**DA 08-1752**

**August 4, 2008**

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

**23 Bidders Qualified to Participate in Auction 78**

**AU Docket No. 08-46**

Report No. AUC-08-78-D (Auction 78)

1.  In this Public Notice*,* the Wireless Telecommunications Bureau
    ("Bureau") identifies 23 applicants found to be qualified to bid in
    the upcoming auction of Advanced Wireless Services ("AWS") and
    broadband Personal Communications Service ("PCS") licenses (Auction
    78).[^1] Bidding in Auction 78 is scheduled to begin on Wednesday,
    August 13, 2008. This Public Notice contains bidding instructions
    and other important information regarding Auction 78. It also
    addresses the continuing obligations and auction procedures for all
    Auction 78 applicants, including those that have not qualified to
    participate.

# Qualified and Non-Qualified Bidders

## Qualified Bidders

2.  Attachment A to this Public Notice lists the name of each of the 23
    qualified bidders and each bidder's claimed bidding credit revenue
    range and/or entrepreneur eligibility.[^2] Designation of an
    applicant as qualified to bid in the auction indicates that the
    applicant has provided the certifications and information concerning
    its qualifications for participation in the auction and timely
    submitted a sufficient upfront payment as required by the
    Commission's competitive bidding rules.[^3]

3.  In order to participate effectively in the auction, qualified
    bidders should again familiarize themselves with the auction rules,
    procedures, and other information described in the *Auction 78
    Procedures Public Notice* and subsequent public notices.[^4] These
    public notices and other documents related to Auction 78 are
    available on the Commission's auctions website at
    [http://wireless.fcc.gov/auctions/](http://wireless.fcc.gov/auctions/default.htm?job=auctions_home).
    This Public Notice provides additional guidance.

## Non-Qualified Bidders

4.  Attachment B to this Public Notice lists each applicant that
    submitted a short-form application, but did not qualify to bid in
    this auction. These applicants remain subject to the Commission's
    rules prohibiting collusion in Commission auctions.[^5]

# registration and bidding access

## Registration Materials

5.  Qualified bidders have been automatically registered for the
    auction. Registration materials will be sent to the bidder's contact
    person at the contact address identified in the bidder's short-form
    application. Upon receipt, each bidder should be in possession of
    the following:

-   At least two RSA SecurID^®^ tokens

-   Integrated Spectrum Auction System (ISAS) Bidder's Guide

-   FCC Auction Bidder Line phone number

6.  Qualified bidders are solely responsible for ensuring the security
    of their computer systems and their registration materials and for
    ensuring that only authorized bidders place bids on their behalf.
    The Commission assumes no responsibility or liability for these
    matters.

> WARNING: Any unauthorized entity accessing or tampering with an FCC or
> other government computer system will be prosecuted to the full extent
> of the law.

7.  Any qualified bidder listed in Attachment A of this Public Notice
    that has not received the registration mailing **by 12:00 noon
    Eastern Time (ET) on Thursday, August 7, 2008**, must contact the
    Auctions Hotline directly at (717) 338-2868. Qualified bidders must
    have these registration materials to submit bids. Receipt of the
    registration mailing is critical to participating in both the mock
    auction and the actual auction, and it is the responsibility of each
    qualified bidder to ensure that all registration information has
    been received.

## Registration Material Replacement

8.  In the event that a bidder's SecurID^®^ tokens are lost or damaged,
    only a person who has been designated as an authorized bidder, the
    contact person, or the certifying official on the applicant's
    short-form application may request replacement registration
    material. Qualified bidders requiring replacement of these items
    must call Technical Support at (877) 480-3201, option nine; (202)
    414-1250; or (202) 414-1255 (TTY).

## Bidding Access

9.  The Commission will conduct Auction 78 over the Internet. Qualified
    bidders can access the Integrated Spectrum Auction System ("ISAS" or
    "FCC Auction System") at
    [http://auctions.fcc.gov](http://auctions.fcc.gov/) or
    [http://auctions2.fcc.gov](http://auctions2.fcc.gov/). Bidders
    choosing to bid electronically should review the Integrated Spectrum
    Auction System (ISAS) Bidder's Guide provided in the registration
    materials. Bidders are reminded that Apple^®^ Mac OS^®^ is not
    currently supported.

