**DA 08-1579**

**July 7, 2008**

**AUCTION OF AWS-1 AND BROADBAND PCS LICENSES**

###### Status of Short-Form Applications to Participate in Auction 78 {#status-of-short-form-applications-to-participate-in-auction-78 .unnumbered}

**Report No. AUC-08-78-C (Auction 78)**

1.  The Wireless Telecommunications Bureau ("Bureau") has accepted for
    filing 30 short-form applications (FCC Forms 175) to participate in
    the upcoming auction of Advanced Wireless Services ("AWS") and
    broadband Personal Communications Service ("PCS") licenses. This
    auction, which is designated as Auction 78, is scheduled to begin on
    Wednesday, August 13, 2008.[^1] Auction 78 will offer 55 licenses:
    35 licenses in the AWS 1710-1755 MHz and 2110-2155 MHz bands
    ("AWS-1") and 20 broadband PCS licenses. This Public Notice
    announces the status of applications received for Auction 78 and
    provides other important information and reminders relating to the
    auction.

# Short-Form Applications and upfront payments

## Status of Short-Form Applications 

2.  The short-form applications for Auction 78 have been reviewed for
    completeness and compliance with the Commission's rules, and have
    been classified into the categories listed below.

**Complete** **17 applications**

**Incomplete** **13 applications**

3.  **Complete Applications.** Attachment A to this Public Notice lists
    the short-form applications for Auction 78 that are complete and
    have been accepted for filing.[^2] These applicants will become
    qualified bidders in Auction 78 upon receipt of the required upfront
    payment **by 6:00 p.m. ET on Thursday, July 17, 2008**.[^3]
    Applicants also must maintain the accuracy of their short-form
    applications as required by Section 1.65 of the Commission's
    rules.[^4]

4.  **Incomplete Applications.** Attachment B to this Public Notice
    lists the short-form applications for Auction 78 found to be
    incomplete or otherwise deficient. These applicants will receive
    overnight correspondence indicating what information is required to
    make their applications complete. These applicants may become
    qualified bidders only if they timely take the following
    actions: (1) make the required upfront payments **by 6:00 p.m. ET on
    Thursday, July 17, 2008**; and (2) resubmit their applications,
    having corrected the deficiencies indicated, **prior to 6:00 p.m. ET
    on Thursday, July 17, 2008**.[^5] Applicants also must maintain the
    accuracy of their short-form applications as required by Section
    1.65 of the Commission's rules.[^6]

5.  The filing window for resubmitting Auction 78 short-form
    applications is now open. Corrected applications must be filed
    **prior to** **6:00 p.m. ET on Thursday, July 17, 2008.** This will
    be the only opportunity to cure application defects. Late
    resubmissions will not be accepted. If an application is incomplete
    or otherwise deficient after the resubmission deadline has passed,
    the applicant will not be permitted to participate in bidding.

## Upfront Payments 

6.  Upfront payments and accompanying FCC Remittance Advice forms (FCC
    Form 159) for Auction 78 are due in the proper account at Mellon
    Bank, Pittsburgh, Pennsylvania, **by 6:00 p.m. ET on Thursday, July
    17, 2008.**[^7] In order to meet the Commission's upfront payment
    deadline, an applicant's payment must be credited to the
    Commission's account by the deadline.[^8] **Payments must be made by
    wire transfer only in accordance with the instructions provided in
    the *Auction 78 Procedures Public Notice*.**[^9] **No other payment
    method is acceptable for this auction.**[^10] Applicants are
    reminded to provide their FCC Registration Number ("FRN") on the FCC
    Form 159 and to submit the same FRN with all future payments for
    Auction 78. At least one hour before placing the order for the wire
    transfer (but on the same business day), applicants must fax a
    completed FCC Form 159 (revised February 2003) to Mellon Bank
    at (412) 209-6045.

7.  Applicants that have filed applications deemed to be incomplete or
    otherwise deficient, as noted in Attachment B to this Public Notice,
    must submit timely and sufficient upfront payments before the
    Commission will review their resubmitted applications. If no upfront
    payment is made, or the application is incomplete or otherwise
    deficient following its resubmission, the applicant will not be
    eligible to bid.

