Commission Document

• Print
• Email

PUBLIC NOTICE

Federal Communications Commission

News Media Information 202 / 418-0500

445 12th St., S.W.

Internet: http://www.fcc.gov

TTY: 1-888-835-5322

Washington, D.C. 20554

DA 12-1456

September 14, 2012

MOBILITY FUND PHASE I AUCTION

52 BIDDERS QUALIFIED TO PARTICIPATE IN AUCTION 901

AU Docket No. 12-25

1. In this Public Notice, the Wireless Telecommunications and Wireline Competition Bureaus
identify 52 applicants found to be qualified to bid in the upcoming Mobility Fund Phase I Auction
(Auction 901). Bidding in Auction 901 is scheduled to be held on Thursday, September 27, 2012.1 This
Public Notice contains bidding instructions and other important information regarding Auction 901. It
also addresses the continuing obligations and auction procedures for all Auction 901 applicants, including
those that have not qualified to bid.

I.

QUALIFIED BIDDERS AND APPLICANTS NOT QUALIFIED TO BID

A.

Qualified Bidders

2. Attachment A to this Public Notice lists the name of each of the 52 qualified bidders.2
Designation of an applicant as qualified to bid in the auction indicates that the applicant has provided the
certifications and basic information concerning its qualifications required by the Commission’s
competitive bidding rules for participation in the auction.3


1 See “Mobility Fund Phase I Auction Scheduled for September 27, 2012: Notice and Filing Requirements and Other
Procedures for Auction 901,” Public Notice, AU docket No. 12-25, DA 12-641, 27 FCC Rcd 4725 (2012) (“Auction
901 Procedures Public Notice”). See also “Mobility Fund Phase I Auction: Status of Short-Form Applications to
Participate in Auction 901,” Public Notice, AU Docket No. 12-25, DA 12-1272 (rel. August 9, 2012) (“Auction 901
Status Public Notice”).
2 Attachment A reflects that applicant Nemont Communications, Inc. requested a pro forma change of its name to
Sagebrush Cellular, Inc. following the release of the Auction 901 Status Public Notice. This name change is also
reflected within the Commission’s electronic bidding system database.
3 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 Mobility Fund Phase I support. 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 Mobility Fund Phase I support. In the event that an
applicant is found unqualified to be a recipient of Mobility Fund Phase I support, it will be liable for any obligations
incurred as a result of its participation in the auction. See 47 C.F.R. § 1.21004; see also Auction 901 Procedures
Public Notice, 27 FCC Rcd at 4776-77 ¶¶ 184-88. In this regard, we note that NTUA Wireless, LLC (NTUAW),
which is listed as a qualified bidder, claims eligibility to bid as a Tribally-owned or -controlled entity pursuant to

---

3. In order to participate effectively in the auction, each qualified bidder should again review the
auction rules, procedures, and other information described in the Auction 901 Procedures Public Notice
and subsequent public notices.4 These public notices and other documents related to Auction 901 are
available on the Commission’s auctions website at http://wireless.fcc.gov/auctions/. This Public Notice
provides additional guidance.

B.

Applicants Not Qualified to Bid

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. This applicant remains subject to the Commission’s
rules prohibiting certain communications in connection with Commission auctions.5

II.

REGISTRATION AND BIDDING ACCESS

A.

Registration Materials

5. Qualified bidders have been automatically registered for the auction. Registration materials
will be sent to the contact person at the contact address identified in the applicant’s short-form
application. Upon receipt, each bidder should be in possession of the following:
·
At least two RSA SecurID® tokens
·
FCC Auction System Bidder’s Guide
·
FCC Auction Bidder Line phone number
6. Each qualified bidder is solely responsible for ensuring the security of its computer systems
and its registration materials and for ensuring that only authorized bidders place bids on its 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 Wednesday, September 19, 2012, 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.

B.