10. In addition to bidding electronically over the Internet, qualified
    bidders will also have the option of bidding by telephone via the
    Auction Bidder Line. The Auction Bidder Line telephone number will
    be supplied in the registration materials sent to all qualified
    bidders. Bidders choosing to bid electronically may use the Auction
    Bidder Line as an alternate method of bidding. When submitting bids
    by telephone, bidders should allow sufficient time to bid by placing
    their calls well in advance of the close of a round.[^6]

11. Each authorized bidder must have his or her own SecurID^®^ token,
    regardless of whether the bidder chooses to bid electronically or by
    telephone. Applicants with only one authorized bidder will be issued
    two SecurID^®^ tokens, while applicants with two or three authorized
    bidders will be issued three tokens. For security purposes, the
    SecurID^®^ tokens and the instructions for using them are mailed
    only to the contact person at the contact address listed on the
    applicant's short-form application. Please note that each SecurID^®^
    token is tailored to a specific auction. SecurID^®^ tokens issued
    for other auctions or obtained from a source other than the FCC will
    not work for Auction 78.

12. Please note that the SecurID^®^ tokens can be recycled, and we
    strongly encourage bidders to return the tokens to the FCC. We will
    provide pre-addressed envelopes that bidders may use to return the
    tokens once the auction is closed.

## Bidding Contingency Plan

13. Bidders should develop comprehensive contingency plans that can be
    quickly implemented if bidders experience difficulty participating
    in the auction. While the FCC will correct any problems within
    Commission‑controlled facilities, bidders are solely responsible for
    anticipating and overcoming problems such as bidder computer
    failures or other technical issues, loss of or problems with data
    connections, telephone service interruptions, adverse local weather
    conditions, unavailability of authorized bidders, or the loss or
    breach of confidential security codes. As referenced above, bidders
    will receive the Auction Bidder Line telephone number in their
    registration materials.

# bidding tools

## Mock Auction

14. On Monday, August 11, 2008, the Bureau will conduct a mock auction,
    which will allow qualified bidders to familiarize themselves with
    the FCC Auction System. Only qualified bidders will be permitted to
    participate in the mock auction. The Bureau will conduct this
    auction over the Internet, and bidders will also have the option of
    bidding by telephone.

15. Qualified bidders can access the mock auction at
    [http://auctions.fcc.gov](http://auctions.fcc.gov/) or
    [http://auctions2.fcc.gov](http://auctions2.fcc.gov/). Bidders
    choosing to bid electronically should review the Integrated Spectrum
    Auction System (ISAS) Bidder's Guide provided in the registration
    materials. Qualified bidders that wish to place bids by telephone
    should use the Auction Bidder Line telephone number supplied in the
    Auction 78 registration materials.

16. The mock auction will include only ten of the 55 licenses available
    in Auction 78: AW-CMA207-A, AW-CMA726-A, AW-BEA114-C, AW-REA009-F,
    CW-BTA062-C4 (closed), CW-BTA284-F, CW-BTA385-E, CW-BTA388-C1
    (closed), CW-BTA406-C5, CW-BTA492-E. Bidders with entrepreneur
    status will be permitted to place bids on any of the ten licenses,
    while bidders without entrepreneur status will not be able to place
    bids on the two licenses that are available only to entrepreneurs in
    closed bidding. The FCC Auction System will also assume that each
    bidder submitted an upfront payment sufficient to give the bidder
    initial (maximum) eligibility of 465,700 bidding units. The mock
    auction will otherwise follow the rules governing Auction 78.

17. The mock auction, identified as Mock Auction 74, will simulate the
    start of the auction, and each bidder will be required to be active
    on 80 percent of its current bidding eligibility. If a bidder does
    not meet this requirement, an activity rule waiver will be
    automatically applied (if the bidder has any waivers available) or
    the bidder's current eligibility will be permanently reduced (if the
    bidder has no waivers remaining), possibly curtailing or eliminating
    the bidder's ability to place additional bids in the auction.

