Tribal Mobility Fund Phase I Auction Application Status
Federal Communications Commission
News Media Information 202 / 418-0500445 12th St., S.W.
Washington, D.C. 20554
January 6, 2014
TRIBAL MOBILITY FUND PHASE I AUCTION
STATUS OF SHORT-FORM APPLICATIONS TO PARTICIPATE IN AUCTION 902
AU Docket No. 13-531. By this Public Notice, the Wireless Telecommunications Bureau and Wireline Competition
Bureau (collectively, the Bureaus) announce the status of the 15 short-form applications received for
Auction 902. This auction, which is scheduled to be held on Tuesday, February 25, 2014, will award up
to $50 million in one-time Tribal Mobility Fund Phase I support.1 This Public Notice also provides other
important information and reminders relating to the auction.
Status of Short-Form Applications2. The short-form applications (FCC Form 180) for Auction 902 have been reviewed for
completeness and compliance with the Commission’s rules, and have been classified into the categories
Complete................................................................. 5 applications
Incomplete............................................................ 10 applications
Complete Applications.Attachment A to this Public Notice lists the short-form applications
for Auction 902 that are complete. Each of these applicants will become a qualified bidder provided that
it maintains the accuracy of its short-form application as required by sections 1.65 and 1.21002(c) of the
1 See Tribal Mobility Fund Phase I Auction Rescheduled for December 19, 2013; Notice and Filing Requirements
and Other Procedures for Auction 902, Public Notice, AU Docket No. 13-53, DA 13-1672, 28 FCC Rcd 11628
(2013) (Auction 902 Procedures Public Notice); see also Tribal Mobility Fund Phase I Auction Rescheduled for
February 25, 2014; Notice of Changes to Auction 902 Schedule Following Resumption of Normal Commission
Operations, Public Notice, AU Docket No. 13-53, DA 13-2057, 28 FCC Rcd 14656 (2013).
2 47 C.F.R. §§ 1.65, 1.21002(c). Section 1.65 of the Commission’s rules requires that whenever the information
furnished in a pending application is no longer substantially accurate and complete in all significant respects, the
applicant shall as promptly as possible amend or request the amendment of the application so as to furnish such
additional or corrected information as may be appropriate. 47 C.F.R. § 1.65(a). Section 1.21002(c) requires that
any applicant that makes or receives a prohibited communication must report such communication in writing to the
Federal Communications Commission
DA 14-74. Designation of an application as complete indicates that the applicant has provided the
certifications and basic information concerning its qualifications as required by the Commission’s
competitive bidding rules for participation in the auction. Under the Commission’s two-phased auction
application process, a winning bidder must submit after the close of the auction a long-form application,
any final designation as an Eligible Telecommunications Carrier (ETC) that any Tribally-owned
or -controlled applicant may still require, and an irrevocable stand-by letter (or letters) of credit to
demonstrate its qualifications for Tribal Mobility Fund Phase I support.3 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 receive Tribal Mobility Fund Phase I
support. In the event that an applicant is found unqualified to be a recipient of Tribal Mobility Fund
Phase I support, it will be liable for any obligations incurred as a result of its participation in the auction.4
Incomplete Applications.Attachment B to this Public Notice lists the short-form
applications for Auction 902 found to be incomplete or otherwise deficient. Each of these applicants will
receive overnight correspondence indicating the information that is required to make its application
complete. To become a qualified bidder, each of these applicants must resubmit its application, having
corrected any deficiencies, by the January 22, 2014, deadline.5 Each applicant must also maintain the
accuracy of its short-form application as required by sections 1.65 and 1.21002(c) of the Commission’s
Short-Form Application Changes and Resubmission6. Each applicant whose application for Auction 902 has been identified as incomplete must
address defects in its application during the resubmission window, which is now open.7 Corrected
applications must be filed prior to 6:00 p.m. Eastern Time (ET) on Wednesday, January 22, 2014.
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.8
7. During this resubmission window, all applicants may make other minor changes as described
below in more detail. We remind applicants that sections 1.65 and 1.21002(c) of the Commission’s rules
require an applicant to maintain the accuracy and completeness of information furnished in its pending
short-form application.9 Each applicant should amend its short-form application to furnish additional or
corrected information as promptly as possible after a significant occurrence. To the extent that changes
may be made directly in the electronic Form 180 at the time of the amendment, an applicant must modify
(Continued from previous page)
Commission staff immediately, and in any case no later than five business days after the communication occurs.
