Form FCC Form 314 (IBFS FCC Form 314 (IBFS Application for Consent to Assignment of Broadcast Stati

Application for Voluntary Assignment of Transfers and Controls, 47 CFR 73.3540

Form 314 (IBFS) current.1290

Application for Voluntary Assignment of Transfers and Controls, 47 CFR 73.3540

OMB: 3060-1290

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Federal Communications Commission
Washington, D.C. 20554

Approved by OMB
3060-1290
Estimated Time Per Response 10 Hours

INSTRUCTIONS FOR FCC 314*IBFS
APPLICATION FOR CONSENT TO
ASSIGNMENT OF BROADCAST STATION
CONSTRUCTION PERMIT OR LICENSE
GENERAL INSTRUCTIONS
A. This FCC Form is to be used to apply for authority to assign
a broadcast station construction permit or license. It
consists of the following sections:
I.
II.
III.

General Information (assignor, assignee, and contact
representatives, if any)
Assignor
Assignee

The assignor must complete Items 1, 2, 6 and 7 of Section I
and all of Section II; the assignee must complete Items 3-5
of Section I and all of Section III.

D. Mandatory electronic filing of FCC Form 314 commenced
on February 15, 2001. See Mass Media Bureau
Implements Mandatory Electronic Filing of FCC Forms
301, 314, and 315, Public Notice, 16 FCC Rcd 3989 (MB
2001). Paper versions of FCC Form 314 will not be
accepted for filing, unless accompanied by an appropriate
request for waiver of the electronic filing requirement.
Applicants can access the electronic filing system via the
Internet from the Media Bureau’s Web site at:
http://www.fcc. gov/mb.
E. Public Notice Requirements:
(1 )

B. This application form makes many references to FCC rules.
Applicants should have on hand and be familiar with current
broadcast rules in Title 47 of the Code of Federal
Regulations (C.F.R.):
(1 ) Part 0
(2 ) Part 1
(3 ) Part 73
(4 ) Part 74

"Commission Organization"
"Practice and Procedure"
"Radio Broadcast Services"
"Experimental Radio, Auxiliary, and Special
Broadcast and Other Program Distributional
Services"

(2 )

FCC Rules may be purchased from the Government
Printing Office. Current prices may be obtained from the
GPO Customer Service Desk at (202) 512-1803. For
payment by credit card, call (202) 512-1800, M-F, 8 a.m. to
4 p.m. e.s.t; facsimile orders may be placed by dialing (202)
518-2233, 24 hours a day. Payment by check may be made
to the Superintendent of Documents, Attn: New Orders,
P.O. Box 371954, Pittsburgh, PA 15250-7954.
C. Electronic Filing of Application Forms. The Commission is
currently developing electronic versions of various
broadcast station application and reporting forms, such as
this application form. As each application form and report
goes online, the Commission will by Public Notice
announce its availability and the procedures to be followed
for accessing and filing the application form or report
electronically via the Internet. For a six-month period
following the issuance of the Public Notice, the subject
application form or report can be filed with the Commission
either electronically or in a paper format. Electronic filing
will become mandatory, on a form-by-form basis, six
months after each application form or report becomes
available for filing electronically.

(3 )

47 C.F.R. Section 73.3580 requires that applicants
for consent to assignment of a construction permit or
license for a commercial full-service AM, FM, full
power TV, Class A TV, low-power TV (LPTV), or
TV or FM translator station give local notice by
posting notice online, either on the station website
or a website affiliated with the station, its licensee,
or its parent entity, or otherwise by posting noticeon
a publicly accessible, locally targeted website, for
30 continuous days following acceptance of the
application for filing, in the form prescribed in 47
CFR § 73.3580(b)(2).
An applicant for consent to assignment of a
construction permit or license for a commercial fullservice AM, FM, full power TV, Class A TV, or an
LPTV station that locally originates programming is
also required to provide public notice by broadcasting
announcements pursuant to 47 CFR §
73.3580(c)(2)(i), at least once per week, Monday
through Friday, from 7:00 a.m. to 11:00 p.m. local
time, six times over a four consecutive week period,
in the form prescribed in 47 CFR § 73.3580(b)(1),
unless the station is off the air, in which case it shall
post online notice.
An applicant for consent to assignment of a
construction permit or license for a noncommercial
educational (NCE) full-service AM, FM, full power
TV, or low-power FM (LPFM) station need only
provide notice by
broadcasting on-air
announcements, unless the station is off the air, in
which case it shall provide online notice. The public
notice requirements set forth above also apply with
respect to major amendments to applications as
defined in 47 C.F.R. Section 73.3578(b).

(4 )

Compliance or intent to comply with the public
notice requirements must be certified by the

All previous editions obsolete

Assignor in Item 7 of Section II of this application.

FCC 314-IBFS Instructions – September 2020

F.

immediate dismissal of the application provided that an
appropriate exhibit is submitted.

A copy of the completed application and all related
documents shall be made available for inspection by the
public in the station's public inspection file pursuant to 47
C.F.R. Section 73.3526 for commercial stations and Section
73.3527 for noncommercial educational stations.

K. Both parties to the transaction must sign the
application. Depending on the nature of the applicant, the
application should be signed as follows: if a sole
proprietorship, personally; if a partnership, by a general
partner; if a corporation, by an officer; if an unincorporated
association, by a member who is an officer; for a
governmental entity, by such duly elected or appointed
official as is competent under the laws of the particular
jurisdiction. Counsel may sign the application for his or her
client, but only in cases of the applicant's disability or
absence from the United States. When an application is
filed electronically, the signature will consist of the
electronic equivalent of the typed name of the individual.
See 1998 Biennial Regulatory Review -- Streamlining of
Mass Media Applications, Rules, and Processes, 13 FCC
Rcd 23056, 23064, para. 17 (1998).

G. Applicants should provide all information called for by this
application. If any portions of the application are not
applicable, the applicant should so state. Defective or
incomplete applications will be returned without
consideration. Inadvertently accepted applications are
subject to dismissal. See 47 C.F.R. § 73.3564(b).
H. In accordance with 47 C.F.R. Section 1.65, applicants have
a continuing obligation to advise the Commission, through
amendments, of any substantial and material changes in the
information furnished in this application. This requirement
continues until the FCC action on this application is no
longer subject to reconsideration by the Commission or
review by any court.

L.
I.

This application requires applicants to certify compliance
with many statutory and regulatory requirements. Detailed
instructions and worksheets provide additional information
regarding Commission rules and policies. These materials
are designed to track the standards and criteria which the
Commission applies to determine compliance and to
increase the reliability of applicant certifications. They are
not intended to be a substitute for familiarity with the
Communications Act and the Commission's regulations,
policies, and precedent. While applicants are required to
review all application instructions and worksheets, they are
not required to complete or retain any documentation
created or collected to complete the application. See
Section II, Item 1 and Section III, Item 1.

J.

This application is presented primarily in a "Yes/No"
certification format. However, it contains places for
submitting explanations and exhibits where necessary or
appropriate. Each certification constitutes a material
representation. Applicants may only mark the "Yes"
certification when they are certain that the response is
correct. A "No" response is required if the applicant is
requesting a waiver of a pertinent rule and/or policy, or
where the applicant is uncertain that the application fully
satisfies the pertinent rule and/or policy. Thus, a "No"
response to any of the certification items will not cause the

Incubator Program – Applications (AM and FM
stations). The FCC’s broadcast incubator program is
designed to support new and diverse entrants in the
broadcasting industry by encouraging larger, experienced
broadcasters to assist small, aspiring or struggling
broadcasters that lack the financing or operational expertise
needed to own and operate a full-service AM or FM station.
See Rules and Policies to Promote New Entry and
Ownership Diversity in the Broadcasting Services, Report
and Order, 33 FCC Rcd 7911 (2018) (Incubator Order);
approved by OMB control number: 3060-1260. Through
the incubator program, an established broadcaster (i.e., the
incubating entity) will provide a small, aspiring or struggling
station owner (i.e., the incubated entity) with the training,
financing, and access to resources that would be otherwise
unavailable to the incubated entity. At the end of a
successful incubation relationship, the incubated entity will
own and operate a full-service AM or FM station
independently and the incubated station will be on a firmer
footing if the station was struggling at the start of the
relationship. In return for successfully incubating a small,
aspiring or struggling broadcaster, the incubating entity will
be eligible to apply to receive a waiver of the Commission’s
Local Radio Ownership Rule following the successful
conclusion of the incubation relationship.
Eligibility. The incubator program is available for fullservice AM and FM radio stations. A potential incubated
entity must meet the following eligibility requirements and
must have met these requirements continuously for the
preceding three years:
(1 )

2

Numerical Cap. The potential incubated entity has
an attributable interest in no more than three fullservice AM and FM radio stations and no TV
stations (including licensed stations and unbuilt

construction permits); and
Revenue Cap. The potential incubated entity
qualifies as a “small business” under the Small
Business Administration’s size standard for the radio
industry, as set forth in 13 C.F.R. Section 121.201.

proposal, the incubation proposal must be submitted by the
proposed assignee as an attachment to item 6.d of Section
III of this application. When uploading, the Commission
suggests that filers tag the submission for tracking purposes
by including “Incubation Proposal” in the description of the
attachment.

The FCC’s attribution standards and policies are set forth in
the Notes to 47 C.F.R. Section 73.3555. In addition, the
potential incubated entity must submit a written statement
certifying that it would not be able to acquire a full-service
broadcast station or continue operating its struggling station
without the support that the proposed incubation
relationship will provide.

Approved by OMB control number: 3060-1260. We have
estimated that each response to this collection of
information will take 4 to 16 hours. Please refer to the
notice on the last page of the instructions for additional
information required by the Paperwork Reduction Act.

(2 )

M. Incubator Program – Reward Waiver Requests (AM
and FM stations). After successfully completing an
approved incubation relationship, the incubating entity will
be eligible to apply to receive a waiver of the Commission’s
Local Radio Ownership Rule. Generally, the waiver request
and licensing application must be filed within three years
after the date the incubation relationship ends. However, if
the incubation relationship required a temporary waiver of
the Local Radio Ownership Rule and the incubating entity
seeks to use its reward waiver to acquire the incubated
station (or to retain an attributable interest in the station),
then the reward waiver request and licensing application
must be filed contemporaneously with the final joint
certified statement. See Incubator Order, 33 FCC Rcd at
7945-46; approved by OMB control number: 3060-1260.

Filing Requirements. Before commencing a qualifying
incubation relationship, the potential incubated entity and
the potential incubating entity must first submit an
incubation proposal to the Media Bureau for approval. See
Incubator Order, 33 FCC Rcd at 7941-44. The incubation
proposal must demonstrate that the potential incubated
entity and the potential incubating entity are both eligible to
participate in the incubator program and that their proposed
incubation relationship meets FCC requirements for
qualifying incubation relationships. The
incubation
proposal must include the following documents:
(1 )

(2 )

(3 )

(4 )

a written incubation contract demonstrating that the
proposed incubation relationship meets FCC
requirements for the incubator program (see
Incubator Order, 33 FCC Rcd at 7942-43);
a certified statement from the potential incubated
entity demonstrating that it has the requisite
background and qualifications and that it truly needs
the incubator program (see Incubator Order, 33 FCC
Rcd at 7943-44);
a certified statement from the potential incubating
entity demonstrating that it is committed and has the
resources and experience necessary to make the
incubation relationship successful (see Incubator
Order, 33 FCC Rcd at 7943-44). This statement
should also specify the size tier of the incubated
station’s market under the Local Radio Ownership
Rule and the number of independent owners of fullservice, commercial and noncommercial radio
stations in that market (see Incubator Order, 33 FCC
Rcd at 7937-38); and
a request for a temporary waiver of the Local Radio
Ownership Rule if the incubation proposal would
cause the proposed incubating entity to exceed the
local radio ownership limits (see Incubator Order,
33 FCC Rcd at 7940).

The waiver request must demonstrate that the incubated
entity completed a successful incubation relationship, see
Incubator Order, 33 FCC Rcd at 7940-41, and that the
incubating entity seeks to use the waiver in the same market
as the incubated station or a comparable market, see
Incubator Order, 33 FCC Rcd at 7937-39. An applicant
seeking a reward waiver must also attach to its request a
copy of the Bureau document(s) approving the successful
incubation relationship, including any document(s)
approving an extension of the original term of the
relationship. If the incubation relationship was approved in
conjunction with an assignment or transfer of a station, or
the grant of a new construction permit, the reward waiver
request must also include the file number of the relevant
licensing application. When uploading, the Commission
suggests that filers tag the submission for tracking purposes
by including “Reward Waiver Request” in the description of
the attachment.
Approved by OMB control number: 3060-1260. We have
estimated that each response to this collection of
information will take 4 to 16 hours. Please refer to the
notice on the last page of the instructions for additional
information required by the Paperwork Reduction Act.

Additional filing requirements will apply during the term of
an incubation relationship. See Incubator Order, 33 FCC
Rcd at 7944-46. If the station to be assigned (as specified in
Section II of this application) is the subject of an incubation

3

full-service
noncommercial
educational
radio,
noncommercial educational TV, and LPFM licensees and
permittees, provided that the AM station(s) being acquired
will continue to operate noncommercially. See 47 C.F.R. §
1.1114.

INSTRUCTIONS FOR SECTION I -- GENERAL
INFORMATION
A. Items 1-4: Names/Addresses. In Section I, applicants
should use only those state abbreviations approved by the
U.S. Postal Service.

When electronically filing a fee-exempt application, an
applicant must complete Item 5 and provide an explanation
as appropriate. Paper versions of applications NOT subject
to a fee may be hand-delivered or mailed to the FCC at its
Washington, D.C. offices. See 47 C.F.R. § 0.401(a). Feeexempt applications should not be sent to the Mellon Bank
Lockbox; so doing will result in a delay in processing the
application.

The name of the assignor must be stated in Item 1 exactly as
it appears in the authorization to be assigned.
The exact and complete name of the assignee must be stated
in Item 3: if the assignee is a corporation, the exact
corporate name; if a partnership, the name under which the
partnership does business; if an unincorporated association,
the name of an executive officer, his/her office, and the
name of the association; and, if an individual applicant, the
person's full legal name.