8.  Applicants are responsible for obtaining confirmation from their
    financial institution that Mellon Bank has timely received their
    upfront payment and deposited it in the proper account. The Bureau
    reminds applicants that they should discuss arrangements (including
    transfer times and bank closing schedules) with their financial
    institution several days before making the wire transfer so as to
    avoid untimely upfront payments. Applicants should allow sufficient
    time for the transfer to be initiated and completed before the
    deadline. Detailed information regarding upfront payments, including
    additional requirements for "former defaulters," can be found in the
    *Auction 78 Procedures Public Notice* under Section II.G. and
    Section III.D.[^11]

## Short-Form Application Changes and Resubmission

9.  Applicants whose applications for Auction 78 have been identified as
    incomplete must address defects in their applications during the
    resubmission window (which is now open and closes prior to 6:00 p.m.
    ET on Thursday, July 17, 2008).[^12] The Bureau is sending a letter
    to each applicant whose application has been deemed incomplete
    identifying the deficiencies found during the staff's initial review
    of the application. These deficiency letters are being sent via
    overnight delivery to the contact person listed on each incomplete
    application.

10. During this resubmission window, all applicants may make other minor
    changes as described below in more detail. We remind applicants that
    Section 1.65 of the Commission's rules requires an applicant to
    maintain the accuracy and completeness of information furnished in
    its pending short-form application.[^13] Applicants should amend
    their short-form applications as promptly as possible, but no later
    than ten business days from the occurrence of a reportable change.
    Applicants must modify their short-form application electronically.
    Applicants seeking to report changes outside of those time periods
    in which short-form applications are accessible electronically must
    submit a letter briefly summarizing the changes by electronic mail
    to the attention of Margaret Wiener, Chief, Auctions and Spectrum
    Access Division, at the following address: <auction78@fcc.gov>.
    Questions about changes should be directed to the Auctions and
    Spectrum Access Division at (202) 418-0660.

11. The electronic Form 175 will not permit an applicant to make certain
    modifications to its application (e.g., changes to applicant's name,
    legal classification, license selections or certifying official, or
    changes in its bidding credit or entrepreneur status).[^14]
    Administrative and minor changes can be made, including, for
    example, deletion and addition of authorized bidders (to a maximum
    of three), revision of addresses and telephone numbers of the
    applicants and their contact persons, and changes to responsible
    party. In addition, changes can be made to ownership and agreement
    information.[^15] We remind applicants that any application changes
    must comply with the Commission's rules, which prohibit, among other
    things*,* changes in ownership that would constitute an assignment
    or transfer of control, as well as changes in ownership or
    disclosure of agreements that would constitute violations of the
    anti-collusion rule.[^16] If any application is changed to effect a
    major amendment, such as a change in control, the applicant will be
    ineligible to bid in the auction.

# OTHER IMPORTANT auction 78 INFORMATION

12. **Qualified Bidders.** Approximately two weeks after the upfront
    payment deadline, following Commission review of resubmitted
    short-form applications, and correlation of payments and
    applications, a public notice listing all applicants qualified to
    bid in Auction 78 will be released. The same public notice will also
    include bidding schedules for both the mock auction and the first
    day of bidding.

13. **Due Diligence.** Potential bidders are solely responsible for
    investigating and evaluating all technical and marketplace factors
    that may have a bearing on the value of the licenses being offered
    in Auction 78. The Commission makes no representations or warranties
    about the use of this spectrum for particular services. We strongly
    encourage potential bidders to conduct their own research prior to
    the beginning of bidding in order to determine the existence of
    pending proceedings, pleadings, applications, or authorizations that
    might affect their decisions regarding participation in the auction.
    Participants should continue such research throughout the auction.
    In addition, potential bidders should perform technical analyses
    sufficient to assure themselves that, should they prevail in
    competitive bidding for a specific license, they will be able to
    build and operate facilities that will comply fully with the
    Commission\'s technical and legal requirements. For further details
    regarding due diligence, please refer to the *Auction 78 Procedures
    Public Notice* under Section I.C.4.[^17]

