# ATTACHMENT A {#attachment-a .unnumbered}

**Short-Form Application (FCC Form 175)** **Preparation and Submission**

An applicant must submit its short-form application (FCC Form 175)
electronically, via the FCC Auction System. Applicants may file FCC Form
175 applications electronically beginning at 9:00 a.m. ET on October 1,
2007. The Form 175 filing system generally will be open on a 24-hour
basis. **Short-form applications must be submitted and confirmed prior
to 6:00 p.m. ET on October 5, 2007.** Applicants are strongly encouraged
to file early, and applicants are responsible for allowing adequate time
for filing their applications. Late applications or unconfirmed
submissions of electronic data will not be accepted.

The information collected in connection with applications to participate
in spectrum auctions is necessary to determine each applicant\'s
qualifications, and will be made available for public inspection.
Accordingly, an applicant should not include any unnecessary sensitive
information, such as Taxpayer Identification Numbers or Social Security
Numbers, in its short-form application. Applicants may request that
information submitted not be made routinely available for public
inspection following the procedures set forth in Section 0.459 of the
Commission's Rules (the "Rules").[^1] Pursuant to Section 0.459(a) of
the Rules, such a request must be included as an attachment to the
short-form and must specifically identify the information to which the
request applies. Because the required information bears on an
applicant\'s qualifications, confidentiality requests will not be
routinely granted.

Applicants may amend their short-form applications multiple times until
the close of the filing window. However, applicants must press the
**SUBMIT** button in the FCC Auction System for the changes to be
submitted and considered by the Commission.

This Supplemental AM Auction 84 filing window is limited to the
submission of new FCC Form 175 applications for the specific AM
facilities described in the text of this Public Notice. Applicants are
prohibited from using this supplemental filing window to amend
applications previously filed in the initial AM Auction 84 Filing Window
of January 2004.

## Software Requirements {#software-requirements .unnumbered}

Applicants must meet the following minimum software requirements:

-   Web Browser, either of the following:

```{=html}
<!-- -->
```
-   Microsoft^®^ Internet Explorer 6.0 or higher (recommended)

-   Netscape^®^ Communicator™ 6.0 or higher

Other browsers are not supported.

-   PDF Viewer: Adobe Acrobat Reader 5.0 or higher (available at
    [***http://www.adobe.com***](http://www.adobe.com/))

Currently, the Apple^®^ Mac OS^®^ is not supported.

## Logging On

To submit an FCC Form 175 application electronically via the FCC Auction
System, start your web browser and point it to either
<http://auctions.fcc.gov/> (primary location) or
<http://auctions2.fcc.gov/> (secondary location). Once on the *FCC*
*Integrated Spectrum Auction System* page, an applicant may log-in to
create an FCC Form 175 application using its FCC Registration Number
(FRN) and password. On the *My Auctions* page, click the Enter Auction
Application Manager link and select the Auction 84 link to view/update
your electronic FCC Form 175.

## Application Filing Instructions

The information collected in connection with the FCC Form 175 is
required to determine whether an applicant qualifies to participate in
competitive bidding for Commission licenses or construction permits.[^2]
Pursuant to Section 1.2105(a) of the Rules, the FCC Form 175 must be
submitted electronically. Applicants must submit the required
information as an entry in a data field of the electronic FCC Form 175
whenever a data field is available for that information entry.
Attachments should not be used to provide information that can be
supplied within the discrete data fields of the electronic FCC Form 175.

For this Supplemental AM Auction 84 filing window, the screens
comprising the FCC Form 175 consist of five series, four of which
include information requests:

1)  *Applicant Information*

2)  *Engineering Proposals*

3)  *New Entrant Eligibility*

> *4) Summary*

*5) Certify and Submit*

The fourth series, the *Summary* screens, provide an overview of an
applicant's FCC Form 175 that facilitates reviewing and revising
specific information.

-   **Ownership and Agreements Information.** Note that for this
    Supplemental AM Auction 84 filing window only, the online FCC Form
    175 does not provide screens for disclosing ownership or agreements
    information. An applicant must provide this information in separate
    attachments, which must be added to the FCC Form 175. See Section 5
    below for further details.[^3]

In filling out the FCC Form 175, certain initial information that an
applicant provides is used to determine what additional information is
needed. Based on the responses to certain initial questions, the system
determines what subsequent screens will appear to collect the additional
information. For example, a corporate applicant, unlike an individual
applicant, must identify a corporate officer or director responsible for
the application. If initial information identifies the applicant as an
individual, no additional information is needed regarding an additional
responsible party. Consequently, in the case of an individual applicant,
screens requesting responsible party information will not appear.
However, if the applicant identifies itself as a corporation, subsequent
screens will ask for additional responsible party information.
Accordingly, in filling out the FCC Form 175, in some instances an
applicant must provide initial information before proceeding to
subsequent screens.

