit lands bidding credit after the auction default or disqualification involves comments on or before June 24, 2013. when it files its long-form application gross misconduct, misrepresentation, or ADDRESSES: Submit comments to FHFA (FCC Form 601). When initially filing bad faith by an applicant, the using any one of the following methods: the long-form application, the winning Commission may declare the applicant • Email: [email protected]. bidder will be required to advise the and its principals ineligible to bid in Please include Proposed Collection; Commission whether it intends to seek future auctions, and may take any other Comment Request: ‘‘National Survey of a tribal lands bidding credit, for each action that it deems necessary, Mortgage Borrowers, (No. 2013–N–07)’’ license won in the auction, by checking including institution of proceedings to in the subject line of the message. the designated box(es). After stating its revoke any existing authorizations held • Federal eRulemaking Portal: http:// intent to seek a tribal lands bidding by the applicant. www.regulations.gov. Follow the

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