Filing Window For Auction 83 FM Translator Caps Showings
FEDERAL COMMUNICATIONS COMMISSION
News Media Information: (202) 418-0500445 12th STREET, S.W. Internet: https://www.fcc.gov
WASHINGTON, D.C. 20554 TTY: 1-888-835-5322
December 21, 2012
MEDIA BUREAU ANNOUNCES JANUARY 10 – JANUARY 25, 2013 FILING WINDOW FOR
AUCTION 83 FM TRANSLATOR APPLICATION SELECTIONS AND CAPS SHOWINGSOn December 4, 2012, the Federal Communications Commission released Creation of a Low
Power Radio Service, Fifth Order on Reconsideration and Sixth Report and Order.1 The Fifth Order
modified the national cap and the per-market caps adopted earlier this year2 for FM translator applications
pending from the 2003 Auction 83 application window (the “Applications”).3 The Fifth Order directed
the Media Bureau to resume processing the Applications, beginning with implementation of the modified
cap restrictions. By this Public Notice, the Media Bureau (“Bureau”) announces that any applicant that is
subject to either the national cap described below (the “National Cap”) or the per-market cap described
below (the “Appendix A Market Caps”) must submit a. a list of Applications selected for further
processing and/or a list of Applications selected for dismissal (“Selection List”); and b. cap compliance
showings (“Caps Showings”) for the Applications which the applicant has identified for further
processing. Selection Lists and Caps Showings must be submitted during a filing window that begins on
January 10, 2013 and ends on January 25, 2013 (the “Caps Deadline”). All Caps Showings must be based
on facilities specified in the pending Applications. No amendments to Applications will be permitted in
connection with these Caps Showings nor may any Caps Showing assume a future amendment to the
Application. No submission is required for this filing window by any Auction 83 applicant that has fewer
than 51 pending Applications nationally and no more than one pending Application in any of the
Appendix A Markets, as defined below.
1. The National Cap
The National Cap allows each applicant to prosecute up to 70 Applications nationally, provided
that no more than 50 of those Applications are in the markets identified in Appendix A to the Fourth
Report and Order (the “Appendix A Markets”).4 (As indicated in the Fifth Order, an Application is
1 See Creation of a Low Power Radio Service, Fifth Order on Reconsideration and Sixth Report and Order, FCC
12-144 (rel. Dec. 4, 2012) (“Fifth Order”).
2 See Creation of a Low Power Radio Service, Fourth Report and Order and Third Order on Reconsideration, 27
FCC Rcd 3364 (2012) (“Fourth Report and Order”).
3 This includes short-form and long-form Applications. For purposes of this Public Notice, “short-form” refers to
any pending Application submitted as an engineering proposal filed in the March 2003 FM translator Auction 83
filing window. “Long-form” refers to any pending Application for a new translator station or a major modification
filed on FCC Form 349, during July or August of 2003, or May, June, or July of 2008. Each long-form has a
previously filed short-form associated with it.
4 Id., 27 FCC Rcd at 3398-3402. Any applicant that cannot or elects not to comply with the National Cap
Conditions may prosecute up to 50 Applications without complying with those conditions. See Fifth Order at p.
14 n. 83.
considered to be in an Appendix A Market if it specifies a proposed transmitter site within the boundaries
of the Arbitron Metro market.5) For any applicant proposing to prosecute 51-70 Applications nationally,
those Applications that are outside the Appendix A Markets6 will be subject to the following conditions
(collectively, the “National Cap Conditions”):
The applicant must show that the protected (60 dBu) contour (calculated in accordance
with 47 C.F.R. § 74.1204(b) (the “Standard Prediction Method”)) proposed in the
Application does not overlap with the protected (60 dBu) contour (also calculated in
accordance with the Standard Prediction Method) of any other pending FM translator
application by that applicant or FM translator authorization held by that applicant as of
December 4, 2012 (a “No Overlap Showing”).7
The applicant must show that at least one low power FM (“LPFM”) licensing
opportunity will remain at the proposed site if the Application is granted.8
Note:If granted, each Application that specifies a transmitter site that is outside the Appendix A Markets
will have a condition stating that for the first four years of operation, the station cannot be moved to a site
from which (calculated in accordance with the Standard Prediction Method) there is no 60 dBu contour
overlap with the 60 dBu contour proposed in the Application as of December 4, 2012. That is, any
modification during the first four years of operation must maintain 60 dBu contour overlap with the
proposed 60 dBu contour in the Application as of December 4, 2012. Periods of silence will not count for
purposes of this condition. No showing is required for this condition at this time.