Applicants should complete the FCC Form 175 by following the
instructions below. Additional help can be accessed from within the FCC
Form 175 by either: (1) clicking on the **Help** link in the upper right
of any screen, which will open Auction Application Online Filing Help;
or (2) clicking on the text of any **Common Question** link appearing on
the right side of the screen. The common questions vary from screen to
screen and relate to the screen that is displayed.

### Applicant Information

The *Applicant Information* screens are the first series of screens in
the FCC Form 175. Here, the applicant will provide basic information,
including:

-   The applicant's legal classification, e.g., individual, corporation,
    etc.

-   Optional information regarding the applicant's status as a minority
    or woman-owned business or a rural telephone company.

-   Whether the applicant requests Noncommercial Educational election.
    This response (yes or no) is mandatory.[^4] **Note that no applicant
    will be allowed to change its NCE election after the application
    filing deadline specified in this public notice.**

-   The applicant's name, which will be used as the bidder name during
    the auction.

-   Citizenship (for individuals) or jurisdiction of formation (for
    legal entities).

-   For applicants classified as legal entities -- e.g., corporations --
    the name and information regarding the entity's responsible
    individual.

-   The name, address, telephone and facsimile numbers of a contact
    person who will communicate with the Commission regarding the
    applicant's FCC Form 175.

-   The names of up to three persons authorized to bid for the applicant
    in the auction.

-   The applicant's preference for electronic or telephonic bidding.

Please note the following with respect to the information requested:

-   An applicant must indicate its legal classification before
    continuing to subsequent screens, because this information will
    determine which subsequent screens will appear.

-   P.O. Boxes may not be used for an applicant's address.

-   To simplify filling out Form 175, an applicant that has the same
    address as its responsible party can click on the **COPY APPLICANT
    ADDRESS** button to automatically fill in the address on the
    Responsible Party page. P.O. Boxes may not be used for a responsible
    party's address.

-   P.O. Boxes may not be used for a contact person\'s address. An
    applicant may also use the **COPY APPLICANT ADDRESS** button on the
    Contact Information page, to automatically fill in the contact
    person's address when it is identical to the applicant\'s address.

-   An applicant must identify at least one authorized bidder. An
    applicant may change its authorized bidders at a later date;
    however, only those bidders listed on the Form 175 will be
    authorized to place or withdraw bids for the applicant during the
    auction.

-   Any qualified bidder may bid either via the Internet or by telephone
    during the auction. Specifying a preference for electronic or
    telephonic bidding assists the Commission in determining the staff
    required for telephonic bidding.

### Engineering Proposals

The *Engineering Proposals* screens make up the second series of screens
in the FCC Form 175. Here, the applicant will be required to submit the
following technical information:

-   A description of the engineering proposal and its application
    purpose (either **NEW** or **Major Change in Licensed Facility** or
    **Major Modification of Construction Permit** for this auction).

-   If the application purpose is Major Change in Licensed Facility,
    then information identifying the existing facility, including File
    Number, Facility ID and Call Sign (any two) is required.

-   If the application purpose is Major Modification of Construction
    Permit, then information identifying the construction permit, the
    File Number, and either the Facility ID or Call Sign is required.

-   General information about the proposed facility, including city,
    state, and technical specifications such as frequency, class, and
    antenna location coordinates.

-   The antenna type (nondirectional or directional).

-   For a non-directional antenna, the antenna RMS and antenna tower
    height.

-   For a directional antenna, the number of towers, theoretical
    parameters (e.g., field ratio, phase, spacing), and antenna RMS.

Once the Engineering Proposal has been created, the applicant will
return to the View/Edit *Engineering Proposals* screen. From this page,
the applicant may:

-   Modify information regarding the engineering proposal or antenna
    mode by clicking on the corresponding link.

-   Add additional antenna modes as needed.

-   Delete the engineering and all information associated with it by
    clicking on the **Delete this proposal** link.

-   Remove an antenna mode and all information associated with that mode
    from the engineering proposal by clicking on the **Remove** icon.

-   Add additional engineering proposals by clicking on the **CREATE NEW
    PROPOSAL** button.

### New Entrant Bidding Credit Eligibility

The *New Entrant Eligibility* screens are the third series of screens in
Form 175. On the initial screen, the applicant indicates whether it is
claiming the New Entrant bidding credit and, if so, whether it is
claiming a 25 percent or 35 percent New Entrant bidding credit.

An applicant claiming either no New Entrant bidding credit or a 35
percent New Entrant bidding credit, will not need to provide any
additional information. Such applicants will continue to the next series
of screens.

An applicant claiming a 25 percent New Entrant bidding credit must
provide additional information regarding existing mass media facilities
in which the applicant, or any individual or entity with an attributable
interest in the applicant, has an attributable interest.[^5] The
applicant must identify:

-   The existing mass media facility or facilities.

-   The individual or entity in the applicant with the attributable
    interest in the existing mass media facility.

-   The attributable interest in the existing facility.

