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Auction 902 (Tribal MF-I) Winning Bidders

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Released: February 28, 2014

PUBLIC NOTICE
Federal Communications Commission

News Media Information 202 / 418-0500

445 12th St., S.W.

Internet: http://www.fcc.gov

Washington, D.C. 20554

TTY: 1-888-835-5322

DA 14-263
February 28, 2014

TRIBAL MOBILITY FUND PHASE I AUCTION CLOSES

WINNING BIDDERS ANNOUNCED FOR AUCTION 902

Tribal Notification By Friday, March 7, 2014

FCC Form 680 Due Friday, April 4, 2014

TABLE OF CONTENTS

Heading
Paragraph #
I.
INTRODUCTION............................................................................................................................... 1
II.
WINNING BIDDERS......................................................................................................................... 2
III.
AUCTION RESULTS ........................................................................................................................ 3
IV.
POST-AUCTION PROCEDURES..................................................................................................... 4
A. Tribal Notification by Friday, March 7, 2014 .............................................................................. 5
B. Long-Form Application (FCC Form 680) by Friday, April 4, 2014 ............................................ 6
C. Failure to File Long-Form Application Constitutes an Auction Default ...................................... 9
V.
LONG-FORM APPLICATION (FCC FORM 680) ......................................................................... 10
A. Ownership Disclosure................................................................................................................. 11
B. Winning Bid Information ........................................................................................................... 13
1. Documentation of ETC Designation(s)................................................................................ 14
2. Project Construction Schedule/Specifications ..................................................................... 15
3. Spectrum Access Description .............................................................................................. 20
4. Letter of Credit Commitment Letter .................................................................................... 21
5. Letter of Credit and Bankruptcy Code Opinion Letter......................................................... 22
6. Tribal Engagement Notification........................................................................................... 25
C. Long-Form Application (FCC Form 680) Certifications ........................................................... 28
D. Maintaining Accuracy of Information ........................................................................................ 33
VI.
APPLICATION PROCESSING AND AUTHORIZATION OF SUPPORT ................................... 36
A. Prepared to Authorize Public Notice .......................................................................................... 36
B. Authorized Public Notice ........................................................................................................... 37
C. New Study Area Codes and Support Disbursements.................................................................. 38
VII. DEFAULT PAYMENTS .................................................................................................................. 39
A. Auction Default Payment ........................................................................................................... 40
B. Performance Default Payment.................................................................................................... 41
VIII. OTHER IMPORTANT INFORMATION ........................................................................................ 43
A. Maintaining Prohibition on Certain Communications................................................................ 43

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B. Public Interest Obligations and/or Annual Reporting Requirements ......................................... 45
C. Return of SecurID® Tokens....................................................................................................... 46
D. Contact Information.................................................................................................................... 47
ATTACHMENT A: Bidder Summary
ATTACHMENT B: Long-Form Application Filing Instructions

I.

INTRODUCTION

1.
On February 25, 2014, the Federal Communications Commission completed the
Tribal Mobility Fund Phase I Auction. In this auction, which was designated Auction 902, there were a
total of five winning bidders. The winning bidders are eligible to receive a total of up to $49,806,874 in
one-time Tribal Mobility Fund Phase I universal service support to provide 3G or better mobile voice and
broadband services covering a population of 56,932 in 80 biddable areas. These areas include 18
biddable areas on five Reservations or Tribal lands in Arizona, Montana, New Mexico, and Utah; and 62
biddable areas in 49 Alaska Native Village Statistical Areas and 13 bidding areas otherwise in Alaska
Native Regions.

II.

WINNING BIDDERS

2.
This Public Notice provides detailed information concerning winning bidders, FCC Form
680 filing requirements, and award disbursement matters. Key information appears in the following
attachments:

Attachment A:

“Bidder Summary” lists for each bidder the number of winning bids, the
amount of assigned support, and the population covered by the winning
bids.

Attachment B:

“Long-Form Application Filing Instructions” provides detailed
information about how a winning bidder should complete the required
long-form application (FCC Form 680).
A copy of this Public Notice will be sent via overnight delivery to each bidder.

III.

AUCTION RESULTS

3.
Concurrent with the release of this Public Notice, the Commission is making available
information previously withheld under the limited information procedures for Auction 902.1

Interactive Map:

An interactive visual representation of the auction results is available on
the Auction 902 web page (http://wireless.fcc.gov/auctions/902/) and at
http://apps.fcc.gov/auction902/map/auction_result_ext.html. The map
displays Tribal lands with winning bids in green. There are options for
displaying all eligible areas and non-winning bids. Clicking on a state or
winning bid listed on the right-hand side of the map will zoom the map
in to that area.