2. The Appendix A Market Caps
The Appendix A Market Caps allow each applicant to prosecute up to three Applications in each
Appendix A market, provided that each Application in an Appendix A Market where the applicant is
prosecuting two or three Applications will be subject to the following conditions (collectively, the “Local
The applicant must submit a No Overlap Showing for each Application.10
5 Fifth Order, p. 10 ¶ 28. For “embedded” Arbitron Metro markets, the Fifth Report clarifies how the Appendix A
Market Caps apply to those markets. Id. at pp. 10-11, ¶¶ 29-30.
6 Those applicants with long-form Applications pending may use either the short-form or long-form facilities to
demonstrate compliance with these conditions.
7 See also n. 10 below (contour overlap analysis does not apply across radio markets). When there is a minor
variation in an applicant name but it is clear that the applicant is the same person or entity, this condition applies to
all the Applications and FM translator authorizations of that person or entity, regardless of the name variation. See
Fifth Order at p. 20 n. 113. However, this condition otherwise does not apply to applicant entities under common
control or connected by attributable interests. Id. at p. 20 ¶ 58. This practice will also be applied to the Appendix
A Market Caps.
8 See the attached Appendix explaining preclusion studies.
9 See Fifth Order at p. 18 ¶ 54. Any applicant that cannot or elects not to comply with the Local Cap Conditions
for any Appendix A Market may prosecute a single Application in such a market without complying with those
conditions. Id. at p. 21 ¶ 61.
10 This contour overlap analysis does not apply from one market to another. Therefore, applicants are free to
pursue two or more Applications with contour overlap, provided that their transmitter sites are in different
Appendix A Markets, or one is in an Appendix A Market and one is not. See Fifth Order at p. 20 n. 112.
The applicant must show that grant of the Application would not preclude any future
LPFM licensing opportunities within the grid for that market, under the processing
policy delineated in Section II.B of the Fourth Report and Order,11 or the sole available
LPFM channel at the proposed out of grid transmitter site.12
3. Showings Required For Applicants Electing to Process More Than 50 Applications
and/or More Than One Application in Any Appendix A Market
Each applicant that wishes to prosecute 51-70 Applications nationally and/or two or three
Applications in any Appendix A Market must provide the Commission with the following information on
or after January 10, 2013, but by the Caps Deadline:
A Selection List identifying Applications for further processing and/or dismissal;13
For any applicant that wishes to prosecute 51-70 Applications nationally, a Caps
Showing that each of the Applications selected that are outside the Appendix A Markets
complies with the National Cap Conditions; and
For any applicant that wishes to prosecute two or three Applications in any Appendix A
Market, a Caps Showing that, in each Appendix A Market, each Application selected
complies with the Local Cap Conditions.
If an applicant does not comply with these requirements by the Caps Deadline or submits a
deficient showing,14 the Bureau will:
First apply the National Cap, retaining on file the first 70 filed Applications (by file
number) and then dismissing (1) any Applications beyond the first 70 filed, (2) those
Applications in Appendix A Markets within those 70 Applications that were filed after
the first 50 Applications in Appendix A Markets, and (3) those Applications outside the
Appendix A Markets for which an adequate showing of compliance with the National
Cap Conditions has not been submitted; and
Then apply the Appendix A Market Caps, dismissing all but the first filed Application
by that applicant in each Appendix A Market.
11 Fourth Report and Order, 27 FCC Rcd at 3376-88 ¶¶ 28-49.
12 See the attached Appendix explaining preclusion studies.
13 In the event an applicant includes both “prosecute” and “dismiss” Applications in its Selection List, and there is a
conflict between an applicant’s two lists, the Bureau will (1) act first on the “dismissal” list, and (2) retain those
Applications identified on the “prosecute” list. If doing so results in an applicant’s noncompliance with the National
Cap and/or Appendix A Market Cap(s), we will dismiss Applications in accordance with the procedures set forth in
this Public Notice.