Registration Material Replacement

8. In the event 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-





section 54.1004 (47 C.F.R. § 54.1004). NTUAW also makes a contingent request for waiver of section 54.1003’s
ETC designation requirement (47 C.F.R. § 54.1003) to participate in Auction 901 without a Tribal bidding credit if
it is found not to be a Tribally-owned or –controlled entity. As noted, we do not make final eligibility
determinations based on information provided in short-form applications. Therefore, a final determination on
NTUAW’s eligibility to bid as a Tribally-owned or -controlled entity will not be made until after the announcement
of winning bidders and the more comprehensive review that can only take place after submission of long-form
applications. Thus, inclusion of NTUAW as a qualified bidder in Auction 901 does not constitute a final
determination on its eligibility as a Tribally-owned or –controlled entity, and absent such final determination, we
also make no determination on NTUAW’s accompanying contingent waiver request.
4 See generally Auction 901 Procedures Public Notice; see also Auction 901 Status Public Notice.
5 See 47 C.F.R. § 1.21002; see also Auction 901 Procedures Public Notice, 27 FCC Rcd at 4741-47 ¶¶ 46-68.
2

---

form application may request replacements. Any bidder requiring replacement of these items must call
Technical Support at (877) 480-3201, option nine; (202) 414-1250; or (202) 414-1255 (TTY).

C.

Bidding Access

9. The Commission will conduct Auction 901 over the Internet. Each qualified bidder can
access the FCC Auction System at http://auctions.fcc.gov or http://auctions2.fcc.gov. Each qualified
bidder should review the FCC Auction System Bidder’s Guide provided in the registration materials.
Please note that Apple® Mac OS® is not currently supported.
10. Bidders will access the FCC Auction System using a web browser. The Bureaus previously
recommended using either Microsoft® Internet Explorer 7.0 or higher, with either Microsoft VM or Java
Plug-In; or Mozilla® Firefox® 3.5 or higher, with Java Plug-In.6 After further testing, we have determined
that the new mapping feature in the bidding system has certain performance issues with Internet
Explorer 7 and, to a lesser extent, Internet Explorer 8. We therefore recommend Firefox® 3.5 or higher,
with Java Plug-In.7
11. Each authorized bidder must have its own SecurID® token to bid. An applicant with only one
authorized bidder will be issued two SecurID® tokens, while an applicant 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 901.
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 to return the tokens once the
auction is closed.
13. Although telephonic bidding will not be available for Auction 901, the Auction Bidder Line
will be available during the mock auction and actual auction for bidder questions. The Auction Bidder
Line telephone number will be supplied in the registration materials sent to each qualified bidder.

D.

Bidding Contingency Plan

14. Each bidder should develop comprehensive contingency plans that can be quickly
implemented in case difficulties arise when participating in the auction. While the FCC will correct any
problems within Commission-controlled facilities, each bidder is 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 its
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.

III.

MOCK AUCTION AND BIDDER QUESTIONS

A.

Mock Auction

15. The Bureau strongly encourages each qualified bidder to participate in the mock auction that
will be conducted on Friday, September 21, 2012, with one round of bidding beginning at 10:00 a.m. and
continuing until 4:00 p.m. ET.8 The mock auction will enable qualified bidders to become familiar with


6 Auction 901 Status Public Notice at ¶ 25.
7 Internet Explorer 9, with either Microsoft VM or Java Plug-In, has worked with the new mapping feature but has
not been thoroughly validated with bidding system testing.
8 The Bureaus recently announced that the mock auction, initially scheduled for September 25, 2012, will instead
take place on September 21, 2012. See “Mobility Fund Phase I Auction Release of Files with Recalculated Road
3

---

the FCC Auction System and to practice submitting bids. FCC auction staff and technical support staff
will be available for questions about the system and auction conduct at the Auction Bidder Line phone
number provided in the registration material.
16. The mock auction will be identified as Mock Auction 74 and will follow the rules governing
the actual auction. Each bidder must have its SecurID® tokens to log in to the FCC Auction System. The
process of placing bids in the mock auction and in the actual auction requires bidders to upload text files
of their bids. The FCC Auction System will provide each bidder access to a sample file that identifies the
items on which the bidder is potentially eligible to bid based on information provided in the bidder’s FCC
Form 180. Bidders are reminded that listing an item in this file as a potentially eligible area is not a
determination of eligibility under the Commission’s rules. The identification of an area as one in which
the bidder is potentially eligible to bid does not mean that the applicant is actually eligible to bid for
support in that area. Some of the areas may be outside the areas for which a bidder is actually eligible to
bid pursuant to the Commission’s rules – i.e. the areas in which it is designated as an ETC or, in the case
of a Tribally-owned or -controlled entity, areas in its Tribal lands for which it has a pending petition for
designation as an ETC.