The Commission's fee collection program utilizes a U.S.
Treasury lockbox bank for maximum efficiency of
collection and processing. Prior to the institution of
electronic filing procedures, all FCC Form 314 (IBFS)
applications requiring the remittance of a fee, or for which
a waiver or deferral from the fee requirement is
requested, must be submitted to the appropriate post office
box address. See 47 C.F.R. § 0.401(b). A listing of the
fees required for the assignment of various types of broadcast
station construction permits and licenses and the addresses to
which FCC Form 314(IBFS) should be mailed or
otherwise delivered are also set forth in the "Media
Bureau Fee Filing Guide." This document can be
obtained either by writing to the Commission's Form
Distribution Center, 9300 E. Hampton Drive, Capitol Heights,
Maryland 20743, or by calling 1- 800-418-FORM. See
also 47 C.F.R. § 1.1104. The Fee Filing Guide also
contains a list of the Fee Type Codes needed to complete
this application.
A separate fee payment must be submitted for each FCC
Form 314 filed. Where multiple stations are being assigned on
one FCC 314, a single payment covering the total
required fee, calculated according to the number of AM,
FM, or TV station permits or licenses covered by that FCC
Form 314, must be made.
Payment of any required fee must be made by check, bank
draft, money order, or credit card. If payment is by check,
bank draft, or money order, the remittance must be
denominated in U.S. dollars, drawn upon a U.S. institution,
and made payable to the "Federal Communications
Commission." No postdated, altered, or third-party checks
will be accepted. DO NOT SEND CASH. Additionally,
checks dated six months or older will not be accepted.

FCC Registration Number (FRN). To comply with the
Debt Collection Improvement Act of 1996, the applicant
must enter its FRN number, a ten-digit unique entity
identifier for anyone doing business with the Commission.
The FRN can be obtained through the FCC webpage at
http://www.fcc.gov or by manually submitting FCC Form
160. FCC Form 160 is available for downloading from
http://www.fcc.gov/formpage. html or by calling 1-800418-3676. Questions concerning the FCC Registration
Number can be directed to the Commission’s Registration
System help desk at http://[email protected] or by
calling 1-877-480-3201.
Facility ID Number. Radio and TV Facility ID Numbers
can be obtained at the FCC's Internet Website at
www.fcc.gov/mb. Once at this website, scroll down and
select CDBS Public Access. You can also obtain your
Facility ID Number by calling: Radio (202) 418-2700, TV
(202) 418-1600. Further, the Facility ID Number is now
included on all Radio and TV authorizations and postcards.
If the assignor and/or assignee is represented by a third
party (for example, legal counsel), that person's name, firm
or company, mailing address and telephone/electronic mail
address may be specified in Items 2 (for assignor) and 4 (for
assignee).
B. Item 5: Fees. The Commission is statutorily required to
collect charges for certain regulatory services to the public.
Generally, applicants seeking to assign licenses or permits
of AM, FM, or TV broadcast stations are required to submit
a fee with the filing of FCC Form 314. Government entities,
however, are exempt from this fee requirement. Exempt
entities include possessions, states, cities, counties, towns,
villages, municipal organizations, and political
organizations or subparts thereof governed by elected or
appointed officials exercising sovereign direction over
communities or governmental programs. Also exempt are

Applicants who wish to pay for more than one application
in the same lockbox with a single payment may also
submit a single FCC Form 159. When paying for multiple
filings in the same lockbox with a single payment
instrument, applicants must list each filing as a separate
item on FCC Form 159 (Remittance Advice). If additional
entries are necessary, applicants should use FCC Form

4

159C (Continuation Sheet).
Procedures for payment of application fees when
applications are filed electronically will be announced by
subsequent Public Notice. See General Instruction C above.
Payment of application fees may be made by Electronic
Payment prior to the institution of electronic filing
procedures, provided that prior approval has been obtained
from the Commission. Licensees/Permittees interested in
this option must first contact the Credit and Debt
Management Center at (202) 418-1995 to make the
necessary arrangements.
Applicants hand-delivering FCC Forms 314 may receive a
dated receipt copy by presenting a complete copy of the
filing to the acceptance clerk at the time of delivery. For
mailed-in applications, a "return copy" of the application
should be furnished and clearly marked as a "return copy."
The applicant should attach this copy to a stamped, selfaddressed envelope. Only one piece of paper per
application will be stamped for receipt purposes.
For further information regarding fees and payment
procedures, applicants should consult the "Media Bureau
Fee Filing Guide."
C. Item 7: Auction Authorization. Under the Commission's
competitive bidding licensing procedures, applicants
seeking to assign a broadcast construction permit or license
within three years of receipt of the original construction
permit by means of competitive bidding must inform the
Commission that the permit or license was obtained through
competitive bidding. See 47 C.F.R. § 1.2111(a). Item 7
requires the applicant to identify those authorizations that
were obtained through competitive bidding, and for which
FCC consent to assignment is sought in this application.
The Commission's auction rules also require an applicant
seeking approval of an assignment of a license or
construction permit within three years of receipt of such
authorization by means of competitive bidding to file with
the Commission the associated contracts for sale, option
agreements, management agreements, or other documents
disclosing the consideration that the applicant will receive
in return for the assignment of its license or permit. See 47
C.F.R §§ 1.2111(a), 73.5009(a). If applicable, this
information should be submitted as an exhibit to Item 7.
Item 8: Noncommercial Educational Maintenance of
Comparative Qualifications. Under the Commission’s
licensing procedures for stations operating on channels
reserved for noncommercial educa tiona l use, a pplica nts
seeking to a ssign a noncommercial educational TV, FM, or
FM translator station received as a result of evaluation in a
point system are subject to certain restrictions if the station
has not after the point system operated for four years with
a minimum operating schedule. Applicants seeking to
assign a low power FM station are similarly subject to
certain restrictions if (1) it has been less than 18

months since the initial construction permit was granted; or
(2) the station was received as a result of evaluation in a point
system.
Item 8(a) requires the applicant to indicate whether any
authorizations were obtained through a point system.
Answer “yes” if any of the reserved channel
noncommercial educational stations involved in the
transaction were authorized pursuant to a point system
selection procedure, regardless of whether authorization
was issued to the applicant or to a predecessor.
Applicants operating only on non-reserved “commercial”
channels should answer “no.” Applicants operating on
reserved channels should answer “no” if all stations were
authorized before May 2000 and no major modifications
have occurred, or if all stations authorized from May 2000
onward were authorized using a method other than point
system [such as award to a single applicant, authorization
pursuant to a settlement agreement among all mutually
exclusive parties, or selection of an applicant based on
comparison pursuant to 47 U.S.C. Section 307(b) (fair
distribution) only].
Item 8(b) applies only to applicants who answered “yes”
to 8(a). It asks whether all stations awarded by t h e
point system have satisfied the four-year “maintenance of
comparative qualifications” period. Applicants should
answer “yes” to 8(b) if, between the time of the point
system authorization and the time of the present
application, the station has operated pursuant to that
authorization for four years (48 months) on-air, pursuant
to the Commission’s minimum operating schedule.
Applicants with stations not yet meeting the four-year
period should answer “no” and provide an exhibit
identifying the stations that have not met the
“maintenance of comparative qualifications” period, and
demonstrating that the transaction is consistent with 47
C.F.R. Section 73.7005(a). Pursuant to that rule section,
the applicant must demonstrate the following: (1) that the
proposed assignee would qualify for points equal to or
greater than those of the party that prevailed in the point
system; and (2) that consideration received and/or
promised does not exceed the assignor’s legitimate and
prudent expenses in applying for and constructing the
station.
Items 8(c) through 8(f) apply only to applicants assigning a
low power FM station. It asks whether it has been at least
18 months since the station’s initial construction permit was
granted. A LPFM construction permit cannot be assigned
for 18 months from the date of issue. See 47 C.F.R. Section
73.865(c). The question also asks whether the assignment
satisfies the LPFM consideration restrictions and whether
the applicant seeks to assign any LPFM stations awarded by
the point system. If an LPFM station awarded through the
point system has operated on-air for less than four years, the
assignee must demonstrate that the proposed transaction is
consistent with 47 C.F.R. Section 73.865(a)(3). Pursuant to
that rule section, the proposed assignee must demonstrate
the following: (1) that it meets or exceeds the points
awarded to the LPFM tentative selectee; and (2) for LPFM

stations selected in accordance with the involuntary timesharing provisions of Section 73.872(d), the date the
assignee was “locally established” must be the same as or
earlier than the date of the most recently established local
applicant in the tied MX group.

Report and Order, 26 FCC Rcd 2556 (2011) (Rural
Second R&O), modified, Third Report and Order, 26 FCC
Rcd 17642 (2011) (Rural Third R&O), and 47 C.F.R.
Section 73.7002(b)(1) [applicable only to noncommercial
educational stations]), individuals or entities obtaining

D. Item 9: Tribal Priority Holding Period. Under the
Commission’s Tribal Priority (see Policies to Promote
Rural Radio Service and to Streamline Allotment and
Assignment Procedures, First Report and Order, 25 FCC
Rcd 1583 (2010) (Rural First R&O), modified, Second

(a ) an AM authorization for which the applicant or a
predecessor claimed and received a dispositive
Section 307(b) priority because it qualified for the

5

schedule. Applicants with stations not yet meeting the
four-year holding period should answer “no” and proceed
to Item 9(c).

Tribal Priority; or
(b ) an FM commercial non-reserved band station
awarded:
(1 ) to the applicant or a predecessor as a
singleton Threshold Qualifications Window
applicant,
(2 ) to the applicant or a predecessor after a
settlement among Threshold Qualifications
Window applicants, or
(3 ) to the applicant or a predecessor after an
auction among a closed group of bidders
composed only of threshold qualified tribal
applicants (pursuant to the Threshold
Qualifications procedures set forth in the
Rural Third R&O, 26 FCC Rcd at 1764550); or
(c ) a reserved-band NCE FM station for which the
applicant or predecessor claimed and received the
Tribal Priority in a fair distribution analysis as set
forth in 47 C.F.R. Section 73.7002(b)(1)

Item 9(c) applies only to applicants who answered “no” to
9(b). It asks whether both the assignor/transferor and
assignee/transferee are individuals or entities qualifying
for the Tribal Priority in all respects. To qualify for the
Tribal Priority, an applicant must meet all of the following
qualifications:
(A)

may not assign the authorization during the period
beginning with issuance of the construction permit, until
the conclusion of four years of on-air operations, unless
the assignee also qualifies for the Tribal Priority.
Item 9(a) requires the applicant to indicate whether any
authorizations were obtained after award of a dispositive
Section 307(b) preference using the Tribal Priority,
through Threshold Qualifications procedures, or through
the Tribal Priority as applied before the NCE fair
distribution analysis set forth in 47 C.F.R. Section
73.7002(b). Answer “yes” if any of the stations involved
in the transactions were

(B)

(a ) an AM authorization for which the applicant or a
predecessor claimed and received a dispositive
Section 307(b) priority because it qualified for the
Tribal Priority; or
(b ) an FM commercial non-reserved band station
awarded through the Threshold Qualifications
procedures detailed in the preceding paragraph; or
(c ) a reserved-band NCE FM station for which the
applicant or predecessor claimed and received the
Tribal Priority in a fair distribution analysis as set
forth in 47 C.F.R. Section 73.7002(b)(1).
Item 9(b) applies only to applicants who answered “yes”
to 9(a). It asks whether all stations acquired using the
Tribal Priority have completed four years of on-air
operations, thus satisfying the four-year holding period for
such stations. Applicants should answer “yes” to 9(b) if,
between the time of construction permit issuance and the
time of the present application, the station has operated
pursuant to that authorization for four years (48 months)
on-air, pursuant to the Commission’s minimum operating

(C)
(D)

6

The applicant is a “Tribe” as defined in 47
C.F.R. Section 73.7000 (while the definitions in
47 C.F.R. Section 73.7000 apply only to NCE
stations, the definition of “Tribe” accurately
describes the qualifications for commercial as
well as NCE applicants), a consortium of Tribes,
or an entity 51 percent or more of which is owned
or controlled by a Tribe or Tribes. Qualifying
Tribes or Tribal entities must be those at least a
portion of whose Tribal Lands lie within the
principal community contour of the proposed
facility. Although the 51 or greater percent
Tribal control threshold need not consist of a
single Tribe, the qualifying entity must be 51
percent or more owned or controlled by Tribes at
least a portion of whose Tribal Lands lie within
the proposed facility’s principal community
contour;
(1) At least 50 percent of the area within the
proposed principal community contour is over
that Tribe’s Tribal Lands, or (2) the proposed
principal community contour (a) encompasses 50
percent or more of that Tribe’s Tribal Lands, (b)
serves at least 2,000 people living on Tribal
Lands, and (c) the total population on Tribal
Lands residing within the proposed station’s
service contour constitutes at least 50 percent of
the total covered population (and, in the case of
either (B)(1) or (B)(2), the proposed station’s
principal community contour does not cover
more than 50 percent of the Tribal Lands of a
Tribe that is not a party to the application). To
the extent that a Tribe lacks Tribal Lands, the
Commission will be receptive to requests for
waiver of the above-listed tribal land coverage
provisions that demonstrate a geographic area
identified with the Tribe. Likewise, the
Commission will entertain requests for waiver of
the other requirements where appropriate; see
Rural Second R&O, 26 FCC Rcd at 2561-63;
The proposed community of license must be
located on Tribal Lands; and
The proposed service must constitute first or
second aural (reception) service, or first local
Tribal-owned commercial transmission service at

public file for as long as the waiver is in effect. See 47
C.F.R. Sections 73.3526(e)(2) (for commercial stations) and
73.3527(e)(2) (for noncommercial educational stations).
Applicants must certify their compliance with these
requirements in Items 3a and 3b.

the proposed community of license.
For purposes of this item, the definition of “Tribal Lands”
is the same as that set forth at footnote 15 of the Rural
First R&O, and as further set forth at paragraphs 8-10 and
59 of the Rural Second R&O. As noted above, an
applicant whose stations were initially acquired through
the Tribal Priority may only assign or transfer the
station(s) during the four-year holding period to another
individual or entity qualifying for the Tribal Priority.
Applicants not meeting the qualifications for the Tribal
Priority and proposing an assignment during the holding
period should answer “no” and provide an exhibit
identifying the assignee(s) not qualifying for the Tribal
Priority and/or the station(s) that have not met the holding
period, and demonstrating that the transaction is consistent
with the Tribal Priority policies set forth in the Rural First
R&O, or that a waiver of the policies underlying the Tribal
Priority is warranted.