-   Whether any broadcast facilities proposed in this short-form
    application are in the "same area" as existing mass media
    facilities, as defined by applicable Commission Rules.[^6]

-   In the event that the applicant indicates that any of the broadcast
    facilities proposed in this short-form application are in the "same
    area" as the identified existing mass media facility, the applicant
    will continue to an additional screen where the applicant must
    indicate which proposed broadcast facility in the auction is in the
    "same area" as the identified existing mass media facility.

Once the applicant has identified all relevant existing mass media
facilities, and all broadcast facilities proposed in its short-form
application in the "same area" as each relevant existing mass media
facility, the applicant will continue to the View/Edit All Facilities
screen. This screen lists the applicant's claimed New Entrant bidding
credit of 25 percent, the relevant existing mass media facilities, and
the proposed broadcast facilities in the "same area" as each relevant
existing mass media facility. From this screen, options include:

-   Clicking the **Edit** icon or the **Modify bidding credit
    selection** link to return to the initial New Entrant bidding credit
    eligibility screen.

-   Modifying information about relevant mass media facilities by
    clicking on them.

-   Clicking the **Delete This Facility** link to delete a facility and
    identified proposed broadcast facilities in the "same area."

-   Modifying information regarding a proposed broadcast facility by
    clicking on its identifier.

-   Clicking the **Remove** icon next to information about a particular
    proposed broadcast facility in the "same area" to remove the
    corresponding facility.

-   Clicking the **Add a proposed "Same Area" Facility to \[an existing
    mass media facility\]** link to add a new proposed broadcast
    facility in the "same area."

-   Clicking the **CREATE NEW MASS MEDIA FACILITY** button to add
    additional mass media facilities.

When all relevant existing mass media facilities, and proposed broadcast
facilities in the "same area" as each relevant existing mass media
facility have been identified, click the **CONTINUE** button.

### Summary

The *Summary* screens are the fourth series of screens in the FCC Form
175. The *Summary* screens summarize information the applicant has
provided in previous screens, offering an overview of the applicant's
FCC Form 175 to help locate specific information. The *Summary* screens
will appear prior to the *Certify and Submit* screens in order to permit
the applicant to review the information entered in previous screens and
to provide an opportunity to check for errors in the information
submitted.

The first *Summary* screen, the *Summary Overview* screen, lists the
first three series of screens in the application and provides a
**VIEW/EDIT** button to access each one.

-   Clicking **VIEW/EDIT** for Applicant Information produces a *Detail
    for Applicant Information* screen showing what you entered for each
    data entry field. To change any data item, click the **Edit** icon
    for the relevant data field.

-   Clicking **VIEW/EDIT** for Engineering Proposals takes you to the
    *View/Edit Engineering Proposals* screen discussed above in the
    Engineering Proposal section.

-   Clicking **VIEW/EDIT** for New Entrant Eligibility takes you to the
    *View/Edit New Entrant Eligibility* screen discussed above in the
    New Entrant Eligibility section.

Clicking on the **CHECK ERRORS** button initiates an automated check of
the application. If the automated check encounters certain types of
errors that must be corrected before submitting the application, the
error(s) will be listed in an Error box at the top of the screen. If the
automated check encounters certain types of apparent errors that might
render the application incomplete if the application is submitted with
current information, the apparent error will be listed in a Warning box.
To revise the information related to the error(s), click the
corresponding **EDIT** button.

Each applicant is responsible for providing complete and accurate
information in its FCC Form 175. The automated check is provided to
assist an applicant in completing its FCC Form 175. The automated check
may not catch all errors and an applicant cannot rely on the automated
check to determine the completeness or the accuracy of submitted
information, including the omission of required information.

### Ownership and Joint Bidding Agreement Attachments

The FCC Form 175 screens for the Supplemental AM Auction 84 filing
window do not include data entry fields for an applicant to provide
either ownership or joint bidding agreement information. **Therefore,
the applicant must create two separate attachments to provide both
ownership and joint bidding agreement information. The applicant must
then add these two attachments to the FCC Form 175.**

#### Ownership Disclosure Requirements

**• Sections 1.2105 and 1.2112(a) of the Rules list the interest holders
in the applicant that must be disclosed in its FCC Form 175.**[^7]

**• Section 1.2112(a)(7) of the Rules lists the FCC-regulated business
entities, or applicants for an FCC license, that must be disclosed in
the FCC Form 175.**[^8]

The Commission indicated in the *Broadcast First Report and Order* that,
for purposes of determining eligibility to participate in a broadcast
auction, the uniform Part 1 ownership disclosure standards would
apply.[^9] Therefore, in completing the FCC Form 175 for Supplemental AM
Auction 84, all applicants are required to file an "Attachment A" and
provide information required by Sections 1.2105 and 1.2112 of the Rules,
providing a full and complete statement of the ownership of the bidding
entity.

Applicants must disclose the following:

-   All real parties in interest in the applicant, including the
    identity and relationship of those persons or entities directly or
    indirectly owning or controlling the applicant.