A bidder should take advantage of the mock auction to practice taking
actions it might wish to take during Auction 901, even if the bidder has previously participated in
FCC spectrum auctions.

17. Results will not be provided after the close of the mock auction.

B.

Bidder Questions during the Mock Auction and Auction 901

18. FCC auction staff and technical support staff will be available during the mock auction and
the actual auction. 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 ask questions during the mock auction or actual auction, a bidder must use the FCC Auction
Bidder Line telephone number supplied in the registration materials. Otherwise, a bidder should refer to
the contact information provided in Section VII “Contact Information” below.

C.

Bidder Suggestions

19. The FCC Auction System includes a function for any bidder 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. Any time-sensitive
questions should be directed to the Auction Bidder Line or to the appropriate staff contact using the
telephone number provided in Section VII “Contact Information” below.

IV.

AUCTION INFORMATION

A.

Auction Announcements

20. The Commission will post pertinent auction information as announcements in the
FCC Auction System. Each bidder should routinely check for announcements and should read this
information carefully.

B.

Bidding Schedule

21. Auction 901 bidding will be held on Thursday, September 27, 2012, with one round of
bidding beginning at 10:00 a.m. and continuing until 5:00 p.m. ET.





Miles for Auction 901; Mock Auction Rescheduled for September 21, 2012,” Public Notice, AU Docket 12-25, DA
12-1446 (rel. Sept.7, 2012).
4

---

C.

Placing Bids

22. As mentioned above, the process of placing bids requires bidders to upload text files of their
bids. The FCC Auction System will provide each bidder access to a sample file that identifies the items
on which the bidder is potentially eligible to bid. For each item, the sample file will include the item
name, a dollar sign ($), and the county and state — each separated by a tab. The item names are listed in
the “Biddable Items” file that is available at http://wireless.fcc.gov/auctions/901/ via the link for
“Attachment A Files.” Where the sample file contains a dollar sign, the bidder must include the bid
amount expressed in dollars per road mile (whole dollar amounts only). Any additional columns are
optional and will be ignored by the bidding system. Each bidder is cautioned to upload and review its bid
carefully because winning bids confer certain obligations. Any winning bidder that fails to meet these
obligations will be subject to a default payment.9 Bidders are also cautioned that the bidding system
cannot accommodate a bidder uploading a file with more than 2,000 bids (or removed bids) at a time.

D.

Bidding Data and Auction Results

23. Each bidder will have access to information about their own bidding during the auction but
will not have information about other bidders’ actions. Auction 901 will be conducted using procedures
under which the Bureaus will withhold, until after the close of bidding and announcement of auction
results, the public release of any information that may indicate specific applicants’ interests in the auction,
including: (1) information from applicants’ short-form applications regarding their interests in eligible
census tracts and/or blocks in particular states and/or Tribal lands, and (2) information that may reveal the
identities of bidders placing bids and taking other bidding-related actions.10 Once the Bureaus announce
the auction results, all of the bidding data, including bidder identities, will be made public.
24. Instructions for reviewing and downloading results are provided in the FCC Auction System
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.

V.

CONTINUING APPLICANT OBLIGATIONS

A.

Prohibited Communications

25. The Bureau reminds 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 communication 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 identified on the short-form
application(s) as parties to an agreement(s) relating to participation in the competitive bidding, pursuant
to section 1.21001(b)(3)-(4).11
26. This prohibition took effect as of the short-form application filing deadline, which for
Auction 901 was July 11, 2012, at 6:00 p.m. ET, and extends until the long-form application deadline,


9 Auction 901 Procedures Public Notice, 27 FCC Rcd at 4776-77 ¶¶ 184-88.
10 Id. at 4766-67 ¶ 147.
11 47 C.F.R. §§ 1.21001(b)(3)-(4), 1.21002; see also 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, 17807 ¶ 431 (2011), pets.
for review pending sub nom. In re: FCC 11-161, No. 11-9900 (10th Cir. filed Dec. 8, 2011); 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).
5

---

which will be announced in a public notice released shortly following close of bidding.12

The
prohibition applies to all applicants regardless of whether such applicants becomes qualified
bidders or actually bid.