Item 3c asks applicants to certify that the agreements for
assignment of the subject authorizations "comply fully with
the Commission's rules and policies." In order to complete
this certification, applicants must consider a broad range of
issues. Worksheet #2 provides guidance on key compliance
issues to facilitate applicants' review of their proposed
transactions, and to help applicants identify issues where
additional explanatory exhibits may be required or helpful.
If the applicant also holds a time brokerage agreement (also
known as a local marketing agreement) pursuant to which
the assignee will supply programming to a station in the
market, or a joint sales agreement pursuant to which the
assignee will sell commercial advertising time for a station
in the market, prior to FCC approval, then applicants must
review Worksheet #3D.

INSTRUCTIONS FOR SECTION II -- ASSIGNOR

D. Item 4: Other Authorizations. Instructions for Section
III, Item 4 define "party to the application" and attributable
interest" as used in this question.

A. Item 1: Certification. Each applicant is responsible for the
information that the application instructions and worksheets
convey. As a key element in the Commission's streamlined
licensing process, a certification that these materials have
been reviewed and that each question response is based on
the applicant's review is required.

E.

B. Item 2: Authorizations to be Assigned. Unless
specifically enumerated as excluded authorizations, the
licenses for all subsidiary communications services (SCAs),
FM and TV booster stations, and all auxiliary service
stations authorized under Subparts D, E, F, and H of 47
C.F.R. Part 74 will be included in the assignment of the
license or permit of the primary station(s). Applicants should
complete the table. If preparing this application in paper
form, attach a separate page using the table format when
additional space is needed.

F.

Items 5 and 6: Character Issues/Adverse Findings.
These questions require an evaluation of any unresolved
character issues involving the assignor or any of its
principals, as well as any relevant adverse findings by a
court or administrative body. Assignors must review the
instructions for Section III, Items 4, 7 and 8, of this form
before completing this item.
Item 8: Auction Authorization. This question asks the
assignor to certify that the proposed assignment will comply
with the "unjust enrichment" provisions of the
Commission's competitive bidding rules, 47 C.F.R. Section
1.2111(d)(1). Assignors must review the instructions for
Section III, Item 12 before completing this item.

G. Item 9: Anti-Drug Abuse Act Certification. This
question requires the assignor to certify that neither it nor
any party to the application is subject to denial of federal
benefits pursuant to the Anti-Drug Abuse Act of 1988, 21
U.S.C. Section 862. Assignors must review the instructions
for Section III, Item 13, of this form before completing this
item.

NOTE: Applications for transactions involving only the
assignment of a permit or license for a TV or FM translator
station or a low power television station must be filed on
FCC Form 345. The submission of a separate filing fee
with the filing of FCC Form 345 may also be required.
C. Item 3: Agreements for Sale of Station. All applicants
must submit to the Commission with this application and
place in the public inspection file of each subject station a
complete and final copy of the unredacted contract for the
assignment of the authorizations that are the subject of this
application, including all exhibits and attachments. The
application and contracts must be retained in the public
inspection file until final action is taken on this application,
with the exception that any application granted pursuant to a
waiver of any Commission rule must be retained in the

H. Item 10: Anti-Discrimination Certification. This
question requires the assignor to certify that neither it nor
any party to the application has violated the Commission's
prohibition against discrimination on the basis of race,
color, religion, national origin or sex in the sale of
commercially operated AM, FM, TV, Class A TV or
international broadcast stations. See Promoting
Diversification of Ownership in the Broadcasting

7

submitted with the application and contained in the
licensee/permittee's public inspection file embodies the
complete and final agreement between the parties and that
the agreement complies fully with the Commission's rules
and policies regarding station sales contracts. The assignee
must undertake an independent evaluation of the contract in
order to make this certification. Worksheet #2 provides
guidance on key compliance issues to facilitate applicants'
review of their proposed transaction, and to help applicants
identify issues where additional explanatory exhibits may be
required or helpful. If the applicant has an attributable
time brokerage or local marketing agreement, or an
attributable joint sales agreement, for the stations subject
to the application or for any other stations in the same
market, then the applicant must review Worksheet #3D.
Applicants who are required to demonstrate compliance
with 47 C.F.R. Section 73.3555(a) must file a copy of
each such agreement for radio stations as an exhibit to the
application.

Services, Report and Order and Third Further Notice of
Proposed Rule Making, 23 FCC Rcd 5922 (2008)
(Diversity Order and Diversity Third FNPRM). Where
the response to Item 10 is "no," the assignor must provide
in an exhibit a full disclosure of the persons and matters
involved. The assignor should also fully explain why the
violation is not an impediment to a grant of this
application. For transactions involving the sale or transfer
of
non-commercial educational FM
stations,
noncommercial educational TV stations, or broadcast
stations in the AM, Class A TV, or international broadcast
services that are operated on a non-commercial basis, the
assignor should select "N/A" in response to this question.

INSTRUCTIONS FOR SECTION III -- ASSIGNEE
A. Item 1: Certification. Assignees must review the
instructions for Section II, Item 1 before completing this
item.

D. Item 4: Parties to the Application. This question requires
the disclosure of information on the assignee and all parties
to the application. As used in this application form, the
term "party to the application" includes any individual or
entity whose ownership or positional interest in the
applicant is attributable. An attributable interest is an
ownership interest in or relation to an applicant or licensee
which will confer on its holder that degree of influence or
control over the applicant or licensee sufficient to implicate
the Commission's multiple ownership rules. In responding
to Item 4, applicants should review the Commission's
multiple ownership attribution policies and standards which
are set forth in the Notes to 47 C.F.R. Section 73.3555.
Generally, insulated limited partners or members of a
limited liability corporation, certain investors, and certain
creditors are not considered parties to the application.
However, as set forth in Worksheet #3E entitled, "Investor
over
Insula tion
a nd
Non-Pa rty
Influence
Assignee/Applicant," the holder of such an interest may be
deemed a party to the application and, if so, must be listed
in the table in Item 4a. In the event that the Investor
over
Insula tion
a nd
Non-Pa rty
Influence
Assignee/Applicant worksheet requires the submission of an
explanatory exhibit, the transferee must respond "No" to
Section III, Item 4b and complete this exhibit.

B. Item 2(a): Organization of Assignee. This question asks
the assignee to specify its organizational structure. If the
assignee's structure fits none of the categories of business
entities enumerated, the assignee must check the box
marked "Other" and attach an exhibit describing in detail its
organizationalstructure.
Item 2(b): If the station to be assigned is a noncommercial
educational station, indicate whether the Commission has
previously approved the applicant’s educational
qualifications and program and whether the applicant will
use the proposed station to advance a similar program.
Applicants answering “Yes” should indicate the file number
of the most recent application in which the Commission
granted such approval, and need not provide an exhibit in
Question 4(b).
Item 2(c): Applicants not previously approved or planning
to advance a program dissimilar from the one previously
approved must establish their qualifications. The applicant
must provide an exhibit showing that it has an educational
objective and that the station will be used for the
advancement of an education program that will further that
objective in accordance with 47 C.F.R. Section 73.503. In
considering these requirements, emphasis is placed on
proposed station programs which are clearly educational in
nature, i.e., actually involve teaching or instruction, whether
for formal credit or not. However, it is not necessary thatthe
proposed station’s programming be exclusively educational
in nature. Also, all programming on the station must be
noncommercial in nature, with no advertisements, and no
support for or opposition of a candidate for political office.

Certain interests held by substantial investors in, or
creditors of, the applicant may also be attributable and the
investor reportable as a party to the application, if the
interest falls within the Commission's equity/debt plus
(EDP) attribution standard. Under the EDP standard, the
interest held is attributable if, aggregating both equity and
debt, it exceeds 33 percent of the total asset value (all
equity plus all debt) of the applicant – a broadcast station
licensee, cable television system, daily newspaper or other
media outlet subject to the Commission’s broadcast

C. Item 3: Agreements for Sale of Station. This question
requires the assignee to certify that the written agreement

8

multiple ownership or cross-ownership rules – AND the
interest holder also holds (1) an attributable interest in a
media outlet in the same market, or (2) supplies over 15
percent of the total weekly broadcast programming hours
of the station in which the interest is held. For example,
the equity interest of an insulated limited partner in a
limited partnership applicant would normally not be
considered attributable, but, under the EDP standard, that
interest would be attributable if the limited partner’s
interest exceeded 33 percent of the applicant’s total asset
value AND the limited partner also held a 5 percent voting
interest in a radio or television station licensee in the same
market.

Divestiture Of Grandfathered Stations To Eligible
Entities: If the proposed assignment transaction involves
the assignment of a radio station that is (1) part of a
grandfathered cluster of stations; and (2) will be divested
to an eligible entity (as defined in Item 6d, above), or to
an irrevocable divestiture trust for purposes of assignment
to an eligible entity, within 12 months of consummation of
the purchase of the grandfathered cluster of stations, the
Assignee must select “Yes” to Section III, Item 6e. All
applicants answering "Yes" to Item 6e A or B must submit
as an Exhibit a copy of the form of irrevocable trust
agreement providing for the assignment of the station(s) to
an Eligible Entity.

The interest holder may, however, exceed the 33 percent
threshold without triggering attribution where such
investment would enable an eligible entity to acquire a
broadcast station provided that: (1) the combined equity
and debt of the interest holder in the eligible entity is less
than 50 percent, or (2) the total debt of the interest holder
in the eligible entity does not exceed 80 percent of the
asset value of the station being acquired by the eligible
entity and the interest holder does not hold any equity
interest, option, or promise to acquire an equity interest in
the eligible entity or any related entity. See Diversity
Order, 23 FCC Rcd at 5936, para. 31; 2014 Quadrennial
Regulatory Review – Review of the Commission’s
Broadcast Ownership Rules and Other Rules Adopted
Pursuant to Section 202 of the Telecommunications Act of
1996, Second Report and Order, 31 FCC Rcd 9864, 997684, paras. 271-86 (2016) (2014 Quadrennial Review
Order).

As used here, the term "assignee" is synonymous with the
term "applicant." Additionally, "parties to the application"
includes the following with respect to each of the listed
applicant entities:
INDIVIDUAL APPLICANT: The natural person seeking
to hold in his or her own right the authorization specified in
this application.
PARTNERSHIP APPLICANT: Each partner, including
all limited partners. However, a limited partner in a limited
partnership is not considered a party to the application IF
the limited partner is not materially involved, directly or
indirectly, in the management or operation of the mediarelated activities of the partnership and the applicant so
certifies in response to Section III, Item 4b. Sufficient
insulation of a limited partner for purposes of this
certification would be assured if the limited partnership
arrangement:

The Commission defines an “eligible entity” as any entity
that qualifies as a small business under the Small Business
Administration’s size standards for its industry grouping,
as set forth in 13 C.F.R. Section 121.201, and holds (1) 30
percent or more of the stock or partnership interests and
more than 50 percent of the voting power of the
corporation or partnership that will own the media outlet;
or (2) 15 percent or more of the stock or partnership
interests and more than 50 percent of the voting power of
the corporation or partnership that will own the media
outlet, provided that no other person or entity owns or
controls more than 25 percent of the outstanding stock or
partnership interests; or (3) more than 50 percent of the
voting power of the corporation that will own the media
outlet if such corporation is a publicly traded company.
In the event the Assignee claims status as an eligible entity,
the Assignee must select "Yes" to Section III, item 6d and
submit an explanatory exhibit demonstrating compliance.
The Assignee must retain and provide on request,
material documentation, including, for example, annual
financial statements or tax returns, etc., used to establish
the basis for the applicant's response.

9

(1 )

specifies that any exempt limited partner (if not a
natural person, its directors, officers, partners, etc.)
cannot act as an employee of the limited partnership
if his or her functions, directly or indirectly, relate to
the media enterprises of the company;

(2 )

bars any exempt limited partner from serving, in any
material capacity, as an independent contractor or
agent with respect to the partnership's media
enterprises;

(3 )

restricts any exempted limited partner from
communicating with the licensee or the general
partner on matters pertaining to the day-to-day
operations of its business;

(4 )

empowers the general partner to veto any admissions
of additional general partners admitted by vote of the
exempt limited partners;

(5 )

prohibits any exempt limited partner from voting on

ownership interest in the corporate stockholder of the
applicant is considered a party to this application ONLY IF
that interest, when multiplied by the corporate stockholder's
interest in the applicant, would account for 5% or more of
the issued and outstanding voting stock of the applicant.
For example, where Corporation X owns stock accounting
for 25% of the applicant's votes, only Corporation X
shareholders holding 20 percent or more of the issued and
outstanding voting stock of Corporation X have a 5% or
more indirect interest in the applicant (.25 x .20 = .05) and,
therefore, are considered parties to this application. In
applying the multiplier, any entity holding more than 50%
of its subsidiary will be considered a 100% owner. Where
the 5% stock owner is a partnership, each general partner
and any limited partner that is not insulated, regardless of
the partnership interest, is considered a party to the
application.

the removal of a general partner or limits this right to
situations where the general partner is subject to
bankruptcy proceedings, as described in Sections
402 (4)-(5) of the Revised Uniform Limited
Partnership Act, is adjudicated incompetent by a
court of competent jurisdiction, or is removed for
cause, as determined by an independent party;
(6 )

bars any exempt limited partner from performing any
services to the limited partnership materially relating
to its media activities, with the exception of making
loans to, or acting as a surety for, the business; and

(7 )

states, in express terms, that any exempt limited
partner is prohibited from becoming actively
involved in the management or operation of the
media businesses of the partnership.

