2260 Federal Register / Vol. 78, No. 7 / Thursday, January 10, 2013 / Notices 

comments with the committee as 

described below. 

Written Comments: Although written 

comments are accepted until the date of 

the meeting, written comments should 

be submitted to PCAST no later than 

12:00 p.m. (EST) on January 16, 2013, so 

that the comments may be made 

available to the PCAST members prior 

to the meeting for their consideration. 

Information regarding how to submit 

comments and documents to PCAST is 

available at http://whitehouse.gov/ostp/ 

pcast in the section entitled ‘‘Connect 

with PCAST.’’ 

Please note that because PCAST 

operates under the provisions of FACA, 

all public comments and/or 

presentations will be treated as public 

documents and will be made available 

for public inspection, including being 

posted on the PCAST Web site. 

Meeting Accommodations: 

Individuals requiring special 

accommodation to access this public 

meeting should contact Dr. Scholz at 

least five business days prior to the 

meeting so that appropriate 

arrangements can be made. 

Issued in Washington, DC, on January 4, 

2013. 

LaTanya R. Butler, 

Deputy Committee Management Officer. 

[FR Doc. 2013–00329 Filed 1–9–13; 8:45 am] 

BILLING CODE 6450–01–P 

ENVIRONMENTAL PROTECTION 

AGENCY 

[FRL–9769–3] 

Proposed Consent Decree, Clean Air 

Act Citizen Suit 

AGENCY: Environmental Protection 

Agency (EPA). 

ACTION: Notice of proposed consent 

decree; extension of public comment 

period. 

SUMMARY: On December 7, 2012, in 

accordance with section 113(g) of the 

Clean Air Act, as amended (‘‘CAA’’ or 

the ‘‘Act’’), the EPA published a notice 

in the Federal Register of a proposed 

consent decree to address a lawsuit filed 

by Sierra Club in the United States 

District Court for the District of 

Columbia: Sierra Club v. Jackson, No. 

1:08–cv–00424 RWR (D. DC). Sierra 

Club filed a complaint alleging that the 

EPA failed to meet its obligations under 

section 112(e)(1)(E) of the CAA to 

promulgate emission standards for 

hazardous air pollutant emissions from 

brick and structural clay products 

manufacturing facilities and clay 

ceramics manufacturing facilities 

located at major sources by November 

15, 2000. The proposed consent decree 

establishes deadlines for the EPA’s 

proposed and final actions for meeting 

these obligations. This notice extends 

the comment period on the proposed 

consent decree until January 14, 2013. 

DATES: Written comments on the 

proposed consent decree must be 

received by January 14, 2013. 

ADDRESSES: Submit your comments, 

identified by Docket ID number EPA– 

HQ–OGC–2012–0905, online at 

www.regulations.gov (EPA’s preferred 

method); by email to 

oei.docket@epa.gov; by mail to EPA 

Docket Center, Environmental 

Protection Agency, Mailcode: 2822T, 

1200 Pennsylvania Ave. NW., 

Washington, DC 20460–0001; or by 

hand delivery or courier to EPA Docket 

Center, EPA West, Room 3334, 1301 

Constitution Ave. NW., Washington, 

DC, between 8:30 a.m. and 4:30 p.m. 

Monday through Friday, excluding legal 

holidays. Comments on a disk or CD– 

ROM should be formatted in Word or 

ASCII file, avoiding the use of special 

characters and any form of encryption, 

and may be mailed to the mailing 

address above. 

FOR FURTHER INFORMATION CONTACT: 

Scott Jordan, Air and Radiation Law 

Office (2344A), Office of General 

Counsel, U.S. Environmental Protection 

Agency, 1200 Pennsylvania Ave. NW., 

Washington, DC 20460; telephone: (202) 

564–7508; fax number (202) 564–5603; 

email address: jordan.scott@epa.gov. 

SUPPLEMENTARY INFORMATION: 

Additional Information About the 

Proposed Consent Decree 

The proposed consent decree would 

resolve a lawsuit filed by Sierra Club 

seeking to compel EPA to promulgate 

emission standards for hazardous air 

pollutant emissions from brick and 

structural clay products manufacturing 

facilities and clay ceramics 

manufacturing facilities located at major 

sources under section 112(e)(1)(E) of the 

CAA. Under the proposed consent 

decree, EPA shall no later than August 

30, 2013, sign a notice of proposed 

rulemaking to set national emission 

standards for hazardous air pollutants 

(‘‘NESHAP’’) pursuant to section 112(d) 

of the CAA, 42 U.S.C. 7412(d), for brick 

and structural clay products 

manufacturing facilities and clay 

ceramics manufacturing facilities 

located at major sources. In addition, 

under the proposed consent decree, EPA 

shall no later than July 31, 2014, sign a 

notice of final rulemaking to set 

NESHAP for the source categories 

covered by the proposed rule. 

The proposed consent decree further 

requires that, within 10 business days of 

signing a proposed or final rule, EPA 

shall deliver a notice of such action to 

the Office of the Federal Register for 

publication and that once EPA fulfills 

its obligations under the decree it may 

move to have the decree terminated. 

On December 7, 2012, the EPA 

published a notice of the abovedescribed proposed consent decree and 

invited written comments on the 

proposed decree from persons who were 

not named as parties or intervenors to 

the litigation in question. 77 FR 73029. 

This notice extends the public comment 

period on the proposed consent decree 

until January 14, 2013. 

Please see the notice published at 77 

FR 73029 (Dec. 7, 2012) for information 

on how to obtain a copy of the proposed 

consent decree and how, and to whom, 

to submit comments concerning the 

proposed decree. 

Dated: January 1, 2013. 

Lorie J. Schmidt, 

Associate General Counsel. 

[FR Doc. 2013–00360 Filed 1–9–13; 8:45 am] 

BILLING CODE 6560–50–P 

FEDERAL COMMUNICATIONS 

COMMISSION 

[AU Docket No. 12–239; DA 12–1865] 

Auction of FM Broadcast Construction 

Permits Rescheduled for April 23, 

2013; Notice of Filing Requirements, 

Minimum Opening Bids, Upfront 

Payments, and Other Procedures for 

Auction 94 

AGENCY: Federal Communications 

Commission. 

ACTION: Notice. 

SUMMARY: This document announces the 

auction of certain FM broadcast 

construction permits. This document is 

intended to familiarize prospective 

applicants with the procedures and 

other requirements for participation in 

Auction 94. 

DATES: Applications to participate in 

Auction 94 must be filed prior to 6:00 

p.m. Eastern Time (ET) on February 6, 

2013. Bidding for construction permits 

in Auction 94 is scheduled to begin on 

April 23, 2013. 

FOR FURTHER INFORMATION CONTACT: 

Wireless Telecommunications Bureau, 

Auctions and Spectrum Access Division: 

For auction legal questions: Howard 

Davenport at (202) 418–0660; for general 

auction questions: Jeff Crooks at (202) 

418–0660 or Linda Sanderson at (717) 

338–2868. Media Bureau, Audio 


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Division: For FM service rule questions: 

Lisa Scanlan or Tom Nessinger at (202) 

418–2700. 

SUPPLEMENTARY INFORMATION: This is a 

summary of the Auction 94 Procedures 

Public Notice released on November 21, 

2012. The complete text of the Auction 

94 Procedures Public Notice, including 

an attachment and related Commission 

documents, is available for public 

inspection and copying from 8:00 a.m. 

to 4:30 p.m. Eastern Time (ET) Monday 

through Thursday or from 8:00 a.m. to 

11:30 a.m. ET on Fridays in the FCC 

Reference Information Center, 445 12th 

Street SW., Room CY–A257, 

Washington, DC 20554. The Auction 94 

Procedures Public Notice and related 

Commission documents also may be 

purchased from the Commission’s 

duplicating contractor, Best Copy and 

Printing, Inc. (BCPI), 445 12th Street 

SW., Room CY–B402, Washington, DC 

20554, telephone 202–488–5300, fax 

202–488–5563, or you may contact BCPI 

at its Web site: http:// 

www.BCPIWEB.com. When ordering 

documents from BCPI, please provide 

the appropriate FCC document number, 

for example, DA 12–1865. The Auction 

94 Procedures Public Notice and related 

documents also are available on the 

Internet at the Commission’s Web site: 

http://wireless.fcc.gov/auctions/94/, or 

by using the search function for AU 

Docket No. 12–1865 on the 

Commission’s Electronic Comment 

Filing System (ECFS) web page at http:// 

www.fcc.gov/cgb/ecfs/. 

I. General Information 

A. Introduction 

1. On September 11, 2012, the 

Wireless Telecommunications and 

Media Bureaus (the Bureaus) released a 

public notice seeking comment on 

competitive bidding procedures to be 

used in Auction 94. Six parties 

submitted seven comments in response 

to the Auction 94 Comment Public 

Notice, 77 FR 60690, October 4, 2012. 

2. On November 21, 2012, The 

Bureaus released a public notice that 

established the procedures and 

minimum opening bid amounts for the 

upcoming auction of certain FM 

broadcast construction permits and 

announced a revised auction schedule. 

This auction, which is designated as 

Auction 94, is now scheduled to start on 

April 23, 2013. Construction Permits in 

Auction 94 

3. Auction 94 will offer 112 

construction permits in the FM 

broadcast service. The construction 

permits to be auctioned, which are 

listed in Attachment A of the Auction 

94 Procedures Public Notice, are for 112 

new FM allotments, including 25 

construction permits that were offered 

but not sold or were defaulted upon in 

prior auctions. These construction 

permits are for vacant FM allotments, 

reflecting FM channels assigned to the 

Table of FM Allotment. 

4. Attachment A to the Auction 94 

Procedures Public Notice reflects 

changes to the list of construction 

permits that were proposed for this 

auction. The Bureaus have removed five 

construction permits from the list of 

construction permits that were proposed 

for inclusion in this auction. The 

Auction 94 Comment Public Notice 

explains the Bureaus’ rationale for 

removing certain permits and not 

offering those five permits in Auction 

94. 

5. Applicants may apply for any 

vacant FM allotment listed in 

Attachment A of the Auction 94 

Procedures Public Notice. When two or 

more short-form applications (FCC Form 

175) specifying the same FM allotment 

are accepted for filing, mutual 

exclusivity exists for auction purposes 

and that construction permit must be 

awarded by competitive bidding 

procedures. Once mutual exclusivity 

exists for auction purposes, even if only 

one applicant for a particular 

construction permit submits an upfront 

payment, that applicant is required to 

submit a bid in order to obtain the 

permit. 

B. Rules and Disclaimers 

i. Relevant Authority 

6. Prospective applicants must 

familiarize themselves thoroughly with 

the Commission’s general competitive 

bidding rules, including recent 

amendments and clarifications, as well 

as Commission decisions in proceedings 

regarding competitive bidding 

procedures, application requirements, 

and obligations of Commission 

licensees. Broadcasters should also 

familiarize themselves with the 

Commission’s FM broadcast service 

rules contained in 47 CFR 73.201– 

73.333 and 73.1001–73.5009. 

