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Auction 94 (FM Broadcast) Application Status

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Released: March 8, 2013

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 13-340

March 8, 2013

AUCTION OF FM BROADCAST CONSTRUCTION PERMITS

STATUS OF SHORT-FORM APPLICATIONS TO PARTICIPATE IN AUCTION 94

AU Docket No. 12-239

1.
By this Public Notice, the Wireless Telecommunications and Media Bureaus (collectively
the “Bureaus”) announce the status of the 109 short-form applications received for Auction 94. This
auction, which is scheduled to begin on Tuesday, April 23, 2013, will offer 112 construction permits in
the FM broadcast service.1 This Public Notice also provides other important information and reminders
relating to the auction.

I.

SHORT-FORM APPLICATIONS AND UPFRONT PAYMENTS

A.

Status of Short-Form Applications

2.
The short-form applications (FCC Forms 175) for Auction 94 have been reviewed for
completeness and compliance with the Commission’s rules, and have been classified into the categories
listed below.

Complete

.......................................................................... 88 applications

Incomplete

....................................................................... 21 applications
3.

Complete Applications.

Attachment A to this Public Notice lists the short-form
applications for Auction 94 that are accepted for filing and complete. Each of these applicants will
become a qualified bidder upon receipt by the Commission of the required upfront payment by the March
18, 2013, deadline described below.2 Each applicant must also maintain the accuracy of its short-form
application as required by sections 1.65 and 1.2105 of the Commission’s rules.3 Attachment A indicates


1 See “Auction of FM Broadcast Construction Permits Rescheduled for April 23, 2013; Notice and Filing
Requirements, Minimum Opening Bids, Upfront Payments, and Other Procedures for Auction 94,” AU Docket No.
12-239, Public Notice, DA 12-1865, 27 FCC Rcd 14299 (WTB/MB 2012) (“Auction 94 Procedures Public
Notice
”). A summary of this public notice was published at 78 Fed. Reg. 2260 (Jan. 10, 2013).
2 See section I.B., below; see also 47 C.F.R. § 1.2106 (upfront payment rule).
3 47 C.F.R. §§ 1.65, 1.2105(c). Sections 1.65(a) and 1.2105(c) of the Commission’s rules require each applicant in a
competitive bidding proceeding to furnish additional or corrected information within five days of a significant

the construction permits selected by each applicant on its short-form application. If an applicant claimed
a new entrant bidding credit,4 the applicant’s claimed bidding credit percentage for each construction
permit is indicated as 35 percent or 25 percent.
4.
Designation of an application as complete indicates 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 a long-form application after the close of the auction to
demonstrate its qualifications to hold a Commission construction permit or license and, if a bidding credit
is requested, its eligibility for the bidding credit requested.5 Thus, a determination that a short-form
application is complete and complies with the Commission’s competitive bidding rules and policies is not
determinative of an applicant’s qualifications to hold a license or of entitlement to a bidding credit. In the
event that an applicant is found unqualified to be a Commission permittee or licensee or is ineligible for
claimed designated entity benefits, it will be liable for any obligations incurred as a result of its
participation in the auction.6

5.

Incomplete Applications.

Attachment B to this Public Notice lists the short-form
applications for Auction 94 that are accepted for filing but 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 applicant must make the required
upfront payment and resubmit its application, having corrected any deficiencies, by the March 18, 2013,
deadline.7 Each applicant must also maintain the accuracy of its short-form application as required by
sections 1.65 and 1.2105 of the Commission’s rules.8

B.

Upfront Payments

6.
Upfront payments and accompanying FCC Remittance Advice forms (FCC Form 159,
Revised 2/03) for Auction 94 are due in the proper account at U.S. Bank, St. Louis, Missouri, by 6:00
p.m. Eastern Time (ET) on Monday, March 18, 2013.
In order to meet the Commission’s upfront
payment deadline, an applicant’s payment must be credited to the Commission’s account by the deadline.
Payments must be made by wire transfer only in accordance with the instructions provided in the