Stock subject to stockholder cooperative voting agreements
accounting for 5% or more of the votes in a corporate
applicant will be treated as if held by a single entity and any
stockholder holding 5% or more of the stock in that block is
considered a party to this application.

Notwithstanding conformance of the partnership agreement
to these criteria, however, the requisite certification cannot
be made if the applicant has actual knowledge of a material
involvement of a limited partner in the management or
operation of the media-related businesses of the partnership.
In the event that the applicant cannot certify as to the
noninvolvement of a limited partner, the limited partner will
be considered as a party to this application.

An investment company, insurance company or trust
department of a bank is not considered a party to this
application, and an applicant may properly certify that such
entity's interest is non-attributable, IF its aggregated holding
accounts for less than 20% of the outstanding votes in the
applicant AND IF:

LIMITED LIABILITY COMPANY APPLICANT: The
Commission treats an LLC as a limited partnership, each of
whose members is considered to be a party to the
application. However, where an LLC member is insulated
in the manner specified above with respect to a limited
partnership and where the relevant state statute authorizing
the LLC permits an LLC member to insulate itself in
accordance with the Commission's criteria, that LLC
member is not considered a party to the application. In such
a case, the applicant should certify "Yes" in response to
Section III, Item 4b.

(1 )
(2 )

such entity exercises no influence or control over the
corporation, directly or indirectly; and
such entity has no representatives among the officers
and directors of the corporation.

ANY OTHER APPLICANT: Each executive officer,
member of the governing board and owner or holder of 5%
or more of the votes in the applicant is considered a party to
the applicant.

CORPORATE APPLICANT: Each officer, director and
owner of stock accounting for 5% or more of the issued and
outstanding voting stock of the applicant is considered a
party to the applicant. Where the 5% stock owner is itself a
corporation, each of its stockholders, directors and
"executive" officers (president, vice-president, secretary,
treasurer or their equivalents) is considered a party to this
application UNLESS the applicant submits as an exhibit a
statement establishing that an individual director or officer
will not exercise authority or influence in areas that will
affect the applicant or the station. In this statement, the
applicant should identify the individual by name and title,
describe the individual's duties and responsibilities, and
explain the manner in which such individual is insulated
from the corporate applicant and should not be attributed an
interest in the corporate applicant or considered a party to
this application. In addition, a person or entity holding an

E.

10

Item 6: Multiple Ownership. For radio applicants: This
item requires that the assignee either certify compliance
with, or request waiver of, the Commission's broadcast
ownership rules, including restrictions on investor insulation
and participation of non-party investors and creditors. In
either case, applicants must submit an Exhibit; i.e., an
Exhibit is required demonstrating compliance with the
ownership rules or, if the applicant cannot certify
compliance, requesting a waiver or exemption, with
adequate justification. For all other applicants: This item
requires that the assignee certify compliance with the
Commission's broadcast ownership rules, including
restrictions on investor insulation and participation of nonparty investors and creditors.

requisite information has been earlier disclosed in
connection with another pending application, or as required
by 47 C.F.R. Section 1.65(c), the applicant need only
provide an identification of that previous submission by
reference to the file number in the case of an application,
the call letters of the station regarding which the application
or Section 1.65 information was filed, and the date of filing.
The assignee should also fully explain why the adverse
finding is not an impediment to a grant of this application.

In order to facilitate the evaluation of the transaction that is
the subject of this FCC Form 314, assignees are directed to
Worksheet #3, which is tailored to the individual inquiries
in Item 6.
F.

Items 7 and 8: Character Issues/Adverse Findings. Item
7 requires the assignee to certify that neither it nor any party
to the application has had any interest in or connection with
an application that was or is the subject of unresolved
character issues. An assignee must disclose in response to
Item 8 whether it or any party to the application has been
the subject of a final adverse finding with respect to certain
relevant non-broadcast matters. The Commission's
character policies and litigation reporting requirements for
broadcast applicants focus on misconduct which violates the
Communications Act or a Commission rule or policy, and
on certain specified non-FCC misconduct. In responding to
Items 7 and 8, applicants should review the Commission's
character qualification policies, which are fully set forth in
Policy Regarding Character Qualifications In Broadcast
Licensing, Amendment of Rules of Broadcast Practice and
Procedure Relating to Written Responses to Commission
Inquiries, and the Making of Misrepresentations to the
Commission by Permittees and Licensees, Report, Order
and Policy Statement, 102 F.C.C.2d 1179 (1985), recon.
denied, 1 FCC Rcd 421 (1986), as modified, 5 FCC Rcd
3252 (1990) and 7 FCC Rcd 6564 (1992).

G. Item 9: Alien Ownership and Control. All applications
must comply with Section 310 of the Communications Act,
as amended. Specifically, Section 310 proscribes issuance
of a construction permit or station license to an alien, a
representative of an alien, a foreign government or the
representative thereof, or a corporation organized under the
laws of a foreign government. This proscription also applies
with respect to any entity of which more than 20% of the
capital stock is owned or voted by aliens, their
representatives, a foreign government or its representative,
or an entity organized under the laws of a foreign country.
The Commission may also deny a construction permit or
station license to a licensee directly or indirectly controlled
by another entity of which more than 25% of the capital
stock is owned or voted by aliens, their representatives, a
foreign government or its representative, or another entity
organized under the laws of a foreign country. Any such
applicant seeking Commission consent to exceed this 25%
benchmark in Section 310(b)(4) of the Act must do so by
filing a petition for declaratory ruling pursuant to Sections
1.5000 et seq. of the Commission’s rules.

Where the response to Item 7 is "No," the assignee must
submit an exhibit that includes an identification of the party
having had the interest, the call letters and location of the
station or file number of the application or docket, and a
description of the nature of the interest or connection,
including relevant dates. The assignee should also fully
explain why the unresolved character issue is not an
impediment to a grant of this application.

Compliance with Section 310 is determined by means of a
two-prong analysis, one pertaining to voting interests and
the second to ownership interests. See, e.g., Applications
of BBC License Subsidiary L.P., Memorandum Opinion
and Order, 10 FCC Rcd 10968 (1995). The voting interests
held by aliens in a licensee through intervening
domestically organized entities are determined in
accordance with the multiplier guidelines for calculating
indirect ownership interests in an applicant as set forth in
the "Corporate Applicant" Instructions for Section III, Item
4. For example, if an alien held a 30-percent voting interest
in Corporation A which, in turn, held a non-controlling 40percent voting interest in Licensee Corporation B, the alien
interest in Licensee Corporation B would be calculated by
multiplying the alien's interest in Corporation A by that
entity's voting interest in Licensee Corporation B. The
resulting voting interest (30% x 40% = 12%) would not
exceed the 25% statutory benchmark. However, if
Corporation A held a controlling 60% voting interest in
Corporation B, the multiplier would not be utilized and the
full 30 percent alien voting interest in Corporation A would
be treated as a 30 percent interest in Licensee Corporation
B, i.e., an impermissible 30% indirect alien voting interest
in the licensee. If Partnership A held a 40% voting interest

In responding to Item 8, the assignee should consider any
relevant adverse finding that occurred within the past ten
years. Where that adverse finding was fully disclosed to the
Commission in an application filed on behalf of this station
or in another broadcast station application and the
Commission, by specific ruling or by subsequent grant of
the application, found the adverse finding not to be
disqualifying, it need not be reported again and the assignee
may respond "Yes" to this item. However, an adverse
finding that has not been reported to the Commission and
considered in connection with a prior application would
require a "No" response.
Where the response to Item 8 is "No," the assignee must
provide in an exhibit a full disclosure of the persons and
matters involved, including an identification of the court or
administrative body and the proceeding (by dates and file
numbers), and the disposition of the litigation. Where the

11

certify that it is financially qualified to effectuate its
proposal, with sufficient net liquid assets on hand or
available from committed sources of funds to consummate
the transaction and operate the facilities for three months
without additional revenue. This certification includes all
contractual requirements, if any, as to collateral, guarantees,
and capital investments. See Revision of Application for
Construction Permit for Commercial Broadcast Station
(FCC Form 301) and Modification of Processing
Standards for Determining the Financial Qualifications
of Broadcast Station Purchasers, 87 F.C.C.2d 200 (1981).

in Licensee Corporation B, that voting interest would be
similarly impermissible if any general partner or any noninsulated limited partner of Partnership A was an alien,
regardless of his or her partnership interest. See also Review
of Foreign Ownership Policies for Broadcast, Common
Carrier and Aeronautical Radio Licensees under Section
310(b)(4) of the Communications Act of 1934, as
Amended, Report and Order, 31 FCC Rcd 11272, paras.
67-72 (2016) (2016 Foreign Ownership Order).
Assignees must also comply with the separate alien equity
ownership benchmark restrictions of Section 310. Under
the second prong of the analysis, an assignee must
determine the pro rata equity holdings of any alien investor
in a licensee entity or its parent. In calculating alien
ownership, the same voting interest multiplier rules apply.

Documentation supporting this certification need not be
submitted with this application, but must be made available
to the Commission upon request. Financial statements relied
on to make this certification should be prepared in
accordance with generally accepted accounting principles.

In order to complete this two-prong analysis, an assignee
must determine the citizenship of each entity holding either
a voting or equity interest, or explain how it determined the
relevant percentages. Corporate applicants and licensees
whose stock is publicly traded must determine the
citizenship of interest holders who are known or should be
known to the company in the ordinary course of business,
including: (1) registered shareholders; (2) officers,
directors, and employees; (3) interest holders reported to
the Securities and Exchange Commission; (4) beneficial
owners identified in annual or quarterly reports and proxy
statements; and (5) any other interest holders that are
actually known to the company, such as through
transactions, litigation, proxies, or any other source.
Statistical sampling surveys are no longer necessary.
Although direct inquiry and publicly available resources
may be used to determine citizenship of known or shouldbe-known interest holders, street addresses are not
sufficient for this purpose. For more detailed information
on identifying and calculating foreign interests, see 2016
Foreign Ownership Order, paras. 44-72.
If the combined total foreign ownership (foreign voting
interests and foreign equity interests) identified under this
methodology does not exceed 25%, a declaratory ruling is
not necessary to grant the application. A subsidiary or
affiliate of a licensee already named in a foreign
ownership declaratory ruling may rely on that ruling, and
by certifying compliance with the provisions of Section
310 of the Communications Act of 1934, as amended,
relating to interests of aliens and foreign governments,
certifies that it and the licensee named in the declaratory
ruling are in compliance with the terms and conditions of
the original foreign ownership declaratory ruling. See 47
C.F.R. § 1.5004(b).
H. Item 10: Financial Qualifications.

I.

Item 11: Programming. Assignees need no longer file a
specific program service proposal. Nevertheless, prior to
making this certification, the applicant should familiarize
itself with its obligation to provide programming responsive
to the needs and interests of the residents of its community
of license. See Request for Declaratory Ruling
Concerning Programming Information in Broadcast
Applications for Construction Permits, Transfers and
Assignments, Memorandum Opinion and Order, 3 FCC
Rcd 5467 (1988).

J.

Item 12: Auction Authorization. The competitive bidding
rules adopted by the Commission include certain provisions
to prevent "unjust enrichment" by entities that acquire
broadcast authorizations through the use of bidding credits
or other special measures. Specifically, the holder of a
broadcast license or construction permit, who successfully
utilized a bidding credit to obtain the authorization, is
required to reimburse the government for the total amount
of the bidding credit, plus interest based on the rate for tenyear U.S. Treasury obligations applicable on the date the
construction permit was granted, as a condition for
Commission approval of any assignment or transfer of that
license or construction permit, if the authorization will be
acquired by an entity that does not meet the eligibility
criteria for the bidding credit. See 47 C.F.R. §§
1.2111(d)(1), 73.5007. The amount of this payment will be
reduced over a five-year period. See 47 C.F.R. §§
1.2111(d)(2), 73.5007. No payment is required if (1) the
authorization is transferred or assigned more than five years
after the initial issuance of the construction permit; or (2)
the proposed transferee or assignee meets the eligibility
criteria for the bidding credit.
In accordance with these provisions, Item 12 requires that
the assignee certify that either (1) more than five years have
passed since the assignor received its authorization(s) via
the competitive bidding process; or (2) the proposed

An assignee must

12

Opportunity program are set forth in FCC Form 396-A.

assignee meets the eligibility criteria for the bidding credit.
If such certification cannot be made, then the assignee must
answer "No" in Item 12 and tender the applicable
reimbursement payment to the United States Government.
See 47 C.F.R. §§ 1.2111(d), 73.5007, 73.5008.

NOTE: This Broadcast Equal Employment Opportunity
Model Program Report (FCC Form 396-A) is to be utilized
only by applicants for new construction permits and by
assignees and transferees.

K. Item 13: Anti-Drug Abuse Act Certification. This
question requires the assignee to certify that neither it nor
any party to the application is subject to denial of federal
benefits pursuant to the Anti-Drug Abuse Act of 1988, 21
U.S.C. Section 862.

FCC NOTICE REQUIRED BY THE PAPERWORK
REDUCTION ACT
We have estimated that each response to this collection of
information will take up to 10 hours. Our estimate includes
the time to read the instructions, look through existing records,
gather and maintain the required data, and actually complete and
review the form or response. If you have any comments on this
burden estimate, or on how we can improve the collection and
reduce the burden it causes you, please e-mail them to
[email protected] or send them to the Federal Communications
Commission, AMD-PERM, Paperwork Reduction Project
(3060-1290), Washington, DC 20554. Please DO NOT SEND
COMPLETED APPLICATIONS TO THIS ADDRESS.
Remember - you are not required to respond to a collection of
information sponsored by the Federal government, and the
government may not conduct or sponsor this collection, unless it
displays a currently valid OMB control number of if we fail to
provide you with this notice. This collection has been assigned an
OMB control number of 3060-1290.