-   Name, address, and citizenship of any party directly or indirectly
    holding a 10 percent or greater interest in the applicant, as well
    as the percentage of interest held in the applicant and whether the
    interest is an indirect or direct interest.

-   If there is an indirect interest in the auction applicant of 10
    percent or greater, the attachment must describe the relationship
    between the indirect interest holder and the auction applicant.

-   Whether the party directly or indirectly holding a 10 percent or
    greater interest in the applicant has voting or non-voting, common
    or preferred, stock and the specific amount of interest held.

-   Any FCC-regulated entity or applicant for an FCC license, in which
    the auction applicant or any real party in interest in the auction
    applicant owns a 10 percent or greater interest. Such disclosure
    must include a description of the FCC-regulated entity's principal
    business and its relationship to the auction applicant.

#### Consortia and Joint Bidding Agreements 

An applicant is required to identify in its short-form application any
party with whom it has entered into any consortium agreements, joint
ventures, partnerships, or other agreements or understandings that
relate in any way to the construction permits being auctioned, including
any agreements relating to post-auction market structure.[^10] The
applicant is also required to certify in its short-form application that
it has not entered into any explicit or implicit agreements,
arrangements, or understandings of any kind with any parties, other than
those identified, regarding the amount of its bids, bidding strategies,
or the particular construction permits on which it will or will not
bid.[^11] If an applicant has had discussions, but has not reached a
joint bidding agreement by the short-form application deadline, it would
not include the names of parties to the discussions on its applications
and may not continue discussions after the application deadline.

A party holding a non-controlling, attributable interest in one
applicant will be permitted to acquire an ownership interest in, form a
consortium with, or enter into a joint bidding agreement with other
applicants for construction permits in the same market provided that:
(1) the attributable interest holder certifies that it has not and will
not communicate with any party concerning the bids or bidding strategies
of an applicant in which it holds an attributable interest, or with
which it has formed a consortium or entered into a joint bidding
arrangement; and (2) the arrangements do not result in a change in
control of any of the applicants.[^12] While the anti-collusion rules do
not prohibit non-auction related business negotiations among auction
applicants, applicants are reminded that certain discussions or
exchanges could touch upon impermissible subject matters because they
may convey pricing information and bidding strategies.[^13] Such subject
areas include, but are not limited to, management, sales, local
marketing agreements, rebroadcast agreements, and other transactional
agreements.

All applicants must submit an "Attachment B" to the FCC Form 175,
disclosing any such agreement and party information as indicated above.
Provision of an agreement party\'s FCC Registration number is optional,
but speeds processing of the FCC Forms 175. If an applicant has not
entered into consortia or joint bidding agreements, the Attachment B
should so state.

### Other Attachments

If an applicant needs to provide additional information not requested
directly in the screens comprising the FCC Form 175, such additional
information can be provided in an attachment. Attachments should not be
used to provide information that can be directly supplied within data
fields on the screens comprising the FCC Form 175.

#### File Formats for Attachments

When adding attachments, an applicant may use a variety of file formats,
including, but not limited to: Word 2000 or earlier, WordPerfect 5.x or
later, Adobe PDF, and ASCII text. Applicants must verify that the files
contain all exhibit information. Files may be no larger than 10 Mb.
Graphics files (e.g., .bmp, .tiff, .jpg) and spreadsheets (e.g., Excel,
Lotus) are supported but not recommended. Files must not be
password-protected.

#### Adding an Attachment to FCC Form 175

The screen for adding an attachment to FCC Form 175 can be accessed by
clicking on the **Attachments** link in the upper right section of any
screen. The *Add Attachment* screen requests information regarding the
type of attachment, the name of the file, and a brief description of the
attachment. If the attachment is a request for a waiver of any of the
Commission\'s rules and procedures, the applicant must identify the
**Type** of attachment as a "Waiver" to facilitate prompt processing.
For attachments which do not contain a waiver request, the applicant
should identify the type of attachment as **Other**. Once the requested
information is provided, the applicant can add the attachment to the
application by clicking on the **ADD ATTACHMENT** button.

### Certify and Submit

The *Certify and Submit* screens are the fifth and final series of
screens in FCC Form 175. In the *Certify and Submit* screens, an
applicant will provide certifications required of all participants in
the Commission's competitive bidding process.[^14]

The first *Certify and Submit* screen requires an applicant to state
under penalty of perjury whether it, its affiliates, its controlling
interests, or any affiliates of its controlling interests, as defined by
47 C.F.R. § 1.2110, have ever been in default on any Commission license,
or have ever been delinquent on any non-tax debt owed to any Federal
agency.[^15] An applicant associated with an individual or entity that
has been in default or delinquent, but that have since remedied all such
defaults and cured all such outstanding non-tax delinquencies, may
participate in an auction, if otherwise qualified. However, such an
applicant must submit an upfront payment equal to 50 percent more than
otherwise required.[^16]