47 C.F.R. § 1.21002(c).
3 See 47 C.F.R. §§ 54.1004(a), 54.1005(b)(1)-(2), 54.1005(b)(3)(v), 54.1007; see also Auction 902 Procedures
Public Notice, 28 FCC Rcd at 11678-87, paras. 177-203.
4 See 47 C.F.R. § 1.21004; see also Auction 902 Procedures Public Notice, 28 FCC Rcd at 11691-92, paras. 212-15.
5 See 47 C.F.R. § 1.21001(d).
6 47 C.F.R. §§ 1.65, 1.21002(c).
7 47 C.F.R. § 1.21001(d); see also Auction 902 Procedures Public Notice, 28 FCC Rcd at 11666-69, paras. 122-28,
8 Any such applicant will retain its status as an applicant in Auction 902 and will remain subject to the
Commission’s rules prohibiting certain communications, 47 C.F.R. § 1.21002, but will not be eligible to bid.
9 47 C.F.R. §§ 1.65, 1.21002(c).
Federal Communications Commission
DA 14-7its short-form application electronically.10 An applicant seeking to report changes outside of the
resubmission window must 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:
email@example.com. An applicant must not submit application-specific material through the
Commission’s Electronic Comment Filing System (ECFS). Questions about changes should be directed
to the Auctions and Spectrum Access Division at (202) 418-0660.
8. The electronic Form 180 will not permit an applicant to make certain modifications to its
application, e.g., change the applicant’s name, change its legal classification, change its Study Area
Code(s) (SAC(s)) or Tribal land(s) selections, change the certifying official, or change bidding credit
eligibility.11 Administrative and minor changes can be made, including, for example, deletion and
addition of authorized bidders (up to a maximum of three), revision of addresses and telephone numbers
of the applicant and its contact person, and changes to the responsible party. While changes can be made
to ownership and agreement information,12 we remind each applicant 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 section 1.21002.13 If any application is changed to effect a
major amendment, such as a change in control,14 the applicant will be ineligible to bid in the auction.15
OTHER IMPORTANT AUCTION 902 INFORMATION9.
Qualified Bidders.Approximately three weeks after the resubmission deadline, following
Commission review of resubmitted short-form applications, a public notice listing all applicants qualified
to bid in Auction 902 will be released. The same public notice will also include bidding schedules for
both the mock auction and Auction 902.
Due Diligence.Potential bidders are solely responsible for investigating and evaluating all
technical and marketplace factors that may have a bearing on the level of Tribal Mobility Fund Phase I
support submitted as a bid in Auction 902. We strongly encourage potential bidders to conduct their own
research in order to determine the existence of pending administrative or judicial proceedings, including
10 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, 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, and
11 47 C.F.R. § 1.21001(d)(4). The Commission’s electronic Form 180 is designed to prevent inadvertent major
changes by applicants. Therefore, applicants are not permitted to make changes to certain data fields after the short-
form filing deadline, including applicant name, legal classification, bidding credit, and SAC(s) or Tribal land(s)
12 For more information on making administrative changes to an existing application, see “Minor Modifications to
Short-Form Applications” and “Maintaining Current Information in Short-Form Applications” in the Auction 902
Procedures Public Notice, 28 FCC Rcd at 11666-67, paras. 122-28.
13 See 47 C.F.R. §§ 1.21001(d)(4), 1.21002.
14 See Letter to Koch Broadcasting Corp. and Birach Broadcasting Corp. from Margaret W. Wiener, Chief, Auctions
and Spectrum Access Division, and Peter H. Doyle, Chief, Audio Division, DA 06-38, 21 FCC Rcd 147 (2006)
(dismissing short-form application due to major amendment changing control of applicant).
15 See 47 C.F.R. § 1.21001(d)(4).
Federal Communications Commission
DA 14-7pending rulemaking proceedings, that might affect their decisions regarding participation in the auction.