18. The mock auction bidding schedule for Monday, August 11, 2008, will
    be as follows:

Round 1 10:00 a.m. - 11:00 a.m. ET

Round 2 12:00 p.m. - 1:00 p.m. ET

Round 3 2:30 p.m. - 3:00 p.m. ET

Round 4 3:30 p.m. - 4:00 p.m. ET

Round 5 4:15 p.m. - 4:30 p.m. ET

Round 6 4:45 p.m. - 5:00 p.m. ET

## Watchlists

19. The FCC Auction System sets up for each qualified bidder a default
    watchlist, called "All Licenses," which contains every license
    selected on the bidder's short-form application. Qualified bidders
    may create additional watchlists containing licenses of their own
    choosing, and licenses may appear in multiple watchlists. Bidders
    may access the FCC Auction System and begin creating their
    watchlists upon receipt of their SecurID^®^ tokens. Instructions for
    creating watchlists will be provided in the Integrated Spectrum
    Auction System (ISAS) Bidder's Guide. Please note that watchlists
    created in the mock auction will not display in Auction 78.

## Bidder Questions during the Mock Auction and Auction 78

20. FCC auction staff and technical support staff will be available
    during the auction to answer questions from authorized bidders. Only
    a person who has been designated as an authorized bidder, the
    contact person, or the certifying official on the applicant's
    short-form application should call on behalf of a bidder. When
    calling, the person should state that he or she is calling on behalf
    of a bidder with a time-sensitive auction question. To place bids by
    phone or to ask questions during the auction, , bidders should use
    the FCC Auction Bidder Line telephone number supplied in the
    registration materials. Otherwise, bidders should refer to the
    contact information provided in Section VII "Contact Information"
    below.

## Bidder Suggestions

21. The FCC Auction System includes a function for bidders to submit
    suggestions to the FCC, but this is not an appropriate mechanism for
    asking time-sensitive questions that may need an immediate response,
    such as questions about auction procedures or other issues. Those
    questions should be directed to the Auction Bidder Line or to the
    appropriate telephone number provided in Section VII "Contact
    Information" below.

# Auction information

## Auction Announcements

22. The Commission will post pertinent auction information as
    announcements in the FCC Auction System. Bidders should routinely
    check for announcements each time they enter the FCC Auction System
    and should read this information carefully.

## Bidding Schedule

23. On Wednesday, August 13, 2008, Auction 78 will begin with four
    rounds of bidding as follows:

Bidding Round 10:00 a.m. - 11:00 a.m. ET

Bidding Round 12:30 p.m. - 1:30 p.m. ET

Bidding Round 2:30 p.m. - 3:30 p.m. ET

Bidding Round 4:30 p.m. - 5:30 p.m. ET

The bidding schedule for Thursday, August 14, 2008, and continuing until
further notice, will be:

Bidding Round 10:00 a.m. - 10:30 a.m. ET

Bidding Round 11:30 a.m. - 12:00 p.m. ET

Bidding Round 1:00 p.m. - 1:30 p.m. ET

Bidding Round 2:30 p.m. - 3:00 p.m. ET

Bidding Round 4:00 p.m. - 4:30 p.m. ET

Bidding Round 5:30 p.m. - 6:00 p.m. ET

24. The Bureau will set the pace of the auction based upon monitoring of
    the bidding and assessment of the auction's progress. All subsequent
    schedule changes will be made by announcement via the FCC Auction
    System during the course of the auction.

## Bid Amounts

25. Each license in Auction 78 will have a minimum opening bid amount,
    as previously announced.[^7] The Bureau may, at its own discretion,
    reduce the minimum opening bid amounts.[^8] Such discretion,
    however, will be exercised (if at all) sparingly and early in the
    auction, i.e., before bidders lose all activity waivers. During the
    course of the auction, the Bureau will not entertain requests to
    reduce the minimum opening bid amount on specific licenses.