1 Additionally, certain information submitted in applications to participate in the auction (FCC Forms 180) that was
previously withheld is now publicly available. The applications are viewable in the FCC Auction System via the
link for Auction Application Search at https://auctionfiling.fcc.gov.
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Results Files:

Files that include the identities of bidders and all of their bidding data,
including winning bids by state and Tribal lands or Reservations, are
now available on the web page for Auction 902
(http://wireless.fcc.gov/auctions/902/) and in the FCC Auction System
(http://auctions.fcc.gov/).

IV.

POST-AUCTION PROCEDURES

4.
Under the competitive bidding rules adopted in the USF/ICC Transformation Order,
Auction 902 winning bidders have a binding obligation to (1) notify the appropriate Tribal government(s)
of their winning bids and (2) file a post-auction long-form application by the applicable deadline and
consistent with other requirements of the long-form application process.2

A.

Tribal Notification by Friday, March 7, 2014

5.
Pursuant to section 54.1004(d)(2) of the Commission’s rules, any bidder winning support
in Auction 902 must notify the appropriate Tribal government(s) of its winning bid no later than

Friday, March 7, 2014

, which is five business days after being identified as a winning bidder by this
Public Notice.3 The National Congress of American Indians (NCAI) 4 maintains a routinely updated and
comprehensive directory of American Indian Tribal and Alaska Native Village government leaders,
addresses, and telephone numbers. The NCAI Tribal directory can be sorted by geographical area and
can be found at http://www.ncai.org/tribal-directory. Where needed, the FCC’s Office of Native Affairs
and Policy (ONAP) also will serve as a resource for communications providers and Tribal governments.5

B.

Long-Form Application (FCC Form 680) by Friday, April 4, 2014

6.
Prior to 6:00 p.m. Eastern Time (ET) on Friday, April 4, 2014, each winning bidder
must electronically submit a properly-completed long-form application (FCC Form 680) for its winning
bids in Auction 902.6 Attachment B provides instructions for completing the long-form application and
describes how certain information will be automatically transferred from a winning bidder’s short-form
application (FCC Form 180) to its long-form application (FCC Form 680).

2 Connect America Fund, WC Docket No. 10-90 et al., Report and Order and Further Notice of Proposed
Rulemaking
, FCC 11-161, 26 FCC Rcd 17663, 17808 paras. 433-36, 17820 para. 484 & n.799 (2011) (USF/ICC
Transformation Order
), pets. for review pending sub nom. In re: FCC 11-161, No. 11-9900 (10th Cir. argued Nov.
19, 2013); Connect America Fund, WC Docket No. 10-90 et al., Order on Reconsideration, 26 FCC Rcd 17633
(2011); Connect America Fund, WC Docket No. 10-90 et al., Second Order on Reconsideration, 27 FCC Rcd 4648
(2012); Connect America Fund, WC Docket No. 10-90 et al., Third Order on Reconsideration, 27 FCC Rcd 5622
(2012); Connect America Fund, WC Docket No. 10-90 et al., Fourth Order on Reconsideration, 27 FCC Rcd 8814
(2012); Connect America Fund, WC Docket No. 10-90 et al., Fifth Order on Reconsideration, 27 FCC Rcd 14549
(2012); Connect America Fund, WC Docket No. 10-90 et al., Sixth Order on Reconsideration and Memorandum
Opinion and Order
, 28 FCC Rcd 2572 (2013); 47 C.F.R. §§ 1.21004, 54.1005(b).
3 47 C.F.R. §54.1004(d); USF/ICC Transformation Order, 26 FCC Rcd at 17822-23 para. 489; see also Office of
Native Affairs and Policy, Wireless Telecommunications Bureau and Wireline Competition Bureau Issue Further
Guidance on Tribal Government Engagement Obligation Provisions of the Connect America Fund, WC Docket Nos.
10-90, 07-135, 05-337, 03-109, CC Docket Nos. 01-92, 96-45, WT Docket No. 10-208, GN Docket No. 09-51,
Public Notice, DA 12-1165, 27 FCC Rcd 8176 (2012) (Tribal Engagement Further Guidance Public Notice), pet.
for recon. pending
.
4 NCAI is a broadly representative inter-Tribal government and communities organization, representing American
Indian Tribes and Alaska Native Villages.
5 See section VIII.D. below for contact information for ONAP.
6 In the public notice establishing the procedures for Auction 902, we noted that Auction 901 winning bidders
ultimately had 23 business days to file long-form applications, and we anticipated providing a similar time period
before the long-form application deadline for Auction 902. Tribal Mobility Fund Phase I Auction Rescheduled for
December 19, 2013; Notice and Filing Requirements and Other Procedures for Auction 902, Public Notice, AU
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7.
The long-form application filing window will open at 12:00 pm (noon) ET on

