> **ATTACHMENT A**

**PRE-AUCTION PROCEDURES**

**General Filing Requirements**

Applicants for FM translator stations must file an FCC Form 175
short-form application and the engineering data contained in the FCC
Form 349. Such engineering information is required to make mutual
exclusivity determinations. MB will not make any determination as to the
acceptability or grantability of an applicant's technical proposal. A
comprehensive review of applicants' technical proposals will be
undertaken by the staff following the submission of long-form
applications by winning bidders post-auction, by applicants identified
as non-mutually exclusive, and by applicants resolving application
mutual exclusivity during the established settlement period.

**A. FCC Form 349 Filing Procedures -- Due March 14, 2003 6:00 P.M. ET**

**(1) New proposals for new FM translator stations and FM translator
major modifications.**

Applicants for new FM translator stations and FM translator major
modifications that do not have an FCC Form 349 currently pending before
the Commission must electronically file an FCC Form 349 between 12:01
a.m. ET March 8, 2003 and 6:00 p.m. ET March 14, 2003. Only Section I,
the Tech Box from Section III-A, and the Section VI Certification of the
electronically filed FCC Form 349 must be completed at this time. Late
applications will not be accepted. No application filing fee is
required. **Note: A separate Form 349 must be submitted for each new
station and major modification proposed. Regardless of the number of
Form 349s filed, applicants must only submit one Form 175.** Applicants
must specify the CDBS-assigned file number(s) of all Form 349
application(s) in the Form 175, at Exhibit F ("Miscellaneous
Information").

**(2) Previously filed Form 349 applications (Frozen FM Translator
Applications and Freeze Waiver Applications).**

All applicants for new FM translator stations and FM translator major
modifications with an FCC Form 349 currently on file with the Commission
as of the release of this Public Notice, **must electronically file an
FCC Form 175 prior** **to March 14, 2003, 6:00 p.m. ET**. Failure of any
applicant to submit FCC Form 175 will result in the dismissal of that
applicant's pending FCC Form 349 application(s).[^1] Applicants also
should confirm that the information on file is accurate and complete. If
no changes to the previously filed Form 349 applications are necessary,
applicants must only file Form 175. The Form 175 must include the file
number of **all** previously filed Form 349 applications. Failure to
include the file number of a pending Form 349 application on the Form
175 will result in dismissal of that Form 349 application. If any
information in a Frozen FM Translator Application or Freeze Waiver
Application is no longer accurate and complete, the applicant must file
a new Form 349 application electronically, completing Section I, the
Tech Box of Section III-A, and the Section VI Certification. Paper
amendments to pending Form 349 applications will not be accepted. By
separate filing to the Office of the Secretary, the applicant also must
request dismissal of the pending paper-filed Form 349 application. A
courtesy copy of the dismissal request should be sent to James Bradshaw
at 445 12^th^ Street SW, Washington D.C. 20554, Audio Division, Room
2-B450. **Note: A separate Form 349 must be submitted for each new
station and major modification proposed. Regardless of the number of
Form 349s filed, applicants may submit only one Form 175.** Applicants
must specify the CDBS-assigned file number(s) of all Form 349
application(s) in the Form 175, at Exhibit F ("Miscellaneous
Information").

**(3) New and Major Change Applications filed after release of the
Public Notice.**

Any Form 349 application for a new FM translator station or for a major
modification of an FM translator station filed between 12:01 A.M.
February 7, 2003, and the opening of the window will be dismissed
without further consideration. Applicants must electronically file FCC
Form 349 during the auction window filing period, along with FCC Form
175, as indicated above.

**B. Short-Form Application (FCC Form 175) Filing Procedures \-- Due
March 14, 2003 6:00 p.m. ET**

All applicants must electronically submit an FCC Form 175 application no
later than 6:00 p.m. ET on March 14, 2003. Late applications will not be
accepted. FCC Form 349 submissions for which no FCC Form 175 is
submitted will be dismissed without further consideration. There is no
application fee required when electronically filing an FCC Form 175.

**(1) Electronic Filing.**

All Form 175 applications must be filed electronically.[^2] Applicants
may file Form 175 applications electronically beginning 9:00 a.m. ET
March 10, 2003. The Form 175 filing system generally will be open on a
24-hour basis. The Form 175 filing window will remain open until 6:00
p.m. ET on March 14, 2003. Applicants are strongly encouraged to file
early, and applicants are responsible for allowing adequate time for
filing their applications. Applicants may update or amend their
electronic applications multiple times until the filing deadline.
Information regarding the electronic filing of the FCC Form 175
application is included as Attachment C to this Public Notice. Technical
support is available at (202) 414-1250 (voice) or (202) 414-1255 (text
telephone (TTY)). The hours of service are 8 a.m. - 6 p.m. ET, Monday -
Friday.

**(2) Completion of the FCC Form 175.**

Applicants should carefully review 47 C.F.R. Sections 1.2105 and 73.5002
and must complete all items on the FCC Form 175. Instructions for
completing the FCC Form 175 are in Attachment B of this Public Notice.
Applicants must press the "SUBMIT Application" button on the
"Submission" page of the electronic form to successfully submit their
FCC Form 175. An applicant may make only minor non-technical corrections
to its FCC Form 175 application after the March 14, 2003 filing
deadline.[^3] For this reason it is critical that all applicants
carefully review their FCC Form 175 submissions prior to the close of
the filing window.

