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Auction 94 (FM Broadcast) Qualified Bidders

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Released: April 11, 2013

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 13-623
April 11, 2013

AUCTION OF FM BROADCAST CONSTRUCTION PERMITS

85 BIDDERS QUALIFIED TO PARTICIPATE IN AUCTION 94

AU Docket No. 12-239

1. In this Public Notice, the Wireless Telecommunications and Media Bureaus (the “Bureaus”)
identify 85 applicants found to be qualified to bid in the upcoming auction of 112 construction permits in
the FM broadcast service (Auction 94). Bidding in Auction 94 is scheduled to begin on Tuesday,
April 23, 2013.1 This Public Notice contains bidding instructions and other important information
regarding Auction 94. It also addresses the continuing obligations and auction procedures for all
Auction 94 applicants, including those that have not qualified to bid.

I.

QUALIFIED AND NON-QUALIFIED BIDDERS

A.

Qualified Bidders

2. Attachment A to this Public Notice lists the name of each of the 85 qualified bidders, each
qualified bidder’s upfront payment amount, and its maximum eligibility in bidding units. Designation of
an applicant as qualified to bid in the auction indicates that the applicant has provided the certifications
and information concerning its qualifications for participation in the auction and timely submitted a
sufficient upfront payment as required by the Commission’s competitive bidding rules.2


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
”); see also “Auction of FM Broadcast Construction Permits; Status of Short-Form Applications to Participate
in Auction 94,” Public Notice, DA 13-340 (rel. March 8, 2013) (“Auction 94 Status Public Notice”).
2 Under the Commission’s two-phased auction application process, a winning bidder must submit a long-form
application after the close of Auction 94 to demonstrate its qualifications to hold a Commission license or
construction permit and, if a bidding credit is requested, its eligibility for the requested bidding credit. Thus, a
determination that a short-form application is complete and complies with the Commission’s competitive bidding
rules and policies is not determinative of an applicant’s qualifications to hold a license or construction permit, or
entitlement to a bidding credit. See 47 C.F.R. §§ 1.2107 – 1.2109; 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). Commission staff generally considers an applicant’s qualifications and
eligibility for a bidding credit after the auction during the long-form application process. In the event that an
applicant is found unqualified to be a Commission licensee or ineligible for any claimed bidding credit, it will be
liable for any obligations incurred as a result of its participation in the auction. See generally 47 C.F.R. § 1.2109.

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 94 Procedures Public Notice
and subsequent public notices.3 These public notices and other documents related to Auction 94 are
available on the Commission’s auctions website at http://wireless.fcc.gov/auctions/94/. This Public
Notice provides additional guidance.
4. Attachment B to this Public Notice lists the construction permits specified on each qualified
bidder’s short-form application (FCC Form 175). Attachment B also shows, for each qualified bidder
claiming a new entrant bidding credit, whether the applicant claims a bidding credit of 35 percent or 25
percent.
5. To assist in analyzing Auction 94, a file will be made available to the public on the
Auction 94 web site. This file will list each construction permit each qualified bidder in Auction 94
selected on its FCC Form 175. The file will be located under the subheading “General Information” on
the Auction 94 web site (http://wireless.fcc.gov/auctions/94/).

B.

Non-Qualified Bidders

6. Attachment C to this Public Notice lists each applicant that submitted a short-form
application but did not qualify to bid in this auction.4 All applicants, including those who have been
deemed ineligible to bid, remain subject to the Commission’s rules prohibiting certain communications in
connection with Commission auctions.5

II.

REGISTRATION AND BIDDING ACCESS

A.

Registration Materials

7. 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 bidder’s short-form application.
Upon receipt, each qualified bidder should be in possession of the following:
·
At least two RSA SecurID® tokens
·
Integrated Spectrum Auction System (ISAS) Bidder’s Guide
·
FCC Auction Bidder Line telephone number
8. 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.
9. 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, April 17, 2013, 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 each qualified bidder must ensure that it has received all registration information.


3 Auction 94 Procedures Public Notice, 27 FCC Rcd at 14304-05 ¶¶ 10-11; see also Auction 94 Status Public
Notice
.
4 See 47 C.F.R. § 73.5002(b).
5 See 47 C.F.R. §§ 1.2105(c) and 73.5002(d); see also Auction 94 Procedures Public Notice, 27 FCC Rcd at 14305-
10 ¶¶ 12-32.
2

B.