Monday,

March 24, 2014

. Applications may generally be filed at any time after the filing window opens until the
filing window closes at 6:00 p.m. ET on

Friday, April 4, 2014

. Applicants are strongly encouraged to
file early and are responsible for allowing adequate time for filing their applications. Applications can be
updated or amended multiple times until the filing deadline on

Friday, April 4, 2014

.
8.
An applicant must always click on the SUBMIT button on the “Certify & Submit” screen
to successfully submit its FCC Form 680 and any modifications; otherwise the application or changes to
the application will not be received or reviewed by Commission staff. If you need guidance or encounter
technical difficulties in filing your long-form application, you should contact FCC Auctions Technical
Support using the information in the Contact section, below.

C.

Failure to File Long-Form Application Constitutes an Auction Default

9.
Any Auction 902 winning bidder that fails to file a long-form application by the
applicable deadline – 6:00 p.m. ET on Friday, April 4, 2014 – or that for any reason is not subsequently
authorized to receive support, has defaulted on its bid(s) and will be subject to an auction default payment
as described in section VII.A. below.7 Agreeing to such payment in event of a default was a condition for
participating in bidding.8 In the event of an auction default, a default payment of five percent of the total
defaulted bid will be assessed.9

V.

LONG-FORM APPLICATION (FCC FORM 680)

10.
Each winning bidder will use the FCC Form 680 and the FCC Auction System to submit
its long-form application. General application information is provided below. More detailed instructions
on filing the long-form application are provided in Attachment B to this Public Notice.

A.

Ownership Disclosure

11.
Each winning bidder must provide information required by sections 54.1005(b)(2)(i) and
1.2112(a) of the Commission’s rules.10 Specifically, in completing the long-form application, a winning
bidder will be required to fully disclose information on the real party- or parties-in-interest and the
ownership structure of the applicant, including both direct and indirect ownership interests of 10 percent
or more, as prescribed in section 1.2112(a) of the Commission’s rules.11 Each applicant is responsible for
ensuring that information submitted in its long-form application is complete and accurate.
12.
The ownership information provided on each winning bidder’s short-form application
(FCC Form 180) will automatically be entered into the applicant’s long-form application. Each applicant
must carefully review any information automatically entered to confirm that it is complete and accurate as
of the deadline for filing the long-form application. Any information that needs to be corrected or
updated must be changed directly in the long-form application.

Docket No. 13-53, DA 13-1672, 28 FCC Rcd 11628, 11677-78 para. 174 (WTB 2013) (Auction 902 Procedures
Public Notice
). For Auction 902, winning bidders will have 25 business days to submit their long-form applications.
7 47 C.F.R. §§ 1.21004, 54.1005(b); USF/ICC Transformation Order, 26 FCC Rcd at 17813 para. 458.
8 USF/ICC Transformation Order, 26 FCC Rcd at 17813-14 paras. 458-460.
9 Auction 902 Procedures Public Notice, 28 FCC Rcd at 11691-92 paras. 212-215.
10 See 47 C.F.R. §§ 1.2112(a), 54.1005(b)(2)(i). See also USF/ICC Transformation Order, 26 FCC Rcd at 17808-
094para. 437-38. 47 C.F.R. § 54.1005(b)(2)(i) requires the disclosure of the applicant’s ownership information as
set forth in 47 C.F.R. § 1.2112(a).
11 47 C.F.R. §§ 1.2112(a), 54.1005(b)(2)(i).
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B.

Winning Bid Information

13.
Pursuant to section 54.1005(b)(2) of the Commission’s rules, a winning bidder’s long-
form application must include the information described below. The FCC Form 680 allows an applicant
to submit different information with respect to each of multiple bids in separate attachments to a single
long-form application.
1.

Documentation of ETC Designation(s)

14.
Each applicant must provide an “ETC Designation” attachment for each winning bid to
document its ETC designation, or pending petition if it is a Tribal entity seeking designation, and certify
that its proof is accurate.12 Appropriate documentation should include the original designation order, any
relevant modifications, e.g., expansion of service area or inclusion of wireless, along with any name-
change orders. Winning bidders should also explain how the ETC designation order(s) applies to the
areas covered by the winning bid(s) if it is not apparent.
2.