14. **Prohibition of Collusion.** We remind applicants that Section
    1.2105(c) of the Commission's rules prohibits applicants for
    licenses in any of the same or overlapping geographic areas from
    communicating with each other about bids, bidding strategies, or
    settlements, which may include communications regarding the
    post-auction market structure, unless they have identified each
    other on their short-form applications as parties with which they
    have entered into agreements under Section 1.2105(a)(2)(viii).[^18]
    The anti-collusion prohibition applies to applicants that selected
    licenses in the same or overlapping markets even if the licenses are
    not in the same radio service. For example, an applicant that
    selected an AWS-1 Economic Area ("EA") license and another applicant
    that selected a broadband PCS Basic Trading Area ("BTA") license
    within that EA are prohibited from discussing bids, bidding
    strategies, or settlements (including communications regarding the
    post-auction market structure) with each other unless both parties
    identify the other on their short-form applications.[^19]

15. The collusion prohibition is effective as of the short-form
    application filing deadline, which for Auction 78 was June 19, 2008
    at 6:00 p.m. ET, and extends until the post-auction down payment
    deadline, which will be announced in a public notice released
    shortly following close of bidding.[^20] **The prohibition applies
    to all applicants regardless of whether such applicants become
    qualified bidders or actually bid.**[^21]

16. We also emphasize that, for purposes of this prohibition, an
    "applicant" includes all officers and directors of the entity
    submitting a short-form application, all controlling interests of
    that entity, and all holders of partnership and other ownership
    interests and any stock interest amounting to 10 percent or more of
    the entity, or outstanding stock, or outstanding voting stock of the
    entity submitting a short-form application.[^22] Thus, for example,
    a violation of the anti-collusion rule could occur when an
    individual serves as an officer and/or director for two or more
    competing applicants that have not disclosed an agreement on both
    short-form applications.[^23] Therefore, applicants should continue
    to take precautionary steps to prevent prohibited communications
    between any of the entities or persons described covered by the
    prohibition.[^24]

17. We also reiterate that applicants were required to disclose
    agreements relating to the licenses being auctioned even if the
    agreement had not been reduced to writing so long as the parties had
    agreed in principle on all material terms.[^25] If parties had not
    agreed in principle by the short-form application filing deadline,
    negotiations between applicants that selected the same or
    overlapping markets must have ceased as of June 19, 2008 at 6:00 pm
    ET.[^26] If communications occurred after the deadline, applicants
    must report the prohibited discussions or disclosures to the
    Commission in writing immediately, but in no case later than five
    business days after the communication occurs.[^27]

18. **Anonymous Bidding***.* We remind applicants that, under the
    anonymous bidding procedures in effect for Auction 78, the
    Commission is withholding from public release, until after the close
    of the auction, any information that may indicate specific
    applicants' interests in the auction -- including, among other
    things, license selections, upfront payments and eligibility
    information -- and the identities of bidders making bids or taking
    other bidding-related actions. Accordingly, communication to other
    applicants or public disclosure of such non-public information would
    appear to violate the Commission's anonymous bidding procedures and
    the anti-collusion rule.[^28]

19. This prohibition would include communication of any such non-public
    information by an applicant to the public, financial analysts, or
    the press, as well as any such communication by an applicant to
    another applicant for one or more licenses covering geographic areas
    also covered by the applicant's license selections on its short-form
    application.[^29] Examples of communications raising concern, given
    the anonymous bidding procedures in effect for Auction 78, would
    include an applicant's statement to the press about its upfront
    payment or bidding eligibility, and an applicant's statement to the
    press that it is or is not interested in bidding in the auction.