Prospective bidders must also be 

familiar with the broadcast auctions and 

competitive bidding rules contained in 

47 CFR 1.2101–1.2112 and 73.5000– 

73.5009. All bidders must also be 

thoroughly familiar with the 

procedures, terms and conditions 

contained in the Auction 94 Procedures 

Public Notice and other public notices 

and orders referenced in that Public 

Notice. The terms contained in the 

Commission’s rules, relevant orders, 

and public notices are not negotiable. 

The Commission may amend or 

supplement the information contained 

in its public notices at any time, and 

will issue public notices to convey any 

new or supplemental information to 

applicants. It is the responsibility of all 

applicants to remain current with all 

Commission rules and with all public 

notices pertaining to this auction. 

ii. Prohibited Communications and 

Compliance With Antitrust Laws 

7. To ensure the competitiveness of 

the auction process, 47 CFR 1.2105(c) of 

the Commission’s rules prohibits 

auction applicants for construction 

permits in any of the same geographic 

license areas from communicating with 

each other about bids, bidding 

strategies, or settlements unless such 

applicants have identified each other on 

their short-form applications (FCC Form 

175) as parties with whom they have 

entered into agreements pursuant to 47 

CFR 1.2105(a)(2)(viii). 

a. Entities Subject to Section 1.2105 

8. The prohibition on certain 

communications in 47 CFR 1.215(c) will 

apply to any applicants that submit 

short-form applications seeking to 

participate in a Commission auction for 

construction permits in the same 

geographic license area. Thus, unless 

they have identified each other on their 

short-form applications as parties with 

whom they have entered into 

agreements under 47 CFR 

1.2105(a)(2)(viii), applicants for any of 

the same geographic license areas must 

affirmatively avoid all communications 

with or disclosures to each other that 

affect or have the potential to affect bids 

or bidding strategy. In some instances, 

this prohibition extends to 

communications regarding the postauction market structure. This 

prohibition applies to all applicants 

regardless of whether such applicants 

become qualified bidders or actually 

bid. For the FM service, the market 

designation is the particular vacant FM 

allotment (e.g., Harrison, Michigan, 

Channel 280A, MM–FM664A). In 

Auction 94, this rule would apply to 

applicants designating any of the same 

FM allotments on the short-form 

application. 

9. For purposes of this prohibition, 47 

CFR 1.2105(c)(7)(i) defines ‘‘applicant’’ 

as including all officers and directors of 

the entity submitting a short-form 

application to participate in the auction, 

all controlling interests of that entity, as 

well as 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. For 


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example, where an individual served as 

an officer for two or more applicants, 

the Bureaus have found that the bids 

and bidding strategies of one applicant 

are conveyed to the other applicant, 

and, absent a disclosed bidding 

agreement, an apparent violation of 47 

CFR 1.2105(c) occurs. 

10. Individuals and entities subject to 

47 CFR 1.2105(c) should take special 

care in circumstances where their 

employees may receive information 

directly or indirectly relating to any 

competing applicant’s bids or bidding 

strategies. 

11. 47 CFR 1.2105(c) permits a noncontrolling interest holders to obtain 

interests in more than one competing 

applicant without violating the rule 

provided specified conditions are met 

(including a certification that no 

prohibited communications have 

occurred or will occur), but that 

exception does not extend to controlling 

interest holders. 

12. Auction 94 applicants are 

encouraged not to use the same 

individual as an authorized bidder. A 

violation of 47 CFR 1.2105(c) 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 such 

applicants. Similarly, if the authorized 

bidders are different individuals 

employed by the same organization 

(e.g., law firm, engineering firm or 

consulting firm), a violation similarly 

could occur. In such a case, at a 

minimum, applicants should certify on 

their applications that precautionary 

steps have been taken to prevent 

communication between authorized 

bidders, and that the applicant and its 

bidders will comply with 47 CFR 

1.2105(c). 

b. Prohibition Applies Until Down 

Payment Deadline 

13. 47 CFR 1.2105(c)’s prohibition on 

certain communications begins at the 

short-form application filing deadline 

and ends at the down payment deadline 

after the auction closes, which will be 

announced in a future public notice. 

c. Prohibited Communications 

14. Applicants must not communicate 

directly or indirectly about bids or 

bidding strategy to other applicants in 

this auction. 47 CFR 1.2105(c) prohibits 

not only communication about an 

applicant’s own bids or bidding 

strategy, it also prohibits 

communication of another applicant’s 

bids or bidding strategy. While 47 CFR 

1.2105(c) does not prohibit non-auctionrelated business negotiations among 

auction applicants, each applicant must 

remain vigilant so as not to directly or 

indirectly communicate information 

that affects, or could affect, bids, 

bidding strategy, or the negotiation of 

settlement agreements. 

15. Applicants are cautioned that the 

Commission remains vigilant about 

prohibited communications taking place 

in other situations, including 

communications regarding capital calls 

or requests for additional funds in 

support of bids or bidding strategies. An 

applicant also may not use the 

Commission’s bidding system to 

disclose its bidding strategy. Applicants 

also should use caution in their dealings 

with other parties, such as members of 

the press, financial analysts, or others 

who might become conduits for the 

communication of prohibited bidding 

information. Similarly, an applicant’s 

public statement of intent not to 

participate in Auction 94 bidding could 

also violate the rule. Applicants are 

hereby placed on notice that public 

disclosure of information relating to 

bids, or bidding strategies, or to post 

auction market structures may violate 

47 CFR 1.2105(c). 

d. Disclosure of Bidding Agreements 

and Arrangements 

16. The Commission’s rules do not 

prohibit applicants from entering into 

otherwise lawful bidding agreements 

before filing their short-form 

applications, as long as they disclose the 

existence of the agreement(s) in their 

short-form applications. Applicants 

must identify in their short-form 

applications all parties with whom they 

have entered into any agreements, 

arrangements, or understandings of any 

kind relating to the construction permits 

being auctioned, including any 

agreements relating to post-auction 

market structure. 

17. If parties agree in principle on all 

material terms prior to the short-form 

application filing deadline, each party 

to the agreement must identify the other 

party or parties to the agreement on its 

short-form application under 47 CFR 

1.2105(c), even if the agreement has not 

been reduced to writing. If the parties 

have not agreed in principle by the 

short-form filing deadline, they should 

not include the names of parties to 

discussions on their applications, and 

they may not continue negotiation, 

discussion or communication with any 

other applicants after the short-form 

application filing deadline. 

18. 47 CFR 1.2105(c) does not prohibit 

non-auction-related business 

negotiations among auction applicants. 

However, certain discussions or 

exchanges could touch upon 

impermissible subject matters because 

they may convey pricing information 

and bidding strategies. Such subject 

areas include, but are not limited to, 

issues such as management, sales, local 

marketing agreements, rebroadcast 

agreements, and other transactional 

agreements. 

e. Section 1.2105(c) Certification 

19. By electronically submitting a 

short-form application, each applicant 

in Auction 94 certifies its compliance 

with 47 CFR 1.2105(c) and 73.5002. In 

particular, an applicant must certify 

under penalty of perjury it has not 

entered and will not enter into any 

explicit or implicit agreements, 

arrangements or understandings of any 

kind with any parties, other than those 

identified in the application, regarding 

the amount of the applicant’s bids, 

bidding strategies, or the particular 

construction permits on which it will or 

will not bid. However, the Bureaus 

caution that merely filing a certifying 

statement as part of an application will 

not outweigh specific evidence that a 

prohibited communication has 

occurred, nor will it preclude the 

initiation of an investigation when 

warranted. Any applicant found to have 

violated 47 CFR 1.2105(c) may be 

subject to sanctions. 

f. Duty To Report Prohibited 

Communications 

20. 47 CFR 1.2105(c)(6) provides that 

any applicant that makes or receives a 

communication that appears to violate 

47 CFR 1.2105(c) must report such 

communication in writing to the 

Commission immediately, and in no 

case later than five business days after 

the communication occurs. The 

Commission has clarified that each 

applicant’s obligation to report any such 

communication continues beyond the 

five-day period after the communication 

is made, even if the report is not made 

within the five-day period. 

21. In addition, 47 CFR 1.65 requires 

an auction applicant to notify the 

Commission of any substantial change 

to the information or certifications 

included in the pending short-form 

application. An applicant is therefore 

required by 47 CFR 1.65 to report to the 

Commission any communication the 

applicant has made to or received from 

another applicant after the short-form 

application filing deadline that affects 

or has the potential to affect bids or 

bidding strategy, unless such 

communication is made to or received 

from a party to an agreement identified 

under 47 CFR 1.2105(a)(2)(viii). 

22. 47 CFR 1.65(a) and 1.2105(c) 

require each applicant in competitive 


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bidding proceedings 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 become aware of the need 

for amendment. 

g. Procedure for Reporting Prohibited 

Communications 

23. A party reporting any 

communication pursuant to 47 CFR 

1.65, 1.2105(a)(2), or 1.2105(c)(6) must 

take care to ensure that any report of a 

prohibited communication does not 

itself give rise to a violation of 47 CFR 

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. 

24. 47 CFR1.2105(c) requires parties 

to file only a single report concerning a 

prohibited communication and to file 

that report with Commission personnel 

expressly charged with administering 

the Commission’s auctions. This rule is 

designed to minimize the risk of 

inadvertent dissemination of 

information in such reports. Any reports 

required by 47 CFR 1.2105(c) must be 

filed consistent with the instructions set 

forth in the Auction 94 Procedures 

Public Notice. For Auction 94, such 

reports must be filed with the Chief of 

the Auctions and Spectrum Access 

Division, Wireless Telecommunications 

Bureau, by the most expeditious means 

available. Any such report should be 

submitted by email to the following 

email address: auction94@fcc.gov. If you 

choose instead to submit a report in 

hard copy, any such report must be 

delivered only to: Margaret W. Wiener, 

Chief, Auctions and Spectrum Access 

Division, Wireless Telecommunications 

Bureau, Federal Communications 

Commission, 445 12th Street SW., Room 

6423, Washington, DC 20554. 

25. 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 by following the procedures 

specified in 47 CFR 0.459 of the 

Commission’s rules. Such parties also 

are encouraged to coordinate with the 

Auctions and Spectrum Access Division 

staff about the procedures for submitting 

such reports. 

h. Winning Bidders Must Disclose 

Terms of Agreements 

26. Each applicant that is a winning 

bidder will be required to disclose in its 

long-form applications the specific 

terms, conditions, and parties involved 

in any agreement it has entered into. 

This applies to any bidding consortia, 

joint venture, partnership, or agreement, 

understanding, or other arrangement 

entered into relating to the competitive 

bidding process, including any 

agreement relating to the post-auction 

market structure. Failure to comply with 

the Commission’s rules can result in 

enforcement action. 

i. Additional Information Concerning 

Rule Prohibiting Certain 

Communications 

27. A summary listing of documents 

issued by the Commission and the 

Bureaus addressing the application of 

47 CFR 1.2105(c) may be found in 

Attachment D of the Auction 94 

Procedures Public Notice. These 

documents are available on the 

Commission’s auction web page 

j. Antitrust Laws 

28. Regardless of compliance with the 

Commission’s rules, applicants remain 

subject to the antitrust laws, which are 

designed to prevent anticompetitive 

behavior in the marketplace. 