Registration Material Replacement

10. In the event that a bidder’s SecurID® tokens are lost or damaged, only a person who has been
designated as an authorized bidder, the contact person, or the certifying official on the applicant’s short-
form application may request replacements. Any qualified 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

11. The Commission will conduct Auction 94 over the Internet. Each qualified bidder can access
the Integrated Spectrum Auction System (“ISAS” or “FCC Auction System”) at http://auctions.fcc.gov or
http://auctions2.fcc.gov. A bidder choosing to bid electronically should review the Integrated Spectrum
Auction System (ISAS) Bidder’s Guide provided in the registration materials. We remind bidders that
Apple® Mac OS® is not currently supported.
12. In addition to bidding electronically over the Internet, a qualified bidder will also have the
option of bidding by telephone via the Auction Bidder Line. The Auction Bidder Line telephone number
will be supplied in the registration materials sent to each qualified bidder. Any bidder choosing to bid
electronically may use the Auction Bidder Line as an alternative method of bidding. When submitting
bids by telephone, the bidder must allow sufficient time to bid by placing its calls well in advance of the
close of a bidding round.6
13. Each authorized bidder must have its own SecurID® token to bid electronically or by
telephone. 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 94.
14. SecurID® tokens can be recycled. 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.

D.

Bidding Contingency Plan

15. 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, qualified
bidders will receive the Auction Bidder Line telephone number in their registration materials.

III.

BIDDING TOOLS

A.

Mock Auction

16. The Bureaus strongly encourage each qualified bidder to participate in the mock auction that
will be conducted on Friday, April 19, 2013. The mock auction will allow a qualified bidder to
familiarize itself with the FCC Auction System and to ask FCC auction staff and technical support staff
questions about the system and auction conduct. The Bureaus will conduct this auction over the Internet,
and provide the option of bidding by telephone.


6 Because the length of a call to place bids may vary, the bidder should allow a minimum of ten minutes.
3

17. A qualified bidder can access the mock auction at http://auctions.fcc.gov or
http://auctions2.fcc.gov. Bidders choosing to bid electronically should review the Integrated Spectrum
Auction System (ISAS) Bidder’s Guide provided in the registration materials. Any qualified bidder that
wishes to place bids by telephone should use the Auction Bidder Line telephone number supplied in the
Auction 94 registration materials.
18. The mock auction will include 20 of the 112 construction permits: FM598A–FM946C3, and
will follow the rules governing the actual auction.7 The mock auction will be identified as Mock
Auction 74. The FCC Auction System will assume that each bidder submitted an upfront payment
sufficient to give initial (maximum) eligibility (as measured in bidding units) to bid on all 20 of those
construction permits. The mock auction will simulate the start of the auction, and each bidder will be
required to be active on 80 percent of its current bidding eligibility. If a bidder does not meet this
requirement, an activity rule waiver will be automatically applied (if any waivers are available) or its
current eligibility will be permanently reduced (if no waivers remain), possibly eliminating it from further
bidding in the mock auction. A bidder should take advantage of the mock auction to practice taking
actions it might wish to take during Auction 94.
19. The mock auction bidding schedule for Friday, April 19, 2013, will be as follows:
Round 1
10:00 a.m.
-
11:00 a.m. ET
Round 2
12:00 p.m.
-
12:30 p.m. ET
Round 3
1:30 p.m.
-
2:00 p.m. ET
Round 4
2:30 p.m.
-
3:00 p.m. ET
Round 5
3:30 p.m.
-
3:45 p.m. ET

B.

Watchlists

20. The FCC Auction System sets up for each qualified bidder a default watchlist, called “All
Permits,” which contains every construction permit selected on the applicant’s short-form application. A
qualified bidder may create additional watchlists containing construction permits of its own choosing, and
construction permits may appear in multiple watchlists. A bidder may access the FCC Auction System
and begin creating its watchlists upon receipt of the SecurID® tokens. Instructions for creating watchlists
will be provided in the Integrated Spectrum Auction System (ISAS) Bidder’s Guide. Please note that
watchlists created in the mock auction will not display in Auction 94.

C.

Bidder Questions during the Mock Auction and Auction 94

21. FCC auction staff and technical support staff will be available during the 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 place bids
by telephone or to ask questions during the 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.

D.

Bidder Suggestions

22. 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


7 The list will include the first twenty construction permits listed in Attachment A of the Auction 94 Procedures
Public Notice
, 27 FCC Rcd at 14364, Attachment A.
4

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

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

B.