Project Construction Schedule/Specifications

15.
Each applicant must provide a “Project Description” attachment for each winning bid that
describes the network, identifies the proposed technology, demonstrates that the project is technically
feasible, discloses the complete project budget, and describes each specific phase of the project, e.g.,
network design, construction, deployment, and maintenance.13 A complete project schedule must be
provided, including timelines, milestones, and costs. Milestones should include the start and end date for
network design; start and end date for drafting and posting requests for proposal; start and end date for
selecting vendors and negotiating contracts; start date for commencing construction and end date for
completing construction; and the dates by which it will meet applicable requirements to receive the
installments of Mobility Fund support.14
16.
In each “Project Description” attachment, applicants should include an initial statement
that describes at a high level what is to be accomplished with the Tribal Mobility Fund Phase I support
(e.g., build new network or expand an existing network, deploy new technology or current technology).
This initial statement should avoid highly technical terminology or jargon unless it is integral to the
understanding of the project. In this initial statement, applicants must indicate for each winning bid
whether the supported network will provide third generation (3G) mobile service within the period
prescribed by section 54.1006(a) or fourth generation (4G) mobile service within the period prescribed by
section 54.1006(b).15
17.
After the initial, high level statement, applicants must then describe in more detail the
network to be built. As part of that description, applicants should identify the network components that
will need to be deployed (e.g., number of base stations, switching facilities and backhaul capabilities).
The detailed description should also include the type of technology that will be deployed (e.g., LTE,
HSPA, EV-DO, etc.) and the type of spectrum (e.g., 700 MHz, Cellular, Broadband PCS, AWS, etc.) to
be used with the technology. Applicants may demonstrate technical feasibility by explaining how the use
of this particular technology and spectrum will allow it to meet its public interest obligations for 3G or
4G.16 Applicants should consider including information on any key challenges or risks to the completion
of the project that have been identified and mitigation plans developed to ensure the completion of the
project.

12 See 47 C.F.R. § 54.1005(b)(2)(iii).
13 See 47 C.F.R. § 54.1005(b)(2)(v).
14 USF/ICC Transformation Order, 26 FCC Rcd at 17809-10 para. 442.
15 47 C.F.R. § 54.1006(a)-(b). See 47 C.F.R. § 54.1005(b)(2)(v).
16 The description of the proposed technology should include information on whether the network will qualify as
either a 3G or 4G network.
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18.
In addition, applicants must disclose the total budget along with the amount budgeted for
each phase of the project. Any funds required to complete the project that are not included in the winning
bid amount for support should be noted. The budget should specifically relate the costs to the activities in
the project plan.
19.
Projects Covering Multiple Bids. If a project encompasses areas covered by multiple
winning bids, an applicant may submit the same or similar project description for each winning bid.
However, the information in the project description, budget, and plan must identify the activities and costs
associated with each winning bid.
3.

Spectrum Access Description

20.
Each applicant must provide a “Spectrum Access” attachment for each winning bid to
describe the spectrum that the applicant will use to meet its obligations in each area for which it is the
winning bidder, including whether the applicant currently holds a license for, leases, or otherwise has
contracted for access to the spectrum consistent with Commission rules.17 The description should identify
the license applicable to the spectrum to be accessed. The description of the license must include the type
of service – e.g., AWS, 700 MHz, BRS, PCS – the particular frequency bands, and the call sign. If the
licensee is a different party than the applicant, the licensee name and the relationship and type of
agreement between the applicant and the licensee that provides the applicant with the required access
should be described. If the applicant is leasing spectrum, the lease number should be provided along with
the license information.
4.

Letter of Credit Commitment Letter

21.
Each applicant must provide as an attachment for each winning bid either a Letter of
Credit (“LOC”) or a written commitment letter from an acceptable bank to issue such an LOC. If the
applicant submits a commitment letter, the letter will at a minimum provide the dollar amount of the LOC
and the issuing bank’s agreement to follow the terms and conditions of the Commission’s model LOC,
found in Appendix N of the USF/ICC Transformation Order.18 The commitment letter must be from an
acceptable bank, as defined in section 54.1007(a)(1).19
5.

Letter of Credit and Bankruptcy Code Opinion Letter

22.
After receipt and review of the long-form applications, the Commission will issue a
public notice identifying each winning bidder that may be authorized to receive Tribal Mobility Fund
Phase I support. No later than 10 business days following the release of the public notice, a winning
bidder for Tribal Mobility Fund Phase I support must submit an irrevocable stand-by LOC, issued in
substantially the same form as set forth in the model LOC provided in Appendix N of the USF/ICC
Transformation Order
20 by a bank that is acceptable to the Commission.21 An LOC must be submitted for
each winning bid in an amount equal to one-third of the winning bid amount, plus an additional 10
percent of the winning bid amount that shall serve as a default payment in the event of a performance
default. As noted above, the LOC must be issued by a bank acceptable to the Commission pursuant to the
requirements enumerated in section 54.1007(a)(1).22 Those requirements vary for U.S. banks and non-
U.S. banks.