20. Because anonymous bidding procedures are in place for Auction 78,
    applicants' license selections will not be disclosed publicly until
    after the auction closes. Therefore, the Bureau is sending each
    applicant a letter identifying those applicants that have applied
    for licenses in any of the same or overlapping geographic areas as
    those selected by the applicant.[^30]

21. **Disclosure Obligations and Possible Sanctions***.* Section 1.65
    requires auction applicants that engage in communications of bids or
    bidding strategies that may themselves be prohibited, and that
    result in an agreement, arrangement, or understanding not already
    identified on their short-form applications, to promptly disclose
    any such agreement, arrangement, or understanding to the Commission
    by amending their pending applications.[^31] In addition, Section
    1.2105(c)(6) requires all auction applicants to report prohibited
    discussions or disclosures regarding bids or bidding strategy to the
    Commission in writing immediately, but in no case later than five
    business days after the communication occurs, even if the
    communication does not result in an agreement or understanding
    regarding bids or bidding strategy that must be reported under
    Section 1.65.[^32]

22. Parties reporting communications must take care to ensure that any
    such reports of prohibited communications do not themselves give
    rise to a violation of the anti-collusion rule. For example, a
    party's report of a prohibited communication could violate the rule
    by communicating prohibited information to other applicants through
    the use of Commission filing procedures that would allow such
    materials to be made available for public inspection. A party
    seeking to report such prohibited communications should consider
    submitting its report with a request that the report or portions of
    the submission be withheld from public inspection.[^33] Such parties
    are also encouraged to consult with the Auctions and Spectrum Access
    Division staff if they have any questions about the procedures for
    submitting such reports.[^34] The *Auction 78 Procedures Public
    Notice* provides additional guidance on procedures for submitting
    application-related information.[^35]

23. Applicants that are winning bidders will be required to disclose in
    their long-form applications the specific terms, conditions, and
    parties involved in all bidding consortia, joint ventures,
    partnerships, or other agreements or arrangements entered into
    relating to the competitive bidding process.[^36] Any applicant
    found to have violated the anti-collusion rule may be subject to
    sanctions.[^37] In addition, we remind applicants that they are
    subject to the antitrust laws, which are designed to prevent
    anti-competitive behavior in the marketplace. If an applicant is
    found to have violated the antitrust laws in connection with its
    participation in the competitive bidding process, it may be subject
    to forfeiture of its upfront payment, down payment, or full bid
    amount, and may be prohibited from participating in future
    auctions.[^38]

24. **Ex Parte Rule.** Applicants should also be aware that the
    Commission has generally exempted auction proceedings from the
    strict requirements of the ex parte rule found in Section 1.1208 of
    the Commission's rules.[^39]

25. **Mock Auction.** All applicants found to be qualified bidders will
    be eligible to participate in a mock auction on Monday, August
    11, 2008. The Bureau encourages all qualified bidders to take
    advantage of this opportunity to become familiar with the FCC's
    Integrated Spectrum Auction System ("ISAS" or "FCC Auction System").
    In the public notice announcing the qualified bidders, the Bureau
    will announce the bidding schedule for the mock auction. The mock
    auction will be conducted over the Internet, and telephonic bidding
    will be available as well.

26. **Electronic Bidding.** Applicants are reminded that qualified
    bidders are eligible to bid either electronically or telephonically.
    Applicants should specify their bidding preference on the FCC Form
    175, if they have not already done so.

27. Bidders can access the FCC Auction System over the Internet. Access
    to the system via the Internet requires, at a minimum, the following
    software:

[]{.mark}

-   Web Browser, either of the following:

> Microsoft^®^ Internet Explorer 6.0 or higher (recommended). Your
> browser must have either Microsoft VM or Java Plug-In Version 1.5
> installed.
>
> Mozilla^®^ Firefox^®^ 2.0 or higher, with Java Plug-In Version 1.5.
>
> To obtain Java Plug-In Version 1.5, point your browser at
> <http://java.sun.com/javase/downloads/index_jdk5.jsp> and click the
> **Download** button for the *Java Runtime Environment (JRE) 5.0*
> option.