Section 5301 of the Anti-Drug Abuse Act of 1988 provides
federal and state court judges the discretion to deny federal
benefits to individuals convicted of offenses consisting of
the distribution or possession of controlled substances.
Federal benefits within the scope of the statute include FCC
authorizations. A "Yes" response to Item 13 constitutes a
certification that neither the assignee nor any party to this
application has been convicted of such an offense or, if it
has, it is not ineligible to receive the authorization sought by
this application because of Section 5301.
With respect to this question only, the term "party to the
application" includes if the applicant is an individual, that
individual; if the applicant is a corporation or
unincorporated association, all officers, directors, or
persons holding 5 percent or more of the outstanding stock
or shares (voting and/or non-voting) of the applicant; all
members if a membership organization; and if the applicant
is a partnership, all general partners and all limited partners,
including both insulated and non-insulated limited partners,
holding a 5 percent or more interest in the partnership.
L.

THE FOREGOING NOTICE IS REQUIRED BY THE
PAPERWORK REDUCTION ACT OF 1995, P.L.104-13,
OCTOBER 1, 1995, 44 U.S.C. SECTION 3507.

Item 14. Assignee’s Equal Employment Opportunity
Program. Applicants seeking authority to obtain
assignment of the construction permit or license of a
commercial, noncommercial or international broadcast
station are required to afford equal employment opportunity
to all qualified persons and to refrain from discriminating in
employment and related benefits on the basis or race, color,
religion, national origin or sex. See 47 C.F.R. § 73.2080.
Pursuant to these requirements, an applicant who proposes
to employ five or more full-time employees in its station
employment unit must establish a program designed to
assure equal employment opportunity for women and
minority groups (that is, Blacks not of Hispanic origin,
Asian or Pacific Islanders, American Indians or Alaskan
Natives, and Hispanics). This is submitted to the
Commission as the Model EEO Program on FCC Form
396-A, which should be filed as part of the application. If
an applicant proposes to employ less than five full-time
employees in its station employment unit, no EEO program
for women or minorities need be filed.
General guidelines for developing an Equal Employment

13

WORKSHEET #1
LOCAL NOTICE CHECKLIST
Applicants must certify that they have complied with Section 73.3580 regarding publication of local notice of the subject application. This
worksheet may be used in responding to Section II, Item 7 of Assignor's section of Form 314.
1.

Newspaper notice.
(a) Dates of publication: (i) All within 30 days of tender of the application?

Yes

No

Yes

No

Yes

No

(a) Once daily for 4 days in the second week following the filing of the application?

Yes

No

(b) At least 2 announcements during ''prime time'' (6 p.m. - 11 p.m. for television) or ''drive time'' (7 a.m. - 9
a.m. and/or 4 p.m. - 6 p.m. for radio), as applicable?

Yes

No

(a) Applicant name(s)

Yes

No

(b) Names of all officers, directors, 10% shareholders (if corporation), all non-insulated partners (if
partnership)

Yes

No

(c) Purpose of application

Yes

No

(d) Date on which application was filed

Yes

No

(e) Call letters and frequency/channel of station

Yes

No

(f) Statement that copy of application is available in Public File

Yes

No

(g) Location of public file

Yes

No

(b) Daily newspaper published in community?
(i) If ''Yes,'' public notice must appear twice a week for two consecutive weeks.

(c) No such daily newspaper, weekly newspaper published in community?
(i) If ''Yes,'' notice must appear once a week for three consecutive weeks.
(d) If no such daily or weekly newspaper, local notice must appear in daily newspaper with the greatest
circulation in the community twice a week for two consecutive weeks.

2.

3.

Broadcast notice.

Text: do the announcements contain the following information?

FCC 314-IBFS
Worksheet 1

WORKSHEET # 2
SALES CONTRACT EVALUATION WORKSHEET
This worksheet may be used by the assignor in responding to Section II, Item 3 of FCC Form 314; it may also be used by the
assignee in responding to Section III, Item 3. The applicants must review these questions with respect to all contractual
documents, agreements, and/or understandings between the assignor and the assignee. See Worksheet # 3D (Time Brokerage/Local
Marketing Agreement/Joint Sales Agreements) if agreements permit assignee to provide programming or sell advertising time for
the subject station(s) or any other stations in the market prior to Commission approval of the proposed assignment.
1.

Do the written contracts and/or agreements in the licensee/permittee's public inspection file embody
the complete and final agreement for the sale of the station(s) which are to be assigned?

Yes

No

(a) Are there any unwritten agreements between the assignor and the assignee which have not been
referenced in the contract documents to be submitted with the application?

Yes

No

Yes

No

Yes

No

Do these documents provide the assignee with ultimate control over and use of all necessary
physical property without reservation?

Yes

No

Do these documents provide the assignee with ultimate control over station programming without
reservation?

Yes

No

Yes

No

If ''Yes,'' the terms of these agreements must be reduced to writing and submitted along with
the other contract documents.
(b) Are there any written or oral agreements between the assignor and the assignee regarding
future contractual arrangements arising out of this transaction?
If ''Yes,'' the terms of these agreements must be reduced to writing and submitted along with
the other contract documents.
(c) Have there been any amendments to the contract?
If ''Yes,'' the amendment (or its material terms, if the amendment is not in writing) must be
submitted as an amendment to the application.
Note: The obligation to submit all amendments to the contract continues until Commission
action on the subject application is no longer subject to administrative or judicial review.
2.

3.

Note: The response to both Questions 2 and 3 must be ''Yes'' in order to certify that the contractual
documents ''comply fully with the Commission's rules and policies.'' If ''No,'' the applicant must
mark ''No'' and disclose all details of any restriction on the assignee's complete control of the station
in an exhibit to the application.
4.

Is there any provision in the agreements that provides for a reversion of the license(s) in the event of
default or any right to reassignment of the license in the future?

Note: The response to Question 4 must be ''No'' in order to certify that the contractual documents
comply fully with the Commission's rules and policies.'' If ''Yes,'' the applicant may not make the
appropriate certification.

FCC 314-IBFS Worksheet 2

5.

Is there any provision in the agreements which provides for a security interest in the station
license(s), permits or authorizations?

Yes

No

Note: The response to Question 5 must be ''No'' in order to certify that the contractual documents
"comply fully with the Commission's rules and policies.'' Under existing precedent, it is permissible
to grant a security interest in the proceeds of the sale of a station license, permit, or authorization,
but not in the license, permit, or authorization itself.
6.

Do the agreements contain a covenant not to compete?

Yes

No

Yes

No

Yes

No

Yes

No

in the event of default?

Yes

No

(b) If ''Yes,'' do the agreements indicate that, in the event of default, there will be either a public
(i.e., auction) or private arm's length sale of the pledged interests?

Yes

No

(c) If ''Yes,'' do the agreements provide that, prior to the exercise of stockholder rights by the
purchaser at such public or private sale, consent of the Commission (pursuant to 47 U.S.C. Section
310(d)) will be obtained?

Yes

No

(a) If ''Yes,'' does the geographic scope of the covenant extend beyond the service contour of the
station(s) to be assigned (digital NLSC for TV, 1 mV/m for FM, and 2 mV/m for AM)?

(b) If ''Yes,'' does the duration of the covenant extend beyond the length of a full license term?
Note: If the response to Question 6 is ''Yes,'' the response to Questions 6(a) and 6(b) must be ''No''
in order to certify that the contractual documents ''comply fully with the Commission's rules and
policies.'' If not, the applicant may not make the appropriate certification.
7.

Do the agreements contain a stock pledge?
(a) If ''Yes,'' do the agreements expressly state that voting rights will remain with the assignee, even

Note: If the response to Question 7 is ''Yes,'' the response to Questions 7(a), 7(b), and 7(c) must also
be ''Yes'' in order to certify that the contractual documents ''comply fully with the Commission's
rules and policies.'' If not, the applicant may not make the appropriate certification.

FCC 314-IBFS Worksheet 2 (Page 2)

WORKSHEET # 3
This Worksheet may be used in connection with Section III, Item 6 of FCC Form 314 regarding media ownership. For the
convenience of the applicant, the various ownership restrictions are treated under the following separate headings:
A. Multiple Ownership; B. Familial Relationships; C. Future Ownership Rights; D. Time Brokerage/Local Marketing/Joint Sales
Agreements; and E. Investor Insulation/Non-party Influence.
A. MULTIPLE OWNERSHIP
This section of the worksheet may be used in connection with Section III, Item 6b of FCC Form 314 to determine the proposed
assignee's compliance with the Commission's multiple ownership rules set forth in 47 C.F.R. Section 73.3555. Radio applicants:
See also 2002 Biennial Regulatory Review - Review of the Commission's Broadcast Ownership Rules and Other Rules Adopted
Pursuant to Section 202 of the Telecommunications Act of 1996, Report and Order and Notice of Proposed Rulemaking, 18 FCC
Rcd 13620 (2003) (2002 Biennial Review Order), aff'd in part and remanded in part, Prometheus Radio Project et al. v. FCC, 373
F.3d 372 (3d Cir. 2004), stay modified, No. 03-3388 (Sept. 3, 2004); 2014 Quadrennial Review Order, 31 FCC Rcd at 9897-9912,
paras. 82-128. The assignee must determine that it complies with all applicable rules in order to respond ''YES'' to the certification
in Item 6b.
NOTE: Such a certification of compliance does not exempt radio applicants from submitting an Exhibit that demonstrates such
compliance, including, if applicable, relevant contour maps.
Where the term ''applicant or any party to the application'' is used in this worksheet, it refers to the proposed assignee as applicant
or any party to the assignee portion of the application.
I. LOCAL RADIO STATION OWNERSHIP
The local radio ownership rules place a numerical limit on the number of stations in which an entity in the local market may have a
cognizable interest. See 47 C.F.R. § 73.3555(a); see also 2002 Biennial Review Order, 18 FCC Rcd at 13711-47, paras. 235-326;
2014 Quadrennial Review Order, 31 FCC Rcd at 9897-9912, paras. 82-128.
1. Will grant of this application result in the applicant or any party to this application having a cognizable interest in more than one
commercial or noncommercial educational full-power radio station located in (i.e., having its community of license within) or
''home'' to the same metropolitan area (Metro), as defined by Nielsen Audio and reported by BIA? 1
Yes

No

If ''Yes,'' provide in your Exhibit the name of the Nielsen Audio Metro; proceed to Items 2 and 3, below. Use a separate
worksheet for each applicable Nielsen Audio Metro (see supra note 1) and provide in the Exhibit the relevant information for
all applicable Metros. If ''No,'' the transaction does not involve stations in a Nielsen Audio Metro; proceed to Item 4.
2. (a) How many commercial and noncommercial educational radio full-power stations are located within or are reported by BIA
as ''home'' to the Metro covered by this worksheet? 2

1. The applicant must demonstrate compliance with the local radio ownership rule in each applicable Metro. Use a

separate
worksheet for each Metro. Note that BIA may report a particular station as ''home'' to more than one Metro, including embedded or
overlapping Metros. Note also that a station may be reported by BIA as ''home'' to one Metro and have its community of license in
a separate Metro. Each such Metro is ''applicable.''
Include all stations whose community of license is inside the boundaries of the counties that make up the Nielsen Audio Metro.
Also include stations outside the counties that make up the Nielsen Audio Metro if they are reported by BIA as ''home'' to that
Metro. The BIA Database generally includes all of the stations in a Metro. See also supra note 1.

2.

FCC 314-IBFS Worksheet 3

(b) How many full-power commercial AM stations in the Metro will be attributable to the applicant or any party to this application
if the application is approved?

(c) How many full-power commercial FM stations in the Metro will be attributable to the applicant or any party to this application if
the application is approved?

(d) Total number of commercial stations in the Metro that will be attributable to the applicant or any party to this application if the
application is approved: 3

If the applicant will own both commercial and noncommercial educational radio broadcast stations in the Metro, please also answer
questions 2(e) through 2(g) and include this information in the Exhibit:

(e) How many full-power noncommercial educational AM stations in the Metro will be attributable to the applicant or any party to
this application if the application is approved?

(f) How many full-power noncommercial educational FM stations in the Metro will be attributable to the applicant or any party to
this application if the application is approved?

(g) How many commercial and noncommercial educational full-power AM and FM stations in the Metro in total will be
attributable to the applicant or any party to this application if the application is approved? 4

The following local radio ownership ''tiers'' have the stated limits on the number of stations in which a party (i.e., a person or single
entity or entities under common control) may have a cognizable interest in a Metro:
*

In a Metro reported by BIA as having 45 or more ''home'' commercial and noncommercial educational full-power stations,
a party may have a cognizable interest in up to 8 full-power commercial radio stations, not more than 5 of which are in the
same service (AM or FM);

*

In a Metro reported by BIA as having between 30 and 44 (inclusive) ''home'' commercial and noncommercial educational
full-power radio stations, a party may have a cognizable interest in up to 7 commercial full-power radio stations, not more
than 4 of which are in the same service (AM or FM);

*

In a Metro reported by BIA as having between 15 and 29 (inclusive) ''home'' commercial and noncommercial educational
full-power radio stations, a party may have a cognizable interest in up to 6 commercial full-power radio stations, not more
than 4 of which are in the same service (AM or FM);

3. 2(d) should equal 2(b) plus 2(c).
4. 2(g) should equal 2(d) plus 2(e) plus 2(f).