Additionally, a potential bidder is responsible for assuring that, if it wins support, it will be able to build
and operate facilities that fully comply with all applicable technical and legal requirements. For further
details regarding due diligence, please refer to the Auction 902 Procedures Public Notice, section II.C.3.16
Prohibition of Certain Communications.The Bureaus remind applicants that section
1.21002 of the Commission’s rules prohibits 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 long-form 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).17
12. This prohibition took effect as of the short-form application filing deadline, which for
Auction 902 was December 5, 2013, at 6:00 p.m. ET, and extends until the long-form application
deadline, which will be announced in a public notice released shortly following close of bidding.18
prohibition applies to all applicants regardless of whether such applicants become qualified bidders
or actually bid
13. We also emphasize that, for purposes of this prohibition, the term “applicant” is broad and
encompasses the applicant, each party capable of controlling the applicant, including all officers and
directors, and each party that may be controlled by the applicant or by a party capable of controlling the
applicant.20 Thus, for example, a violation of section 1.21002 of the Commission’s rules 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.21 Therefore, applicants should continue to take
16 See Auction 902 Procedures Public Notice, 28 FCC Rcd at 11655-56, paras. 81-87.
17 47 C.F.R. §§ 1.21001(b)(3)-(4), 1.21002(b); see also Connect America Fund, WC Docket No. 10-90, A National
Broadband Plan for Our Future, GN Docket No. 09-51, Establishing Just and Reasonable Rates for Local Exchange
Carriers, WC Docket No. 07-135, High-Cost Universal Service Support, WC Docket No. 05-337, Developing an
Unified Intercarrier Compensation Regime, CC Docket No. 01-92, Federal-State Joint Board on Universal Service,
CC Docket No. 96-45, Lifeline and Link-Up, WC Docket No. 03-109, Universal Service Reform – Mobility Fund,
WT Docket No. 10-208, Report and Order and Further Notice of Proposed Rulemaking, FCC 11-161, 26 FCC Rcd
17663, 17807, para. 431 (2011), pets. for review pending sub nom. In re: FCC 11-161, No. 11-9900 (10th Cir. filed
Dec. 8, 2011).
18 47 C.F.R. §§ 1.21002(b), 54.1005(b)(1); see also Auction 902 Procedures Public Notice, 28 FCC Rcd at 11677-
78, paras. 174-75.
19 See, e.g., Star Wireless, LLC, Forfeiture Order, DA 04-3026, 19 FCC Rcd 18626, 18628, para. 4 & n.19 (2004)
(emphasizing that section 1.2105(c) applies to applicants regardless of whether they are qualified to bid), order
granted in part sub nom, Star Wireless, LLC and Northeast Communications of Wisconsin, Inc., Order on Review,
FCC 07-80, 22 FCC Rcd 8943 (2007), petition for review denied, Star Wireless, LLC v. FCC, 522 F.3d 469 (D.C.
Cir. 2008); Letter to Robert Pettit, [Esquire], from Margaret W. Wiener, Chief, Auctions and Industry Analysis
Division, DA 00-2905, 16 FCC Rcd 10080 (2000) (declining to exempt an applicant’s controlling interest from
coverage by the communication prohibitions of section 1.2105(c), even though the applicant never made an upfront
payment for the auction and was not listed as a qualified bidder).
20 47 C.F.R. § 1.21002(a).
21 See, e.g., Letter to Colby M. May, TCCSA, Inc., d/b/a Trinity Broadcasting Network, from Barbara A. Kreisman,
Chief, Video Division, Media Bureau, and Margaret W. Wiener, Chief, Auctions and Spectrum Access Division,
Wireless Telecommunications Bureau, DA 05-2445, 20 FCC Rcd 14648 (2005) (finding apparent violation of
Federal Communications Commission
DA 14-7precautionary steps to prevent prohibited communications between any of the entities or persons covered
by the prohibition.22
14. If parties had agreed in principle on all material terms of a bidding agreement, those parties
must have been identified on the short-form application under section 1.21001(b)(3), even if the
agreement had not been reduced to writing.23 If parties had not agreed in principle by the short-form
application filing deadline on December 5, 2013, an applicant should not have included the names of
those parties on its application, and must not have continued negotiations, discussions, or
Limited Information Disclosure Procedures.We remind applicants that, under the limited
information disclosure procedures in effect for Auction 902, the Commission is withholding from public
release, until after the close of bidding and announcement of auction results, any information that may
indicate specific applicants’ interests in the auction—including, among other things, information from
applicants’ short-form applications regarding their interests in bidding areas in particular Tribal lands—
and the identities of bidders placing bids or taking other bidding-related actions. Accordingly,
communication with other applicants or public disclosure of such non-public information may violate the
Commission’s limited information disclosure procedures and the rule prohibiting certain communications,
section 1.21002 of the Commission’s rules.25
16. Thus, applicants should refrain from communicating their specific interests in the auction not
only to other applicants, but also to the public, financial analysts, or the press.26 Examples of
communications raising concern, given the limited information disclosure procedures in effect for
Auction 902, would include an applicant’s statement to the press that it is or is not interested in bidding in
Disclosure Obligations and Possible Sanctions.Sections 1.65 and 1.21002(c) of the
Commission’s rules require each auction applicant to maintain the accuracy and completeness of
information furnished in its pending application.27 In addition, section 1.21002(c) requires each auction
applicant to report a prohibited discussion or disclosure regarding bids or bidding strategy to the
Commission staff in writing immediately, but in no case later than five business days after the
(Continued from previous page)
communication prohibitions of section 1.2105(c) where applicants with mutually exclusive applications reported
sharing same individual as an officer and director and reported having no bidding agreement).