occurrence, or to amend its short-form application no more than five days after the applicant becomes aware of the
need for amendment. See Procedural Amendments to Commission Part 1 Competitive Bidding Rules, WT Docket
No. 10-18, Order, FCC 10-4, 25 FCC Rcd 521, 523 ¶ 8 (2010) (“Part 1 Procedural Amendments Order”). See also
47 C.F.R. § 1.2105(c)(6) (any applicant that makes or receives a prohibited communication must report such
communication in writing to the Commission no later than five business days after the communication occurs); 47
C.F.R. § 73.5007(a) (changes in circumstances underlying an applicant’s new entrant bidding credit eligibility claim
must be reported immediately and no later than five business days after the change occurs).
4 The new entrant bidding credit is not available to an applicant if it, and/or any individual or entity with an
attributable interest in the applicant, has an attributable interest in more than three media of mass communications,
or in any existing media of mass communications in the “same area” as the broadcast facility proposed in this
auction. 47 C.F.R. § 73.5007. See 47 C.F.R. § 73.5007(b)(1)-(3) for the specific service definitions of “same
area.”
5 See 47 C.F.R. §§ 1.2107, 1.2109, 73.5005; see also Implementation of Section 309(j) of the Communications Act –
Competitive Bidding, PP Docket No. 93-253, Second Report and Order, FCC 94-61, 9 FCC Rcd 2348, 2376-77
¶¶ 163-168 (1994).
6 See generally 47 C.F.R. § 1.2109.
7 See 47 C.F.R. §§ 1.2105(b), 1.2106.
8 47 C.F.R. §§ 1.65, 1.2105.
2

Auction 94 Procedures Public Notice

.9 No other payment method is acceptable for this auction.10 Each
applicant is reminded to provide its FCC Registration Number (“FRN”) on the FCC Form 159 and to
submit the same FRN with all future payments for Auction 94. At least one hour before placing the order
for the wire transfer (but on the same business day), each applicant must fax a completed FCC Form 159
to U.S. Bank at (314) 418-4232.
7.
Each applicant is responsible for ensuring timely submission of its upfront payment and for
timely filing of an accurate and complete FCC Remittance Advice Form (FCC Form 159). An applicant
should coordinate with its financial institution well ahead of the due date regarding its wire transfer and
allow sufficient time for the wire transfer to be initiated and completed prior to the deadline. The
Commission has repeatedly cautioned auction participants about the importance of planning ahead to
prepare for unforeseen last-minute difficulties in making payments by wire transfer.11 Each applicant
should obtain confirmation from its financial institution that its wire transfer was successful and from
Commission staff that the applicant’s payment has been received by the Commission in the proper
account. For confirmation from the Commission, an applicant may contact Gail Glasser of the Office of
Managing Director’s Auctions Accounting Group at (202) 418-0578, or Theresa Meeks at (202) 418-
2945. Detailed information regarding upfront payments, including additional requirements for “former
defaulters,” can be found in the Auction 94 Procedures Public Notice under section II.F. and section
III.D.12

C.

Short-Form Application Changes and Resubmission

8.
Each applicant whose application for Auction 94 has been identified as incomplete must
address defects in its application during the resubmission window, which is now open.13 Corrected
applications must be filed prior to 6:00 p.m. ET on Monday, March 18, 2013. This will be the only
opportunity to cure application defects. Late resubmissions will not be accepted. An applicant that filed
an application deemed to be incomplete or otherwise deficient, as noted in Attachment B to this Public
Notice, must submit a timely and sufficient upfront payment before the Commission will review its
resubmitted application. If an application is incomplete or otherwise deficient after the resubmission
deadline has passed or if the required upfront payment is not made by the specified deadline, the applicant
will not be permitted to participate in bidding.14
9.
The Bureaus are sending a letter to each applicant whose application has been deemed
incomplete identifying the deficiencies found during the staff’s initial review of the application. These
deficiency letters are being sent via overnight delivery to the contact person and contact address listed on
each incomplete application.


9 See Auction 94 Procedures Public Notice, 27 FCC Rcd at 14327-28 ¶¶ 98-103. A wire transfer is a transaction that
is initiated through an applicant’s bank. It authorizes the bank to wire funds from an applicant’s account to the
Commission’s account.
10 The Commission will not accept checks, credit cards, or automated clearing house (“ACH”) payments.
11 See, e.g., Letter to Lee G. Petro, Esq., from Margaret W. Wiener, Chief, Auctions and Spectrum Access
Division, DA 10-1270, 25 FCC Rcd 9046 (2010); Letter to David G. O’Neil, Esq. from Margaret W. Wiener,
Chief, Auctions and Spectrum Access Division, DA 08-622, 23 FCC Rcd 4765 (2008).
12 See Auction 94 Procedures Public Notice, 27 FCC Rcd at 14321-23 ¶¶ 73-78, 14327-30 ¶¶ 98-109.
13 47 C.F.R. § 1.2105(b)(2).
14 Each of these applicants will retain its status as an applicant in Auction 94 and will remain subject to the
Commission’s rules prohibiting certain communications, 47 C.F.R. §§ 1.2105(c) and 73.5002(d), but will not be
eligible to bid. See Broadcast First Report and Order, 13 FCC Rcd at 15979-80 ¶ 153.
3