Compliance with the disclosure 

requirements of 47 CFR 1.2105(c) will 

not insulate a party from enforcement of 

the antitrust laws. 

29. To the extent the Commission 

becomes aware of specific allegations 

that suggest that violations of the federal 

antitrust laws may have occurred, the 

Commission may refer such allegations 

to the United States Department of 

Justice for investigation. 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 may be prohibited from 

participating in future auctions, among 

other sanctions. 

iii. Due Diligence 

30. Each potential bidder is solely 

responsible for investigating and 

evaluating all technical and marketplace 

factors that may have a bearing on the 

value of the construction permits for 

broadcast facilities they are seeking in 

this auction. Each bidder is responsible 

for assuring that, if it wins a 

construction permit, it will be able to 

build and operate facilities in 

accordance with the Commission’s 

rules. The FCC makes no 

representations or warranties about the 

use of this spectrum for particular 

services. Applicants should be aware 

that an FCC auction represents an 

opportunity to become an FCC 

permittee in a broadcast service, subject 

to certain conditions and regulations. 

An FCC auction does not constitute an 

endorsement by the FCC of any 

particular service, technology, or 

product, nor does an FCC construction 

permit or license constitute a guarantee 

of business success. 

31. An applicant should perform its 

due diligence research and analysis 

before proceeding, as it would with any 

new business venture. Each potential 

bidder is strongly encouraged to review 

all underlying Commission orders, such 

as the specific order amending the FM 

Table of Allotments and allotting the 

FM channel(s) on which it plans to bid. 

An order adopted in an FM allotment 

rulemaking proceeding may include 

information unique to the allotment 

such as site restrictions or expense 

reimbursement requirements. Each 

potential bidder should perform 

technical analyses or refresh their 

previous analyses to assure itself that, 

should it become a winning bidder for 

any Auction 94 construction permit, it 

will be able to build and operate 

facilities that will fully comply with all 

applicable technical and legal 

requirements. Each applicant should 

inspect any prospective transmitter sites 

located in, or near, the service area for 

which it plans to bid, confirm the 

availability of such sites, and familiarize 

itself with the Commission’s rules 

regarding the National Environmental 

Policy Act at 47 CFR Chapter 1, Part 1, 

Subpart I. 

32. Each applicant should conduct its 

own research prior to Auction 94 in 

order to determine the existence of 

pending administrative or judicial 

proceedings, including pending 

allocation rulemaking proceedings that 

might affect its decision to participate in 

the auction. Each participant in Auction 

94 should continue such research 

throughout the auction. The due 

diligence considerations mentioned in 

the Auction 94 Procedures Public Notice 

do not comprise an exhaustive list of 

steps that should be undertaken prior to 

participating in this auction. As always, 

the burden is on the potential bidder to 

determine how much research to 

undertake, depending upon specific 

facts and circumstances related to its 

interests. 

33. Pending and future judicial 

proceedings, as well as certain pending 

and future proceedings before the 

Commission—including applications, 

applications for modification, petitions 

for rulemaking, requests for special 

temporary authority, waiver requests, 

petitions to deny, petitions for 

reconsideration, informal objections, 


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and applications for review—may relate 

to particular applicants, incumbent 

permittees, incumbent licensees, or the 

construction permits available in 

Auction 94. Each prospective applicant 

is responsible for assessing the 

likelihood of the various possible 

outcomes and for considering the 

potential impact on construction 

permits available in this auction. 

34. Applicants are solely responsible 

for identifying associated risks and for 

investigating and evaluating the degree 

to which such matters may affect their 

ability to bid on, otherwise acquire, or 

make use of the construction permits 

available in Auction 94. Each potential 

bidder is responsible for undertaking 

research to ensure that any permits won 

in this auction will be suitable for its 

business plans and needs. Each 

potential bidder must undertake its own 

assessment of the relevance and 

importance of information gathered as 

part of its due diligence efforts. 

35. Applicants may research the 

licensing database for the Media Bureau 

in order to determine which channels 

are already licensed to incumbent 

licensees or previously authorized to 

construction permittees. Licensing 

records are contained in the 

Consolidated Data Base System (CDBS) 

and may be researched on the Internet 

from http://www.fcc.gov/mb. 

36. The Commission makes no 

representations or guarantees regarding 

the accuracy or completeness of 

information in its databases or any third 

party databases, including, for example, 

court docketing systems. To the extent 

the Commission’s databases may not 

include all information deemed 

necessary or desirable by an applicant, 

it must obtain or verify such 

information from independent sources 

or assume the risk of any 

incompleteness or inaccuracy in said 

databases. Furthermore, the 

Commission makes no representations 

or guarantees regarding the accuracy or 

completeness of information that has 

been provided by incumbent licensees 

and incorporated into its databases. 

iv. Use of Integrated Spectrum Auction 

System 

37. Bidders will be able to participate 

in Auction 94 over the Internet using 

the Commission’s web-based Integrated 

Spectrum Auction System (ISAS or FCC 

Auction System). The Commission 

makes no warranty whatsoever with 

respect to the FCC Auction System. In 

no event shall the Commission, or any 

of its officers, employees, or agents, be 

liable for any damages whatsoever 

(including, but not limited to, loss of 

business profits, business interruption, 

loss of business information, or any 

other loss) arising out of or relating to 

the existence, furnishing, functioning, 

or use of the FCC Auction System that 

is accessible to qualified bidders in 

connection with this auction. Moreover, 

no obligation or liability will arise out 

of the Commission’s technical, 

programming, or other advice or service 

provided in connection with the FCC 

Auction System. 

v. Environmental Review Requirements 

38. Permittees or licensees must 

comply with the Commission’s rules 

regarding implementation of the 

National Environmental Policy Act and 

other federal environmental statutes. 

The construction of a broadcast facility 

is a federal action, and the permittee or 

licensee must comply with the 

Commission’s environmental rules, 47 

CFR 1.1301–1.1319, for each such 

facility. These environmental rules 

require, among other things, that the 

permittee or licensee consult with 

expert agencies having environmental 

responsibilities, including the U.S. Fish 

and Wildlife Service, the State Historic 

Preservation Office, the U.S. Army 

Corps of Engineers, and the Federal 

Emergency Management Agency 

(through the local authority with 

jurisdiction over floodplains). In 

assessing the effect of facility 

construction on historic properties, the 

permittee or licensee must follow the 

provisions of the FCC’s Nationwide 

Programmatic Agreement Regarding the 

Section 106 National Historic 

Preservation Act Review Process. The 

permittee or licensee must prepare 

environmental assessments for any 

facility that may have a significant 

impact in or on wilderness areas, 

wildlife preserves, threatened or 

endangered species, or designated 

critical habitats, historical or 

archaeological sites, Indian religious 

sites, floodplains, and surface features. 

In addition, the permittee or licensee 

must prepare environmental 

assessments for facilities that include 

high intensity white lights in residential 

neighborhoods or excessive radio 

frequency emission. 

C. Auction Specifics 

i. Bidding Methodology 

39. The bidding methodology for 

Auction 94 will be a simultaneous 

multiple round format. The Commission 

will conduct this auction over the 

Internet using the FCC Auction System. 

Qualified bidders are permitted to bid 

electronically via the Internet or by 

telephone using the telephonic bidding 

option. All telephone calls are recorded. 

ii. Pre-Auction Dates and Deadlines 

40. The following dates and deadlines 

apply: 

Auction Tutorial Available (via Internet) ....................................................................................... January 28, 2013. 

Short-Form Application (FCC Form 175) 

Filing Window Opens .............................................................................................................. January 28, 2013; 12:00 noon ET. 

Short-Form Application (FCC Form 175) 

Filing Window Deadline .......................................................................................................... February 6, 2013; prior to 6:00 p.m. ET. 

Upfront Payments (via wire transfer) ...................................................................................... March 18, 2013; 6:00 p.m. ET. 

Mock Auction ............................................................................................................................ April 19, 2013. 

Auction Begins .......................................................................................................................... April 23, 2013. 

iii. Requirements for Participation 

41. Those wishing to participate in 

this auction must: (1) Submit a shortform application (FCC Form 175) 

electronically prior to 6:00 p.m. ET, on 

February 6, 2013, following the 

electronic filing procedures set forth in 

Attachment B to the Auction 94 

Procedures Public Notice; (2) Submit a 

sufficient upfront payment and an FCC 

Remittance Advice Form (FCC Form 

159) by 6:00 p.m. ET, on March 18, 

2013, following the procedures and 

instructions set forth in Attachment C to 

the Auction 94 Procedures Public 

Notice; and (3) Comply with all 

provisions outlined in the Auctions 94 

Procedures Public Notice and applicable 

Commission rules. 

II. Short-Form Application (FCC Form 

175) Requirements 

A. General Information Regarding 

Short-Form Applications 

42. An application to participate in an 

FCC auction, referred to as a short-form 

application or FCC Form 175, provides 

information used to determine whether 

the applicant is legally, technically, and 

financially qualified to participate in 


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Commission auctions for licenses or 

permits. The short-form application is 

the first part of the Commission’s twophased auction application process. In 

the first phase, parties desiring to 

participate in the auction must file a 

streamlined, short-form application in 

which they certify under penalty of 

perjury as to their qualifications. Each 

applicant must take seriously its duties 

and responsibilities and carefully 

determine before filing an application 

that it has the legal, technical and 

financial resources to participate in the 

auction and to construct and operate an 

FM station if it becomes a licensee as a 

result of its participation in this auction. 

Eligibility to participate in bidding is 

based on the applicant’s short-form 

application and certifications, and on its 

upfront payment. In the second phase of 

the process, each winning bidder must 

file a more comprehensive long-form 

application. 

43. Every entity and individual 

seeking a construction permit available 

in Auction 94 must file a short-form 

application electronically via the FCC 

Auction System prior to 6:00 p.m. ET on 

February 6, 2013, following the 

procedures prescribed in Attachment B 

to the Auction 94 Procedures Public 

Notice. If an applicant claims eligibility 

for a bidding credit, the information 

provided in its FCC Form 175 will be 

used to determine whether the applicant 

is eligible for the claimed bidding 

credit. Applicants filing a short-form 

application are subject to the 

Commission’s anti-collusion rules 

beginning at the deadline for filing. 

44. Applicants bear full responsibility 

for submitting accurate, complete and 

timely short-form applications. All 

applicants must certify on their shortform applications under penalty of 

perjury that they are legally, technically, 

financially and otherwise qualified to 

hold a license. Applicants should read 

carefully the instructions set forth in 

Attachment B to the Auction 94 

Procedures Public Notice and should 

consult the Commission’s rules to 

ensure that all the information required 

is included within their short-form 

application. 

45. An individual or entity may not 

submit more than one short-form 

application for a single auction. If a 

party submits multiple short-form 

applications, only one application may 

be accepted for filing. 