13 For further information on the prohibition, applicants should refer to the
Auction 901 Procedures Public Notice.14

B.

Maintenance of Anonymous Bidding

27. We remind applicants that, under the limited information disclosure procedures in effect for
Auction 901, 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.15 Accordingly, communication with other applicants or public disclosure of such non-public
information may violate the Commission’s anonymous bidding procedures and the rule prohibiting
certain communications, section 1.21002 of the Commission’s rules.16
28. 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.17 Examples of
communications raising concern, given the anonymous bidding procedures in effect for Auction 901,
would include an applicant’s statement to the press that it is or is not interested in bidding in the auction.

C.

Disclosure Obligations and Possible Sanctions

29. Section 1.65 and 1.21002(c) of the Commission’s rules require each auction applicant that
makes or receives a communication that appears to violate section 1.21002 to report such communication
in writing to the Commission immediately, and in no case later than five business days after the


12 47 C.F.R. § 1.21002(b). Unless otherwise provided by public notice, winning bidders for Mobility Fund Phase I
support must file an application for Mobility Fund Phase I support (also known as Form 680 or the long form
application) no later than 10 business days after the release of the public notice identifying them as winning bidders.
47 C.F.R. § 54.1005(b)(1).
13 For example, the Commission imposed a forfeiture in the amount of $100,000 for violation 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.
See Northeast Communications of Wisconsin, Inc., Forfeiture Order, DA 04-3027, 19 FCC Rcd 18635 (Enf. Bur.
2004). The Commission subsequently reduced the amount of the forfeiture to $75,000 due to the parties’ history of
compliance with Commission rules. See Star Wireless, LLC and Northeast Communications of Wisconsin, Inc.,
Order on Review, FCC 07-80, 22 FCC Rcd 8943 (2007), review denied, Star Wireless, LLC v. FCC, 522 F.3d 469
(D.C. Cir. 2008) (section 1.2105(c) applies to auction applicant regardless of whether the applicant is qualified to
bid). The United States District Court for the Eastern District of Wisconsin 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 Wis., Inc., 608 F.Supp. 2d 1049 (D. Wis. 2008). See also Letter to Robert Pettit, from
Margaret W. Wiener, Chief, Auctions and Industry Analysis Div., DA 00-2905, 16 FCC Rcd 10080 (2000)
(declining to exempt an applicant’s controlling interest from coverage by section 1.2105(c), even though the
applicant never made an upfront payment for the auction and was not listed as a qualified bidder).
14 Auction 901 Procedures Public Notice, 27 FCC Rcd at 4741-47 ¶¶ 46-68.
15 Id. at 4766-67 ¶ 147.
16 47 C.F.R. § 1.21002; Auction 901 Procedures Public Notice, 27 FCC Rcd at 4741-47, 4766-67 ¶¶ 46-68, 147.
17 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, 347-8 (1998) (“Public statements can give rise to collusion concerns.
This has occurred in the antitrust context, where certain public statements can support other evidence which tends to
indicate the existence of a conspiracy.”).
6

---

communication occurs.18 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.19
30. In addition, section 1.65 of the Commission’s rules requires an applicant to report to the
Commission any communication of a bid or bidding strategy that results in an arrangement, agreement, or
understanding relating to participation in the competitive bidding after the short-form filing application
deadline.20
31. Any party reporting a prohibited communication must take care to ensure that any such report
does not itself give rise to a violation of section 1.21002. Applicants should take care not to make such
reports of prohibited communication through the use of Commission filing procedures that would allow
such materials to be made available for public inspection and thereby communicate prohibited
information to other applicants.21 Auction 901 applicants are required to file any report required by
1.21002(c) by email to auction901@fcc.gov, or 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 20554.22
32. A party seeking to report such a prohibited communication should consider submitting its
report with a request that the report or portions of the submission be withheld from public inspection.23
Any such report must include a cover sheet to avoid the inadvertent dissemination of information
contained in the report. You are encouraged to consult with the Auctions and Spectrum Access Division
staff if you have any questions about the procedures for submitting such a report.24 The Auction 901
Procedures Public Notice provides additional guidance on procedures for submitting application-related
information.25
33. Any applicant that is a winning bidder may be required to disclose in its long-form
application the specific terms, conditions, and parties involved in all bidding consortia, joint ventures,