10. 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 1.2105 of the Commission’s
rules require an applicant to maintain the accuracy and completeness of information furnished in its
pending short-form application.15 Each applicant should 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.16 To the extent that changes may be made
directly in the electronic Form 175 at the time of the amendment, an applicant must modify its short-form
application electronically.17 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: auction94@fcc.gov. Questions
about changes should be directed to the Auctions and Spectrum Access Division at (202) 418-0660.
11. The electronic Form 175 will not permit an applicant to make certain modifications to its
application (e.g., change the applicant’s name, change their construction permit selections, change the
certifying official, claim eligibility for a higher percentage of bidding credit or change their identification
of the application’s proposed facilities as noncommercial educational).18 Administrative and minor
changes can be made, including, for example, deletion and addition of authorized bidders (to a maximum
of three), revision of addresses and telephone numbers of the applicants and their contact persons, and
changes to responsible party. While changes can be made to ownership and agreement information,19 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 agreements that would constitute violations of section
1.2105(c).20 If any application is changed to effect a major amendment, such as a change in control,21 the
applicant will be ineligible to bid in the auction.22


15 47 C.F.R. §§ 1.65, 1.2105.
16 Id.
17 During the resubmission phase, applicants will have electronic access to update the following application fields:
jurisdiction of formation/country of citizenship, applicant address, responsible party information, responsible party
address, contact information, contact address, authorized bidder information, bidding option (telephonic or
electronic), agreement information, and ownership information. During all phases of the application process,
applicants have electronic access to make certain administrative changes including updates to: applicant address,
responsible party address, contact information, contact address, and bidding option (telephonic or electronic).
18 47 C.F.R. § 1.2105(b)(2). The Commission’s electronic Form 175 is designed to prevent inadvertent major
changes by applicants. Therefore, applicants are not permitted to make changes to the following data fields after
the short-form filing deadline: applicant name, legal classification, certifier, bidding credit, and permit selection.
19 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 94
Procedures Public Notice
, 27 FCC Rcd at 14324-25 ¶¶ 81-87 and Attachment B at 14357.
20 See 47 C.F.R. § 1.2105(b) – (c).
21 See Letter to Koch Broadcasting Corp. and Birach Broadcasting Corp. from Margaret W. Wiener, Chief,
Auctions & Spectrum Access Div. and Peter H. Doyle, Chief, Audio Div., DA 06-38, 21 FCC Rcd 147 (2006)
(dismissing short-form application filed for AM Auction 84 by Koch due to major amendment changing control to
Birach).
22 See 47 C.F.R. § 1.2105(b)(2).
4

II.

OTHER IMPORTANT AUCTION 94 INFORMATION

12.

Qualified Bidders.

Approximately three weeks after the upfront payment deadline,
following Commission review of resubmitted short-form applications and the correlation of payments and
applications, a public notice listing all applicants qualified to bid in Auction 94 will be released. The
same public notice will also include bidding schedules for both the mock auction and the first day of
bidding.
13.

Due Diligence.

Potential bidders are solely responsible for investigating and evaluating all
technical and marketplace factors that may have a bearing on the value of the broadcast facilities being
offered in Auction 94. The Commission makes no representations or warranties about the use of this
spectrum for particular services. We strongly encourage potential bidders to conduct their own research
prior to the beginning of bidding in order to determine the existence of pending proceedings, pleadings,
applications, or authorizations that might affect their decisions regarding participation in the auction.
Potential bidders should also review all underlying Commission orders, such as the specific report and
order amending the FM Table of Allotments and allotting the FM channel(s) on which they plan to bid.23
Additionally, a potential bidder should perform technical analyses and/or refresh any previous analyses to
assure itself that, should it be a winning bidder for any Auction 94 construction permit, it will be able to
build and operate facilities that will fully comply with the Commission’s current technical and legal
requirements. Participants in this auction should continue such research throughout the auction. For
further details regarding due diligence, please refer to the Auction 94 Procedures Public Notice, section
I.B.3.24
14.

New Entrant Bidding Credit Eligibility.