46. Applicants also should note that 

submission of a short-form application 

(and any amendments thereto) 

constitutes a representation by the 

certifying official that he or she is an 

authorized representative of the 

applicant, that he or she has read the 

form’s instructions and certifications, 

and that the contents of the application, 

its certifications, and any attachments 

are true and correct. Applicants are not 

permitted to make major modifications 

to their applications; such 

impermissible changes include a change 

of the certifying official to the 

application. 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. 

B. Permit Selection 

47. An applicant must select the 

construction permits on which it wants 

to bid from the ‘‘Eligible Permits’’ list on 

its short-form application. To assist in 

identifying construction permits of 

interest that will be available in Auction 

94, the FCC Auction System includes a 

filtering mechanism that allows an 

applicant to filter the ‘‘Eligible Permits’’ 

list. Selections for one or more of the 

filter criteria can be made and the 

system will produce a list of 

construction permits satisfying the 

specified criteria. Any or all of the 

construction permits in the filtered 

results may be selected. Applicants will 

also be able to select construction 

permits from one set of filtered results 

and then filter on different criteria to 

select additional construction permits. 

48. Applicants interested in 

participating in Auction 94 must have 

selected construction permit(s) available 

in this auction by the short-form 

application filing deadline. Applicants 

must review and verify their 

construction permit selections before 

the deadline for submitting short-form 

applications. Construction permit 

selections cannot be changed after the 

short-form application filing deadline. 

The FCC Auction System will not 

accept bids on construction permits that 

were not selected on the applicant’s 

short-form application. 

C. New Entrant Bidding Credit 

49. The interests of the applicant and 

of any individuals or entities with an 

attributable interest in the applicant, in 

other media of mass communications 

are considered when determining an 

applicant’s eligibility for the New 

Entrant Bidding Credit. In Auction 94, 

the bidder’s attributable interests and, 

thus, its maximum new entrant bidding 

credit eligibility are determined as of 

the short-form application filing 

deadline. An applicant intending to 

divest a media interest or make any 

other ownership changes, such as 

resignation of positional interests, in 

order to avoid attribution for purposes 

of qualifying for the New Entrant 

Bidding Credit must have consummated 

such divestment transactions or have 

completed such ownership changes by 

no later than the short-form filing 

deadline. Each prospective bidder is 

reminded, however, that events 

occurring after the short-form filing 

deadline, such as the acquisition of 

attributable interests in media of mass 

communications, may cause 

diminishment or loss of the bidding 

credit, and must be reported 

immediately. 

50. Under traditional broadcast 

attribution rules, those entities or 

individuals with an attributable interest 

in a bidder include: (1) All officers and 

directors of a corporate bidder; (2) Any 

owner of 5 percent or more of the voting 

stock of a corporate bidder; (3) All 

partners and limited partners of a 

partnership bidder, unless the limited 

partners are sufficiently insulated; and 

(4) All members of a limited liability 

company, unless sufficiently insulated. 

51. In cases where an applicant’s 

spouse or close family member holds 

other media interests, such interests are 

not automatically attributable to the 

bidder. The Commission decides 

attribution issues in this context based 

on certain factors traditionally 

considered relevant. Applicants should 

note that the mass media attribution 

rules were revised in 1999. 

52. Applicants are also reminded that, 

by the New Entrant Bidding Credit 

Reconsideration Order, the Commission 

further refined the eligibility standards 

for the New Entrant Bidding Credit, 

judging it appropriate to attribute the 

media interests held by very substantial 

investors in, or creditors of, an applicant 

claiming new entrant status. 

Specifically, the attributable mass media 

interests held by an individual or entity 

with an equity and/or debt interest in an 

applicant shall be attributed to that 

applicant for purposes of determining 

its eligibility for the New Entrant 

Bidding Credit, if the equity and debt 

interests, in the aggregate, exceed 33 

percent of the total asset value of the 

applicant, even if such an interest is 

non-voting. 

53. In the Diversity Order, 73 FR 

28400, May 16, 2008, the Commission 

relaxed the equity/debt plus (EDP) 

attribution standard, to allow for higher 

investment opportunities in entities 

meeting the definition of eligible 

entities as set forth in 47 CFR 73.3555 

Note 2(i). Consistent with a United 

States Court of Appeals decision issued 

in July 2011, the relaxed EDP rule for 

eligible entities as the basis for the New 

Entrant Bidding Credit will be 

unavailable in Auction 94. 


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54. Generally, media interests will be 

attributable for purposes of the New 

Entrant Bidding Credit to the same 

extent that such other media interests 

are considered attributable for purposes 

of the broadcast multiple ownership 

rules. However, attributable interests 

held by a winning bidder in existing 

low power television, television 

translator or FM translator facilities will 

not be counted among the applicant’s 

other mass media interests in 

determining its eligibility for a New 

Entrant Bidding Credit. A medium of 

mass communications is defined in 

section 73.5008(b). Full service 

noncommercial educational stations, on 

both reserved and non-reserved 

channels, are included among media of 

mass communications as defined in 

section 73.5008(b). 

D. Application Requirements 

55. In addition to the ownership 

information required pursuant to 47 

CFR 1.2105 and 1.2112, applicants 

seeking a New Entrant Bidding Credit 

are required to establish on their shortform applications that they satisfy the 

eligibility requirements to qualify for 

the bidding credit. In those cases, a 

certification under penalty of perjury 

must be provided in completing the 

short-form application. An applicant 

claiming that it qualifies for a 35 percent 

New Entrant Bidding Credit must certify 

that neither it nor any of its attributable 

interest holders have any attributable 

interests in any other media of mass 

communications. An applicant claiming 

that it qualifies for a 25 percent New 

Entrant Bidding Credit must certify that 

neither it nor any of its attributable 

interest holders has any attributable 

interests in more than three media of 

mass communications, and must 

identify and describe such media of 

mass communications. 

i. Bidding Credits 

56. Applicants that qualify for the 

New Entrant Bidding Credit, as 

specified in the applicable rule, are 

eligible for a bidding credit that 

represents the amount by which a 

bidder’s winning bid is discounted. The 

size of a New Entrant Bidding Credit 

depends on the number of ownership 

interests in other media of mass 

communications that are attributable to 

the bidder-entity and its attributable 

interest-holders. A 35 percent bidding 

credit will be given to a winning bidder 

if it, and/or any individual or entity 

with an attributable interest in the 

winning bidder, has no attributable 

interest in any other media of mass 

communications, as defined in 47 CFR 

73.5008. A 25 percent bidding credit 

will be given to a winning bidder if it, 

and/or any individual or entity with an 

attributable interest in the winning 

bidder, has an attributable interest in no 

more than three mass media facilities, as 

defined in 47 CFR 73.5008. No bidding 

credit will be given if any of the 

commonly owned mass media facilities 

serve the same area as the broadcast 

permit proposed in the auction, as 

defined in 47 CFR 73.5007(b), or if the 

winning bidder, and/or any individual 

or entity with an attributable interest in 

the winning bidder, has attributable 

interests in more than three mass media 

facilities. For purposes of determining 

whether a broadcast permit offered in 

this auction is in the same area as an 

applicant’s existing mass media 

facilities, the coverage area of the to-beauctioned facility is calculated using 

maximum class facilities at the 

allotment reference coordinates, not any 

applicant-specified preferred site 

coordinates. 

57. Bidding credits are not 

cumulative; qualifying applicants 

receive either the 25 percent or the 35 

percent bidding credit, but not both. 

Attributable interests are defined in 47 

CFR 73.3555 and note 2 of that section. 

Applicants should note that unjust 

enrichment provisions apply to a 

winning bidder that utilizes a bidding 

credit and subsequently seeks to assign 

or transfer control of its license or 

construction permit to an entity not 

qualifying for the same level of bidding 

credit. 

E. Ownership Disclosure Requirements 

58. For purposes of determining 

eligibility to participate in a broadcast 

auction, all applicants must comply 

with the uniform Part 1 ownership 

disclosure standards and provide 

information required by 47 CFR 1.2105 

and 1.2112 . Specifically, in completing 

the short-form application, applicants 

will be required to fully disclose 

information on the real party- or partiesin-interest and ownership structure of 

the applicant, including both direct and 

indirect ownership interests of 10 

percent or more. The ownership 

disclosure standards for the short-form 

application are prescribed in 47 CFR 

1.2105 and 1.2112 of the Commission’s 

rules. Each applicant is responsible for 

ensuring that information submitted in 

its short-form application is complete 

and accurate. 

59. In certain circumstances, an 

applicant’s most current ownership 

information on file with the 

Commission, if in an electronic format 

compatible with the short-form 

application (FCC Form 175) (such as 

information submitted in an on-line 

FCC Form 602 or in an FCC Form 175 

filed for a previous auction using the 

FCC Auction System), will 

automatically be entered into their 

short-form application. Each applicant 

must carefully review any information 

automatically entered to confirm that it 

is complete and accurate as of the 

deadline for filing the short-form 

application. Any information that needs 

to be corrected or updated must be 

changed directly in the short-form 

application. 

F. Provisions Regarding Former and 

Current Defaulters 

60. Current defaulters or delinquents 

are not eligible to participate in Auction 

94, but former defaulters or delinquents 

can participate so long as they are 

otherwise qualified and, make upfront 

payments that are fifty percent more 

than would otherwise be necessary. An 

applicant is considered a ‘‘current 

defaulter’’ or a ‘‘current delinquent’’ 

when it, any of its affiliates, any of its 

controlling interests, or any of the 

affiliates of its controlling interests, is in 

default on any payment for any 

Commission construction permit or 

license (including a down payment) or 

is delinquent on any non-tax debt owed 

to any Federal agency as of the filing 

deadline for short-form applications. An 

applicant is considered a ‘‘former 

defaulter’’ or a ‘‘former delinquent’’ 

when it, any of its affiliates, any of its 

controlling interests, or any of the 

affiliates of its controlling interests, 

have defaulted on any Commission 

construction permit or license or been 

delinquent on any non-tax debt owed to 

any Federal agency, but have since 

remedied all such defaults and cured all 

of the outstanding non-tax 

delinquencies. 

61. On the short-form application, an 

applicant must certify under penalty of 

perjury that it, its affiliates, its 

controlling interests, and the affiliates of 

its controlling interests, as defined by 47 

CFR 1.2110, are not in default on any 

payment for a Commission construction 

permit or license (including down 

payments) and that it is not delinquent 

on any non-tax debt owed to any 

Federal agency. Each applicant must 

also state under penalty of perjury 

whether it, its affiliates, its controlling 

interests, and the affiliates of its 

controlling interests, have ever been in 

default on any Commission construction 

permit or license or have ever been 

delinquent on any non-tax debt owed to 

any Federal agency. Prospective 

applicants are reminded that 

submission of a false certification to the 

Commission is a serious matter that may 

result in severe penalties, including 


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monetary forfeitures, license 

revocations, exclusion from 

participation in future auctions, and/or 

criminal prosecution. 