26. In addition to the minimum opening bid, Auction 78 will begin with
    eight additional bid amounts (for a total of nine bid amounts) per
    license.[^9] The Bureau retains the discretion to change the minimum
    acceptable bid amounts, the additional bid amounts, the dollar cap
    on bid increments, the number of acceptable bid amounts, and the
    parameters of the formulas used to calculate bid amounts if it
    determines that circumstances so dictate. Further, the Bureau
    retains the discretion to do so on a license-by-license basis.[^10]

## Round Results

27. Round results will be available approximately 10 minutes after the
    close of each round. Auction 78 will be conducted using procedures
    that limit the disclosure of information on bidder interests and
    identities until after the close of bidding.[^11]

28. Two types of reports will be available to bidders during the
    auction: (1) publicly available information, and (2) bidder-specific
    information available only to that bidder when logged in to the FCC
    Auction System. The public information will be available on the FCC
    Auction System results page and in downloadable files. When a bidder
    is logged in to the FCC Auction system, it will have a selection of
    "My Bid Reports" available to it on the FCC Auction System's bidding
    page. Information in "My Bid Reports" allows only the respective
    bidder to view all of its actions in the current and previous rounds
    of the auction. Samples of the results page downloadable files were
    made available for the pre-auction seminar held on June 10, 2008.
    These files are available on the web page for Auction 78,
    [http://wireless.fcc.gov/auctions/78/](http://wireless.fcc.gov/auctions/default.htm?job=auction_summary&id=78),
    via the "Sample Results Files" link in the "General Information"
    section of the page.

29. Detailed instructions for reviewing and downloading round results
    are provided in the Integrated Spectrum Auction System (ISAS)
    Bidder's Guide. The bidder's guide is included with qualified
    bidders' registration materials and is available in electronic form
    through the "HELP" link in the FCC Auction System.

# MAINTAINING APPLICANT OBLIGATIONS

## Prohibition of Collusion

30. We remind applicants that Section 1.2105(c) of the Commission's
    rules prohibits applicants for licenses in any of the same or
    overlapping geographic areas from communicating with each other
    about bids, bidding strategies, or settlements, which may include
    communications regarding post-auction 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).[^12] The anti-collusion rule 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 may not discuss 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.[^13]

31. 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.[^14] **The prohibition applies
    to all applicants regardless of whether such applicants become
    qualified bidders or actually bid.**[^15] For further information on
    the collusion prohibition, applicants should refer to the *Auction
    78 Procedures Public Notice*.[^16]

## Maintenance of Anonymous Bidding

32. 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.[^17]

33. 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.[^18] 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.

## Disclosure Obligations and Possible Sanctions

34. 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.[^19] 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.[^20]

35. 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.[^21] 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.[^22] The *Auction 78 Procedures Public
    Notice* provides additional guidance on procedures for submitting
    application-related information.[^23]

36. 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.[^24] Any applicant
    found to have violated the anti-collusion rule may be subject to
    sanctions.[^25] 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.[^26]

## Submission of Auction-Related Filings

37. As noted above, applicants seeking to amend their short-form
    applications during the auction must make modifications to their
    short-form applications electronically and submit a letter, briefly
    summarizing the changes, by e-mail to the attention of Margaret
    Wiener, Chief, Auctions and Spectrum Access Division, at the
    following address: <auction78@fcc.gov>. The e-mail summarizing the
    changes must include a subject or caption referring to Auction 78
    and the name of the applicant.

38. Parties wishing to submit requests, complaints, or other information
    concerning Auction 78 should, in addition to following other
    procedures prescribed by the Commission's rules, send a copy by
    e‑mail to the attention of Margaret Wiener, Chief, Auctions and
    Spectrum Access Division, at the following address:
    <auction78@fcc.gov>. The Commission occasionally receives complaints
    regarding certain bidders and requests to suspend bidding during an
    auction. While the Commission reserves the right to take appropriate
    action during an auction to preserve the integrity of the auction
    process, it is generally our practice to address any such
    allegations only after the winning bidders have submitted their
    long-form applications, when there is greater opportunity for
    investigation of such allegations, if warranted. The Commission will
    not investigate any complaints or allegations that are not
    accompanied by full contact information, including name, address,
    and telephone number, for the complaining party or parties.

39. Finally, parties wishing to make suggestions concerning Auction 78
    or future auctions should present such ideas using the suggestion
    feature of the FCC Auction System. (As mentioned above, this feature
    is not an appropriate mechanism for posing time-sensitive questions
    that need an immediate response.) Commission staff considers all
    suggestions, but may not always provide an individualized response.

## Amendments to Short-Form Applications (FCC Form 175)

40. Applicants must maintain the accuracy and completeness of
    information furnished in their short-form applications, including
    their attachments.[^27] 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 and submit a
    letter briefly summarizing the changes by e-mail to the attention of
    Margaret Wiener, Chief, Auctions and Spectrum Access Division, at
    the following address: <auction78@fcc.gov>. Questions about changes
    should be directed to the Auctions and Spectrum Access Division
    at (202) 418-0660.