An applicant seeking a new entrant bidding
credit must have indicated on its short-form application that it is claiming eligibility for a credit, along
with the percentage of the bidding credit it is claiming.25 The bidding credit percentage indicated on the
short-form application as of the February 6, 2013, filing deadline is the maximum level of bidding credit
that an applicant can claim for this auction. Circumstances may arise after the short-form application
deadline under which an applicant may no longer be eligible to claim a bidding credit or may only be
eligible for a bidding credit at a lower percentage. This might be the case, for example, where the
applicant or one of its attributable interest holders acquires an interest in another radio station after the
February 6, 2013, deadline.26 Any change affecting eligibility for the new entrant bidding credit must be
reported immediately, and no later than five business days after the change occurs,27 if the change could
result in the reduction or loss of the credit originally claimed on the short-form application.28 To report


23 See 47 C.F.R. § 73.202. The interactive auction tutorial for Auction 94 provides additional information on
accessing an underlying allotment order. The auction tutorial may be accessed from the FCC’s Auction 94 web
page at http://wireless.fcc.gov/auctions/94/ through the “Auction Tutorial” link.
24 See Auction 94 Procedures Public Notice, 27 FCC Rcd at 14311-13 ¶¶ 34-41.
25 47 C.F.R. § 73.5007.
26 Additional information on the new entrant bidding credit may be found in the Auction 94 Procedures Public
Notice
, 27 FCC Rcd at 14317-20 ¶¶ 60-69.
27 An applicant’s obligation to make such amendment or modification to its pending application continues until it
is made. See 47 C.F.R. §§ 1.65, 1.2105(b)(4), 73.5007(a); see also Part 1 Procedural Amendments Order, 25 FCC
Rcd at 522-23 ¶¶ 6-8.
28 The Commission has recognized that changes occurring subsequent to the short form filing deadline which
could serve as the basis for reducing or eliminating an applicant’s previously claimed bidding credit eligibility
may arise in a wide range of circumstances. See Policies to Promote Rural Radio Service and to Streamline
Allotment and Assignment Procedures, MB Docket No. 09-52, First Report and Order and Further Notice of
5

any change regarding its new entrant bidding credit eligibility claim, an applicant must submit a letter
briefly summarizing the change by e-mail to the attention of Margaret Wiener, Chief, Auctions and
Spectrum Access Division, Wireless Telecommunications Bureau, at the following address:
auction94@fcc.gov.
15.

Prohibition of Certain Communications.

The Bureaus remind applicants that sections
1.2105(c) and 73.5002(d) of the Commission’s rules prohibit applicants for any of the same geographic
license areas from communicating with each other about bids, bidding strategies, or settlements, which
may include communications regarding the post-auction market structure, unless they have identified
each other on their short-form applications as parties with which they have entered into agreements under
section 1.2105(a)(2)(viii).29 In broadcast services, the “geographic license area” is the market designation
of the particular service.30 For the FM service, the market designation is the particular vacant FM
allotment. In Auction 94, this rule applies to applicants designating on the short-form application any of
the same FM allotments.31
16. This prohibition took effect as of the short-form application filing deadline, which for
Auction 94 was February 6, 2013, at 6:00 p.m. ET, and extends until the post-auction down payment
deadline, which will be announced in a public notice released shortly following close of bidding.32

The
prohibition applies to all applicants regardless of whether such applicants become qualified
bidders, submit an upfront payment, or actually bid.

33
17. We also emphasize that, for purposes of this prohibition, an “applicant” includes all
controlling interests of the entity submitting a short-form application to participate in the auction —
including all officers and directors of that entity and all holders of partnership and other ownership
interests and any stock interest amounting to 10 percent or more of the entity, or outstanding stock, or





Proposed Rule Making, FCC 10-24, 25 FCC Rcd 1583, 1611-14 ¶¶ 57-63 (2010). See also 47 C.F.R. §
73.5007(a).
29 47 C.F.R. §§ 1.2105(a)(2)(viii), 1.2105(c)(1). See also Amendment of Part 1 of the Commission’s Rules —
Competitive Bidding Procedures, WT Docket No. 97-82, Seventh Report and Order, FCC 01-270, 16 FCC Rcd
17546 (2001) (“Part 1 Seventh Report and Order”); Order on Reconsideration of the Third Report and Order, Fifth
Report and Order
, and Fourth Further Notice of Proposed Rule Making, FCC 00-274, 15 FCC Rcd 15293, 15297-
98 ¶¶ 7-8 (2000).
30 Part 1 Seventh Report and Order, 16 FCC Rcd at 17549 n.12.
31 Additional guidance on the requirements of sections 1.2105(c) and 73.5002(d) may be found in the Auction 94
Procedures Public Notice. See Auction 94 Procedures Public Notice
, 27 FCC Rcd at 14305-10 ¶¶ 12-32.
32 47 C.F.R. § 1.2105(c)(1).
33 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 (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 applicants regardless of whether they are 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., Decision and Order, Case No. 07-C-715, 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 the rule, even
though the applicant never made an upfront payment for the auction and was not listed as a qualified bidder).
6