FCC 314-IBFS Worksheet 3 (Page 2)

*

In a Metro reported by BIA as having 14 or fewer ''home'' commercial and noncommercial educational full-power radio
stations, a party may have a cognizable interest in up to 5 commercial full-power radio stations, not more than 3 of which
are in the same service (AM or FM), except that a party may not have a cognizable interest in more than 50 percent of the
total number of full-power commercial and noncommercial educational stations in such a market; provided, however, that
an attributable interest in one AM/FM combination in the Metro is permissible without regard to this 50 percent
limitation.
If the transaction complies with the limits set forth above, it complies with the local radio ownership portion of the multiple
ownership rules set forth in 47 C.F.R. Section 73.3555. As indicated above, all applicants must submit an Exhibit explaining their
determination. Be sure to include a copy of the Exhibit with the copy of the application that is sent to the station's public inspection
file.
3. To demonstrate compliance with the numerical limits in the local radio ownership rule, applicants may not rely on a change in a
Metro's geographic boundaries that has occurred since September 3, 2004, unless such change has been in effect for at least two
years. In addition, applicants may not rely on the inclusion of a radio station as ''home'' to a Metro unless (a) such station was listed
by BIA as ''home'' to the Metro as of September 3, 2004, or (b) such ''home'' designation has been in effect for at least two years, or
(c) such station's community of license is located within the Metro. Applicants also may not rely on the removal, after September 3,
2004 , of their own stations from BIA's list of ''home'' stations in a Metro unless (i) such exclusion has been in effect for at least two
years or (ii) the exclusion results from an FCC-approved change in the community of license of a station from within the Metro to
outside the Metro. Applicants who wish to rely on such changes should explain in their Exhibit, taking into account the timing
conditions set forth above in this paragraph, (1) any changes since September 3, 2004 to the geographic boundaries of the relevant
Metros, (2) any changes since September 3, 2004 to the ''home'' designations of the applicant's stations in the relevant Metros, (3)
whether one or more radio stations licensed to communities outside the Metro have been added to BIA's list of ''home'' stations for
that Metro since September 3, 2004; and (4) whether any of the changes reported in (1) through (3) of this paragraph is necessary for
the proposed transaction to comply with the local radio ownership rule.
4. Interim Contour-overlap Methodology. If any station subject to the application does not have its community of license located
within the geographic boundaries of any Nielsen Audio Metro, then the following guidelines should be used to determine
compliance with the local radio ownership rule for any such station. These guidelines reflect the contour-overlap methodology
(''Interim Methodology'') that, for any station whose community of license is in a non-Metro area, is in effect until such time as the
rule making proceeding in MB Docket 03-130 is completed and new rules are established for such radio stations. See 2002 Biennial
Review Order, 18 FCC Rcd at 13729-30, 13870-71, paras. 282-86, 657-62. If a station is listed by BIA as ''home'' to a Metro but the
station's community of license is not within the geographic boundaries of that Metro or any other Metro, the applicant must comply
with the local radio ownership rule both under the Interim Methodology and under the Nielsen Audio Metro methodology.
Under the Interim Methodology, a radio market is defined as the area encompassed by the principal community contours (predicted
or measured 5 mV/m groundwave contour for AM; predicted 3.16 mV/m contour for FM) of the stations that are both mutually
overlapping and proposed to be ''commonly attributable'' 5 post-transaction. 6 The number of radio stations in this defined radio
market (i.e., the numerator) cannot exceed the limits set forth in Section 73.3555(a) (see below). A commonly attributable station
whose contour overlaps the contour of some but not all of the contours of the stations that define the radio market does not count
toward the local radio ownership limits (i.e., is not counted in the numerator).
Under this same Methodology, the number of stations in the market (i.e., the denominator) is determined by counting the full-power,
operating commercial and noncommercial educational stations whose principal community contours overlap or intersect at least one
of the principal community contours that define the radio market as described above, subject to the following exception: such a
station will be not be counted as being in the market (i.e., in the denominator) if (i) its transmitter site is located more than 92 km
from the perimeter of the area of mutual overlap of the commonly attributable stations that define the radio market, or (ii) the
applicant or any party to the application has a cognizable interest in the station and the station does not define the subject market

5. For purposes of this worksheet, ''commonly attributable'' means stations in which the applicant (assignee) or any party to the
application (assignee portion) will have a cognizable interest (see 47 C.F.R. Section 73.3555, Notes) if the application is granted.

As long as at least one of the commonly attributable radio stations has a community of license that is located outside a Metro,
applicants should count in the numerator every commonly attributable station that mutually overlaps such station(s), regardless of
whether the other commonly attributable stations are listed as being in Metros.
6.

FCC 314-IBFS Worksheet 3 (Page 3)

(i.e., is not in the numerator). Any radio station that meets this test should be included in the denominator, regardless of whether
such station is in a Metro. A graphic example is provided further below.
The following local radio ownership ''tiers'' have the stated limits on the number of stations in which a party (i.e., a person or single
entity or entities under common control) may have a cognizable interest in a non-Metro radio market:
*

In a radio market with 45 or more commercial and noncommercial educational full-power radio stations, a party may have
a cognizable interest in up to 8 commercial radio stations, not more than 5 of which are in the same service (AM or FM);

*

In a radio market with between 30 and 44 (inclusive) commercial and noncommercial educational full-power radio
stations, a party may have a cognizable interest in up to 7 commercial radio stations, not more than 4 of which are in the
same service (AM or FM);

*

In a radio market with between 15 and 29 (inclusive) commercial and noncommercial educational full-power radio
stations, a party may have a cognizable interest in up to 6 commercial radio stations, not more than 4 of which are in the
same service (AM or FM);

*

In a radio market with 14 or fewer commercial and noncommercial educational full-power radio stations, a party may have
a cognizable interest in up to 5 commercial radio stations, not more than 3 of which are in the same service (AM or FM),
except that a party may not have a cognizable interest in more than 50% of the total number of commercial and
noncommercial educational full-power stations in such market; provided, however, that an attributable interest in one
AM/FM combination in the Metro is permissible without regard to this 50% limitation.

If the transaction complies with the limits set forth above, it complies with the local radio ownership rule set forth in 47 C.F.R.
Section 73.3555(a). The assignee should mark ''Yes'' to Section III, Item 6b of Form 314 and must submit an Exhibit providing
information regarding the market(s), broadcast station(s), and other information demonstrating compliance with 47 C.F.R. Section
73.3555 (a).
If the transaction does not comply with 47 C.F.R. Section 73.3555(a), the assignee should mark ''No'' to Section 111, Item 6b to
Form 3 14 and must submit as an Exhibit a detailed explanation in support of a waiver of 47 C.F.R. Section 73.3555 (a).
See below for an illustration of the Interim Methodology.
5. AM Expanded Band Station. In Review of the Technical Assignment Criteria for the AM Broadcast Service, Report and Order,
6 FCC Rcd 6273, 6320-21, paras. 145-48 (1991), the Commission modified the radio ownership rules to permit an existing AM
licensee to own and operate another AM Station in the AM ''Expanded Band'' (1605-1705 KHz) during the transition period to full
implementation of the expanded band, even if this were to result in the AM licensee exceeding the Commission's numerical
ownership limits. However, during this period of dual ownership, licensees are not permitted to assign either the existing-band or
the expanded-band authorization independently of the other. Accordingly, in order to evaluate the subject proposal's compliance
with these policies, applicants should address the following questions.
a.

Does the assignee/applicant have either an application, a construction permit, or a license
for a station in the expanded band AM band (1605-1705 KHz)?

b.

If ''Yes,'' do the agreements for the sale of the station(s) to be assigned maintain the common
ownership of the expanded-band and related existing-band authorization as required by 47
C.F.R. Section 73.1150(c)?

If the answer to Question 5b is ''No,'' the proposed assignment may violate Section 73.1150(c). The
applicant therefore must mark ''No'' to Section III, Item 6b, and submit an explanatory exhibit
detailing how the proposed transaction complies with the rule or requesting and justifying a waiver.

FCC 314-IBFS Worksheet 3 (Page 4)

In the simplified example below, Stations AM1, AM2, FM1 and FM2 are proposed to be commonly attributable. Stations AM1,
AM2, and FM2 have mutually overlapping contours. They constitute a "radio market'' -- in this example, Market #1 -- for purposes
of the local radio ownership rules in a non-Metro area, and are thus counted against the local radio limit (i.e., in the numerator) in
Market # 1.
Because Station FM1's contour does not overlap the mutually overlapping contours of Stations AM1, AM2 and FM2, the proposed
acquisition of Station FM1 would not count as being in Market #1 and therefore would not be counted toward the local ownership
limit (i.e., in the numerator) for purposes of Market #1. Rather, in a non-Metro area, Stations FM1 and FM2 would need to be
analyzed as forming a separate ''radio market'' - in this example, Market #2. (Station FM2 would thus be counted as being in Market
#1 as well as in Market #2).
Station FM3 is not commonly attributable and it would be counted as "in" Market #1 (i.e., in the denominator) because the
transmitter of Station FM3 is not more than 92 km from the perimeter of Market #1's mutual overlap area. Station FM1 would not
be counted as being ''in'' Market #1 (i.e., in the denominator) because it is commonly attributable to the proposed assignee.
Station AM3 in this example is not commonly attributable. It would, nonetheless, not be counted as being ''in'' Market #2 (i.e., in
the denominator) because its transmitter is located more than 92 km from the perimeter of Market #2's mutual overlap area. Stations
AM1 and AM2 also would not be counted as ''in'' Market #2 (i.e., in the denominator) because they are commonly attributable.

AM2

FM2
#1
AM1
#2

FM1

.
.
.

.
.
.

FM3 transmitter
49 km from
perimeter of
mutual overlap
area of Market #1
.
.
.

.
.
.

...

...

AM3 transmitter 95 km
from perimeter of
mutual overlap area of
Market #2

FCC 314 -IBFS Worksheet 3 (Page 5)

II. TELEVISION OWNERSHIP
This section of the worksheet may be used in connection with Section III, Item 6b for the proposed acquisition of a full-service
television station. The television ownership rules place a numerical limit on the number of stations that can be owned by one entity
in the local market and restrict the total national audience reach that can be attained by any one television station owner. See 47
C.F.R. § 73.3555(b), (e), Notes.
1.

Local Ownership. Will the acquisition of the commercial television station(s) being assigned result
in the assignee or any party to this application having an attributable interest in another commercial
television station which is located within the same Designated Market Area (DMA) as measured by
Nielsen Media Research and whose digital NLSC overlaps the digital NLSC of the station(s) being
assigned?
If ''Yes'' to Question 1, at the time of filing of this application are both of the commercial
television stations ranked among the top four stations in the DMA, based on the most recent
all-day (9:00 a.m.-midnight) audience share as determined by Nielsen or a comparable
professional survey organization?

Yes

No

Yes

No

Yes

No

If ''Yes,'' the applicant must mark ''No'' to Section III, Item 6b, and submit an exhibit with supporting
materials demonstrating why in this case the Commission's top-four prohibition should not apply.
2.

National Audience Reach. Will the acquisition of the commercial television station(s) being
assigned result in the assignee or any party to this application having an attributable interest in
commercial television stations which have an aggregate national audience reach exceeding 39
percent?

If ''Yes'' to Question 2, the applicant must mark ''No'' to Section III, Item 6b and submit an exhibit
stating the reasons in support of an exemption from, or waiver of, the Commission's television
ownership regulations.

FCC 314 (IBFS) Worksheet 3 (Page 6)

B. FAMILY RELATIONSHIPS
This section of the worksheet may be used in connection with Section III, Item 6c.1 of FCC Form 314, which requires the assignee
to certify that the proposed acquisition does not ''present an issue'' under the Commission's policies relating to media interests of
immediate family members (i.e., husband, wife, father, mother, brother, sister, son or daughter).
The Commission does not prohibit, but rather considers relevant, media interests owned by immediate family members.
Accordingly, the assignee should examine the media interests of its principals' immediate family members to determine whether or
not those media interests will be independent and not subject to common influence or control. See Clarification of Commission
Policies Regarding Spousal Attribution, Policy Statement, 7 FCC Rcd 1920 (1992); Applications of Sevier Valley Broadcasting, Inc.
(Assignor) and Mid-Utah Radio, Inc. (Assignee), Memorandum Opinion and Order, 10 FCC Rcd 9795 (1995).
An assignee must review this worksheet if the answer to the following question is "Yes." Does any
member of the immediate family (i.e., husband, wife, father, mother, brother, sister, son or daughter) of
any party to the application have any interest in or connection with any other broadcast station or pending
broadcast application in the same market?

Yes

No

Yes

No

Yes

No

Yes

No

Yes

No

Yes

No

Answer the following questions for each such relationship:
1.

Has the family member who is not included as a party to the application been involved in
negotiations with the licensee/permittee for the acquisition/construction of any of the station(s) to be
assigned?

2.

Has the family member who is not included as a party to the application provided financing or
otherwise been involved in the process of making financial arrangements for the
acquisition/construction of any of the station(s) to be assigned?

3.

Is this the first broadcast ownership interest of the family member who is a party to the application?

4.

Are the family members involved together in the management or operation of any other media
interests located in other markets?

5.

Are there any agreements, arrangements or understandings, either written or oral, between the
family members with same-market media interests for the participation of one family member in the
financial affairs, commercial practices, programming, or employment practices of the other family
member's media entity? Consider, for example, joint sales agreements, local marketing agreements,
and arrangements to share facilities or personnel.

If assignee answers ''No'' to all of the above questions, assignee may conclude that it complies with the
Commission's policies relating to media interests of immediate family members. If assignee answers
''Yes'' to any one of the above questions, the assignee must mark ''No'' to Section III, Item 6c and should
submit an exhibit giving full particulars, including the family relationship involved and a detailed account
of the business or media relationship between family members.

FCC 314-IBFS Worksheet 3 (Page 7)

C. FUTURE OWNERSHIP RIGHTS
This section of the worksheet may be used in connection with Section III, Item 6c, which requires the assignee to certify that the
proposed acquisition complies with the Communications Act and the Commission's regulations and policies concerning future
ownership rights in broadcast stations.
Section 310(d) of the Communications Act of 1934, as amended, prohibits assignment, transfer or any disposition of a broadcast
license without first applying to the Commission and receiving approval. Similarly, Commission precedent currently prohibits (1)
pledge of a broadcast license as collateral for a loan, or (2) grant of a security interest (or any similar encumbrance) in a broadcast
license. These inquiries are directed to current and prospective third-party interests in the assignee.
In order to certify compliance with Item 6c of Section III of FCC Form 314, the Assignee must review the following questions:

1.

Are there any documents, instruments, contracts, or understandings relating to future ownership
rights in the assignee or any party to the application including, but not limited to: (1) stock pledges;
(2) security agreements; (3) non-voting stock interests; (4) beneficial stock ownership interests; (5)
options; (6) warrants; or (7) debentures?