Bidding Schedule

24. Beginning on Tuesday, April 23, 2013, and continuing until further notice, we will conduct
Auction 94 with four rounds of bidding each business day as follows:
Bidding Round
10:00 a.m.
-
11:00 a.m. ET
Bidding Round
12:00 p.m.
-
1:00 p.m. ET
Bidding Round
2:00 p.m.
-
3:00 p.m. ET
Bidding Round
4:00 p.m.
-
5:00 p.m. ET
25. The Bureaus will set the pace of the auction based upon monitoring of the bidding and
assessment of the auction’s progress. We will provide notice of all subsequent schedule changes by
announcement in the FCC Auction System during the course of the auction.

C.

Bid Amounts

26. For each construction permit in Auction 94, the FCC Auction System will provide a
minimum opening bid amount, as previously announced, and up to eight additional bid amounts from
which to choose (for a typical total of nine bid amounts).8 We caution each bidder to select its bid
amounts carefully because each bidder assumes a binding obligation to pay the full bid amount, even if
the bid was mistakenly or erroneously made.9 Moreover, bid withdrawals are not permitted in Auction
94.
27. The Bureaus retain the discretion to change the minimum acceptable bid amounts, the
minimum acceptable bid percentage, the bid increment percentage, the additional bid amounts, the dollar
cap on bid increments, the number of acceptable bid amounts, and the parameters of the formulas used to
calculate bid amounts if the Bureaus determine that circumstances so dictate.10

D.

Round Results

28. Round results will be available approximately ten minutes after the close of each round.
29. Two types of reports will be available to qualified bidders during the auction: (1) publicly
available information, and (2) bidder-specific information available only to that bidder when logged in to
the FCC Auction System. The public information will be available on the FCC Auction System results
page and in downloadable files. When a bidder is logged in to the FCC Auction system, it will have a
selection of “My Bid Reports” available on the FCC Auction System’s bidding page. Information in “My


8 Auction 94 Procedures Public Notice, 27 FCC Rcd at 14337-38 ¶¶ 145-51. Attachment A of the Auction 94
Procedures Public Notice
lists the minimum opening bid amounts for each construction permit offered in Auction
94.
9 See 47 C.F.R. § 1.2104(g).
10 Auction 94 Procedures Public Notice, 27 FCC Rcd at 14337-38 ¶¶ 145-51.
5

Bid Reports” allows only the respective bidder to view all of its actions in the current and previous rounds
of the auction.
30. Detailed instructions for reviewing and downloading round results are provided in the
Integrated Spectrum Auction System (ISAS) Bidder’s Guide. The bidder’s guide is included with
qualified bidders’ registration materials and is available in electronic form through the “HELP” link in the
FCC Auction System.

V.

APPLICANTS’ CONTINUING OBLIGATIONS

A.

Prohibited Communications

31. The Bureaus remind applicants that sections 1.2105(c) and 73.5002(d) of the Commission’s
rules prohibit applicants for construction permits in any of the same geographic license areas from
communicating with another applicant about bids, bidding strategies, or settlements, which may include
communications regarding post-auction market structure, unless each applicant has identified the other
applicant on its short-form application as a party with which the applicant has entered into an agreement
under section 1.2105(a)(2)(viii).11 The “geographic license area” is the market designation of the
particular service.12 For the FM service, the market designation is the particular vacant FM allotment
(e.g., Freer, Texas, Channel 288, Construction Permit MM-FM598-A). In Auction 94, the prohibition on
certain communications would apply to any applicants that selected any of the same allotments or
construction permits. Therefore, applicants that have applied to bid for an FM construction permit for the
same allotment must not engage in any prohibited communication after the short-form application filing
deadline. In addition, even if an auction applicant selected only one FM allotment in common with
another Auction 94 applicant, the two applicants may not communicate with each other about bids or
bidding strategy relating to any FM allotment selected by either applicant.13 An applicant is prohibited
from communicating not only about its own bids or bidding strategy, but also from communicating about
another applicant’s bid or bidding strategy.
32. The prohibition on certain communications in sections 1.2105(c) and 73.5002(d) took effect
for Auction 94 at the short-form application filing deadline, 6:00 p.m. ET on February 6, 2013, and
extends until the post-auction down payment deadline, which will be announced in a public notice
released shortly following close of bidding.14

The prohibition applies to each applicant regardless of
whether such applicant becomes a qualified bidder or actually bids.

15 For further information on the
prohibition, applicants should refer to the Auction 94 Procedures Public Notice.16


11 47 C.F.R. §§ 1.2105(a)(2)(viii), 1.2105(c)(1), 73.5002(d). 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).
12 See generally Part 1 Seventh Report and Order, 16 FCC Rcd at 17549 n.12.
13 Id., 16 FCC Rcd at 17548-50 ¶¶ 4-8.
14 47 C.F.R. § 1.2105(c)(1).
15 For example, the Commission imposed a forfeiture in the amount of $100,000 for violation of 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), petition for 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 Wisconsin, Inc.
, Decision and Order, 608 F. Supp. 2d 1049 (D. Wisc. 2008).
6

B.