The second *Certify and Submit* screen lists the certifications required
of all applicants in the Commission's competitive bidding process and
requests that the applicant's certifying official be identified and sign
the application. Any auction short-form application must be certified
by: (1) the applicant, if the applicant is an individual, (2) one of the
partners if the applicant is a partnership, (3) an officer, director, or
duly authorized employee, if the applicant is a corporation, (4) a
member who is an officer, if the applicant is an unincorporated
association, (5) the trustee if the applicant is an amateur radio
service club, or (6) a duly elected or appointed official who is
authorized to do so under the laws of the applicable jurisdiction, if
the applicant is a governmental entity.[^17]

All applicants must certify on their FCC Form 175 applications, under
penalty of perjury, that they are legally, technically, financially and
otherwise qualified to hold a license.[^18] Applicants are reminded that
submission of an FCC Form 175 application constitutes a representation
by the certifying official that he or she is an authorized
representative of the applicant, has read the form's instructions and
certifications, and that the contents of the application, its
certifications and any attachments are true, complete, and correct.
Moreover, as noted above, a change of certifying official is considered
a major change of the short-form application and will not be permitted
after the short-form application filing deadline. Submission of a false
certification to the Commission may result in penalties, including
monetary forfeitures, license forfeitures, ineligibility to participate
in future auctions, and/or criminal prosecution.

Once the two *Certify and Submit* screens have been filled out and
reviewed, the application may be submitted by clicking on the **SUBMIT**
button. An applicant must click the **SUBMIT** button for the FCC Form
175 application or any changes to the application to be submitted and
considered by the Commission.

After the application has been submitted, a confirmation screen will be
displayed that states the submission time and date, along with a unique
file number. It is recommended that you print a copy of the confirmation
page for your records. You may then view and print a copy of your
submitted application by clicking on Print Preview.

FCC Form 175 applications must be submitted and confirmed prior to 6:00
p.m. ET on October 5, 2007. Late applications or unconfirmed submissions
of electronic data will not be accepted.

### Withdrawing an Application Before the Short-Form Filing Deadline and Updating Existing Applications

Applications submitted in this Supplemental AM Auction 84 filing window
may be withdrawn or updated before the short-form filing deadline. Form
175 applications that had been previously filed in the initial AM
Auction 84 filing window in January of 2004 may not be withdrawn or
updated during this supplemental window.

#### Withdrawing a Supplemental AM Auction 84 Application

If you wish to withdraw an application submitted in this Supplemental AM
Auction 84 window before the short-form application filing deadline,
click on the **Withdraw Application** icon on the *Auction Application
Manager Create or Review Auction Applications* page and confirm that you
want to withdraw your application. If you subsequently decide to file an
application, you will have to re-enter all previously submitted data.
Applications may not be withdrawn after the short-form application
filing deadline.

####  b. Updating Existing Supplemental AM Auction 84 Applications {#b.-updating-existing-supplemental-am-auction-84-applications .unnumbered}

Once you have logged into the Auction Application Manager, the *Create
or Review Auction Applications* page displays any application you have
created or submitted within a filing window. This page shows the
application status, the date and time the application was last updated,
and the date and time the application was last submitted. You may use
this page to confirm the date and time of your most recent submission of
the application.

To review or continue working on an existing Supplemental AM Auction 84
application, click its auction number. This produces the application's
Summary page and places you in a view/edit mode. An applicant must go to
the *Certify and Submit* screens and click the **SUBMIT** button to
submit any changes made to their Form 175. After the revised application
has been submitted, a confirmation page will be displayed that states
the submission time and date, along with your unique file number. It is
recommended that you print a copy of the confirmation page for your
records. You may then view and print a copy of your submitted
application by clicking on Print Preview.

After the short-form application filing deadline (6:00 p.m. ET October
5, 2007) an applicant may make only minor changes to an application, as
such changes are defined by Section 1.2105(b). An applicant will not be
permitted to make major modifications to an application (*e.g*., make
any changes to the engineering proposals, change the certifying
official, change control of the applicant, change the noncommercial
educational election, or seek an increase in the percentage of a
previously-claimed new entrant bidding credit).[^19] Permissible minor
changes include the deletion and addition of authorized bidders (to a
maximum of three) and revision of addresses and telephone numbers of
applicants and contact persons.

An applicant should make permissible minor modifications to the FCC Form
175 electronically, using the FCC Auction System.[^20] If the applicant
cannot make the modification to its application using the FCC Auction
System, until the applicant can update its electronic application, the
applicant must submit a letter, briefly summarizing the change, by
electronic mail to the attention of Margaret Wiener, Chief, Auctions and
Spectrum Access Division, at the following address:
[auction84@fcc.gov](mailto:auction44@fcc.gov). The electronic mail
summarizing the change must include a subject or caption referring to
Auction 84. The Bureaus request that parties format any attachments to
electronic mail as Adobe^®^ Acrobat^®^ (pdf) or Microsoft Word^®^
documents. Questions about other changes should be directed to Lynne
Milne of the Auctions and Spectrum Access Division at (202) 418-0660.