18 47 C.F.R. §§ 1.65, 1.21002(c); see also Amendment of Part 1 of the Commission's Rules – Competitive Bidding
Procedures, WT Docket No. 97-82, Seventh Report and Order, FCC 01-270, 16 FCC Rcd 17546, 17552 ¶ 12 (2001)
(“Part 1 Seventh Report and Order”) (“[T]he Section 1.2105(c) reporting requirement we adopt today applies even
if the communication of bids or bidding strategies does not result in a bidding arrangement, agreement or
understanding that must be reported to the Commission under Section 1.65(a).”)
19 See Service Rules for the 698-746, 747-762 and 777-792 MHz Bands, WT Docket No. 06-150, Second Report
and Order, FCC 07-132, 22 FCC Rcd 15289, 15395 ¶¶ 285-86 (2007).
20 47 C.F.R. § 1.65. See Part 1 Seventh Report and Order, 16 FCC Rcd at 17550-51 ¶ 9.
21 Procedural Amendments to Commission Part 1 Competitive Bidding Rules, WT Docket No. 10-18, Order, FCC
10-4, 25 FCC Rcd 521, 522 ¶ 4 (2010).
22 Auction 901 Procedures Public Notice, 27 FCC Rcd at 4746-47 ¶¶ 64-66.
23 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).
24 See Section VII., “Contact Information,” below.
25 See Auction 901 Procedures Public Notice, 27 FCC Rcd at 4746-47 ¶¶ 64-66.
7

---

partnerships, or other agreements or arrangements entered into relating to the competitive bidding
process.26
34. Any applicant found to have violated section 1.21002 of the Commission’s rules may be
subject to sanctions.27 In addition, we remind each applicant that it is 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.28

D.

Submission of Auction-Related Filings

35. As noted above, an applicant seeking to amend its short-form application during the auction
must make modifications electronically and submit a letter, briefly summarizing the changes, by email to
the attention of Margaret Wiener, Chief, Auctions and Spectrum Access Division, at the following
address: auction901@fcc.gov. The email summarizing the changes must include a subject or caption
referring to Auction 901 and the name of the applicant.
36. A party wishing to submit a request, complaint, or other information concerning Auction 901
should, in addition to following other procedures prescribed by the Commission’s rules, send a copy by
email to the attention of Margaret Wiener, Chief, Auctions and Spectrum Access Division, at the
following address: auction901@fcc.gov. The Commission occasionally receives complaints regarding
specific 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 a winning bidder has submitted its long-
form application, 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.
37. Finally, parties wishing to make suggestions concerning Auction 901 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.

E.

Duty to Maintain Accurate Information in Short-Form Applications (FCC Form
180)

38. Each applicant must maintain the accuracy and completeness of information furnished in its
short-form application, including any attachments.29 Each applicant should therefore amend its short-
form application to furnish additional or corrected information within five days of a significant
occurrence, or no more than five days after the applicant becomes aware of the need for amendment.


26 See Auction 901 Procedures Public Notice, 27 FCC Rcd at 4747 ¶ 67; see also 47 C.F.R. § 54.1005(b)(2)(xi)
(applicants for Mobility Fund Phase I support will need to provide such additional information as the Commission
may require).
27 See 47 C.F.R. § 1.21002; Auction 901 Procedures Public Notice, 27 FCC Rcd at 4745 ¶ 59-60.
28 See 47 C.F.R. §§ 1.2109(d), 1.21002, 54.1007(c); see also Auction 901 Procedures Public Notice, 27 FCC Rcd at
4747-48 ¶¶ 69-70.
29 See 47 C.F.R. §§ 1.65 and 1.21002(c). 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 901 Procedures Public Notice, 27 FCC Rcd at 4756-58 ¶¶ 103-09; see also
“Mobility Fund Phase I Auction: Supplemental Short-Form Instructions and Other Information,” Public Notice, AU
Docket No. 12-25, DA 12-947, 27 FCC Rcd 6368 (2012).
8