17 47 C.F.R. § 54.1005(b)(2)(iv).
18 USF/ICC Transformation Order, 26 FCC Rcd at 18319 Appendix N.
19 47 C.F.R. § 54.1007(a)(1).
20 USF/ICC Transformation Order, 26 FCC Rcd at 18319 Appendix N.
21 See 47 C.F.R. §§ 54.1005(b)(3)(v), 54.1007(a)(1).
22 47 C.F.R. § 54.1007(a)(1).
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23.
In addition, a winning bidder will be required to provide with the LOC an opinion letter
from outside legal counsel clearly stating, subject only to customary assumptions, limitations, and
qualifications, that, in a proceeding under the Bankruptcy Code, the bankruptcy court would not treat the
LOC or proceeds of the LOC as property of the winning bidder’s bankruptcy estate, or the bankruptcy
estate of any other bidder-related entity requesting issuance of the LOC, under section 541 of the
Bankruptcy Code.23 Each winning bidder must attach a copy of the LOC and opinion letter for each
winning bid in its long-form application by the applicable deadline.
24.
The original of the LOC and the opinion letter must be submitted to the Universal Service
Administrative Company (USAC) at the following address: Mobility Fund LOC, USAC, 2000 L Street,
Suite 200, Washington, DC 20036. We recommend that each winning bidder send the original of the
LOC and the opinion letter by means of delivery requiring signature.
6.

Tribal Engagement Notification

25.
As noted in section IV.A. above, each winning bidder for Auction 902 must notify the
relevant Tribal government24 of its winning bid(s) by

Friday, March 7, 2014

.25 In the long-form
application, each winning bidder must provide a “Tribal Notification” attachment to certify and describe
in detail the applicant’s efforts to contact the relevant Tribal government(s) and initiate substantive
discussions.26 The description should include a statement that the winning bidder contacted the
appropriate Tribal government and affirm that such notification took place on or before March 7, 2014.
26.
A winning bidder’s engagement with the affected Tribal government should be between
decision-makers on both sides, so that the dialogue is undertaken at a level within the winning bidders
and Tribal governments that is commensurate with this important engagement requirement.27 The
attachment should include a summary of the engagement that has taken place to date, including discussion
regarding: (1) a needs assessment and deployment planning with a focus on Tribal community anchor
institutions; (2) feasibility and sustainability planning; (3) marketing services in a culturally sensitive
manner; (4) rights of way processes, land use permitting, facilities siting, environmental and cultural
preservation review processes; and (5) compliance with Tribal business and licensing requirements.28
Since the engagement may be preliminary in nature at the long-form application deadline and the
Commission’s rules contemplate an ongoing dialogue between the winning bidder and Tribal
government, the applicant may not need to have discussed each item listed above with the Tribal
government by the long-form application deadline in order to comply with this requirement when filing
its long-form application.
27.
The Tribal engagement information also must be submitted to the appropriate Tribal
government official concurrent with the filing of the long-form application. Thereafter, support recipients
must demonstrate their compliance with Tribal engagement requirements on an annual basis, and prior to

23 11 U.S.C. § 541; see 47 C.F.R. § 54.1007(b).
24 For a listing of all federally recognized American Indian Tribes and Alaska Native Villages, see
www.bia.gov/cs/groups/xofa/documents/document/idc012038.pdf. ONAP, in coordination with the Wireless
Telecommunications Bureau and Wireline Competition Bureau, will endeavor to provide additional resources to
Tribal governments and carriers to help facilitate this engagement, including the possibility of using the
Commission’s website as a repository of information. See also Tribal Engagement Further Guidance Public Notice,
27 FCC Rcd 8176.
25 See 47 C.F.R. § 54.1004(d)(2).
26 USF/ICC Transformation Order, 26 FCC Rcd at 17822-23 para.489, 17868-69 para. 637; 47 C.F.R.
§§ 54.313(a)(9), 54.1004(d), 54.1009; see also Tribal Engagement Further Guidance Public Notice, 27 FCC Rcd
8176.
27 See Tribal Engagement Further Guidance Public Notice, 27 FCC Rcd at 8179 para. 10.
28 47 C.F.R. §§ 54.313(a)(9), 54.1004(d).
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any disbursement of support from the USAC. We remind carriers that failure to satisfy the Tribal
government engagement obligation could subject them to financial consequences, including potential
reduction in support or liability for a performance default payment.