41. As described in the Commission's rules, applicants may make only
    minor corrections to their short-form applications (e.g., deletion
    and addition of authorized bidders or contact information).[^28]
    Major modifications (e.g*.*, license selection changes, changes in
    entrepreneur status, newly claimed or increased bidding credit, or
    changing control of the applicant) will not be accepted.[^29]
    Bidders must immediately report any change affecting their
    eligibility for a bidding credit or entrepreneur status. Bidders
    should clearly state the nature of the change in an amendment to
    their short-form application and in the summary letter referenced
    above. In cases of diminished bidding credit eligibility, the
    Commission will make appropriate adjustments in the bidding credit
    prior to the computation of any down and final payment amounts due.
    In cases of ineligibility for entrepreneur status, a bidder may be
    subject to withdrawal and/or default payments.

42. When amending short-form applications, applicants must avoid any
    statements or disclosures that may violate the Commission's
    anti-collusion rule, particularly in light of the limited
    information procedures in place for Auction 78.[^30] Applicants
    should avoid including any information in their short-form
    applications that might convey information regarding license
    selections, such as using applicant names that refer to licenses
    being offered, referring to certain licenses or markets in
    describing bidding agreements, or including any information in
    attachments that may otherwise disclose applicants' license
    selections.

## Due Diligence

43. We remind potential bidders that they are solely responsible for
    investigating and evaluating all technical and marketplace factors
    that may have a bearing on the value of the licenses being offered
    in Auction 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 Auction 78 in order to determine the
    existence of pending proceedings, pleadings, applications, or
    authorizations that might affect their decisions regarding
    participation in the auction. Each potential bidder is solely
    responsible for identifying associated risks and for investigating
    and evaluating the degree to which such matters may affect the
    bidder's ability to bid on, otherwise acquire, or make use of
    licenses available in Auction 78. 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.

44. Participants should continue such research throughout the auction.
    For further details regarding due diligence, qualified bidders
    should refer to the *Auction 78 Procedures Public Notice* under
    Section I.C.4.[^31]

# post-auction information

## Post-Auction Procedures

45. 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.[^32] Winning bidders will have 10 business days
    following that public notice to make down payments and file a
    long-form application (FCC Form 601) and an ownership disclosure
    information report (FCC Form 602).[^33] Winning bidders claiming
    entrepreneur status or eligibility to receive a bidding credit will
    be subject to more extensive reporting requirements contained in
    Section 1.2112(b) of the Commission's rules.[^34] In addition,
    winning bidders with foreign ownership interests will be required to
    comply with 47 U.S.C. § 310(b) at the long-form application stage.

## Upfront Payment Refunds

46. Qualified bidders are advised not to request refunds of any unused
    upfront payment balances until after the Bureau issues a public
    notice announcing the winning bidders in Auction 78.

# CONTACT INFORMATION

47. Further instructions regarding these post-auction procedures are
    contained in the *Auction 78 Procedures Public Notice* and will be
    provided in the public notice announcing the winning bids.[^35] For
    further information concerning Auction 78, please 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                          |                                  |
+-----------------------------------+----------------------------------+

48. 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
-]{.smallcaps}**![](media/image1.wmf){width="6.944444444444445e-4in"
height="6.944444444444445e-4in"}

[^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, 23 FCC Rcd 7496 (2008) ("*Auction 78
    Procedures Public Notice*").

[^2]: The Bureau has before it a Motion to Dismiss and Petition to Deny
    filed by AST Telecom, LLC (AST) on July 16, 2008. In this filing,
    AST requests that the Commission dismiss or deny the short-form
    application (FCC Form 175) to participate in Auction 78 of the
    American Samoa Telecommunications Authority. The Bureau will respond
    to this filing in a separate order.