62. Applicants are encouraged to 

review the Bureaus’ previous guidance 

on default and delinquency disclosure 

requirements in the context of the shortform application process. For example, 

it has been determined that, to the 

extent that Commission rules permit 

late payment of regulatory or 

application fees accompanied by late 

fees, such debts will become delinquent 

for purposes of 47 CFR 1.2105(a) and 

1.2106(a) only after the expiration of a 

final payment deadline. Therefore, with 

respect to regulatory or application fees, 

the provisions of 47 CFR 1.2105(a) and 

1.2106(a) regarding default and 

delinquency in connection with 

competitive bidding are limited to 

circumstances in which the relevant 

party has not complied with a final 

Commission payment deadline. Parties 

are also encouraged to consult with the 

Wireless Telecommunications Bureau’s 

Auctions and Spectrum Access Division 

staff if they have any questions about 

default and delinquency disclosure 

requirements. 

63. The Commission considers 

outstanding debts owed to the United 

States Government, in any amount, to be 

a serious matter. The Commission 

adopted rules, including a provision 

referred to as the ‘‘red light rule,’’ that 

implement its obligations under the 

Debt Collection Improvement Act of 

1996, which governs the collection of 

debts owed to the United States. Under 

the red light rule, applications and other 

requests for benefits filed by parties that 

have outstanding debts owed to the 

Commission will not be processed. In 

the same rulemaking order, the 

Commission explicitly declared, 

however, that its competitive bidding 

rules ‘‘are not affected’’ by the red light 

rule. As a consequence, the 

Commission’s adoption of the red light 

rule does not alter the applicability of 

any of its competitive bidding rules, 

including the provisions and 

certifications of 47 CFR 1.2105 and 

1.2106, with regard to current and 

former defaults or delinquencies. 

64. Applicants are reminded that the 

Commission’s Red Light Display 

System, which provides information 

regarding debts currently owed to the 

Commission, may not be determinative 

of an auction applicant’s ability to 

comply with the default and 

delinquency disclosure requirements of 

47 CFR 1.2105. Thus, while the red light 

rule ultimately may prevent the 

processing of long-form applications by 

auction winners, an auction applicant’s 

lack of current ‘‘red light’’ status is not 

necessarily determinative of its 

eligibility to participate in an auction or 

of its upfront payment obligation. 

65. Moreover, prospective applicants 

in Auction 94 should note that any longform applications filed after the close of 

bidding will be reviewed for compliance 

with the Commission’s red light rule, 

and such review may result in the 

dismissal of a winning bidder’s longform application. 

G. Optional Applicant Status 

Identification 

66. Applicants owned by members of 

minority groups and/or women, as 

defined in 47 CFR 1.2110(c)(3), and 

rural telephone companies, as defined 

in 47 CFR 1.2110(c)(4), may identify 

themselves regarding this status in 

filling out their short-form applications. 

This applicant status information is 

collected for statistical purposes only 

and assists the Commission in 

monitoring the participation of 

‘‘designated entities’’ in its auctions. 

H. Noncommercial Educational Status 

Election 

67. Applications for noncommercial 

educational (NCE) FM stations on 

nonreserved spectrum, filed during an 

FM filing window, will be returned as 

unacceptable for filing if mutually 

exclusive with any application for a 

commercial station. Accordingly, if an 

FCC Form 175 filed during the Auction 

94 filing window identifying the 

application’s proposed station as 

noncommercial educational is mutually 

exclusive with any application filed 

during that window for a commercial 

station, the NCE application will be 

returned as unacceptable for filing. For 

this reason, each prospective applicant 

in this auction should consider carefully 

if they wish to propose NCE operation 

for any FM station acquired in this 

auction. This NCE election cannot be 

reversed after the initial application 

filing deadline. 

I. Minor Modifications to Short-Form 

Applications 

68. After the deadline for filing initial 

applications, an Auction 94 applicant is 

permitted to make only minor changes 

to its application. Permissible minor 

changes include, among other things, 

deletion and addition of authorized 

bidders (to a maximum of three) and 

revision of addresses and telephone 

numbers of the applicants and their 

contact persons. An applicant is not 

permitted to make a major modification 

to its application (e.g., change of 

construction permit selection, change 

control of the applicant, change the 

certifying official, claim eligibility for a 

higher percentage of bidding credit, or 

change the identification of the 

application’s proposed facilities as 

noncommercial educational) after the 

initial application filing deadline. Thus, 

any change in control of an applicant— 

resulting from a merger, for example, 

will be considered a major modification, 

and the application will consequently 

be dismissed. If an applicant’s shortform application is dismissed, the 

applicant would remain subject to the 

communication prohibitions of 47 CFR 

1.2105(c) until the down payment 

deadline. 

69. If an applicant wishes to make 

permissible minor changes to its shortform application, such changes should 

be made electronically to its short-form 

application using the FCC Auction 

System whenever possible. For the 

change to be submitted and considered 

by the Commission, be sure to click on 

the SUBMIT button. 

70. An applicant cannot use the FCC 

Auction System outside of the initial 

and resubmission filing windows to 

make changes to its short-form 

application for other than 

administrative changes (e.g., changing 

certain contact information or the name 

of an authorized bidder). If these or 

other permissible minor changes need to 

be made outside of these windows, the 

applicant must submit a letter briefly 

summarizing the changes and 

subsequently update its short-form 

application in the FCC Auction System 

once it is available. Moreover, after the 

filing window has closed, the system 

will not permit applicants to make 

certain changes, such as the applicant’s 

legal classification and the 

identification of the application’s 

proposed facilities as noncommercial 

educational. Any letter describing 

changes to an applicant’s short-form 

application must be submitted by email 

to auction94@fcc.gov. Any application 

amendment and related statements of 

fact 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 make such 

certifications under the laws of the 

applicable jurisdiction, if the applicant 

is a governmental entity. 

71. Applicants must not submit 

application-specific material through 

the Commission’s Electronic Comment 


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Filing System, which was used for 

submitting comments regarding Auction 

94. 

J. Maintaining Current Information in 

Short-Form Applications 

72. 47 CFR 1.65 and 1.2105(b) require 

an applicant to maintain the accuracy 

and completeness of information 

furnished in its pending application and 

in competitive bidding proceedings to 

furnish additional or corrected 

information to the Commission within 

five days of a significant occurrence, or 

to amend a short form application no 

more than five days after the applicant 

becomes aware of the need for the 

amendment. Changes that cause a loss 

of or reduction in the percentage of 

bidding credit specified on the 

originally-submitted application must 

be reported immediately, and no later 

than five business days after the change 

occurs. If an amendment reporting 

changes is a ‘‘major amendment,’’ as 

defined by 47 CFR 1.2105, the major 

amendment will not be accepted and 

may result in the dismissal of the 

application. After the short-form filing 

deadline, applicants may make only 

minor changes to their applications. For 

changes to be submitted and considered 

by the Commission, be sure to click on 

the SUBMIT button in the FCC Auction 

System. In addition, an applicant cannot 

update its short-form application using 

the FCC Auction System after the initial 

and resubmission filing windows close. 

If information needs to be submitted 

pursuant to 47 CFR 1.65 after these 

windows close, a letter briefly 

summarizing the changes must be 

submitted by email to 

auction94@fcc.gov. This email must 

include a subject or caption referring to 

Auction 94 and the name of the 

applicant. 

III. Pre-Auction Procedures 

A. Online Auction Tutorial—Available 

January 28, 2013 

73. On Monday, January 28, 2013, an 

educational auction tutorial will be 

available on the Auction 94 web page 

for prospective bidders to familiarize 

themselves with the auction process. 

This online tutorial will provide 

information about pre-auction 

procedures, completing short-form 

applications, auction conduct, the FCC 

Auction Bidding System, auction rules, 

and broadcast services rules. The 

tutorial will also provide an avenue to 

ask FCC staff questions about the 

auction, auction procedures, filing 

requirements, and other matters related 

to this auction. Once posted, this 

tutorial will remain accessible for 

reference prior to Auction 94. 

B. Short-Form Applications—Due Prior 

to 6:00 p.m. ET on February 6, 2013 

74. In order to be eligible to bid in this 

auction, applicants must first follow the 

procedures set forth in Attachment B to 

the Auction 94 Procedures Public Notice 

to submit a short-form application (FCC 

Form 175) electronically via the FCC 

Auction System. This short-form 

application must be submitted prior to 

6:00 p.m. ET on February 6, 2013. Late 

applications will not be accepted. No 

application fee is required, but an 

applicant must submit a timely upfront 

payment to be eligible to bid. 

75. Applications may generally be 

filed at any time beginning at noon ET 

on January 28, 2013, until the filing 

window closes at 6:00 p.m. ET on 

February 6, 2013. Applicants are 

strongly encouraged to file early and are 

responsible for allowing adequate time 

for filing their applications. 

Applications can be updated or 

amended multiple times until the filing 

deadline on February 6, 2013. 

76. An applicant must always click on 

the SUBMIT button on the ‘‘Certify & 

Submit’’ screen to successfully submit 

its FCC Form 175 and any 

modifications; otherwise the application 

or changes to the application will not be 

received or reviewed by Commission 

staff. Additional information about 

accessing, completing, and viewing the 

FCC Form 175 is included in 

Attachment B of the Auction 94 

Procedures Public Notice. FCC Auctions 

Technical Support is available at (877) 

480–3201, option nine; (202) 414–1250; 

or (202) 414–1255 (text telephone 

(TTY)); hours of service are Monday 

through Friday, from 8:00 a.m. to 6:00 

p.m. ET. In order to provide better 

service to the public, all calls to 

Technical Support are recorded. 

C. Application Processing and Minor 

Corrections 

77. After the deadline for filing FCC 

Form 175 applications, the Commission 

will process all timely submitted 

applications to determine which are 

complete, and subsequently will issue a 

public notice identifying (1) Those that 

are complete; (2) those that are rejected; 

and (3) those that are incomplete or 

deficient because of minor defects that 

may be corrected. The public notice will 

include the deadline for resubmitting 

corrected applications. 

78. Non-mutually exclusive 

applications will be listed in a 

subsequent public notice to be released 

by the Bureaus. Such applications will 

not proceed to auction, but will proceed 

in accordance with instructions set forth 

in that public notice. All mutually 

exclusive applications will be 

considered under the relevant 

procedures for conflict resolution. 

Mutually exclusive applications 

proposing commercial stations will 

proceed to auction. 

79. After the application filing 

deadline on February 6, 2013, 

applicants can make only minor 

corrections to their applications. They 

will not be permitted to make major 

modifications (e.g., change construction 

permit selection, change control of the 

applicant, change the certifying official, 

claim eligibility for a higher percentage 

of bidding credit, or change 

identification of the application’s 

proposed facilities as NCE). 

80. Commission staff will 

communicate only with an applicant’s 

contact person or certifying official, as 

designated on the short-form 

application, unless the applicant’s 

certifying official or contact person 

notifies the Commission in writing that 

applicant’s counsel or other 

representative is authorized to speak on 

its behalf. Authorizations may be sent 

by email to auction94@fcc.gov. 

D. Upfront Payments—Due March 18, 

2013 

81. In order to be eligible to bid in this 

auction, an upfront payment must be 

submitted and accompanied by an FCC 

Remittance Advice Form (FCC Form 

159). After completing its short-form 

application, an applicant will have 

access to an electronic version of the 

FCC Form 159 that can be printed and 

sent by fax to U.S. Bank in St. Louis, 

Missouri. All upfront payments must be 

made as instructed in the Auction 94 

Procedures Public Notice and must be 

received in the proper account at U.S. 