C.

Long-Form Application (FCC Form 680) Certifications

28.
Program Requirements Certification. In the long-form application, the winning bidder
must certify that it has available funds for all project costs that exceed the amount of support to be
received and that it will comply with all program requirements.29 Each applicant must certify that it will
meet the applicable deadline for construction of a network meeting the coverage and performance
requirements set forth in the rules, that it will comply with the Tribal Mobility Fund Phase I collocation
obligations specified in the rules, and that it will comply with the voice and data roaming obligations the
Commission has established with respect to Phase I of the Tribal Mobility Fund.30
29.
Financial and Technical Capability Certification. As in the pre-auction short-form
application stage, a long-form applicant must certify that it is financially and technically capable of
providing 3G or better service within the specified timeframe in the geographic areas in which it seeks
support.31 This certification indicates that an applicant for Tribal Mobility Fund Phase I funds can
provide the requisite service without any assurance of ongoing support for the areas in question after
Tribal Mobility Fund Phase I support has been exhausted. An applicant should take care to review its
resources and its plans before making the required certification and be prepared to document its review, if
necessary.
30.
Reasonably Comparable Rates Certification. To satisfy one of the public interest
obligations of winning bidders that receive support, the long-form application also must contain a
certification that the winning bidder will offer service in supported areas at consumer rates that are within
a reasonable range of rates for similar service plans offered by mobile wireless providers in urban areas
for a period extending until five years after the date on which it is authorized to receive support.32
31.
ETC Designation Certification. In the long-form application, a winning bidder must
certify that it (a) has been designated as an ETC pursuant to 47 U.S.C. § 214(e) in the area(s) for which it
seeks support, or (b) is a Tribally-owned or -controlled entity with a pending application to become an
ETC pursuant to 47 U.S.C. § 214(e) in area(s) for which it seeks support.33 The applicant must provide
proof of its status in its long-form application, and if the applicant relies upon clause (b) in the preceding
sentence, the applicant must identify the applicable Tribe and applicable Tribal lands in its application.
32.
Spectrum Access Certification. Each winning bidder must certify that the description of
spectrum access in the areas of its winning bids provided in its application is correct and that it will retain
such access for at least five years after the date on which it is authorized to receive support.34

29 47 C.F.R. § 54.1005(b)(2)(vi).
30 47 C.F.R. § 54.1005(b)(2).
31 47 C.F.R. § 54.1005(b)(2)(ii).
32 47 C.F.R. § 54.1005(b)(2)(viii). As explained in the Auction 902 Procedures Public Notice, winning bidders may
demonstrate that they offer supported services at rates comparable to those in urban areas by offering one stand-
alone voice and one data plan in supported area(s) that match plans in urban areas, i.e., in top 100 Cellular Market
Areas (CMAs), and cost no more than the matching plans. Auction 902 Procedures Public Notice, 28 FCC Rcd at
11631 para. 4, 11682-85 paras. 193-98.
33 47 C.F.R. §§ 54.1005(b)(2)(iii), 54.1004(a); see also FCC Form 680 Certify & Submit page.
34 47 C.F.R. § 54.1005(b)(2)(iv); see also FCC Form 680 Certify & Submit page.
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D.

Maintaining Accuracy of Information

33.
After the auction closes, each applicant must make all changes to its information in the
FCC Auction System using FCC Form 680.35 With the release of this Public Notice, applicants are no
longer required to maintain the accuracy and completeness of information furnished on their short-form
applications and exhibits.36
34.
An applicant will be permitted to make minor modifications to its long-form application
after the deadline for submitting applications.37 Minor modifications include correcting typographical
errors and supplying non-material information that was inadvertently omitted or was not available at the
time the application was submitted.38 If an applicant makes a major modification to its application, the
application will be denied.39 In such event, the applicant would be subject to an auction default payment
for its winning bid(s). Major modifications include, but are not limited to, any changes in the ownership
of the applicant that constitute an assignment or transfer of control, or any changes in the identity of the
applicant, or any changes in the required certifications.40
35.
An applicant may request that submitted information not be made routinely available for
public inspection following the procedures set forth in section 0.459 of the Commission’s rules.41 Any
such request must be included as an attachment to the applicant’s FCC Form 680, must identify the
specific information to which the confidentiality request applies, and must include a tailored, redacted
version of the specific information which can be made public. Because the required information bears on
each applicant’s qualifications, confidentiality requests will not be routinely granted.

VI.

APPLICATION PROCESSING AND AUTHORIZATION OF SUPPORT

A.