[^3]: Under the Commission's two-phased auction application process, a
    winning bidder must submit a long-form application after the close
    of Auction 78 to demonstrate its qualifications to hold a Commission
    license and, if entrepreneur eligibility and/or a bidding credit is
    requested, its eligibility for the closed license(s) won and/or
    requested bidding credit. Thus, a determination that a short-form
    application is complete and complies with the Commission's
    competitive bidding rules and policies is not determinative of an
    applicant's qualifications to hold a license or entitlement to
    entrepreneur status or a bidding credit. *See* 47 C.F.R. §§ 1.2107
    -- 1.2109; *see also* Amendment of Part 1 of the Commission's Rules
    -- Competitive Bidding Procedures, *Second Report and Order*, 9 FCC
    Rcd 2348, 2376-77 ¶¶ 163-168 (1994). Requests concerning application
    qualifications and eligibility for a bidding credit are generally
    considered after the auction during the long-form application
    process. In the event that an applicant is found unqualified to be a
    Commission licensee or ineligible for claimed designated entity
    benefits, it will be liable for any obligations incurred as a result
    of its participation in the auction. *See generally* 47 C.F.R. §
    1.2109.

[^4]: *Auction 78 Procedures Public Notice*; *see also* "Auction of
    AWS-1 and Broadband PCS Licenses; Status of Short-Form Applications
    to Participate in Auction 78," *Public Notice*, DA 08-1579 (rel. Jul
    7, 2008).

[^5]: *See* 47 C.F.R. § 1.2105(c); *see also Auction 78 Procedures
    Public Notice*, 23 FCC Rcd at 7505 ¶ 21.

[^6]: Because the length of a call to place bids may vary, bidders
    should allow a minimum of 10 minutes.

[^7]: *Auction 78 Procedures Public Notice,* 23 FCC Rcd at 7543-44 ¶¶
    192-98. Attachment A of the *Auction 78 Procedures Public Notice*
    sets forth the minimum opening bid amounts for each license offered
    in Auction 78.

[^8]: *Id*. at 7543-44 ¶ 197.

[^9]: *Id*. at 7545 ¶ 206.

[^10]: *Id*. at 7546 ¶ 209.

[^11]: *Id*. at 7535-38 ¶¶ 155-66.

[^12]: 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*"); Amendment
    of Part 1 of the Commission's Rules -- Competitive Bidding
    Procedures, WT Docket No. 97-82, *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).

[^13]: For a more detailed discussion of anti-collusion considerations
    in the context of Auction 78, *see* *Auction 78 Procedures Public
    Notice* at 23 FCC Rcd at 7504-11 ¶¶ 19-43. *See also* "Wireless
    Telecommunications Bureau Clarifies Spectrum Auction Anti-Collusion
    Rules," *Public Notice*, 11 FCC Rcd 9645 (1995).

[^14]: 47 C.F.R. § 1.2105(c)(1).

[^15]: 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).

[^16]: *Auction 78 Procedures Public Notice*, 23 FCC Rcd at 7513-15 ¶¶
    51-61.

[^17]: *Id*. at 7537-38 ¶¶ 164-66.

[^18]: 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, 347-48 (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.").

[^19]: *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.

[^20]: 47 C.F.R. § 1.2105(c)(6); *see also Part 1* *Seventh Report and
    Order*, 16 FCC Rcd at 17,555 ¶ 17.

[^21]: *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).

[^22]: *See* "Contact Info" below.

[^23]: *See* *Auction 78 Procedures Public Notice*, 23 FCC Rcd at
    7527-28 ¶¶ 113-18.

[^24]: *See* 47 C.F.R. § 1.2107(d).

[^25]: *See* 47 C.F.R. §§ 1.2105(c), 1.2107(d), and 1.2109(d).

[^26]: *See* 47 C.F.R. § 1.2109(d).

[^27]: *See* 47 C.F.R. § 1.65.

[^28]: *See* 47 C.F.R. § 1.2105(b).

[^29]: *Id*.

[^30]: *See* *Auction 78 Procedures Public Notice*, 23 FCC Rcd at 7537 ¶
    164.

[^31]: *Id*. at 7513-15 ¶¶ 51-61.

[^32]: For more detail, see *Auction 78 Procedures Public Notice*, 23
    FCC Rcd at 7549-50 ¶¶ 232-39.

[^33]: *See* 47 C.F.R. § 1.2107.

[^34]: 47 C.F.R. § 1.2112(b).

[^35]: *See* 47 C.F.R. §§ 1.2107, 1.2109(a).