Bank before 6:00 p.m. ET on March 18, 

2013. 

i. Making Upfront Payments by Wire 

Transfer 

82. Wire transfer payments must be 

received before 6:00 p.m. ET on March 

18, 2013. No other payment method is 

acceptable. To avoid untimely 

payments, applicants should discuss 

arrangements (including bank closing 

schedules) with their bankers several 

days before they plan to make the wire 

transfer, and allow sufficient time for 

the transfer to be initiated and 

completed before the deadline. At least 

one hour before placing the order for the 

wire transfer (but on the same business 

day), applicants must fax a completed 

FCC Form 159 (Revised 2/03) to U.S. 

Bank at (314) 418–4232. On the fax 

cover sheet, write Wire Transfer— 


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Auction Payment for Auction 94. In 

order to meet the upfront payment 

deadline, an applicant’s payment must 

be credited to the Commission’s account 

for Auction 94 before the deadline. 

83. Each applicant is responsible for 

ensuring timely submission of its 

upfront payment and for timely filing of 

an accurate and complete FCC 

Remittance Advice Form (FCC Form 

159). An applicant should coordinate 

with its financial institution well ahead 

of the due date regarding its wire 

transfer and allow sufficient time for the 

transfer to be initiated and completed 

prior to the deadline. The Commission 

repeatedly has cautioned auction 

participants about the importance of 

planning ahead to prepare for 

unforeseen last-minute difficulties in 

making payments by wire transfer. Each 

applicant also is responsible for 

obtaining confirmation from its 

financial institution that its wire 

transfer to U.S. Bank was successful and 

from Commission staff that its upfront 

payment was timely received and that it 

was deposited into the proper account. 

84. All payments must be in U.S. 

dollars. All payments must be made by 

wire transfer. Upfront payments for 

Auction 94 go to a lockbox number 

different from the lockbox used in 

previous FCC auctions. Failure to 

deliver a sufficient upfront payment as 

instructed by the March 18, 2013, 

deadline will result in dismissal of the 

short-form application and 

disqualification from participation in 

the auction. 

ii. FCC Form 159 

85. An accurate and complete FCC 

Remittance Advice Form (FCC Form 

159, Revised 2/03) must be faxed to U.S. 

Bank to accompany each upfront 

payment. Proper completion of this 

form is critical to ensuring correct 

crediting of upfront payments. Detailed 

instructions for completion of FCC Form 

159 are included in Attachment C of the 

Auction 94 Procedures Public Notice. 

An electronic pre-filled version of the 

FCC Form 159 is available after 

submitting the FCC Form 175. Payers 

using the pre-filled FCC Form 159 are 

responsible for ensuring that all of the 

information on the form, including 

payment amounts, is accurate. The FCC 

Form 159 can be completed 

electronically, but it must be filed with 

U.S. Bank by fax. 

iii. Upfront Payments and Bidding 

Eligibility 

86. Applicants must make upfront 

payments sufficient to obtain bidding 

eligibility on the construction permits 

on which they will bid. The amount of 

the upfront payment would determine a 

bidder’s initial bidding eligibility, the 

maximum number of bidding units on 

which a bidder may place bids. In order 

to bid on a particular construction 

permit, a qualified bidder must have 

selected the construction permit on its 

FCC Form 175 and must have a current 

eligibility level that meets or exceeds 

the number of bidding units assigned to 

that construction permit. At a 

minimum, therefore, an applicant’s total 

upfront payment must be enough to 

establish eligibility to bid on at least one 

of the construction permits selected on 

its FCC Form 175, or else the applicant 

will not be eligible to participate in the 

auction. An applicant does not have to 

make an upfront payment to cover all 

construction permits the applicant 

selected on its FCC Form 175, but only 

enough to cover the maximum number 

of bidding units that are associated with 

construction permits on which they 

wish to place bids and hold 

provisionally winning bids in any given 

round. The total upfront payment does 

not affect the total dollar amount the 

bidder may bid on any given 

construction permit. 

87. The specific upfront payment 

amounts and bidding units for each 

construction permit are set forth in 

Attachment A of the Auction 94 

Procedures Public Notice. 

88. In calculating its upfront payment 

amount, an applicant should determine 

the maximum number of bidding units 

on which it may wish to be active (bid 

on or hold provisionally winning bids 

on) in any single round, and submit an 

upfront payment amount covering that 

number of bidding units. In order to 

make this calculation, an applicant 

should add together the bidding units 

for all construction permits on which it 

seeks to be active in any given round. 

Applicants should check their 

calculations carefully, as there is no 

provision for increasing a bidder’s 

eligibility after the upfront payment 

deadline. 

89. If an applicant is a former 

defaulter, it must calculate its upfront 

payment for all of its identified 

construction permits by multiplying the 

number of bidding units on which it 

wishes to be active by 1.5. In order to 

calculate the number of bidding units to 

assign to former defaulters, the 

Commission will divide the upfront 

payment received by 1.5 and round the 

result up to the nearest bidding unit. 

E. Applicant’s Wire Transfer 

Information for Purposes of Refunds of 

Upfront Payments 

90. To ensure that refunds of upfront 

payments are processed in an 

expeditious manner, the Commission is 

requesting that all pertinent information 

be supplied. Applicants can provide the 

information electronically during the 

initial short-form application filing 

window after the form has been 

submitted. (Applicants are reminded 

that information submitted as part of an 

FCC Form 175 will be available to the 

public; for that reason, wire transfer 

information should not be included in 

an FCC Form 175.) Specific instructions 

were provided in the Auction 94 

Procedures Public Notice for the 

submission of wire transfer instructions 

by fax. 

F. Auction Registration 

91. Approximately ten days before the 

auction, the Bureaus will issue a public 

notice announcing all qualified bidders 

for the auction. Qualified bidders are 

those applicants with submitted FCC 

Form 175 applications that are deemed 

timely-filed, accurate, and complete, 

provided that such applicants have 

timely submitted an upfront payment 

that is sufficient to qualify them to bid. 

92. All qualified bidders are 

automatically registered for the auction. 

Registration materials will be 

distributed prior to the auction by 

overnight mail. The mailing will be sent 

only to the contact person at the contact 

address listed in the FCC Form 175 and 

will include the SecurID® tokens that 

will be required to place bids, the 

‘‘Integrated Spectrum Auction System 

(ISAS) Bidder’s Guide,’’ and the 

Auction Bidder Line phone number. 

93. Qualified bidders that do not 

receive this registration mailing will not 

be able to submit bids. Therefore, if this 

mailing is not received by noon on 

Wednesday, April 17, 2013, call the 

Auctions Hotline at (717) 338–2868. 

Receipt of this registration mailing is 

critical to participating in the auction, 

and each applicant is responsible for 

ensuring it has received all of the 

registration material. 

94. In the event that 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. To request replacement of 

these items, call Technical Support at 

(877) 480–3201, option nine; (202) 414– 

1250; or (202) 414–1255 (TTY). 

G. Remote Electronic Bidding 

95. The Commission will conduct this 

auction over the Internet, and 

telephonic bidding will be available as 

well. Only qualified bidders are 

permitted to bid. Each applicant should 

indicate its bidding preference— 


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electronic or telephonic—on its FCC 

Form 175. In either case, each 

authorized bidder must have its own 

SecurID® token, which the Commission 

will provide at no charge. Each 

applicant with one authorized bidder 

will be issued two SecurID® tokens, 

while applicants with two or three 

authorized bidders will be issued three 

tokens. For security purposes, the 

SecurID® tokens, the telephonic bidding 

telephone number, and the ‘‘Integrated 

Spectrum Auction System (ISAS) 

Bidder’s Guide’’ are only mailed to the 

contact person at the contact address 

listed on the FCC Form 175. 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. 

H. Mock Auction—April 19, 2013 

96. All qualified bidders will be 

eligible to participate in a mock auction 

on Friday, April 19, 2013. The mock 

auction will enable bidders to become 

familiar with the FCC Auction System 

prior to the auction. The Bureaus 

strongly recommend that all bidders 

participate in the mock auction. Details 

will be announced by public notice. 

IV. Auction 

97. The first round of bidding for 

Auction 94 will begin on Tuesday, April 

23, 2013. The initial bidding schedule 

will be announced in a public notice 

listing the qualified bidders, which is 

released approximately 10 days before 

the start of the auction. 

A. Auction Structure 

i. Simultaneous Multiple Round 

Auction 

98. In Auction 94, all construction 

permits will be auctioned in a single 

auction using the Commission’s 

standard simultaneous multiple-round 

auction format. This type of auction 

offers every construction permit for bid 

at the same time and consists of 

successive bidding rounds in which 

eligible bidders may place bids on 

individual construction permits. A 

bidder may bid on, and potentially win, 

any number of construction permits. 

The Bureaus received no comment on 

this proposal, and this proposal is 

adopted. Unless otherwise announced, 

bids will be accepted on all construction 

permits in each round of the auction 

until bidding stops on every 

construction permit. 

ii. Eligibility and Activity Rules 

99. The Bureaus will use upfront 

payments to determine initial 

(maximum) eligibility (as measured in 

bidding units) for Auction 94. The 

amount of the upfront payment 

submitted by a bidder determines initial 

bidding eligibility, the maximum 

number of bidding units on which a 

bidder may be active. As noted earlier, 

each construction permit is assigned a 

specific number of bidding units as 

listed in Attachment A of the Auction 

94 Procedures Public Notice. Bidding 

units assigned to each construction 

permit do not change as prices rise 

during the auction. Upfront payments 

are not attributed to specific 

construction permits. Rather, a bidder 

may place bids on any of the 

construction permits selected on its FCC 

Form 175 as long as the total number of 

bidding units associated with those 

construction permits does not exceed its 

current eligibility. 

100. In order to ensure that an auction 

closes within a reasonable period of 

time, an activity rule requires bidders to 

bid actively throughout the auction, 

rather than wait until late in the auction 

before participating. Bidders are 

required to be active on a specific 

percentage of their current bidding 

eligibility during each round of the 

auction. The Bureaus proposed a 100 

percent activity requirement. 

101. The Bureaus declined one 

commenter’s suggestion that they 

should require an upfront payment 

covering of all the permits selected by 

an applicant in its FCC Form 175. 

Allowing each applicant to submit an 

upfront payment that covers the 

maximum number of bidding units on 

which it may wish to be active in any 

given round affords bidders the 

flexibility to pursue backup strategies— 

not unlike having an activity 

requirement below 100%. 

102. The Bureaus also chose not to 

adopt their proposal to have a 100% 

activity requirement in response to 

concerns raised by a commenter. 

Instead, the Bureaus adopt two activity 

requirements: an 80% requirement for 

the beginning of the auction and a 95% 

requirement that will be used later in 

the auction. The Bureaus will 

implement these requirements using 

two ‘‘auction stages.’’ 

103. When the Bureaus move the 

auction from Stage One to Stage Two, 

they will first alert bidders by 

announcement in the bidding system. 