14 Examples of deficient showings by applicants subject to the National Cap and/or the Appendix A Market Caps
appear in the Fifth Order at p. 18 n. 106. We strongly recommend that applicants that need any guidance about
these showings seek it, well before the Caps Deadline, from one of the Media Bureau representatives listed below.
4. The Anti-Collusion Rule Remains In Effect For Auction 83 Applicants
As stated in the Fourth Report and Order, the auctions anti-collusion rule will remain in effect
during the caps selection process.15 We caution Auction 83 applicants against engaging in
communications prohibited by 47 C.F.R. § 1.2105(c) at any point in the caps selection process.
5. How To Submit Selection Lists and Caps Showings
Applicants are cautioned to review their Selection Lists and Caps Showings thoroughly before
submission.16 Amendments to Selection Lists and/or Caps Showings will be permitted during the
window. However, any amendment must be a complete substitute for the prior-filed Selection List and/or
Caps Showings. That is, if a Selection List and/or a Caps Showings is amended, staff will consider
ONLY the last-filed amendment to assess compliance with the National Cap and the Appendix A Market
Selection Lists and Caps Showings may not be submitted, amended, corrected or resubmitted
for further consideration after the Caps Deadline. Neither a Selection List nor a Caps Showing will
be treated as a matter subject to amendment, correction or completion pursuant to 47 C.F.R. §
Applicants may submit their showings by emailto the following address:
FXshowings@fcc.gov. Please note that the Commission’s e-mail system will not accept attachments
larger than 10 MB, so files beyond that size should divided into multiple sub-10 MB documents and sent
via separate e-mails.
Alternatively, applicants may submit hard copies (original plus one copy, signed by a person
authorized to act for the applicant pursuant to 47 C.F.R. § 73.3513) as follows:17
By Hand (8:00 a.m. – 7:00 p.m. only)Audio Division (James Bradshaw, 2-A267)
c/o Office of the Secretary
Federal Communications Commission
445 12th Street, S.W.
Washington, DC 20554
Commercial Overnight Mail (Except USPS)Audio Division (James Bradshaw, 2-A267)
c/o Office of the Secretary
Federal Communications Commission
9300 East Hampton Drive
Capitol Heights, MD 20743
15 See Fourth Report and Order, 27 FCC Rcd at 3386 ¶ 47 (citing 47 C.F.R. § 1.2105(c).
16 We also note that parties with Applications within 39 kilometers of a grid centered in a market listed in
Appendix A or B to the Fourth Report and Order as a Spectrum Limited market and parties proposing technical
amendments to certain Applications in Spectrum Available markets will also be required to submit a non-
preclusion showing at a future date, as described in the Fourth Report and Order, 27 FCC Rcd at 3385-88 ¶¶ 45-
49. Applicants are cautioned to consider this future filing requirement before submitting their Selection List.
17 Compliance with the Caps Deadline will be assessed based on when a filing is received by the Commission, not
by when it is sent. See 47 C.F.R. § 1.7.
All Other Mail (Including USPS Express Mail, Priority Mail, and First Class Mail)Audio Division (James Bradshaw, 2-A267)
c/o Office of the Secretary
Federal Communications Commission
445 12th Street, S.W.
Washington, DC 20554
For additional information, contact James Bradshaw (James.Bradshaw@fcc.gov), Robert Gates
(Robert.Gates@fcc.gov), or Larry Hannif-Ali (Larry.Hannif-Ali@fcc.gov), Audio Division, Media
Bureau at (202) 418-2700. For press inquiries, contact Janice Wise at (202) 418-8165 or
By: Chief, Media Bureau
Preclusion Studies for Translator CapsA preclusion study that addresses compliance with the National Cap by a party prosecuting 51-70
Applications involves a study at the proposed transmitter site for each Application outside the Appendix
A Markets. A preclusion study that addresses compliance with the Appendix A Market Caps by a party
prosecuting two or three Applications in an Appendix A Market may involve a “grid” test and a
transmitter site test. These tests are described below.