Disclosure Obligations and Possible Sanctions

33. Section 1.2105(c)(6) requires any applicant that makes or receives a communication that
appears to violate section 1.2105(c) to report such communication in writing to the Commission
immediately, and in no case later than five business days after the communication occurs.17 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.18
34. 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 a bidding arrangement,
agreement, or understanding after the short-form filing application deadline.19
35. 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 1.2105(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. The Commission amended section 1.2105(c) to minimize the risk of inadvertent
dissemination by requiring a party to file only a single report and to file that report with Commission
personnel expressly charged with administering the Commission’s auctions.20 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.21 Any such report must be filed immediately, and in no case later
than five business days after the communication occurs, with the Chief of the Auctions and Spectrum
Access Division, Wireless Telecommunications Bureau, 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.
36. 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.22





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).
16 Auction 94 Procedures Public Notice, 27 FCC Rcd at 14305-10 ¶¶ 12-32.
17 47 C.F.R. § 1.2105(c)(6); see also Part 1 Seventh Report and Order, 16 FCC Rcd at 17555 ¶ 17(“[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).” Id. at 17552 ¶ 12).
18 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).
19 Part 1 Seventh Report and Order, 16 FCC Rcd at 17550-51 ¶ 9.
20 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) (“Part 1 Procedural Amendments Order”).
21 Id.
22 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).
7

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 about the procedures for submitting such a report.23 The Auction 94 Procedures Public Notice
provides additional guidance on procedures for submitting application-related information.24
37. Any 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 agreement or arrangement entered into relating
to the competitive bidding process, including any agreement relating to the post-auction market
structure.25
38. Any applicant found to have violated section 1.2105(c) of the Commission’s rules may be
subject to sanctions.26 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 or the Commission’s rules 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 it may be prohibited from participating in future auctions, among other sanctions.27

C.

Submission of Auction-Related Filings

39. 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 e-mail to
the attention of Margaret Wiener, Chief, Auctions and Spectrum Access Division, at the following
address: auction94@fcc.gov. The e-mail summarizing the changes must include a subject or caption
referring to Auction 94 and the name of the applicant.
40. A party wishing to submit a request, a complaint, or other information concerning Auction 94
should, in addition to following other procedures prescribed by the Commission’s rules, send a copy by
e-mail to the attention of Margaret Wiener, Chief, Auctions and Spectrum Access Division, at the
following address: auction94@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.
41. Finally, parties wishing to make suggestions concerning Auction 94 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 asking time-sensitive questions that need an immediate
response.) Commission staff considers all suggestions, but may not always provide an individualized
response.


23 See Section VII, “Contact Information,” below.
24 See Auction 94 Procedures Public Notice, 27 FCC Rcd at 14309-10 ¶¶ 25-30, 14324-25 ¶¶ 81-87.
25 See 47 C.F.R. § 1.2107(d).
26 See 47 C.F.R. §§ 1.2105(c), 1.2109(d).
27 See 47 C.F.R. § 1.2109(d).
8

D.

Duty to Maintain Accurate Information in Short-Form Applications

42. Each applicant must maintain the accuracy and completeness of information furnished in its
short-form application (FCC Form 175), including any attachments.28 Sections 1.65(a) and 1.2105(c) of
the rules require an applicant in a competitive bidding proceeding to furnish additional or corrected
information within five days of a significant occurrence, or to amend its short-form application no more
than five days after the applicant becomes aware of the need for amendment.29 The Commission has
established a five-day reporting requirement to facilitate the auction process, by making the information
available promptly to all participants and enabling the Bureaus to act expeditiously on those changes
when such action is necessary.30 Therefore, an applicant must amend its short-form application to furnish
additional or corrected information as promptly as possible, and in no case more than five business days
after the applicant becomes aware of the need for amendment or five business days after the reportable
event occurs, whichever is later.31
43. 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 e-mail to the attention of
Margaret Wiener, Chief, Auctions and Spectrum Access Division, at the following address:
auction94@fcc.gov. The e-mail summarizing the change must include a subject or caption referring to
Auction 94 and the name of the applicant. The Bureaus request that parties format any attachments to
e-mail 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.
44. 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 contact information).32 A
major modification (e.g., construction permit selection change, newly claimed or increased bidding credit,
or changing control of the applicant) will not be accepted.33 Any change affecting an applicant’s
eligibility for a new entrant bidding credit, insofar as it results in the reduction or loss of the credit
originally claimed on the Form 175 application, must be reported immediately, and no later than five
business days after the change occurs.34 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. In cases of
diminished bidding credit eligibility, the Commission will make appropriate adjustments in the bidding
credit prior to the computation of any down and final payment amounts due.