**(3) Minor Modifications to FCC Form 175.**

After the short-form filing deadline (March 14, 2003), applicants may
make only minor changes to their FCC Form 175 applications. Applicants
will not be permitted to make major modifications to their applications
(*e.g*., change their license selections or proposed service areas,
change the certifying official or change control of the applicant or
change bidding credits).[^4] Permissible minor changes include, for
example, deletion and addition of authorized bidders (to a maximum of
three) and revision of exhibits. Applicants should make these
modifications to their FCC Form 175 electronically and submit a letter,
briefly summarizing the changes, by electronic mail to the attention of
Margaret Wiener, Chief, Auctions and Industry Analysis Division, at the
following address: [auction83@fcc.gov](mailto:auction44@fcc.gov). The
electronic mail summarizing the changes must include a subject or
caption referring to Auction No. 83. WTB requests that parties format
any attachments to electronic mail as Adobe® Acrobat® (pdf) or
Microsoft® Word documents. A separate copy of the letter should be faxed
to the attention of Kathryn Garland at (717) 338-2850. Questions about
other changes should be directed to Ken Burnley of the Auctions and
Industry Analysis Division at (202) 418-0660.

(4) **Maintaining Current Information in FCC Form 175.**

Applicants have an obligation under 47 C.F.R. §1.65, 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 47 C.F.R.

§ 1.2105(b)(2), will not be accepted and may in some instances result in
the dismissal of the FCC Form

175 application.

**(5) Electronic Review of FCC Form 175.**

The FCC Form 175 review software may be used to review and print an
applicant's FCC Form 175 application. Prior to the filing deadline,
applicants may only review their own completed FCC Form 175. Applicants
may review their 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. Because the FCC Form
175s are made public, it is important that an applicant does not include
its Taxpayer Identification Number (TIN) on any Exhibits to its FCC Form
175 application. There are no fees for accessing the Form 175 filing or
review system.

C.  **Collusion Prohibition**

To insure the competitiveness and integrity of the auction process, the
Commission's Rules prohibit competing applicants from communicating with
each other during the auction about bids, bidding strategies, or
settlements. This prohibition becomes effective at the Form 175 filing
deadline. Mutually exclusive FM translator applicants 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 competing applications will be specified in a later public
notice**.[^5] Bidders competing for the same construction permit(s) are
encouraged not to use the same individual as an authorized bidder. A
violation of the anti-collusion rule 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 bidders he or she is authorized to represent in
the auction. Also, if the authorized bidders are different individuals
employed by the same organization (*e.g.*, law firm or technical
consulting firm), a violation could similarly occur. At a minimum, in
such a case, applicants should certify that precautionary steps have
been taken to prevent communication between authorized bidders and that
applicants and their bidding agents will comply with the anti-collusion
rule.[^6] However, the mere filing of 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.[^7]

By electronically submitting their FCC Form 175 short-form applications,
applicants are certifying their compliance with 47 C.F.R. Sections
1.2105(c) and 73.5002. In addition, Section 1.65 of the Commission's
Rules requires an applicant to maintain the accuracy and completeness of
information furnished in its pending application and to notify the
Commission, as promptly as possible and in any event within 30 days, of
any substantial change that may be of decisional significance to that
application. Thus, Section 1.65 and 1.2105 require an auction applicant
to notify the Commission promptly of any violation of the anti-collusion
rules upon learning of such violation. Bidders therefore are required to
make such notification to the Commission immediately upon discovery.[^8]

**D. Application Processing**

After the application filing deadline, MB will process all timely and
complete filings, to determine which are mutually exclusive.
Non-mutually exclusive applicants will be identified by subsequent
public notice and must then submit the complete FCC Form 349 within 30
days. MB also will issue a public notice identifying applications
received during the window that are found to be mutually exclusive.[^9]
This public notice will also specify a settlement period for resolving
application mutual exclusivity by the filing of technical amendments,
dismissal requests, and requests for approval of universal settlement
agreements.[^10] Technical amendments submitted by applicants to resolve
their mutual exclusivities must be minor, as defined by the applicable
rules of the FM translator service, and must not create any new mutual
exclusivity or application conflict.[^11]

Commercial applications that remain mutually exclusive after the
settlement period closes will proceed to auction. MB and WTB will then
issue a public notice identifying the auction date and seek comment on
procedures for further processing the remaining mutually exclusive Form
175 applications, including identifying those Form 175 applications with
minor defects that may be corrected.

[^1]: As stated in the *Broadcast First Report and Order*, 13 FCC Rcd at
    15960, applications pending before the Commission that have never
    been subjected to competing applications are required to confirm
    their intent in participating in an auction as part of the first
    general window for the relevant service.

[^2]: *See Third Report and Order*, 13 FCC Rcd 374, 410-11; 47 C.F.R. §
    1.2105(a).

[^3]: *See* 47 C.F.R. § 1.2105.

[^4]: *See id.* § 1.2105.

[^5]: *See id.* § 73.5002(d).

[^6]: *See, e.g.,* "Wireless Telecommunications Bureau Responds to
    Questions About the Local Multipoint Distribution Service Auction,"
    *Public Notice*, 13 FCC Rcd 341 (1998); 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
    (1998) ("*Nevada Wireless*").

[^7]: *See Nevada Wireless, supra* note 9 at 11978. Applicants may enter
    into bidding agreements before filing their FCC Form 175 short-form
    applications, as long as they disclose the existence of the
    agreement in their FCC Form 175 applications. *See* 47 C.F.R. §
    1.2105(c).

[^8]: The Commission amended Section 1.2105 to require auction
    applicants to report prohibited communications in writing to the
    Commission immediately, but in no case later than five business days
    after the communication occurs. *Amendment of Part 1 of the
    Commission's Rules -- Competitive Bidding Procedures, Seventh Report
    and Order,* 16 FCC Rcd 17546, 17555 (2001).

[^9]: *See* *id.* § 74.1233(d)(3). All mutually exclusive applications
    will be considered under the relevant procedures for conflict
    resolution.

[^10]: *See* *id.* § 73.5002(d)(3).

[^11]: *See id.* § 74.1233(a)(1).