The Bureaus have the discretion to 

further alter the activity requirements 

before and/or during the auction as 

circumstances warrant. 

iii. Activity Rule Waivers 

104. The Bureaus decided to provide 

bidders in Auction 94 with three 

activity rule waivers. Use of an activity 

rule waiver preserves the bidder’s 

eligibility despite its activity in the 

current round being below the required 

minimum activity level. An activity rule 

waiver applies to an entire round of 

bidding and not to a particular 

construction permit. Waivers can be 

either proactive or automatic and are 

principally a mechanism for auction 

participants to avoid the loss of bidding 

eligibility in the event that exigent 

circumstances prevent them from 

placing a bid in a particular round. 

105. The FCC Auction System 

assumes that a bidder with insufficient 

activity would prefer to apply an 

activity rule waiver (if available) rather 

than lose bidding eligibility. Therefore, 

the system will automatically apply a 

waiver at the end of any bidding round 

in which a bidder’s activity level is 

below the minimum required unless (1) 

the bidder has no activity rule waivers 

remaining or (2) the bidder overrides the 

automatic application of a waiver by 

reducing eligibility. If no waivers 

remain and the activity requirement is 

not satisfied, the FCC Auction System 

will permanently reduce the bidder’s 

eligibility, possibly curtailing or 

eliminating the ability to place 

additional bids in the auction. 

106. A bidder with insufficient 

activity may wish to reduce its bidding 

eligibility rather than use an activity 

rule waiver. If so, the bidder must 

affirmatively override the automatic 

waiver mechanism during the bidding 

round by using the reduce eligibility 

function in the FCC Auction System. In 

this case, the bidder’s eligibility is 

permanently reduced to bring it into 

compliance with the activity rule. 

Reducing eligibility is an irreversible 

action; once eligibility has been 

reduced, a bidder will not be permitted 

to regain its lost bidding eligibility, even 

if the round has not yet closed. 

107. Finally, a bidder may apply an 

activity rule waiver proactively as a 

means to keep the auction open without 

placing a bid. If a proactive waiver is 

applied (using the ‘‘apply waiver’’ 

function in the FCC Auction System) 

during a bidding round in which no 

bids are placed, the auction will remain 

open and the bidder’s eligibility will be 

preserved. However, an automatic 

waiver applied by the FCC Auction 

System in a round in which there are no 

new bids or proactive waivers will not 

keep the auction open. A bidder cannot 

submit a proactive waiver after bidding 

in a round, and applying a proactive 

waiver will preclude it from placing any 

bids in that round. Applying a waiver is 

irreversible; once a bidder submits a 

proactive waiver, the bidder cannot 


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unsubmit the waiver even if the round 

has not yet ended. 

iv. Auction Stopping Rules 

108. For Auction 94, the Bureaus will 

employ a simultaneous stopping rule 

approach, which means all construction 

permits remain available for bidding 

until bidding stops simultaneously on 

every construction permit. More 

specifically, bidding will close on all 

construction permits after the first 

round in which no bidder submits any 

new bids or applies a proactive waiver. 

109. The Bureaus also sought 

comment on alternative versions of the 

simultaneous stopping rule for Auction 

94. Under Option1, the auction would 

close for all construction permits after 

the first round in which no bidder 

applies a proactive waiver or places any 

new bids on any construction permit on 

which it is not the provisionally 

winning bidder. Thus, absent any other 

bidding activity, a bidder placing a new 

bid on a construction permit for which 

it is the provisionally winning bidder 

would not keep the auction open under 

this modified stopping rule. 

110. Under Option 2, the auction 

would close for all construction permits 

after the first round in which no bidder 

applies a waiver or places any new bids 

on any construction permit that is not 

FCC held. Thus, absent any other 

bidding activity, a bidder placing a new 

bid on a construction permit that does 

not already have a provisionally 

winning bid (an ‘‘FCC-held’’ 

construction permit) would not keep the 

auction open under this modified 

stopping rule. 

111. Under Option 3, the auction 

would close using a modified version of 

the simultaneous stopping rule that 

combines 1 and 2. 

112. Under Option 4, the auction 

would end after a specified number of 

additional rounds. If the Bureaus invoke 

this special stopping rule, it will accept 

bids in the specified final round(s), after 

which the auction will close. 

113. Under Option 5, the auction 

would remain open even if no bidder 

places any new bids or applies a waiver. 

In this event, the effect will be the same 

as if a bidder had applied a waiver. 

Thus, the activity rule will apply as 

usual, and a bidder with insufficient 

activity will either lose bidding 

eligibility or use a waiver. 

114. The Bureaus proposed to 

exercise these options only in certain 

circumstances, for example, where the 

auction is proceeding unusually slowly 

or quickly, there is minimal overall 

bidding activity, or it appears likely that 

the auction will not close within a 

reasonable period of time or will close 

prematurely. Before exercising these 

options, The Bureaus are likely to 

attempt to change the pace of the 

auction. For example, the Bureaus may 

adjust the pace of bidding by changing 

the number of bidding rounds per day 

and/or the minimum acceptable bids. 

The Bureaus retain the discretion to 

exercise any of these options with or 

without prior announcement during the 

auction. The Bureaus received no 

comment on these proposals and adopt 

them for Auction 94. 

v. Auction Delay, Suspension, or 

Cancellation 

115. The Bureaus by public notice or 

by announcement during the auction, 

they may delay, suspend, or cancel the 

auction in the event of natural disaster, 

technical obstacle, administrative or 

weather necessity, evidence of an 

auction security breach or unlawful 

bidding activity, or for any other reason 

that affects the fair and efficient conduct 

of competitive bidding. 

B. Bidding Procedures 

i. Round Structure 

116. The initial schedule of bidding 

rounds will be announced in the public 

notice listing the qualified bidders, 

which is released approximately 10 

days before the start of the auction. Each 

bidding round is followed by the release 

of round results. Multiple bidding 

rounds may be conducted each day. 

117. The Bureaus have the discretion 

to change the bidding schedule in order 

to foster an auction pace that reasonably 

balances speed with the bidders’ need to 

study round results and adjust their 

bidding strategies. The Bureaus may 

change the amount of time for the 

bidding rounds, the amount of time 

between rounds, or the number of 

rounds per day, depending upon 

bidding activity and other factors. 

ii. Reserve Price and Minimum Opening 

Bids 

118. The Bureaus did not propose to 

establish reserve prices for the 

construction permits in Auction 94. The 

Bureaus did establish minimum 

opening bids for each construction 

permit, reasoning that a minimum 

opening bid, which has been used in 

other auctions, is an effective tool for 

accelerating the competitive bidding 

process. The Bureaus sought comment 

on the proposed minimum opening 

bids. 

119. In response to specific concerns 

raised by commenters concerning the 

Bureaus’ proposed minimum opening 

bid amounts for particular permits, the 

Bureaus adopted a minimum opening 

bid for MM–FM1057–A, at Oak Harbor, 

Washington, of $15,000, a minimum 

opening bid for MM–FM1058–A, at 

Sedro-Woolley, Washington, of $5,000, 

and a minimum opening bid for MM– 

FM1059–A, at Sequim, Washington, of 

$1,500. 

120. For the rest of the construction 

permits, the Bureaus adopted the 

minimum opening bid amounts 

proposed in the Auction 94 Comment 

Public Notice. The specific minimum 

opening bid amounts for all the 

construction permits available in 

Auction 94 are again specified in 

Attachment A to the Auction 94 

Procedures Public Notice. 

iii. Bid Amounts 

121. In each round, an eligible bidder 

will be able to place a bid on a given 

construction permit in any of up to nine 

different amounts The first of the 

acceptable bid amounts is called the 

minimum acceptable bid amount. The 

minimum acceptable bid amount for a 

construction permit will be equal to its 

minimum opening bid amount until 

there is a provisionally winning bid for 

the construction permit. After there is a 

provisionally winning bid for a permit, 

the minimum acceptable bid amount 

will be a certain percentage higher. That 

is, the minimum acceptable bid amount 

will be calculated by multiplying the 

provisionally winning bid amount times 

one plus the minimum acceptable bid 

percentage. For example, if the 

minimum acceptable bid percentage is 

10 percent, the minimum acceptable bid 

amount will equal (provisionally 

winning bid amount) * (1.10), rounded. 

122. The eight additional bid amounts 

are calculated using the minimum 

acceptable bid amount and a bid 

increment percentage, which need not 

be the same as the percentage used to 

calculate the minimum acceptable 

amount. The first additional acceptable 

bid amount equals the minimum 

acceptable bid amount times one plus 

the bid increment percentage, rounded. 

If, for example, the bid increment 

percentage is 5 percent, the calculation 

is (minimum acceptable bid amount) * 

(1 + 0.05), rounded, or (minimum 

acceptable bid amount) * 1.05, rounded; 

the second additional acceptable bid 

amount equals the minimum acceptable 

bid amount times one plus two times 

the bid increment percentage, rounded, 

or (minimum acceptable bid amount) * 

1.10, rounded; the third additional 

acceptable bid amount equals the 

minimum acceptable bid amount times 

one plus three times the bid increment 

percentage, rounded, or (minimum 

acceptable bid amount) * 1.15, rounded; 

etc. The Bureaus will round the results 


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of these calculations using the standard 

rounding procedures for auctions. 

123. The Bureaus retain the discretion 

to change the minimum acceptable bid 

amounts, the minimum acceptable bid 

percentage, the bid increment 

percentage, and the number of 

acceptable bid amounts if the Bureaus 

determine that circumstances so dictate. 

The Bureaus proposed to retain the 

discretion to do so on a construction 

permit-by-construction permit basis. 

The Bureaus retain the discretion to 

limit (a) the amount by which a 

minimum acceptable bid for a 

construction permit may increase 

compared with the corresponding 

provisionally winning bid, and (b) the 

amount by which an additional bid 

amount may increase compared with 

the immediately preceding acceptable 

bid amount. For example, the Bureaus 

could set a $10,000 limit on increases in 

minimum acceptable bid amounts over 

provisionally winning bids. Thus, if 

calculating a minimum acceptable bid 

using the minimum acceptable bid 

percentage results in a minimum 

acceptable bid amount that is $12,000 

higher than the provisionally winning 

bid on a construction permit, the 

minimum acceptable bid amount would 

instead be capped at $10,000 above the 

provisionally winning bid. If the 

Bureaus exercise this discretion, the 

Bureaus will alert bidders by an 

announcement in the FCC Auction 

System during the auction. 

iv. Provisionally Winning Bids 

124. At the end of each bidding 

round, a ‘‘provisionally winning bid’’ 

will be determined based on the highest 

bid amount received for each 

construction permit. A provisionally 

winning bid will remain the 

provisionally winning bid until there is 

a higher bid on the same construction 

permit at the close of a subsequent 

round. Provisionally winning bids at the 

end of the auction become the winning 

bids. Bidders are reminded that 

provisionally winning bids count 

toward activity for purposes of the 

activity rule. 

125. The Bureaus will use a random 

number generator to select a single 

provisionally winning bid in the event 

of identical high bid amounts being 

submitted on a construction permit in a 

given round (i.e., tied bids). 