Yes

No

Yes

No

Yes

No

(a) If ''Yes,'' do the agreements expressly state that voting rights will remain with the assignee, even
in the event of default?

Yes

No

(b) If ''Yes,'' do the agreements indicate that, in the event of default, there will be either a public
(i.e., auction) or private arm's-length sale of the pledged interests?

Yes

No

Yes

No

Yes

No

If ''No,'' Assignee may certify compliance with the future ownership inquiry.
If "Yes," proceed to the questions below.
2.

Is there any provision in the agreements which provides for a security interest in the station
license(s), permits or authorizations?

Note: The response to Question 2 must be ''No'' in order to certify that the contractual documents
''comply fully with the Commission's rules and policies.'' Under existing precedent, it is permissible
to grant a security interest in the proceeds of the sale of a station license, permit, or authorization,
but not in the license, permit, or authorization itself.
3.

Do the agreements contain a stock pledge?

(c) If ''Yes,'' do the agreements provide that, prior to the exercise of stockholder rights by the
purchaser at such public or private sale, prior consent of the Commission (pursuant to 47 U.S.C.
Section 310(d)) will be obtained?

If the answer to (a), (b), or (c) is ''No,'' the assignee must mark ''No'' to Section III, Item 6c and
submit an exhibit providing all details of the stock pledge agreement and demonstrating how the
agreement is not violative of Section 73.1150 and Commission precedent.
4.

If the agreements contain provisions relating to the acquisition of non-voting stock interests,
beneficial stock interests, warrants, or debentures convertible into voting or non-voting stock, would
the exercise of those interests, individually or in the aggregate, effectuate a positive or negative
transfer of control of the assignee/applicant?

If ''Yes,'' the agreements must clearly indicate that, prior to the acquisition, exercise, or conversion
of any future interest into equity that would effectuate a positive or negative transfer of control,
Commission approval will be sought and received. If they do not, the applicant must mark ''No'' to
Section III, Item 6c, and submit an exhibit providing all details and explaining how the agreements

do not violate Commission policy or precedent.
FCC 314-IBFS Worksheet 3 (Page 8)

D. TIME BROKERAGE/LOCAL MARKETING AGREEMENTS /JOINT SALES AGREEMENTS

This worksheet should be reviewed in connection with several different certifications. These include Section II, Item 3 and Section
III, Item 3 (certifications by assignor and assignee relating to agreements for sale of station) and Section III, Items 6a and 6b.

1.

Does or, as a result of this transaction, will the applicant or any party to this application, supply
more than 15 percent of another, same-market station's weekly program hours?

Yes

No

Yes

No

(a) retain the right to reject/substitute programming (including commercial advertising) without
excessive fee or penalty?

Yes

No

(b) retain the right to terminate the agreement without excessive fee or penalty?

Yes

No

(c) retain responsibility for broadcasting programming to meet local needs?

Yes

No

(d) retain the obligation to prepare and file the quarterly issues/programs list?

Yes

No

(e) retain the responsibility to comply with the Commission's political programming rules?

Yes

No

(f) retain the obligation to pay station expenses?

Yes

No

Yes

No

If ''Yes,'' that interest is attributable to the assignee and must be considered in certifying compliance
with the Commission's multiple ownership rules.
2.

Does the assignee hold a time brokerage agreement, local marketing agreement or joint sales
agreement pursuant to which the assignee provides programming or sells commercial advertising
time for the subject station(s) or any other stations in the market?

If ''Yes,'' proceed to Question 3.
3.

Has the licensee retained sufficient rights and obligations over the station's personnel, programming,
and finances such that it retains control of the station under applicable Commission precedent, i.e.,
does the licensee/permittee:

If the response to any of these questions is ''No,'' the agreement may not comport with existing
Commission precedent. The applicant should therefore mark ''No'' in the appropriate certification
and supply an exhibit explaining how the agreement does not amount to a premature assumption of
control by the assignee.
4.

Does the programming agreement or joint sales agreement extend beyond one full license term (i.e.,
eight years)?

If ''Yes," the agreement may exceed the length allowable under Commission precedent. The
applicant must therefore mark ''No'' to Section 111, Item 6b, and submit an exhibit containing the
complete agreement (with all attachments) and discussing how its operation complies with
precedent.
NOTE: ALL applicants required to demonstrate compliance with 47 C.F.R. Section 73.3555(a)
must submit, with this application, complete copies of all attributable radio time brokerage/local
marketing and radio joint sales agreements for the subject stations or any other stations in the same
market as the subject stations.

FCC 314-IBFS Worksheet 3 (Page 9)

E. INVESTOR INSULATION AND NON-PARTY INFLUENCE OVER ASSIGNEE/APPLICANT
This section of the worksheet may be used in connection with Section III, Item 6c, which requires the assignee to certify that it
complies with the Commission's restrictions relating to the insulation and non-participation of non-party investors and creditors. See,
e.g., Review of the Commission's Regulations Governing Attribution of Broadcast and Cable/MDS Interests, Report and Order, 14
FCC Rcd 12559 (1999). It indicates the kinds of contractual relationships that may, in the Commission's view, exceed the authority
of a properly insulated investor or demonstrate some indicia of de facto control by a creditor.
I. Investor Insulation

If an assignee is a limited partnership or a limited liability company ("LLC'') that seeks to insulate partners or members in
accordance with the Commission's attribution rules, the assignee shall ensure that each such limited partner or LLC member is not
materially involved, directly or indirectly, in the management or operation of the media-related activities of the partnership or LLC.
To ensure that each such limited partner or LLC member is not materially involved, directly or indirectly, in the management or
operation of the media-related activities of the partnership or LLC, the applicant must answer the following inquiries. Do the limited
partnership or LLC enabling documents:
a.

specify that any exempt limited partner/LLC member (if not a natural person, its directors, officers,
partners, etc.) cannot act as an employee of the limited partnership/LLC member if his or her
functions, directly or indirectly, relate to the media enterprises of such entity?

Yes

No

b.

bar any exempt limited partner/LLC from serving, in any material capacity, as an independent
contractor or agent with respect to the partnership/LLC's media enterprises?

Yes

No

c.

restrict any exempt limited partner/LLC member from communicating with the limited
partnership/LLC, the general partner, or any LLC management committee on matters pertaining to
the day-to-day operations of its business?

Yes

No

d.

empower the general partner/LLC management committee to veto any admissions of additional
general partners/LLC members admitted by vote of the exempt limited partners/LLC members?

Yes

No

e.

prohibit any exempt limited partner/LLC member from voting on the removal of a general
partner/LLC member or limit this right to situations where the general partner/LLC member is (i)
subject to bankruptcy proceedings, as described in Section 402(4)-(5) of the Revised Uniform
Limited Partnership Act, (ii) is adjudicated incompetent by a court of competent jurisdiction, or (iii)
is removed for cause, as determined by an independent party?

Yes

No

f.

bar any exempt limited partner/LLC member from performing any services to the limited
partnership/LLC materially relating to its media activities, with the exception of making loans to, or
acting as a surety for, the business?

Yes

No

g.

state, in express terms, that any exempt limited partner/LLC member is prohibited from becoming
actively involved in the management or operation of the media businesses of the limited
partnership/LLC?

Yes

No

If the answer is ''Yes'' to each of these conditions with regard to every limited partner and LLC member
that the applicant seeks to insulate and the relevant state statute authorizing the LLC permits a LLC
member to insulate itself in accordance with the Commission's criteria, the applicant may certify that it
complies with the Commission's restrictions regarding insulation of non-party investors. If ''No'' to the
foregoing, the applicant must submit an exhibit detailing the rights of any non-party investor and setting
forth the applicant's reasons for not treating the investor as a party to the application.

FCC 314-IBFS Worksheet 3 (Page 10)

II. Non-Party Influence Over Assignee
A. Non-party investors, i.e., investors with nonattributable interests, may have very limited powers over the operations of a
licensee. Accordingly, with respect to any agreement, arrangement or understanding involving insulated parties or other investors
with nonattributable interests, including creditors, secured parties, program suppliers, and any other persons not disclosed as parties
to this application, does such agreement:
1.

give any non-party investor the right to vote on any matters decided by the assignee's board of
directors, partnership committee or other management group?

Yes

No

2.

give any non-party investor the right to attend, or appoint an observer to attend, assignee board,
partnership or other management meetings?

Yes

No

3.

place any limitation on assignee programming discretion?

Yes

No

4.

give any non-party investor the right to vote on, approve or restrict assignee's actions on any matter

Yes
No

relating to programming, personnel or finances?
5.

give any non-party creditor or any bond, debenture or warrant holder the right to vote on, approve
or restrict the assignee's actions on any matter relating to programming, personnel or finances?

Yes

No

6.

give any non-party creditor or any bond, debenture or warrant holder the right to share in the profits
of the assignee?

Yes

No

7.

give any non interest and acquire control of the assignee based on the assignee's actions relating to
programming, personnel and finances?

Yes

No

8.

give any non-party investor, creditor, or bond, debenture or warrant holder the right to vote on,
approve or deny the selection or removal of a general partner of an assignee partnership or a
member of the assignee's governing body?

Yes

No

9.

give any non-party investor, creditor, or bond, debenture or warrant holder the right to convert,
tender or require the tendering of stock pursuant to a put-or-call agreement based on the actions of
the assignee relating to programming, personnel or financing?

Yes

No

If the answer to all of these conditions is ''No'' with regard to every non-party investor and creditor, and there are no other
provisions that cede de facto control to a non-party, applicant may certify that it complies with the Commission's restrictions
regarding non-participation of non-party investors and creditors. If the answer to any of these inquiries is ''Yes,'' the applicant must
submit an exhibit detailing the rights of any non-party investor and setting forth fully the applicant's reasons for not treating the
investor as a party to the application.
B. With respect to any loan agreement, has the assignee ensured that such agreement:
1.

2.
3.

includes an unconditional promise by the assignee to pay on demand or on a specific date a sum
certain?
contains a fixed or defined variable rate of interest on the loan?
does not prohibit the redemption of the loan by the assignee, or permit redemption at the option of
the lender only?

Yes

No

Yes

No

Yes

No

If the answer to each of these inquiries is ''Yes,'' and if there are no other provisions that may give non-party investors control, the

applicant may conclude that it complies with the Commission's restrictions regarding non-participation of non-party investors and
creditors. If not, the applicant must submit an exhibit detailing the rights of the lender and the obligations of the assignee for each
loan agreement.

FCC 314-IBFS Worksheet 3 (Page 11)

Federal Communications Commission

Approved by OMB
3060-1290

Washington, D. C 20554

FOR
FCC
USE
ONLY

FCC 314-IBFS
APPLICATION FOR CONSENT TO
ASSIGNMENT OF BROADCAST STATION
CONSTRUCTION PERMIT OR LICENSE

FOR COMMISSION USE ONLY
FILE NO.

Section I - General Information
1.

Legal Name of the Licensee/Permittee

Mailing Address

City

State or Country (if foreign address)

Telephone Number (include area code)

E-Mail Address (if available)

FCC Registration Number

2.

Call Sign

Contact Representative (if other than licensee/permittee)

ZIP Code

Facility ID Number

Firm or Company Name

Mailing Address

_).

City

State or Country (if foreign address)

Telephone Number (include area code)

E-Mail Address (if available)

ZIP Code

Legal Name of the Assignee

Mailing Address

City

FCC Registration Number

4.

Contact Representative (if other than assignee)

State or Country (if foreign address)

Telephone Number (include area code)

ZIP Code

E-Mail Address (if available)

Finn or Company Name

Mailing Address

City

State or Country (if foreign address)

Telephone Number (include area code)

E-Mail Address (if available)

ZIP Code

All previous editions obsolete.

FCC Form 314-IBFS
September 2020

5.

If this application has been submitted without a fee, indicate reason for fee exemption (see 47 C.F.R. Section 1.1114):
Governmental Entity

6.

Noncommercial Educational
Licensee/Permittee

Other

Purpose of Application:
Assignment of license
Assignment of construction permit
Amendment to pending application
File Number of pending application:
If an amendment, submit as an Exhibit a listing by Section and Question
Number of the portions of the pending application that are being revised.

7.

Were any of the authorizations that are the subject of this application obtained through the
Commission's competitive bidding procedures (see 47 C.F.R. Sections 1.2111(a) and
73.5000)?

Exhibit No.

Yes

No

Exhibit No.

If yes, list pertinent authorizations in an Exhibit.

8.

a. Were any of the authorizations that are the subject of this application obtained through
the Commission's point system for reserved channel noncommercial educational
stations (see 47 C.F.R. Sections 73.7001 and 73.7003)?
b. If yes to 8(a), have all such stations operated for at least 4 years with a minimum
operating schedule since grant pursuant to the point system?
If no, list pertinent authorizations in an Exhibit and include in the Exhibit a showing
that the transaction is consistent with the maintenance of comparative qualifications
period requirements of 47 C.F.R. Section 73.7005(a).

No

Yes

No

Exhibit No.

c. LPFM Permits and Licenses Only: Has it been at least 18 months since the initial
construction permit for the LPFM station was granted?

Yes

No

N/A

d. Does the assignment of the LPFM authorization satisfy the consideration restrictions of
47 C.F.R. Section 73.865(a)(1)?

Yes

No

N/A

Yes

No

N/A

Yes

No

e. Were any of the LPFM authorizations that are subject to this application obtained
through the Commission’s point system for LPFM stations (see 47 C.F.R. Section
73.872)?
f. If yes to 8(e), have all such LPFM stations operated for at least four years since permit
grant pursuant to the point system? If no, please list pertinent authorizations in an
Exhibit and include in the Exhibit a showing that the transaction is consistent with the
requirements of 47 C.F.R. Section 73.865(a)(3).

9.

Yes

a. Were any of the authorizations that are the subject of this application obtained after
award of a dispositive Section 307(b) preference using the Tribal Priority, through
Threshold Qualifications procedures, or through the Tribal Priority as applied before
the NCE fair distribution analysis set forth in 47 C.F.R. Section 73.7002(b)?
b. If yes to 9(a), have all such stations operated for at least 4 years with a minimum
operating schedule since grant?
c. If no to 9(b), do both the assignor/transferor and assignee/transferee qualify for the
Tribal Priority in all respects?