-   PDF Viewer: Adobe Acrobat Reader 5.0 or higher (available at
    [http://www.adobe.com](http://www.adobe.com/))

-   Minimum Screen Resolution: 1024 x 768

28. Currently, the Apple^®^ Mac OS^®^ is not supported.

29. **Post-Auction Procedures.** Shortly after bidding has ended, the
    Commission will issue a public notice declaring the auction closed,
    identifying the winning bidders, and establishing the deadlines for
    submitting down payments and final payments.[^40] Winning bidders
    will be subject to the more extensive reporting requirements
    contained in the Commission's Part 1 ownership disclosure rules and
    will be required to submit a completed long-form application (FCC
    Form 601) and ownership disclosure information report (FCC Form
    602).[^41]

# CONTACT INFORMATION

30. For specific questions about an applicant's incomplete status, the
    applicant should contact the staff reviewer identified in the
    correspondence sent to the applicant by overnight mail.

31. For further information concerning Auction 78, contact:

+-----------------------------------+----------------------------------+
| **General Auction 78              | **FCC Auctions Hotline**         |
| Information**                     |                                  |
+-----------------------------------+----------------------------------+
| > General Auction Questions       | \(888\) 225-5322, option two; or |
+-----------------------------------+----------------------------------+
| > Auction Process and Procedures  | \(717\) 338-2868                 |
+-----------------------------------+----------------------------------+
|                                   | Hours of service: 8:00 a.m. --   |
|                                   | 5:30 p.m. ET,                    |
|                                   |                                  |
|                                   | Monday through Friday            |
|                                   |                                  |
|                                   | **Auctions and Spectrum Access   |
|                                   | Division**                       |
|                                   |                                  |
|                                   | Jeff Crooks at (202) 418-2074    |
|                                   |                                  |
|                                   | Lisa Stover at (717) 338-2868    |
+-----------------------------------+----------------------------------+
| **FCC Auction System              | **FCC Technical Support          |
| Information**                     | Hotline**                        |
+-----------------------------------+----------------------------------+
|                                   | \(877\) 480-3201, option nine;   |
|                                   | or                               |
+-----------------------------------+----------------------------------+
|                                   | \(202\) 414‑1250 or (202)        |
|                                   | 414-1255 (TTY)                   |
+-----------------------------------+----------------------------------+
|                                   | Hours of service: 8:00 a.m. --   |
|                                   | 6:00 p.m. ET,                    |
|                                   |                                  |
|                                   | Monday through Friday            |
|                                   |                                  |
|                                   | All calls to the FCC Technical   |
|                                   | Support Hotline are recorded.    |
+-----------------------------------+----------------------------------+
| **Auction 78 Legal Information**  | **Auctions and Spectrum Access   |
|                                   | Division**                       |
| Auction Rules, Policies,          |                                  |
| Regulations                       | **(202) 418-0660**               |
+-----------------------------------+----------------------------------+
|                                   | Scott Mackoul or Stephen Johnson |
+-----------------------------------+----------------------------------+
| **Auction Payments**              | **Auctions Accounting Group**    |
|                                   |                                  |
| Instructions for Wiring Upfront   | **(202) 418-0578**               |
| Payments                          |                                  |
|                                   | Gail Glasser                     |
+-----------------------------------+----------------------------------+
| **Broadband PCS** **Licensing     | **Mobility Division (202)        |
| Information**                     | 418-0620**                       |
+-----------------------------------+----------------------------------+
| > Service Rules, Policies,        | Erin McGrath                     |
| > Regulations                     |                                  |
| >                                 |                                  |
| > Licensing Issues, Engineering   |                                  |
| > Issues                          |                                  |
| >                                 |                                  |
| > Due Diligence, Incumbency       |                                  |
| > Issues                          |                                  |
+-----------------------------------+----------------------------------+
| **AWS-1 Service Licensing         | **Broadband Division (202)       |
| Information**                     | 418-2487**                       |
+-----------------------------------+----------------------------------+
| > Service Rules, Policies,        | John Spencer                     |
| > Regulations                     |                                  |
| >                                 |                                  |
| > Licensing Issues, Engineering   |                                  |
| > Issues                          |                                  |
| >                                 |                                  |
| > Due Diligence, Incumbency       |                                  |
| > Issues                          |                                  |
+-----------------------------------+----------------------------------+