outstanding voting stock of the entity submitting a short-form application.34 Thus, for example, a
violation of section 1.2105(c) 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.35 Therefore, applicants should continue to take precautionary steps to prevent
prohibited communications between any of the entities or persons described covered by the prohibition.36
18. If parties had agreed in principle on all material terms of a bidding agreement(s), those
parties must have been identified on the short-form application under section 1.2105(c), even if the
agreement had not been reduced to writing. If parties had not agreed in principle by the short-form
application filing deadline on February 6, 2013, an applicant should not have included the names of those
parties on its application, and must not have continued negotiations.37
19.

Disclosure Obligations and Possible Sanctions.

Sections 1.65 and 1.2105(c) of the
Commission’s rules require each auction applicant to maintain the accuracy and completeness of
information furnished in its pending application and to provide additional or corrected information within
five days of a significant occurrence, or amend its short-form application no more than five days after the
applicant becomes aware of the need for amendment.38 In addition, section 1.2105(c)(6) requires each
auction applicant to report a prohibited discussion or disclosure regarding bids or bidding strategy to the
Commission in writing immediately, but in no case later than five business days after the communication
occurs, even if the communication does not result in an agreement or understanding regarding bids or
bidding strategy that must be reported under section 1.65.39 The Commission has clarified that 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.40
20.

Reporting Prohibited Communications

. A party reporting a communication pursuant to
sections 1.65 or 1.2105(c) must take care to ensure that any such report of a prohibited communication
does not itself give rise to a violation of section 1.2105(c). For example, a party’s report of a prohibited
communication could violate the rule by communicating prohibited information to other applicants
through the use of Commission filing procedures that would allow such materials to be made available for
public inspection.
21. The Commission amended section 1.2105(c) to minimize the risk of inadvertent


34 47 C.F.R. § 1.2105(c)(7)(i).
35 See Lotus Communications Corp., Order, DA 08-1364, 23 FCC Rcd 9107 (2008); Letter to Colby M. May from
Barbara A. Kreisman, Chief, Video Div., and Margaret W. Wiener, Chief, Auctions & Spectrum Access Div., DA
05-2445, 20 FCC Rcd 14648 (2005) (finding apparent violation of 47 C.F.R. § 1.2105(c) where applicants with
mutually exclusive applications reported sharing same individual as an officer and director and reported no
agreement).
36 See Application of Nevada Wireless, Memorandum Opinion and Order, DA 98-1137, 13 FCC Rcd 11973, 11977-
78 ¶¶ 11-13 (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 ¶ 13.
37 See Wireless Telecommunications Bureau Clarifies Spectrum Auction Anti-Collusion Rules, Public Notice, DA
95-2244, 11 FCC Rcd 9645 (1995).
38 47 C.F.R. §§ 1.65, 1.2105(c). See also Auction 94 Procedures Public Notice, 27 FCC Rcd at 14309-10 ¶¶ 25-
30.
39 47 C.F.R. § 1.2105(c)(6); see also Part 1 Seventh Report and Order, 16 FCC Rcd at 17555 ¶ 17.
40 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).
7

dissemination of information by requiring any party to file only a single report and to file that report with
Commission personnel expressly charged with administering the Commission’s auctions.41 Pursuant to
the amended rule, any report required by section 1.2105(c) must be filed consistent with the instructions
set forth in the Auction 94 Procedures Public Notice.42 Any such report must be filed immediately with
the Chief of the Auctions and Spectrum Access Division and either submitted by e-mail to
auction94@fcc.gov or delivered 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 report.
22. 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.43
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.44 The Auction 94 Procedures Public
Notice
provides additional guidance on procedures for submitting application-related information.45
23. Each applicant that is a winning bidder will be required to disclose in its long-form
application the specific terms, conditions, and parties involved in any bidding consortia, joint ventures,
partnerships, or other agreements, understandings or arrangements entered into relating to the competitive
bidding process.46 Any applicant found to have violated section 1.2105(c) of the Commission’s rules may
be subject to sanctions.47 In addition, we remind applicants that they are subject to the antitrust laws,
which are designed to prevent anti-competitive behavior in the marketplace. If an applicant is found to
have violated the antitrust laws in connection with its participation in the competitive bidding process, it
may be subject to forfeiture of its upfront payment, down payment, or full bid amount, and may be
prohibited from participating in future auctions.48
24.