22 See Application of Nevada Wireless, Memorandum Opinion and Order, DA 98-1137, 13 FCC Rcd 11973, 11977-
78, paras. 11-12 (1998). The Bureaus caution, however, that the mere existence of precautionary measures will not
outweigh specific evidence of prohibited communications, nor will it preclude the initiation of an investigation when
warranted. Id. at 11978, para. 13.
23 47 C.F.R. § 1.21001(b)(3).
24 See Wireless Telecommunications Bureau Clarifies Spectrum Auction Anti-Collusion Rules, Public Notice, DA
95-2244, 11 FCC Rcd 9645, 9646 (1995).
25 47 C.F.R. § 1.21002; see also Auction 902 Procedures Public Notice, 28 FCC Rcd at 11675, para. 163.
26 The Commission has long expressed the concern that applicants should use caution in their dealings with other
parties, such as members of the press, financial analysts, or others who might become a conduit for the
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, DA 98-37, 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.”).
27 47 C.F.R. §§ 1.65, 1.21002(c); see also Auction 902 Procedures Public Notice, 28 FCC Rcd at 11667, para. 128.
Federal Communications Commission
DA 14-7communication occurs, even if the communication does not result in an agreement or understanding
regarding bids or bidding strategy that must be reported under section 1.65.28 Each applicant’s obligation
to report any such communication continues beyond the five-day period after the communication is made,
even if the report is not made within the five-day period.29
Reporting Prohibited Communications.A party reporting a communication pursuant to
sections 1.65 or 1.21002(c) must take care to ensure that any such report of a prohibited communication
does not itself give rise to a violation of section 1.21002.30 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
19. To minimize the risk of inadvertent dissemination of non-public information, a party must
file only a single report and file that report only with Commission personnel expressly charged with
administering the Commission’s auctions.31 Any report required by section 1.21002(c) must be filed
consistent with the instructions set forth in the Auction 902 Procedures Public Notice.32 For Auction 902,
any such report must be filed with the Chief of the Auctions and Spectrum Access Division, Wireless
Telecommunications Bureau, by the most expeditious means available. Specifically, any such report
should be submitted by e-mail to firstname.lastname@example.org. If you choose instead to submit a report in hard
copy, any such report must be delivered only to the following address: Margaret W. Wiener, Chief,
Auctions and Spectrum Access Division, Wireless Telecommunications Bureau, Federal Communications
Commission, 445 12th Street, SW, Room 6423, Washington, DC 20554. Any party submitting such a
report should include a cover sheet to avoid the inadvertent dissemination of information contained in the
20. A party seeking to report such prohibited communications should consider submitting its
report with a request that the report, or portions of the report, be withheld from public inspection.33 Any
such party is also encouraged to consult with the Auctions and Spectrum Access Division staff if it has
any questions about the procedures for submitting such reports.34 The Auction 902 Procedures Public
Notice provides additional guidance on procedures for submitting application-related information.35
21. Each applicant that is a winning bidder will be required to make disclosures in its long-form
application regarding its qualifications for Tribal Mobility Fund Phase I support, which may include
information on any agreements, understandings, or arrangements entered into relating to the competitive
28 47 C.F.R. § 1.21002(c); see also Auction 902 Procedures Public Notice, 28 FCC Rcd at 11652, paras. 71-73.
29 47 C.F.R. § 1.21002(c).