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

**- FCC -**

[^1]: *See* "Auction of AWS-1 and Broadband PCS Licenses Rescheduled for
    August 13, 2008; Notice and Filing Requirements, Minimum Opening
    Bids, Upfront Payments and Other Procedures for Auction 78," *Public
    Notice*, DA 08-1090 (May 16, 2008) ("*Auction 78 Procedures Public
    Notice*"). We note that MetroPCS Communications, Inc. has filed a
    petition requesting reconsideration of certain aspects of the
    *Auction 78 Procedures Public Notice*. *See* Petition for
    Reconsideration of MetroPCS Communications, Inc., AU Docket No.
    08-46 (filed June 30, 2008). This petition will be addressed
    separately.

[^2]: Designation of an application as accepted for filing indicates
    that the applicant has provided the certifications and basic
    information concerning its qualifications as required by our
    competitive bidding rules for participation in the auction. The
    Bureau notes that under the Commission's two-phased auction
    application process, a winning bidder must submit a long-form
    application after the close of the auction to demonstrate its
    qualifications to hold a Commission license and, if a bidding credit
    and/or entrepreneur status is requested, its eligibility for the
    bidding credit requested and/or entrepreneur status. *See* 47 C.F.R.
    §§ 1.2107 -- 1.2109; *see also* Amendment of Part 1 of the
    Commission's Rules -- Competitive Bidding Procedures, *Second Report
    and Order*, 9 FCC Rcd 2348, 2376-77 ¶¶ 163-168 (1994). Thus, a
    determination that a short-form application is complete and complies
    with the Commission's competitive bidding rules and policies is not
    determinative of an applicant's qualifications to hold a license or
    of entitlement to a bidding credit and/or entrepreneur status. In
    the event that an applicant is found unqualified to be a Commission
    licensee or ineligible for claimed designated entity benefits, it
    will be liable for any obligations incurred as a result of its
    participation in the auction. *See generally* 47 C.F.R. § 1.2109.

[^3]: *See* 47 C.F.R. § 1.2106.

[^4]: *See* 47 C.F.R. § 1.65. Section 1.65 requires applicants to report
    any changes of decisional significance to their applications "as
    promptly as possible." With respect to short-form applications or
    any other auction-related matters, applicants must amend their
    short-form applications no later than ten business days from the
    occurrence of a reportable change. The Bureau believes that this
    requirement is reasonable in the context of an auction where time
    periods are much shorter than most other Commission proceedings.
    *See also* 47 C.F.R. § 1.2105 (c)(6) (any applicant that makes or
    receives a prohibited communication must report such communication
    in writing to the Commission no later than five business days after
    the communication occurs).

[^5]: *See* 47 C.F.R. §§ 1.2105(b), 1.2106.

[^6]: *See* 47 C.F.R. § 1.65. *See also* 47 C.F.R. § 1.2105.

[^7]: While upfront payments must be submitted to Mellon Bank pursuant
    to the instructions contained in this Public Notice, applicants are
    advised that any post-auction payments must be submitted to a
    different banking institution. Additional information on
    post-auction payments will be provided in the public notice
    announcing the close of Auction 78.

[^8]: *See* Letter from Margaret W. Wiener, Chief, Auctions and Industry
    Analysis Div., to Patrick Shannon, Esq., Counsel for Lynch 3G
    Communications Corp., 18 FCC Rcd 11,552 (2003) (finding that an
    applicant had failed to timely submit its upfront payment when the
    payment was received by the Commission's bank before the applicable
    deadline, but not credited to the Commission's account until after
    the deadline due to an error of the applicant's bank).

[^9]: *See Auction 78 Procedures Public Notice* at ¶¶ 131-34. A wire
    transfer is a transaction that you initiate through your bank. It
    authorizes your bank to wire funds from your account to our lockbox
    bank, the Mellon Bank in Pittsburgh, Pennsylvania. Additional
    information on wire transfers is available on the Commission's web
    site at <http://www.fcc.gov/fees/wiretran.html>.

[^10]: The Commission will not accept checks, credit cards, or automated
    clearing house ("ACH") payments.