Specifically, the FCC Auction System 

will assign a random number to each 

bid upon submission. The tied bid with 

the highest random number wins the 

tiebreaker, and becomes the 

provisionally winning bid. Bidders, 

regardless of whether they hold a 

provisionally winning bid, can submit 

higher bids in subsequent rounds. 

However, if the auction were to end 

with no other bids being placed, the 

winning bidder would be the one that 

placed the provisionally winning bid. 

v. Bidding 

126. All bidding will take place 

remotely either through the FCC 

Auction System or by telephonic 

bidding. There will be no on-site 

bidding during Auction 94. Please note 

that telephonic bid assistants are 

required to use a script when entering 

bids placed by telephone. Telephonic 

bidders are therefore reminded to allow 

sufficient time to bid by placing their 

calls well in advance of the close of a 

round. The length of a call to place a 

telephonic bid may vary; please allow a 

minimum of ten minutes. 

127. A bidder’s ability to bid on 

specific construction permits is 

determined by two factors: (1) The 

construction permits selected on the 

bidder’s FCC Form 175 and (2) the 

bidder’s eligibility. The bid submission 

screens will allow bidders to submit 

bids on only those construction permits 

the bidder selected on its FCC Form 

175. 

128. In order to access the bidding 

function of the FCC Auction System, 

bidders must be logged in during the 

bidding round using the passcode 

generated by the SecurID® token and a 

personal identification number (‘‘PIN’’) 

created by the bidder. Bidders are 

strongly encouraged to print a ‘‘round 

summary’’ for each round after they 

have completed all of their activity for 

that round. 

129. In each round, eligible bidders 

will be able to place bids on a given 

construction permit in any of up to nine 

pre-defined bid amounts. For each 

construction permit, the FCC Auction 

System will list the acceptable bid 

amounts in a drop-down box. Bidders 

use the drop-down box to select from 

among the acceptable bid amounts. The 

FCC Auction System also includes an 

‘‘upload’’ function that allows text files 

containing bid information to be 

uploaded. 

130. Until a bid has been placed on 

a construction permit, the minimum 

acceptable bid amount for that permit 

will be equal to its minimum opening 

bid amount. Once there are bids on a 

permit, minimum acceptable bids for 

the following round will be determined. 

131. During a round, an eligible 

bidder may submit bids for as many 

construction permits as it wishes 

(providing that it is eligible to bid on the 

specific permits), remove bids placed in 

the current bidding round, or 

permanently reduce eligibility. If 

multiple bids are submitted for the same 

construction permit in the same round, 

the system takes the last bid entered as 

that bidder’s bid for the round. Bidding 

units associated with construction 

permits for which the bidder has 

removed bids do not count towards 

current activity. 

vi. Bid Removal and Bid Withdrawal 

132. In Auction 94, each bidder with 

the option of removing any bids placed 

in a round provided that such bids are 

removed before the close of that bidding 

round. By using the ‘‘remove bids’’ 

function in the FCC Auction System, a 

bidder may effectively unsubmit any bid 

placed within that round. A bidder 

removing a bid placed in the same 

round is not subject to withdrawal 

payments. Removing a bid will affect a 

bidder’s activity because a removed bid 

no longer counts toward bidding 

activity for the round. Once a round 

closes, a bidder may no longer remove 

a bid. 

133. The Bureaus will prohibit 

bidders from withdrawing any bids after 

the round in which the bids were placed 

has closed. Bidders are cautioned to 

select bid amounts carefully because no 

bid withdrawals will be allowed, even 

if a bid was mistakenly or erroneously 

made. 

vii. Round Results 

134. Reports reflecting bidders’ 

identities for Auction 94 will be 

available before and during the auction. 

Thus, bidders will know in advance of 

this auction the identities of the bidders 

against which they are bidding. 

135. Bids placed during a round will 

not be made public until the conclusion 

of that round. After a round closes, the 

Bureaus will compile reports of all bids 

placed, current provisionally winning 

bids, new minimum acceptable bid 

amounts for the following round, 

whether the construction permit is FCC 

held, and bidder eligibility status 

(bidding eligibility and activity rule 

waivers), and post the reports for public 

access. 

viii. Auction Announcements 

136. The Commission will use auction 

announcements to report necessary 

information such as schedule changes. 

All auction announcements will be 

available by clicking a link in the FCC 

Auction System. 

V. Post-Auction Procedures 

137. Shortly after bidding has ended, 

the Commission will issue a public 

notice declaring the auction closed, 

identifying the winning bidders, and 

establishing the deadlines for 


wreier-aviles on DSK5TPTVN1PROD with 
Federal Register / Vol. 78, No. 7 / Thursday, January 10, 2013 / Notices 2273 

submitting down payments, final 

payments, and the long-form 

applications (FCC Forms 301). 

A. Down Payments 

138. Within ten business days after 

release of the auction closing public 

notice, each winning bidder must 

submit sufficient funds (in addition to 

its upfront payment) to bring its total 

amount of money on deposit with the 

Commission for Auction 94 to twenty 

percent of the net amount of its winning 

bids (gross bids less any applicable new 

entrant bidding credits). 

B. Final Payments 

139. Each winning bidder will be 

required to submit the balance of the net 

amount of its winning bids within ten 

business days after the applicable 

deadline for submitting down payments. 

C. Long-Form Application (FCC Form 

301) 

140. The Commission’s rules 

currently provide that within thirty days 

following the close of bidding and 

notification to the winning bidders, 

unless a longer period is specified by 

public notice, winning bidders must 

electronically submit a properly 

completed long-form application (FCC 

Form 301, Application for Construction 

Permit for Commercial Broadcast 

Station), and required exhibits for each 

construction permit won through 

Auction 94. Winning bidders claiming 

new entrant status must include an 

exhibit demonstrating their eligibility 

for the bidding credit. Further 

instructions on these and other filing 

requirements will be provided to 

winning bidders in the auction closing 

public notice. 

D. Default and Disqualification 

141. Any winning bidder that defaults 

or is disqualified after the close of the 

auction (i.e., fails to remit the required 

down payment within the prescribed 

period of time, fails to submit a timely 

long-form application, fails to make full 

payment, or is otherwise disqualified) 

will be subject to the payments 

described in 47 CFR 1.2104(g)(2). This 

payment consists of a deficiency 

payment, equal to the difference 

between the amount of the Auction 94 

bidder’s winning bid and the amount of 

the winning bid the next time a 

construction permit covering the same 

spectrum is won in an auction, plus an 

additional payment equal to a 

percentage of the defaulter’s bid or of 

the subsequent winning bid, whichever 

is less. The percentage of the applicable 

bid to be assessed as an additional 

payment for defaults in Auction 94 is 

Twenty percent of the applicable bid. 

E. Refund of Remaining Upfront 

Payment Balance 

142. After the auction, applicants that 

are not winning bidders or are winning 

bidders whose upfront payment 

exceeded the total net amount of their 

winning bids may be entitled to a 

refund of some or all of their upfront 

payment. All refunds will be returned to 

the payer of record, as identified on the 

FCC Form 159, unless the payer submits 

written authorization instructing 

otherwise. Bidders that drop out of the 

auction completely (have exhausted all 

of their activity rule waivers and have 

no remaining bidding eligibility) may 

request a refund of their upfront 

payments before the close of the 

auction. 

Federal Communications Commission. 

Gary D. Michaels, 

Deputy Chief, Auctions and Spectrum Access 

Division, WTB. 

[FR Doc. 2013–00347 Filed 1–9–13; 8:45 am] 

BILLING CODE 6712–01–P 

FEDERAL RESERVE SYSTEM 

Change in Bank Control Notices; 

Acquisitions of Shares of a Bank or 

Bank Holding Company 

The notificants listed below have 

applied under the Change in Bank 

Control Act (12 U.S.C. 1817(j)) and 

§ 225.41 of the Board’s Regulation Y (12 

CFR 225.41) to acquire shares of a bank 

or bank holding company. The factors 

that are considered in acting on the 

notices are set forth in paragraph 7 of 

the Act (12 U.S.C. 1817(j)(7)). 

The notices are available for 

immediate inspection at the Federal 

Reserve Bank indicated. The notices 

also will be available for inspection at 

the offices of the Board of Governors. 

Interested persons may express their 

views in writing to the Reserve Bank 

indicated for that notice or to the offices 

of the Board of Governors. Comments 

must be received not later than January 

25, 2013. 

A. Federal Reserve Bank of Kansas 

City (Dennis Denney, Assistant Vice 

President) 1 Memorial Drive, Kansas 

City, Missouri 64198–0001: 

1. The Donald L. Patry Revocable 

Trust; Ellen M. Patry Revocable Trust, 

and Ellen Patry, trustee, all of Newton, 

Kansas; Corey Patry, Wichita, Kansas; 

Brandon Patry, and Katie Patry, both of 

Valley Center, Kansas, as a group acting 

in concert, to retain voting shares of 

Whitewater Bancshares, Inc., and 

thereby indirectly retain voting shares of 

Bank of Whitewater, both in 

Whitewater, Kansas. 

Board of Governors of the Federal Reserve 

System, January 7, 2013. 

Margaret McCloskey Shanks, 

Deputy Secretary of the Board. 

[FR Doc. 2013–00331 Filed 1–9–13; 8:45 am] 

BILLING CODE 6210–01–P 

DEPARTMENT OF HEALTH AND 

HUMAN SERVICES 

Food and Drug Administration 

[Docket No. FDA–2012–P–1189] 

Canned Tuna Deviating From Identity 

Standard; Temporary Permit for Market 

Testing 

AGENCY: Food and Drug Administration, 

HHS. 

ACTION: Notice. 

SUMMARY: The Food and Drug 

Administration (FDA or we) received an 

application for a temporary permit from 

Chicken of the Sea International (the 

applicant). We are announcing that we 

have issued a temporary permit to the 

applicant to market test products 

(designated as ‘‘no drain canned tuna’’ 

products) that deviate from the U.S. 

standard of identity for canned tuna. 

The purpose of the temporary permit is 

to market test the product throughout 

the United States. The permit will allow 

the applicant to measure consumer 

acceptance of the new product and 

assess the new product’s commercial 

feasibility. 

DATES: This permit is effective for 15 

months, beginning on the date the 

applicant introduces or causes the 

introduction of one or more of the test 

products into interstate commerce, but 

not later than April 10, 2013. 

FOR FURTHER INFORMATION CONTACT: 

Loretta A. Carey, Center for Food Safety 

and Applied Nutrition (HFS–820), Food 

and Drug Administration, 5100 Paint 

Branch Pkwy., College Park, MD 20740, 

240–402–2371. 

SUPPLEMENTARY INFORMATION: We are 

giving notice that we have issued a 

temporary permit to Chicken of the Sea 

International, 9330 Scranton Rd., suite 

500, San Diego, CA 92121–7706. We are 

issuing the temporary permit in 

accordance with 21 CFR 130.17, which 

addresses temporary permits for 

interstate shipment of experimental 

packs of food varying from the 

requirements of standards of identity 

issued under section 401 of the Federal 

Food, Drug, and Cosmetic Act (21 U.S.C. 

341). 


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