Prepared to Authorize Public Notice

36.
After the deadline for filing the long-form application, the Commission will process all
timely submitted applications to determine which are complete, which have minor defects that may be
corrected or require additional information, or which are denied. Applications will be reviewed by
Commission staff for completeness and compliance with the Commission’s rules. The Commission will
notify an applicant if additional information is required. When the application, including the information
with respect to each winning bid, is found to be complete, the Commission will issue a public notice
identifying the applicant and the winning bids that the Commission is prepared to authorize for Tribal
Mobility Fund Phase I support. If not already provided, the applicant will have ten business days from
the date of the public notice to provide the LOC and opinion letter and any required final designation as
an ETC for Tribally-owned or -controlled applicants.42 If an applicant is not authorized to receive support
for a winning bid, it will be in default and subject to an auction default payment for that winning bid.43

35 47 C.F.R. § 1.65.
36 During the period from the release of this Public Notice until the window for filing long-form applications is
opened, winning bidders will be unable to report such changes using the FCC Auction System. In such event, an
applicant should summarize any such reportable changes and submit that description by email to the Auctions and
Spectrum Access Division to auction902@fcc.gov.
37 47 C.F.R. § 54.1005(b)(3)(iii).
38 Id.
39 47 C.F.R. § 54.1005(b)(3)(iv).
40 Id.
41 47 C.F.R. § 0.459.
42 47 C.F.R. § 54.1005(b)(3)(v).
43 47 C.F.R. § 1.21004.
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B.

Authorized Public Notice

37.
Once Commission staff has determined that a long-form application and the winning bid
information is complete, the original LOC and accompanying opinion letter has been received and
approved by USAC, and the final designation as an ETC for a Tribally-owned or -controlled applicant is
provided (where applicable), the Commission will issue a public notice announcing the authorization of
support for the winning bid.

C.

New Study Area Codes and Support Disbursements

38.
A new study area code will be issued for each winning bid for Tribal Mobility Fund
Phase I support. Winning bidders will be notified of the new study area code prior to the authorization for
support along with the procedures for disbursing support.

VII.

DEFAULT PAYMENTS

39.
The Commission determined that, depending on the nature of any default, a winning
bidder may be liable for two possible types of default payment obligations with respect to each winning
bid: (1) an auction default payment that would be owed by any Tribal Mobility Fund winning bidder that
defaults on its winning bid(s) prior to authorization of support, or (2) a performance default payment that
would be owed by any Tribal Mobility Fund winning bidder that applies for and is authorized to receive
support but subsequently fails to meet its public interest obligations or other terms and conditions of
Tribal Mobility Fund support.44

A.

Auction Default Payment

40.
If a winning bidder fails to timely submit a long-form application, is found ineligible or
unqualified to receive Tribal Mobility Fund support, has its long-form application dismissed, or otherwise
defaults on its bid or is disqualified for any reason after the close of the auction and prior to the
authorization of support for a winning bid, it will be subject to an auction default payment.45 The auction
default payment for Auction 902 was set at five percent of the total defaulted bid.46

B.

Performance Default Payment

41.
A winning bidder that has been authorized to receive Tribal Mobility Fund support will
be subject to a performance default payment if it fails or is unable to meet its minimum coverage
requirement, other service requirements, or fails to fulfill any other term or condition of Tribal Mobility
Fund Phase I support.47 The performance default payment for Auction 902 is ten percent of the total
defaulted bid.48
42.
The Commission recognized in the USF/ICC Transformation Order that a Mobility Fund
recipient’s failure to fulfill its obligations may impose significant costs on the Commission and higher
support costs for the Universal Service Fund (USF) and concluded that it was necessary to adopt a default
payment obligation for performance defaults.49 In addition to being liable for a performance default
payment, the recipient will be required to repay the Mobility Fund all of the support it has received, and

44 USF/ICC Transformation Order, 26 FCC Rcd at 17813-14 paras. 458-61; 47 C.F.R. §§ 1.2104(g)(2), 54.1006(f).
45 47 C.F.R. § 1.2104(g)(2).
46 Auction 902 Procedures Public Notice, 28 FCC Rcd at 11692 para. 214.
47 USF/ICC Transformation Order, 26 FCC Rcd at 17813-14 paras. 458-61.
48 See 47 C.F.R. § 54.1006(f). See also Auction 902 Procedures Public Notice, 28 FCC Rcd at 11692-93 paras. 216-
19.
49 USF/ICC Transformation Order, 26 FCC Rcd at 17810-11 para. 446.
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DA 14-263

depending on circumstances, could be disqualified from receiving any additional Mobility Fund or other
USF support.50

VIII.

OTHER IMPORTANT INFORMATION

A.