[^11]: *See Auction 78 Procedures Public Notice* at ¶¶ 107-11 and ¶¶
    130-44.

[^12]: 47 C.F.R. § 1.2105(b)(2).

[^13]: 47 C.F.R. § 1.65. *See also* 47 C.F.R. § 1.2105.

[^14]: 47 C.F.R. § 1.2105(b). The Commission's electronic Form 175 is
    designed to prevent inadvertent major changes by applicants.
    Therefore, applicants are not permitted to make changes to the
    following data fields at this time: applicant name, legal
    classification, certifier, bidding credit, entrepreneur status, and
    license selection.

[^15]: For more information on making administrative changes to an
    existing application, see "Updating Existing Applications." *See
    Auction 78 Procedures Public Notice*, Attachment C at C-12 - C-13.
    During the resubmission phase, applicants will have electronic
    access to update the following application fields: jurisdiction of
    formation/country of citizenship, applicant address, responsible
    party information, responsible party address, contact information,
    contact address, authorized bidder information, bidding option
    (telephonic or electronic), agreement information, and ownership
    information. During all phases of the application process,
    applicants have electronic access to make certain administrative
    changes including updates to: applicant address, responsible party
    address, contact information, contact address, and bidding option
    (telephonic or electronic).

[^16]: *See* 47 C.F.R. § 1.2105.

[^17]: *See Auction 78 Procedures Public Notice* at ¶¶ 51-61.

[^18]: 47 C.F.R. §§ 1.2105(a)(2)(viii), 1.2105(c)(1). *See also*
    Amendment of Part 1 of the Commission's Rules --- Competitive
    Bidding Procedures, WT Docket No. 97-82, *Seventh Report and Order*,
    16 FCC Rcd 17,546 (2001) ("*Part 1 Seventh Report and Order*");
    *Order on Reconsideration of the Third Report and Order*, *Fifth
    Report and Order*, *and Fourth Further Notice of Proposed Rule
    Making*, 15 FCC Rcd 15,293, 15,297-98 ¶¶ 7-8 (2000).

[^19]: For a more detailed discussion of anti-collusion considerations
    in the context of Auction 78, *see* *Auction 78 Procedures Public
    Notice* at ¶¶ 19-43. *See also* "Wireless Telecommunications Bureau
    Clarifies Spectrum Auction Anti-Collusion Rules," *Public Notice*,
    11 FCC Rcd 9645 (1995) ("*Anti-Collusion Public Notice*").

[^20]: 47 C.F.R. § 1.2105(c)(1).

[^21]: For example, the Commission imposed a forfeiture in the amount of
    \$100,000 for violation of the anti-collusion rule, even though the
    applicant never made an upfront payment for the auction and was not
    listed as a qualified bidder. *See* Northeast Communications of
    Wisconsin, LLC, *Forfeiture Order*, 19 FCC Rcd 18,635 (2004). The
    Commission subsequently reduced the amount of the forfeiture to
    \$75,000 on account of the parties' history of compliance with
    Commission rules. *See* Star Wireless, LLC and Northeast
    Communications of Wisconsin, Inc., *Order on Review*, 22 FCC Rcd
    8943 (2007). The United States District Court for the Eastern
    District of Wisconsin recently granted summary judgment in favor of
    the United States pursuant to an effort by the Department of Justice
    to enforce the forfeiture. United States v. Northeast Communications
    of Wisconsin, LLC, *Decision and Order*, Case No. 07-C-715 (June 25,
    2008). *See also* Letter to Robert Pettit, Esq., from Margaret W.
    Wiener, Chief, Auctions and Industry Analysis Div., 16 FCC Rcd
    10,080 (2000) (declining to exempt an applicant's controlling
    interest from coverage by the anti-collusion rule, even though the
    applicant never made an upfront payment for the auction and was not
    listed as a qualified bidder).

[^22]: 47 C.F.R. § 1.2105(c)(7)(i).