### Maintaining Current Information in FCC Form 175.

Applicants have an obligation under Section 1.65 of the Rules,[^21] to
maintain the completeness and accuracy of information in their
short-form applications. Amendments reporting substantial changes of
possible decisional significance in information contained in FCC Form
175 applications, as defined by Section 1.2105(b)(2) of the Rules, will
not be accepted and may in some instances result in the dismissal of the
FCC Form 175 application.[^22]

## Application Review

Once the FCC has completed the short-form application review process,
you can view FCC Form 175 applications electronically by searching the
FCC database. Start your web browser and point it to either
***http://auctions.fcc.gov/*** (primary location) or
***http://auctions2.fcc.gov/*** (secondary location). Click the
**Auction Applications** link in the Public Access area on the *FCC
Integrated Spectrum Auction System* page to start your search. Prior to
the filing deadline, an applicant may only review its own completed FCC
Form 175. An applicant may review its own and other applicants\'
completed FCC Form 175s after the filing deadline has passed and the FCC
has issued a public notice concerning the status of the applications.
There are no fees for accessing the Form 175 filing or review system.

## Prohibition of Collusion 

To ensure the competitiveness of the auction process, Section 1.2105(c)
of the Rules prohibits competing applicants from communicating with each
other about bids, bidding strategies, or settlements unless such
applicants have identified each other on their FCC Form 175 applications
as parties with whom they have entered into agreements under Section
1.2105(a)(2)(viii) of the Rules.[^23] Thus, competing applicants must
affirmatively avoid all discussions with each other that affect, or in
their reasonable assessment have the potential to affect, bidding or
bidding strategy. This prohibition begins at the short-form application
filing deadline and ends at the down payment deadline after the
auction.[^24] This prohibition applies to all applicants regardless of
whether such applicants become qualified bidders or actually bid.[^25]

To the extent provided in Sections 73.5002(d)(1) and (2) of the Rules,
AM applicants who file major modifications that are mutually exclusive,
and AM applicants who file major modifications and new station
applications that are mutually exclusive, may communicate with each
other for the purpose of resolving conflicts by means of engineering
solutions or settlements only during the time period prescribed by the
Bureaus. The precise period for pre-auction settlement of mutually
exclusive applications will be specified in a later public notice.[^26]

For purposes of this prohibition, Section 1.2105(c)(7)(i) of the Rules
defines applicant as including all officers and directors of the entity
submitting a short-form application to participate in the auction,[^27]
as well as all controlling interests in 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
outstanding voting stock of the entity submitting a short-form
application.[^28]

Applicants competing for construction permits in either the same
geographic license area or the same MX group are encouraged not to use
the same individual as an authorized bidder. A violation of the
anti‑collusion rules could occur if an individual acts as the authorized
bidder for two or more competing applicants, and conveys information
concerning the substance of bids or bidding strategies between the
applicants he or she is authorized to represent in the auction. A
violation could similarly occur if the authorized bidders are different
individuals employed by the same organization (*e.g.*, law firm or
consulting firm). In such a case, at a minimum, the applicants should
certify on their applications that precautionary steps have been taken
to prevent communication between authorized bidders and that the
applicants and their bidding agents will comply with the anti‑collusion
rule.[^29] However, the Bureaus caution that merely filing a certifying
statement as part of an application will not outweigh specific evidence
that collusive behavior has occurred, nor will it preclude the
initiation of an investigation when warranted.[^30]

The Commission's anti-collusion rules allow applicants to form certain
agreements during the auction, provided the applicants have not applied
for construction permits for either the same geographic license area or
the same MX group. However, all applicants may enter into bidding
agreements *before* filing their FCC Form 175, as long as they disclose
the existence of the agreement(s) in their FCC Form 175.[^31] If parties
agree in principle on all material terms prior to the short-form filing
deadline, those parties must be identified on the short-form application
pursuant to Section 1.2105(c) of the Rules, even if the agreement has
not been reduced to writing. If the parties have not agreed in principle
by the filing deadline, an applicant would not include the names of
those parties on its application, and may not continue negotiations with
other applicants for construction permits for either the same geographic
license area or the same MX group.[^32] By signing their FCC Form 175
short-form applications, applicants are certifying their compliance with
Sections 1.2105(c) and 73.5002 of the Rules.[^33]

An applicant is required by Section 1.65 to *maintain* the accuracy and
completeness of information furnished in its pending application and to
notify the Commission within 30 days of any substantial change that may
be of decisional significance to that application.[^34] Thus, Section
1.65 of the Rules requires auction applicants that engage in
communications of bids or bidding strategies that result in a bidding
agreement, arrangement or understanding not already identified on their
short-form applications to promptly disclose any such agreement,
arrangement or understanding to the Commission by amending their pending
applications. In addition, Section 1.2105(c)(6) of the Rules requires
all auction applicants to report prohibited discussions or disclosures
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 of the Rules.[^35]