---

39. An applicant seeking to provide additional or updated information must modify its short-
form application electronically and submit a letter briefly summarizing the change by email to
auction901@fcc.gov. The email summarizing the change must include a subject or caption referring to
Auction 901 and the name of the applicant. The Bureaus request that parties format any attachments to
email as Adobe® Acrobat® (pdf) or Microsoft® Word documents. 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.
40. As described in the Commission’s rules, an applicant may make only minor corrections to its
short-form application (e.g., deletion and addition of authorized bidders or changes to contact
information).30 A major modification (e.g., change in control of the applicant or change of the certifying
official) will not be accepted.31 Each applicant must clearly state the nature of the change in an
amendment to its short-form application and in the summary letter referenced above.
41. When amending short-form applications, applicants must avoid any statements or disclosures
that may violate section 1.21002 of the Commission’s rules, particularly in light of the limited
information disclosure procedures in place for Auction 901.32 Parties submitting information related to
their applications should use caution to ensure that their submissions do not contain confidential
information or communicate information that would violate section 1.21002 or the limited information
procedures adopted for Auction 901. Therefore, a party seeking to submit information that might reflect
non-public information should consider submitting any such information along with a request that the
filing or portions of the filing be withheld from public inspection until the end of the prohibition on
certain communications pursuant to section 1.21002.

F.

Ex Parte

Rule

42. Applicants should also be aware that the Commission has generally treated short-form
applications to participate in an auction as exempt proceedings and, therefore, not subject to the ex parte
prohibitions that pertain to restricted proceedings.33

G.

Due Diligence

43. Potential bidders are solely responsible for investigating and evaluating all technical and
marketplace factors that may have a bearing on the level of Mobility Fund Phase I support submitted as a
bid in Auction 901. We strongly encourage potential bidders to conduct their own research in order to
determine the existence of pending administrative or judicial proceedings, including pending rulemaking
proceedings that might affect their decisions regarding participation in the auction. Additionally, a
potential bidder is responsible for ensuring that, if it wins support, it will be able to build and operate
facilities that fully comply with all technical and legal requirements. For further details regarding due
diligence, please refer to the Auction 901 Procedures Public Notice under Section I.D.3.34


30 See 47 C.F.R. § 1.21001(d).
31 Id.
32 See Auction 901 Procedures Public Notice, 27 FCC Rcd at 4746-47, 4766-67 ¶¶ 64-66, 147.
33 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).
34 See Auction 901 Procedures Public Notice, 27 FCC Rcd at 4748-49 ¶¶ 71-77.
9

---

VI.

POST-AUCTION INFORMATION

A.

Post-Auction Procedures

44. 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.35 Winning bidders will use the new FCC Form 680 and the FCC Auction system to submit
the long-form application.36 Further filing instructions will be provided to auction winners at the close of
the auction.

VII.

CONTACT INFORMATION

45. For further information concerning Auction 901, please contact:

General Auction Information

FCC Auctions Hotline

General Auction Questions
(888) 225-5322, option two; or
Auction Process and Procedures
(717) 338-2868

Auction 901 Legal Information

Auctions and Spectrum Access Division

Auction Rules, Policies, Regulations, including
(202) 418-0660
Reports of section 1.21002 Violations and
Sayuri Rajapakse
Application Modifications

General Universal Service Questions

Wireline Competition Bureau

(202) 418-7400
Alex Minard

Technical Support

FCC Auctions Technical Support Hotline

Electronic Filing
(877) 480-3201, option nine; or (202) 414-1250
FCC Auction System (Hardware/Software
(202) 414-1255 (TTY)
Issues)
Hours of service: 8:00 a.m. – 6:00 p.m. ET,
Monday through Friday
46. To request materials in accessible formats (Braille, large print, electronic files, audio format)
for people with disabilities, send an email to fcc504@fcc.gov or call the Consumer and Governmental
Affairs Bureau at (202) 418-0530 or (202) 418-0432 (TTY).
- FCC -


35 For more details on these procedures, see Auction 901 Procedures Public Notice, 27 FCC Rcd at 4768-78 ¶¶ 158-
192.
36 See 47 C.F.R. § 54.1005(b).
10

---