The Bureau recently released an updated version of the LPFM grid tool.18 The files provided in that
release can be used in conjunction with the “grid test” to identify the appropriate coordinates to use for
the center of the grid for each Appendix A Market. The LPFM grid tool can be used to identify the
LPFM channel/point combinations that are available within the relevant grid for each market for future
LPFM licensing. Appendix A and Appendix B to the Fourth Report and Order collectively identify
each Appendix A Market as either “Spectrum Available” or “Spectrum Limited.”19 All markets
identified on Appendix A as “Spectrum Limited” used a 30x30 minute grid. All other Appendix A
Markets used a grid size of either 30x30 minutes or 20x20 minutes, as shown in the far right column of
For purposes of preclusion studies required to be submitted by the Caps Deadline, applicants submitting
required showings for either the National Cap or the Appendix A Market Caps will be protected from
showings filed on subsequent business days.
This Appendix only addresses preclusion studies. The No Overlap Showings described in the Public
Notice also must be submitted by the Caps Deadline.
National Cap: Transmitter Site TestThis applies to all Applications proposing transmitter sites outside Appendix A Market boundaries by
parties proposing to prosecute 51-70 Applications nationally.
The applicant must show – ignoring the subject Application -- that no LPFM channels are available or –
assuming grant of the subject Application – that at least one LPFM channel remains available at the
transmitter site proposed in the subject Application. When determining available LPFM channels,
studies must protect all authorizations and applications on co- and first-adjacent channels, including all
pending Auction 83 Applications other than the subject Application.20 The study should ignore second-
adjacent and intermediate-frequency station protection requirements but otherwise should apply all
other LPFM spacing requirements.
An Application fails this test if there is only one LPFM channel available at the proposed transmitter
site and it would be precluded by the subject Application.
18 Public Notice, “Media Bureau Releases Updated Low Power FM Spectrum Availability Data Files,” DA 12-
1987 (rel. Dec. 10, 2012) (http://hraunfoss.fcc.gov/edocs_public/attachmatch/DA-12-1987A1.docx).
19 Fourth Report and Order, 27 FCC Rcd at 3398-3406. No “grid” test is required in Spectrum Available markets
at this time because Spectrum Available market floors assume the pendency of all Applications.
20 See Fifth Order at p. 15 n. 84.
Appendix A Market Caps
1. Transmitter Site Test
This applies to all groups of two-three Applications by the same applicant that specify transmitter sites
in the same Appendix A Market, one or more of which are located outside the relevant grid for that
In order to submit a successful test, the applicant must show –ignoring the subject Application -- that no
LPFM channels are available or – assuming the grant of the subject Application – that at least one
LPFM channel remains available at the out of grid transmitter site proposed in each Application.
Studies must protect all authorizations and applications on co- and first-adjacent channels, including all
pending Auction 83 Applications other than the subject Application. The study should ignore second-
adjacent and intermediate-frequency protection requirements but otherwise should apply all other LPFM
An Application fails this test if there is only one LPFM channel available and it is precluded by the
2. “Grid” Test for Spectrum Limited Appendix A Markets
This applies to all applicants that are proposing to prosecute two or three Applications in the same
Appendix A Market, where (1) the market is Spectrum Limited, and (2) one or more Applications
specify transmitter sites within 39 kilometers of the relevant grid for that market.21
When determining available LPFM channel/point combinations in Spectrum Limited markets, studies
must protect all authorizations and applications on co- and first-adjacent channels, excluding all pending
Auction 83 Applications.22 The study should ignore second-adjacent and intermediate-frequency
protection requirements but otherwise should apply all other LPFM spacing requirements.
An Application fails this test if it precludes any identified channel/point licensing opportunity within the
grid for a future LPFM station.
21 Thirty-nine kilometers is the largest LPFM to FM translator required spacing specified in 47 C.F.R. §
73.807(d)(1). Thus, in a Spectrum Limited market, an Application that is outside the grid by 39 kilometers or less
is subject to both the “grid” test and the transmitter site test.
22 Fourth Report and Order, 27 FCC Rcd at 3387-88 (explaining the exclusion of pending Auction 83
Applications from this type of preclusion study).