Applicants that are winning bidders will be required to disclose in
their long-form applications the specific terms, conditions, and parties
involved in all bidding consortia, joint ventures, partnerships, and
other arrangements entered into relating to the competitive bidding
process.[^36] Any applicant found to have violated the anti-collusion
rules may be subject to sanctions, including forfeiture of its upfront
payment, down payment or full bid amount, and may be prohibited from
participating in future auctions.[^37] In addition, applicants are
reminded that they are subject to the antitrust laws, which are designed
to prevent anticompetitive 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.[^38]

## Technical Support

For technical assistance with using FCC software, contact the FCC
Technical Support Hotline at (877) 480-3201, option nine; (202)
414-1250; or (202) 414-1255 (TTY). The FCC Technical Support Hotline is
available Monday through Friday from 8 a.m. to 6 p.m. ET. All calls to
the FCC Technical Support Hotline are recorded.

## Contact Information

**Audio Division, Media Bureau**

For broadcast service questions: Susan Crawford, Ann Gallagher or Lisa
Scanlan at (202) 418-2700

**Auctions and Spectrum Access Division, Wireless Telecommunications
Bureau**

For auction legal questions: Lynne Milne at (202) 418-0660

For general auction questions: Linda Sanderson at (717) 338-2868

*Paperwork Reduction Act Approval:* The FCC Form 175 was assigned
control number 3060-0600 and was approved by the Office of Management
and Budget on November 1, 2006.

[^1]: 47 C.F.R. § 0.459.

[^2]: *See generally* 47 C.F.R. § 1.2105.

[^3]: Because ownership and agreement information will be submitted as
    separate attachments, the automated check for inconsistencies and
    omissions in submitted information will not be available to the same
    extent for this supplemental filing window as has been available for
    short-form applications filed for many recent auctions.

[^4]: Any application for a noncommercial educational station that is
    mutually exclusive with any application for a commercial station
    will be returned as unacceptable for filing. *See* *Reexamination of
    the Comparative Standards for Noncommercial Educational Applicants*,
    MM Docket No. 95-31, Second Report and Order*,* 18 FCC Rcd 6691,
    6699-6700 (2003) (\"*NCE Second Report and Order*\"), recons.
    pending; *see also* 47 C.F.R. § 73.5002 (b). In the *NCE Second
    Report and Order*, the Commission determined that short-form
    applicants that do not identify themselves on their FCC Form 175 as
    "noncommercial educational" will be considered as a matter of law to
    be applicants for commercial broadcast stations. *NCE Second Report
    and Order*, 18 FCC Rcd at 6700.

[^5]: Full-service noncommercial educational stations, on both reserved
    and nonreserved channels, are included among "media of mass
    communications" as defined in 47 C.F.R. §73.5008(b). *See Minnesota
    Christian Broadcasters,* Memorandum Opinion and Order, 18 FCC Rcd
    614 (2003), *aff'd sub nom Carol DeLaHunt v. FCC*, 411 F.3d 283
    (D.C. Cir. 2005). However, pursuant to 47 C.F.R. § 73.5007,
    attributable interests in existing low power television, television
    translator, or FM translator facilities will not be counted as mass
    media interests in determining eligibility for a New Entrant bidding
    credit.

[^6]: *See* 47 C.F.R. §§ 73.5007, 73.5008.

[^7]: 47 C.F.R. §§ 1.2105, 1.2112(a).

[^8]: 47 C.F.R. § 1.2112(a)(7).

[^9]: 47 C.F.R. § 73.5002 specifies the bidding procedures,
    certification requirements and the anti-collusion rules applicable
    to mutually exclusive applications for commercial broadcast services
    subject to auction. Subsection (b) requires the timely submission of
    short-form applications, along with all required certifications,
    information, and exhibits, pursuant to the provisions of 47 C.F.R. §
    1.2105(a) and any Commission public notices. 47 C.F.R. § 1.2105, in
    turn, requires the disclosure on the short-form application of
    applicant ownership information as set forth in 47 C.F.R. §
    1.2112*.*

[^10]: 47 C.F.R. §§ 1.2105(a)(2)(viii), (c)(1).

[^11]: 47 C.F.R*.* § 1.2105(a)(2)(ix).

[^12]: 47 C.F.R. § 1.2105(c)(4)(i), (ii).

[^13]: *See* *Todd Stuart Noordyk,* Memorandum Opinion and Order, 16 FCC
    Rcd 18113, 18117 (2001). *See also* *Amendment of Part 1 of the
    Commission\'s Rules* -- *Competitive Bidding Procedures*, Third
    Report and Order and Second Further Notice of Proposed Rule Making,
    13 FCC Rcd 374, 467 (1997).

[^14]: *See generally* 47 C.F.R. § 1.2105(a)(2) (iv)-(vii) and
    (ix)-(xi).