Exhibit No.

Yes

No

Yes

No

If
no,
list
pertinent
authorizations in
an Exhibit and

Exhibit No.

include in the Exhibit a showing that the transaction is consistent with the established
Tribal Priority holding period restrictions, or that the policy should be waived.

Yes

No

FCC Form 314-IBFS (Page 2)

Section II - Assignor
1.

Certification. Licensee/permittee certifies that it has answered each question in this
application based on its review of the application instructions and worksheets. Licensee
further certifies that where it has made an affirmative certification below, this certification
constitutes its representation that the application satisfies each of the pertinent standards
and criteria set forth in the application instructions and worksheets.

2.

Authorizations to be Assigned. List the authorized stations and construction permits to be
assigned. Provide the Facility Identification Number and the Call Sign, or the Facility
Identification Number and the File Number of the Construction Permit, and the location,
for each station to be assigned. Include main stations, LPFM stations, FM and/or TV
translator stations, LPTV stations, SCA, FM and/or TV booster stations, and associated
auxiliary service stations.

Facility ID Number

3.

Call Sign

or

Yes

Construction Permit File Number

Agreements for Sale of Station. Licensee/permittee certifies that:
a. it has placed in its public inspection file(s) and submitted to the Commission as an
Exhibit to this application copies of all agreements for the sale of the station(s);
b. these documents embody the complete and final understanding between
licensee/permittee and assignee; and
c. these agreements comply fully with the Commission's rules and policies.

No

City

Yes

No

State

See Explanation
in Exhibit No.

Exhibit No.

Exhibit No.
4.

Other Authorizations. List call signs, locations and facility identifiers of all other
broadcast stations in which licensee/permittee or any party to the application has an
attributable interest.

N/A

5.

Character Issues. Licensee/permittee certifies that neither licensee/permittee nor any
party to the application has or has had any interest in, or connection with:
a. any broadcast application in any proceeding where character issues were left
unresolved or were resolved adversely against the applicant or any party to the
application; or
b. any pending broadcast application in which character issues have been raised.

Yes

No

See Explanation
in Exhibit No.

6.

Adverse Findings. Licensee/permittee certifies that, with respect to the licensee/permittee
and each party to the application, no adverse finding has been made, nor has an adverse
final action been taken by any court or administrative body in a civil or criminal proceeding
brought under the provisions of any law related to any of the following: any felony; mass
media-related antitrust or unfair competition; fraudulent statements to another governmental
unit; or discrimination.

Yes

No

See Explanation
in Exhibit No.

7.

Local Public Notice. Licensee/permittee certifies that it has or will comply with the public

notic

e

requirements of 47 C.F.R. Section 73.3580.

Yes

No

N/A

FCC Form 314-IBFS (Page 3)

8.

9.

10.

Auction Authorization. Licensee/permittee certifies that more than five years have passed
since the issuance of the construction permit for the station being assigned, where that
permit was acquired in an auction through the use of a bidding credit or other special
measure.
Anti-Drug Abuse Act Certification. Licensee/permittee certifies that neither licensee/
permittee nor any party to the application is subject to denial of federal benefits pursuant to
Section 5301 of the Anti-Drug Abuse Act of 1988, 21 U.S.C. Section 862.
Anti-Discrimination Certification. Licensee/permittee certifies that neither
licensee/permittee nor any party to the application have violated the Commission's
prohibition against discrimination on the basis of race, color, religion, national origin or
sex in the sale of commercially operated AM, FM, TV, Class A TV or international
broadcast stations.

Yes

No

See Explanation
in Exhibit No.

N/A

Yes

No

Yes

No

See Explanation
in Exhibit No.

N/A

I certify that the statements in this application are true, complete, and correct to the best of my knowledge and belief, and are made
in good faith. I acknowledge that all certifications and attached Exhibits are considered material representations.
Typed or Printed Name of Person Signing

Typed or Printed Title of Person Signing

Signature

Date

WILLFUL FALSE STATEMENTS ON THIS FORM ARE PUNISHABLE BY FINE AND/OR IMPRISONMENT (U.S.
CODE, TITLE 18, SECTION 1001), AND/OR REVOCATION OF ANY STATION LICENSE OR CONSTRUCTION
PERMIT (U.S. CODE, TITLE 47, SECTION 312(a)(1)), AND/OR FORFEITURE (U.S. CODE, TITLE 47, SECTION 503).

FCC Form 314-IBFS (Page 4)

Section III - Assignee
1.

Certification. Assignee certifies that it has answered each question in this application
based on its review of the application instructions and worksheets. Assignee further certifies
that where it has made an affirmative certification below, this certification constitutes its
representation that the application satisfies each of the pertinent standards and criteria set
forth in the application instructions and worksheets.

2.

Assignee is:

3.

4.

No

an individual

a general partnership

a for-profit corporation a limited liability

a limited partnership

a not-for-profit corporation

company (LLC/LC)

a not-for-profit
educational institution

a noncommercial public
radio service to protect the
safety of life, health, or
property

a government entity other
than a school

a not-for-profit
educational organization

other

Exhibit No.

a.

If ''other'', describe nature of applicant in an Exhibit.

b.

Radio Station applicants only: If the station(s) being assigned is noncommercial
educational or LPFM, the assignee certifies that the Commission had previously
granted a broadcast application, identified here by file number, that found this
assignee qualified as a noncommercial educational entity with a qualifying
educational program, and that the assignee will use the station(s) to advance a
program similar to that the Commission has found qualifying in the assignee's
previous application.

c.

Yes

Radio Station applicants only: Proposed assignees of noncommercial educational
or LPFM stations that answered ''No'' to Question 2(b) must include an exhibit that
describes the assignee's educational objective and how the station will be used to
advance an educational program that will further that objective according to 47
C.F.R. Section 73.503 (for radio applicants), 47 C.F.R. Section 853 (for LPFM
applicants).

Yes

Yes

the written agreements in the licensee/permittee's public inspection file and
submitted to the Commission embody the complete and final agreement for the sale
of the station(s) which are to be assigned; and

b.

these agreements comply fully with the Commission's rules and policies.

FCC File No.

No

See Explanation
in Exhibit No.

Exhibit No.

Agreements for Sale of Station. Assignee certifies that:
a.

No

Parties to the Application.
a. List the assignee, and, if other than a natural person, its officers, directors, stockholders and other entities with attributable
interests, non-insulated partners and/or members. If a corporation or partnership holds an attributable interest in the
assignee, list separately its officers, directors, stockholders and other entities with attributable interests, non-insulated
partners and/or members. Create a separate row for each individual or entity. Attach additional pages if necessary.
(1)

Name and address of the assignee and each party to the

(2)

Citizenship.

application holding an attributable interest (if other
than individual also show name, address and
citizenship of natural person authorized to vote the
stock or holding the attributable interest). List the
assignee first, officers next, then directors and,

(3)

Positional Interest: Officer, director, general
partner, limited partner, LLC member,
investor/creditor attributable under the
Commission's equity/debt plus standard., etc.

thereafter, remaining stockholders and other entities

(4)

Percentage of votes.

with attributable interests, and partners.

(5)

Percentage of total assets (debt plus equity).

(1)

(2)

(3)

(4)

(5)

FCC Form 314-IBFS (Page 5)

Question 4 Continuation Sheet
I] \

FCC Form 314-IBFS (Page 6)

14\

lj\

Assignee certifies that equity and financial interests not set forth above are
non-attributable.

b.

Yes

No

See Explanation
in Exhibit No.

N/A

5.

6.

Other Authorizations. List call signs, locations, and facility identifiers of all other
broadcast stations in which assignee or any party to the application has an attributable
interest.

Exhibit No.
N/A

Multiple Ownership.
Is the assignee or any party to the application the holder of an attributable radio joint
sales agreement or an attributable radio or television time brokerage agreement with
the station(s) subject to this application or with any other station in the same market
as the station(s) subject to this application?

a.

Yes

No

See Explanation
in Exhibit No.

If ''Yes,'' radio applicants must submit as an Exhibit a copy of each such agreement
for radio stations.
Assignee certifies that the proposed assignment complies with the Commission's
multiple ownership rules.

b.

Yes

No

See Explanation
in Exhibit No.

Yes

No

See Explanation
in Exhibit No.

AM and/or FM Radio applicants only: If ''Yes,'' submit an Exhibit providing
information regarding the market, broadcast station(s), and other information
necessary to demonstrate compliance with 47 C.F.R. Section 73.3555(a).
All applicants: If ''No,'' submit as an Exhibit a detailed explanation in support of an
exemption from, or waiver of, 47 C.F.R. Section 73.3555.
Assignee certifies that the proposed assignment:
1. does not present an issue under the Commission's policies relating to media
interests of immediate family members;

c.

2. complies with the Commission's policies relating to future ownership interests;
and
3. complies with the Commission's restrictions relating to the insulation and
nonparticipation of non-party investors and creditors.
d.

Does the Assignee claim status as an "eligible entity," that is, an entity that qualifies
as a small business under the Small Business Administration's size standards for its
industry grouping (as set forth in 13 C.F.R. Section 121.201), and holds (1) 30
percent or more of the stock or partnership interests and more than 50 percent of the
voting power of the corporation or partnership that will own the media outlet; or (2)
15 percent or more of the stock or partnership interests and more than 50 percent of
the voting power of the corporation or partnership that will own the media outlet,
provided that no other person or entity owns or controls more than 25 percent of the
outstanding stock or partnership interests; or (3) more than 50 percent of the voting
power of the corporation that will own the media outlet (if such corporation is a
publicly traded company)?
All applicants: If "Yes," submit as an Exhibit a detailed showing demonstrating
proof of status as an eligible entity.

e.

Does the assignee or any party to the application have an attributable interest in an
NCE FM or NCE TV station received through the award of “diversity of
ownership” points in the point system analysis?
If “Yes,” the assignee certifies that (1) its attributable NCE FM or NCE TV station
has been on the air for at least four years; and/or (2) none of the proposed assigned
stations overlap the principal community contour of the NCE FM or NCE TV
station received through the award of diversity points in the point system analysis

(see 47 C.F.R. Section
73.7005(c)).

Yes
Yes

No

No
Yes

No

See Explanation
in Exhibit No.
See Explanation
in Exhibit No.

FCC Form 314-IBFS (Page 7)

f.

Does this assignment include a grandfathered cluster of stations?

Yes

No

All applicants: If "Yes", applicant certifies that it will come in compliance by
divesting the necessary station(s) within 12 months of the consummation of this
transaction to:
A.

An Eligible Entity (as defined in Item 6d, above).

Yes

No

B.

An Irrevocable Trust that will assign the station(s) to an Eligible Entity.

Yes

No

All applicants: If "Yes" to Item 6e A or B: Submit as an Exhibit a copy of
the form of irrevocable trust agreement providing for the assignment of the
station(s) to an Eligible Entity.

See Explanation
in Exhibit No.

FCC Form 314 (IBFS)(Page 7)

Character Issues. Assignee certifies that neither assignee nor any party to the application
has or has had any interest in, or connection with:
a.
any broadcast application in any proceeding where character issues were left
unresolved or were resolved adversely against the applicant or any party to the
application; or

7.

b.

Yes

No

See Explanation
in Exhibit No.

Yes

No

See Explanation
in Exhibit No.

Yes

No

See Explanation
in Exhibit No.

any pending broadcast application in which character issues have been raised.

8.

Adverse Findings. Assignee certifies that, with respect to the assignee and each party to
the application, no adverse finding has been made, nor has an adverse final action been
taken by any court or administrative body in a civil or criminal proceeding brought under
the provisions of any law related to any of the following: any felony; mass media-related
antitrust or unfair competition; fraudulent statements to another governmental unit; or
discrimination.

9.

Alien Ownership and Control. Assignee certifies that it complies with the provisions of
Section 310 of the Communications Act of 1934, as amended, relating to interests of aliens
and foreign governments.

10. Financial Qualifications. Assignee certifies that sufficient net liquid assets are on hand or
are available from committed sources to consummate the transaction and operate the
station(s) for three months.
11. Program Service Certification. Assignee certifies that it is cognizant of and will comply
with its obligations as a Commission licensee to present a program service responsive to
the issues of public concern facing the station's community of license and service area.
12. Auction Authorization. Assignee certifies that where less than five years have passed
since the issuance of the construction permit and the permit had been acquired in an
auction through the use of a bidding credit or other special measure, it would qualify for
such credit or other special measure.

Yes

No

Yes

No

Yes

No

See Explanation
in Exhibit No.

See Explanation
in Exhibit No.

N/A

13. Anti-Drug Abuse Act Certification. Assignee certifies that neither assignee nor any
party to the application is subject to denial of federal benefits pursuant to Section 5301 of
the Anti-Drug Abuse Act of 1988, 21 U.S.C. Section 862.

Yes

No

14. Equal Employment Opportunity (EEO). If the applicant proposes to employ five or
more full-time employees, applicant certifies that it is filing simultaneously with this
application a Model EEO Program Report on FCC Form 396-A.

Yes

No

N/A

I certify that the statements in this application are true, complete, and correct to the best of my knowledge and belief, and are made
in good faith. I acknowledge that all certifications and attached Exhibits are considered material representations. I hereby waive any
claim to the use of any particular frequency as against the regulatory power of the United States because of the previous use of the
same, whether by license or otherwise, and request an authorization in accordance with this application. (See Section 304 of the
Communications Act of 1934, as amended.)
Typed or Printed Name of Person Signing

Typed or Printed Title of Person Signing

Signature

Date

WILLFUL FALSE STATEMENTS ON THIS FORM ARE PUNISHABLE BY FINE AND/OR IMPRISONMENT (U.S.
CODE, TITLE 18, SECTION 1001), AND/OR REVOCATION OF ANY STATION LICENSE OR CONSTRUCTION
PERMIT (U.S. CODE, TITLE 47, SECTION 312(a)(1)), AND/OR FORFEITURE (U.S. CODE, TITLE 47, SECTION 503).

FCC Form 314-IBFS (Page 8)


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