30 47 C.F.R. §§ 1.65, 1.21002.
31 Auction 902 Procedures Public Notice, 28 FCC Rcd at 11653, paras. 74-76.
33 See 47 C.F.R. § 0.459 (specifying the 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 Information” below.
35 See Auction 902 Procedures Public Notice, 28 FCC Rcd at 11666-67, paras. 122-28.
Federal Communications Commission
DA 14-7bidding process.36 Any applicant found to have violated section 1.21002 of the Commission’s rules 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 and may be prohibited from participating in future auctions.38
Ex Parte Rule.Applicants should also be aware that the Commission has generally treated
short-form applications to participate in an auction process as exempt proceedings and, therefore, not
subject to the ex parte prohibitions that pertain to restricted proceedings.39
Mock Auction.All applicants found to be qualified bidders will be eligible to participate in
a mock auction on Friday, February 21, 2014. The Bureaus encourage all qualified bidders to take
advantage of this opportunity to become familiar with the FCC Auction System. In the public notice
announcing the qualified bidders, the Bureaus will announce the bidding schedule for the mock auction.
The mock auction will be conducted over the Internet.
Electronic Bidding.Applicants are reminded that only qualified bidders are eligible to bid
and must have a SecurID® token to place bids, which the Commission will provide at no charge.
SecurID® tokens, the “FCC Auction System Bidder’s Guide,” and the Auction Bidder Line phone number
will be sent prior to the auction by overnight mail to the contact person at the contact address listed in the
FCC Form 180.
25. Bidders can access the FCC Auction System over the Internet. The following software is
required to use the FCC Auction System:
Web Browser, either of the following is recommended:
Microsoft® Internet Explorer 8.0 or higher
Mozilla® Firefox® 3.5 or higher
PDF Viewer: Adobe Acrobat Reader 5.0 or higher (available at http://www.adobe.com)
Minimum Screen Resolution: 1024 x 768
26. Currently, the Apple® Mac OS® is not supported.
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 deadline
for filing the long-form application.40 Winning bidders will use the FCC Auction System to submit the
36 See 47 C.F.R. § 54.1005(b); see also 47 C.F.R. §§ 1.21001(b)(3)-(4).
37 See 47 C.F.R. §§ 1.2109(d), 1.21002, 54.1007(c).
38 47 C.F.R. §§ 1.2109(d), 54.1007(c); see also Auction 902 Procedures Public Notice, 28 FCC Rcd at 11654-55,
39 See Commission Announces that Mutually Exclusive “Short Form” Applications (Form 175) to Participate in
Competitive Bidding Process (“Auctions”) are Treated as Exempt for Ex Parte Purposes, Public Notice, FCC 94-
283, 9 FCC Rcd 6760 (1994).
40 For more details on post-auction procedures, see Auction 902 Procedures Public Notice, 28 FCC Rcd at 11677-
93, paras. 174-219.
Federal Communications Commission
DA 14-7long-form application (FCC Form 680).41 Further filing instructions will be provided to auction winners
at the close of the auction.
CONTACT INFORMATION28. For specific questions about an applicant’s incomplete status or its application deficiencies,
the applicant should contact the staff reviewer identified in the correspondence sent to the applicant by
29. For further information concerning Auction 902, contact:
General Auction Information
FCC Auctions HotlineGeneral Auction Questions
(888) 225-5322, option two; or
Auction Process and Procedures
Auction 902 Legal Information
Wireless Telecommunications BureauAuction Rules, Policies, Regulations, including
Auctions and Spectrum Access DivisionReports of section 1.21002 Violations and
General Universal Service Questions
Wireline Competition Bureau
FCC Auctions Technical Support HotlineElectronic Filing
(877) 480-3201, option nine; or (202) 414-1250
FCC Auction System (Hardware/Software
(202) 414-1255 (TTY)
Hours of service: 8:00 a.m. – 6:00 p.m. ET,
Monday through Friday
Office of Native Affairs and PolicyAdditional information regarding Tribal lands
and Tribal governments
30. To request materials in accessible formats (Braille, large print, electronic files, audio format)
for people with disabilities, send an e-mail to email@example.com or call the Consumer and Governmental
Affairs Bureau at (202) 418-0530 or (202) 418-0432 (TTY).
- FCC -
41 See 47 C.F.R. § 54.1005(b).
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