[^23]: *See* Lotus Communications Corporation, *Order*, DA-08-1364 (rel.
    Jun 9, 2008); Letter to Colby M. May from Barbara A. Kreisman and
    Margaret W. Wiener, 20 FCC Rcd 14,648 (2005) (finding apparent
    violation of anti-collusion rule where applicants with mutually
    exclusive applications reported sharing same individual as an
    officer and director and reported no agreement).

[^24]: *See* Application of Nevada Wireless for a License to Provide 800
    MHz Specialized Mobile Radio Service in the Farmington, NM-CO
    Economic Area (EA-155) Frequency Band A, *Memorandum Opinion and
    Order*, DA 98-1137, 13 FCC Rcd 11,973, 11,977 ¶ 11 (1998). The
    Bureau cautions, however, that the mere existence of precautionary
    measures will not outweigh specific evidence that collusive behavior
    has occurred, nor will it preclude the initiation of an
    investigation when warranted. *Id*. at 11,977-78 ¶ 13.

[^25]: *Auction 78 Procedures Public Notice* at ¶ 35.

[^26]: *Id*. *See also* *Anti-Collusion Public Notice*, 11 FCC Rcd at
    9645.

[^27]: *See* 47 C.F.R. § 1.2105(c)(6). *See also* paras. 20-21 below.

[^28]: *See Auction 78 Procedures Public Notice* at ¶¶ 164-66.

[^29]: The Commission has long expressed the concern that applicants
    also should use caution in their dealings with other parties, such
    as members of the press, financial analysts, or others who might
    become a conduit for the communication of non-public information
    relating to auctions, such as bids and bidding strategies. *Cf.*
    "Wireless Telecommunications Bureau Responds to Questions About the
    Local Multipoint Distribution Service Auction, *Public Notice*," 13
    FCC Rcd 341, 347-8 (1998) ("Public statements can give rise to
    collusion concerns. This has occurred in the antitrust context,
    where certain public statements can support other evidence which
    tends to indicate the existence of a conspiracy.").

[^30]: *See Auction 78 Procedures Public Notice* at ¶ 163.

[^31]: *See Part 1* *Seventh Report and Order*, 16 FCC Rcd at 17,550-51
    ¶ 9. Section 1.65 of the Commission's rules requires an applicant to
    maintain the accuracy and completeness of information furnished in
    its pending application and to notify the Commission within 30 days
    of any substantive change that may be of decisional significance to
    that application. 47 C.F.R. § 1.65.

[^32]: 47 C.F.R. § 1.2105(c)(6); *see also Part 1* *Seventh Report and
    Order*, 16 FCC Rcd at 17,555 ¶ 17.

[^33]: *See* 47 C.F.R. § 0.459 (procedures for requesting that materials
    or information submitted to the Commission be withheld from public
    inspection). If an applicant requests confidential treatment of a
    document, the cover page of the filing must prominently display that
    the applicant is seeking confidential treatment for that document.
    For example, a filing might include a cover page stamped with
    "Request for Confidential Treatment Attached" or "Not for Public
    Inspection." Any such request must cover all of the material to
    which the request applies. *See* 47 C.F.R. § 0.459(a).

[^34]: *See* Section III. "Contact Info" below.

[^35]: *See* *Auction 78 Procedures Public Notice* at ¶¶ 113-18.

[^36]: *See* 47 C.F.R. § 1.2107(d).

[^37]: *See* 47 C.F.R. §§ 1.2105(c), 1.2107(d), and 1.2109(d).

[^38]: 47 C.F.R. § 1.2109(d).

[^39]: *See* 47 C.F.R. § 1.1208. *See also* "Commission Announces that
    Mutually Exclusive 'Short-Form' Applications (Form 175) to
    Participate in Competitive Bidding Process ('Auctions') Are Treated
    as Exempt for *Ex Parte* Purposes," *Public Notice*, 9 FCC Rcd 6760
    (1994). *See also* 47 C.F.R. § 1.1202(d)(1) Note 1.

[^40]: For more detail, see *Auction 78 Procedures Public Notice* at ¶¶
    232-39.

[^41]: *See* 47 C.F.R. §§ 1.2107, 1.2112(b)(2).