Maintaining Prohibition on Certain Communications

43.
To ensure the competitiveness of the auction process, the Commission’s rules prohibit an
applicant in a Mobility Fund auction from cooperating or collaborating with any other applicant with
respect to its own, or one another’s, or any other competing applicant’s bids or bidding strategies, and
from communicating with any other applicant in any manner the substance of its own, or one another’s, or
any other competing applicant’s bids or bidding strategies, until after the post-auction deadline for
winning bidders to submit applications for support, unless such applicants are members of a joint bidding
arrangement identified on the short-form application(s) pursuant to section 1.21001(b)(3)-(4).51 As
explained more fully in the Auction 902 Procedures Public Notice, this prohibition began at the short-
form application filing deadline at 6:00 p.m. ET on December 5, 2013, and continues until the long-form
deadline, which is 6:00 p.m. ET on Friday, April 4, 2014.52
44.
The prohibition on certain communications applies to all applicants in Auction 902
(unless they have identified each other on their short-form applications as parties with whom they have
entered into agreements under section 1.21001(b)(3)), regardless of whether an applicant became a
qualified bidder or actually participated in the bidding, and the prohibition continues for all applicants
until the long-form application filing deadline regardless of whether an applicant is a winning bidder.53
Each applicant in this auction certified its compliance with sections 1.21001(b)(3) and 1.21002 when it
filed its short-form application.54

B.

Public Interest Obligations and/or Annual Reporting Requirements

45.
To ensure that Tribal Mobility Fund Phase I support meets the Commission’s public
interest objectives, all recipients are subject to a variety of obligations, including service requirements,
performance deadlines, annual reporting and record retention requirements, collocation, voice and data
roaming requirements, and Tribal engagement obligations in exchange for the support they
receive.55 Since these requirements, as well as all the public interest obligations, are a condition of
Tribal Mobility Fund Phase I support, violations may result in the withholding or recovery of universal
service support in addition to any other applicable sanctions.56

50 Id. at 17814 para. 461; 47 C.F.R. § 54.1006(f).
51 47 C.F.R. §§ 1.21001(b)(4), 1.21002; see also USF/ICC Transformation Order, 26 FCC Rcd at 17807 para. 431.
52 See Auction 902 Procedures Public Notice, 28 FCC Rcd at 11650 para. 63.
53 Id., 28 FCC Rcd at 11648-49 paras. 58-62.
54 47 C.F.R. §§ 1.21001(b)(3), 1.21002.
55 USF/ICC Transformation Order, 26 FCC Rcd at 17791-97 paras. 359-85, 17822-23 para. 489; see 47 C.F.R.
§§ 54.1004(d), 54.1006.
56 USF/ICC Transformation Order, 26 FCC Rcd at 17862-63 paras. 616-18.
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C.

Return of SecurID® Tokens

46.
The SecurID® tokens distributed to qualified bidders were tailored to this auction and will
not work for future auctions. Each bidder should return its SecurID® tokens to the Commission for
recycling. The Commission will send each bidder, along with the copy of this Public Notice, a pre-
addressed, stamped envelope for returning the SecurID® tokens. Each bidder should return the tokens by

April 4, 2014

.

D.

Contact Information

47.
For further information, contact:

FCC Technical Support

Technical assistance in filing a FCC Form 680 is
available at (877) 480-3201, option nine; (202) 414-
1250; or (202) 414-1255 (text telephone (TTY));
hours of service are Monday through Friday, from
8:00 a.m. to 6:00 p.m. ET. In order to provide better
service to the public, all calls to Technical Support
are recorded.

News Media

Wireless Telecommunications Bureau

Cecilia Sulhoff at (202) 418-0587

General Universal Service Information

Wireline Competition Bureau,
Telecommunications Access Policy Division

Alexander Minard at (202) 418-7400

Auction 902 Information

Auctions and Spectrum Access Division

General Auction Information, Process, and
Lisa Stover or Debbie Smith at (717) 338-2868
Procedures
Post-Auction Rules, Policies, and Regulations
Audra Hale-Maddox or Scott Mackoul at
(202) 418-0660

Tribal Issues

Office of Native Affairs and Policy

Additional information regarding Tribal lands
(202) 418-2930
and Tribal governments
native@fcc.gov

Accessible Formats

Consumer and Governmental Affairs Bureau

Braille, large print, electronic files, or
(202) 418-0530 or (202) 418-0432 (TTY)
audio format for people with disabilities
fcc504@fcc.gov

FCC Internet Sites

http://www.fcc.gov
http://wireless.fcc.gov/auctions
http://wireless.fcc.gov/uls
- FCC -
12

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