[^15]: *See* 47 C.F.R. §§ 1.2105(a)(2)(xi), 1.2110 ; *see also*
    *Amendment of Part 1 of the Commission\'s Rules -- Competitive
    Bidding Procedures,* WT Docket No. 97-82, Order on Reconsideration
    of the Third Report and Order*,* Fifth Report and Order, and Fourth
    Further Notice of Proposed Rule Making, 15 FCC Rcd 15293, 15 FCC Rcd
    at 15317 ¶ 42 and n.142 (2000) (modified by Erratum, DA 00-2475 (WTB
    Nov. 3, 2000)) ("*Fifth Report and Order*").

[^16]: *See* 47 C.F.R. § 1.2106(a). If the applicant, an affiliate of
    the applicant, a controlling interest of the applicant, or an
    affiliate of a controlling interest are in default on any payment
    for any Commission construction permit or license or are delinquent
    on any non-tax debt owed to any Federal agency as of the short-form
    application filing deadline, the applicant will not be eligible to
    participate in the auction. *See* 47 C.F.R. § 1.2105(a)(2)(x).

[^17]: *See* 47 C.F.R. § 1.917; *see also* 47 C.F.R. § 73.3513.

[^18]: *See* 47 C.F.R. § 1.2105(a)(2)(v).

[^19]: *See* 47 C.F.R. § 1.2105.

[^20]: An applicant must not submit application-specific material
    through the Commission\'s Electronic Comment Filing System (ECFS).

[^21]: 47 C.F.R. § 1.65.

[^22]: For example, if ownership changes result in the attribution of
    new interest holders that affect the applicant\'s qualifications for
    a new entrant bidding credit, such information must be clearly
    stated in the bidder\'s amendment. *See Liberty Productions, a
    Limited Partnership*, Memorandum Opinion and Order, 16 FCC Rcd
    12061, 12078; *stay denied*, 16 FCC Rcd 18966 (2001), *aff\'d sub
    nom*., *Biltmore Forest Broadcasting FM, Inc. v. FCC*, 321 F.3d 155
    (D.C. Cir.), *cert. denied*, 540 U.S. 981 (2003). Events occurring
    after the short-form application filing deadline, such as the
    acquisition of attributable interests in media of mass
    communications, also may cause diminishment or loss of the bidding
    credit, and must be reported immediately.

[^23]: 47 C.F.R. § 1.2105(c)(1); 47 C.F.R. § 1.2105(a)(2)(viii). *See
    also* *Amendment of Part 1 of the Commission\'s Rules -- Competitive
    Bidding Procedures*, WT Docket No. 97-82, Seventh Report and Order,
    16 FCC Rcd 17546 (2001) (\"*Seventh Report and Order*\"); Fifth
    Report and Order*,* 15 FCC Rcd at 15297-87.

[^24]: 47 C.F.R. § 1.2105(c)(1).

[^25]: *See, e.g*., *Star Wireless, LLC*, Forfeiture Order, 19 FCC Rcd
    18626, 18628 ¶ 4 n.19 (EB 2004), application for review pending
    (collusion rule applies to applicants regardless of whether they are
    qualified to bid); *Letter to Robert Pettit, Esquire, from Margaret
    W. Wiener, Chief, Auctions and Industry Analysis Division* , 16 FCC
    Rcd 10080 (WTB 2000) (declining to exempt an applicant's controlling
    interest from coverage by the anti-collusion rule, even though the
    applicant never made an upfront payment for the auction and was not
    listed as a qualified bidder).

[^26]: 47 C.F.R. § 73.5002(d).

[^27]: *See, e.g.,* Letter to Colby M. May from Barbara A. Kreisman and
    Margaret W. Wiener, 20 FCC Rcd 14648 (Video and Auctions Divs. 2005)
    (finding apparent violation of anti-collusion rule where applicants
    with mutually exclusive applications reported sharing same
    individual as an officer and director and reported having no bidding
    agreement).

[^28]: 47 C.F.R. § 1.2105(c)(7)(i).

[^29]: *See* *Application of Nevada Wireless for a License to Provide
    800 MHz Specialized Mobile Radio Service in the Farmington, NM-CO
    Economic Area (EA-155) Frequency Band A*, Memorandum Opinion and
    Order, 13 FCC Rcd 11973, 11977 ¶ 11 (1998).

[^30]: *See id*. at 11978.

[^31]: 47 C.F.R. § 1.2105(c).

[^32]: *See Wireless Telecommunications Bureau Clarifies Spectrum
    Auction Anti-Collusion Rules*, Public Notice, 11 FCC Rcd 9645
    (1995).

[^33]: 47 C.F.R. §§ 1.2105(c), 73.5002.

[^34]: 47 C.F.R. § 1.65.

[^35]: 47 C.F.R. § 1.2105(c)(6); *see also* *Seventh Report and Order*,
    16 FCC Rcd at 17555 ¶ 17.

[^36]: 47 C.F.R. §§ 1.2107(d), 73.5005(a).

[^37]: *See* 47 C.F.R. § 1.2109(d).

[^38]: *Id.*