Ex Parte Rule.

Applicants should also be aware that the Commission has generally treated
mutually exclusive short-form applications to participate in the auctions process as exempt proceedings
and, therefore, not subject to the ex parte prohibitions that pertain to restricted proceedings.49


41 Part 1 Procedural Amendments Order, 25 FCC Rcd at 522 ¶ 4.
42 Auction 94 Procedures Public Notice, 27 FCC Rcd at 14309-10 ¶¶ 28-30.
43 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).
44 See section III. “Contact Information” below.
45 See Auction 94 Procedures Public Notice, 27 FCC Rcd at 14324-25 ¶¶ 81-87.
46 See 47 C.F.R. § 1.2107(d).
47 See 47 C.F.R. §§ 1.2105(c), 1.2107(d), and 1.2109(d).
48 47 C.F.R. § 1.2109(d).
49 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). See also 47 C.F.R. § 1.1202(d)(1) Note 1.
8

25.

Mock Auction.

All applicants found to be qualified bidders will be eligible to participate in
a mock auction on Friday, April 19, 2013. The Bureaus encourage all qualified bidders to take advantage
of this opportunity to become familiar with the FCC’s Integrated Spectrum Auction System (“ISAS” or
“FCC Auction System”). In the public notice announcing the qualified bidders, the Bureaus will
announce the bidding schedule for the mock auction. The mock auction will be conducted over the
Internet, and telephonic bidding will be available as well.
26.

Electronic Bidding.

Applicants are reminded that qualified bidders are eligible to bid either
electronically or telephonically and should specify their bidding preference on the FCC Form 175, if they
have not already done so.
27. Bidders can access the FCC Auction System over the Internet. The following software is
required to use the FCC Integrated Spectrum Auction System:
·
Web Browser, either of the following is recommended:
o Microsoft® Internet Explorer 7.0, with either Microsoft VM or Java Plug-In.
o Mozilla® Firefox® 3.5 or later, with Java Plug-In.
To obtain the Java Plug-In, point your browser at
http://www.oracle.com/technetwork/java/javase/downloads/index.html and click the
Download JRE button under Java Platform, Standard Edition.
·
PDF Viewer: Adobe Acrobat Reader 5.0 or higher (available at http://www.adobe.com)
·
Minimum Screen Resolution: 1024 x 768
28. Currently, the Apple® Mac OS® is not supported.
29.

Post-Auction Procedures.

Shortly after bidding has ended, the Commission will issue a
public notice declaring the auction closed, identifying the winning bidders, and establishing the deadlines
for submitting down payments and final payments.50 Winning bidders must submit electronically a
properly-completed long-form application (FCC Form 301) and required exhibits for each construction
permit won through Auction 94. Further filing instructions will be provided to auction winners at the
close of the auction.

III.

CONTACT INFORMATION

30. 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
overnight mail.
31. For further information concerning Auction 94, contact:

General Auction Information

FCC Auctions Hotline

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


50 For more details on these payments and procedures, see Auction 94 Procedures Public Notice, 27 FCC Rcd at
14340-42 ¶¶ 166-74.
9

Auction 94 Process and Procedures

Auctions and Spectrum Access Division

(202) 418-0660
Jeff Crooks (Analyst)
Linda Sanderson (Project Manager)

Auction 94 Legal Information

Auctions and Spectrum Access Division

Auction Rules, Policies, Regulations, including
(202) 418-0660
Reports of section 1.2105(c) Violations and
Howard Davenport (Attorney)
Application Modifications

Licensing Information

Audio Division

Service Rules, Policies, Regulations
(202) 418-2700
Licensing Issues, Engineering Issues
Lisa Scanlan (Attorney)
Due Diligence, Incumbency Issues
Tom Nessinger (Attorney)

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

Auction Payments

Auctions Accounting Group

Instructions for Wiring Upfront Payments and
(202) 418-0578
Completion of Form 159
Gail Glasser
(202) 418-0945
Theresa Meeks
32. To request materials in accessible formats (Braille, large print, electronic files, audio format)
for people with disabilities, send an e-mail to fcc504@fcc.gov or call the Consumer and Governmental
Affairs Bureau at (202) 418-0530 or (202) 418-0432 (TTY).
–FCC–
10

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