28 See 47 C.F.R. § 1.65. 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.
29 Part 1 Procedural Amendments Order, 25 FCC Rcd at 523 ¶ 8.
30 Id., 25 FCC Rcd at 523 ¶¶ 7-8.
31 See 47 C.F.R. § 1.2105(b)(4); see also Part 1 Procedural Amendments Order, 25 FCC Rcd at 521.
32 See 47 C.F.R. § 1.2105(b).
33 Id.
34 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 Proposed Rule Making, FCC 10-24, 25 FCC Rcd
1583, 1611-14 ¶¶ 57-63 (2010). See also 47 C.F.R. § 73.5007(a).
9

E.

Ex Parte

Rule

45. Applicants should also be aware that the Commission has generally treated mutually
exclusive short-form applications as exempt proceedings and, therefore, not subject to the ex parte
prohibitions that pertain to restricted proceedings.35

F.

Due Diligence

46. We remind each potential bidder that it is solely responsible for investigating and evaluating
all technical and marketplace factors that may have a bearing on the value of the construction permits
being offered in Auction 94. The Commission makes no representations or warranties about the use of
this spectrum for particular services. We strongly encourage each potential bidder to conduct its own
research prior to the beginning of bidding in Auction 94 in order to determine the existence of pending
proceedings, pleadings, applications, or authorizations that might affect its decisions regarding
participation in the auction. Each potential bidder is solely responsible for identifying associated risks
and for investigating and evaluating the degree to which such matters may affect its ability to bid on,
otherwise acquire, or make use of any specific construction permit available in Auction 94. In addition,
each potential bidder should perform sufficient technical 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 comply fully with the Commission's technical and legal requirements.
47. Each participant must continue such research throughout the auction. For further details
regarding due diligence, please refer to the Auction 94 Procedures Public Notice under Section I.B.3.36

VI.

POST-AUCTION PROCEDURES

48. Shortly after bidding has ended, the Commission will release a public notice declaring the
auction closed, identifying the winning bidders, and establishing the deadlines for submitting down
payments and final payments.37 Each winning bidder will have ten business days following the release of
that public notice to make down payments. Final payments will be due ten business days after the
deadline for submitting down payments for this auction.
49. Each winning bidder must electronically file a complete and accurate long-form application
(FCC Form 301), including required exhibits, for each construction permit won through Auction 94
within the time periods announced in the auction closing public notice.38 Any winning bidder claiming
new entrant status must include an exhibit demonstrating its eligibility for the bidding credit.39 Further
filing instructions will be provided to auction winners at the close of the auction.40 Further information
regarding these post-auction procedures is contained in the Auction 94 Procedures Public Notice and will
be provided in the public notice announcing the winning bidders.41


35 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.
36 See Auction 94 Procedures Public Notice, 27 FCC Rcd at 14311-13 ¶¶ 35-41.
37 For more detail, see Auction 94 Procedures Public Notice, 27 FCC Rcd at 14340-41 ¶¶ 166-72.
38 See 47 C.F.R. §§ 1.2107, 73.5005(a). See also Implementation of Section 309(j) of the Communications Act –
Competitive Bidding for Commercial Broadcast and Instructional Television Fixed Service Licenses, MM Docket
No. 97-234, First Report and Order, FCC 98-194, 13 FCC Rcd 15920, 15984-85 ¶¶ 163-64 (1998).
39 See 47 C.F.R. §§ 73.5005, 73.5007, 73.5008.
40 See 47 C.F.R. §§ 1.2107, 1.2109(a), 73.3573, 73.5003, 73.5005, 73.5006(d).
41 See Auction 94 Procedures Public Notice, 27 FCC Rcd at 14340-41 ¶¶ 166-72; see also 47 C.F.R. §§ 1.2107,
1.2109(a).
10

VII.

CONTACT INFORMATION

50. For further information concerning Auction 94, 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 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
(202) 418-0660
Reports of section 1.2105(c) Violations and
Howard Davenport (Attorney)
Application Major Modifications
Lynne Milne (Attorney)

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

FCC Auctions Accounting Group

Instructions for Wiring Payments
(202) 418-0578
Gail Glasser
(202) 418-2945
Theresa Meeks
51. 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 -
11

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