FCC Form 316 (IBFS Application for Consent to Assign Broadcast Station Cons

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

Federal Communications Commission
Washington, D. C. 20554

INSTRUCTIONS FOR FCC 316-IBFS
APPLICATION FOR CONSENT TO ASSIGN
BROADCAST STATION CONSTRUCTION PERMIT OR
LICENSE OR TRANSFER OF CONTROL OF ENTITY HOLDING
BROADCAST STATION CONSTRUCTION PERMIT OR LICENSE
GENERAL INSTRUCTIONS

8.

A. This form is to be used when applying for FCC consent to:
(1) assign an AM, FM, TV, Low Power FM, FM or TV
Translator, or Low Power TV broadcast station construction
permit or license; or (2) transfer of control of an entity
holding a broadcast station construction permit or license
only where:

See 47 C.F.R. Section 73.3540. Section I, Item 4b requires
applicants to certify that the proposed transaction fits into
one of the listed categories.

1.

There is an assignment from an individual or
individuals (including partnerships) to a corporation
owned and controlled by such individuals or
partnerships without any substantial change in their
relative interests;

2.

There is an assignment from a corporation to its
individual stockholders without effecting any
substantial change in the proportion or disposition of
their interests;

3.

There is an assignment or transfer by which certain
stockholders retire, provided that the interest
transferred to the remaining stockholders is not a
controlling interest;

4.

There is a corporate reorganization which involves no
substantial change in the beneficial ownership of the
corporation;

5.

There is an assignment or transfer: (a) from a
corporation to a wholly owned subsidiary thereof; (b)
from a wholly owned subsidiary to the corporate
parent; (c) from one wholly owed subsidiary to another;
or (d) from one corporation to another corporation
owned or controlled by the assignor's/ transferor's
stockholders in substantially similar proportions;

6.

There is an assignment or transfer of less than a
controlling interest in a partnership;

7.

There is an involuntary assignment or transfer of a
controlling interest in a licensee/permittee to an
executor, administrator, or other court-appointed
individual caused by death or other legal disability; or

9.

There is an involuntary assignment or transfer of a
controlling interest in a licensee/permittee to a courtappointed federal trustee (in bankruptcy proceedings)
or receiver (in state court receivership proceedings).

For LPFM construction permits and licenses only, there
is a voluntary transfer of a controlling interest in the
licensee or permittee entity.

Note: This form does not cover assignments or transfers
from an executor/administrator or other court-appointed
officer to the ultimate beneficiary or assignments or
transfers from a trustee or receiver to an ultimate third-party
purchaser. Those transactions must be filed on either FCC
Form 314 or 315, as appropriate.
B. Generally, use of this form is prohibited if the previously
approved principals of the licensee/permittee will not retain
more than 50 percent of the station's voting rights or when
more than 50 percent of the station's voting rights is being
assigned or transferred, irrespective of whether or not the
recipient(s) are already holders of such stock. The
Commission reserves the right to require the parties to file
an application for consent to the proposed transaction on
FCC Forms 314 or 315 (or FCC Form 345 if an FM or TV
translator or low power television station is involved). For
additional information on the scope of applications that can
be filed on FCC Form 316, see Metromedia, Inc., 98 FCC
2d 300, reconsideration denied, 56 RR 2d 1198 (1984). For
LPFM stations, see Creation of a Low Power Radio
Service, Third Report and Order and Second Further Notice
of Proposed Rulemaking, FCC 07-204 (MM Docket No.
99-25)(rel. Dec. 11, 2007).
C. This form consists of the following sections:
I.

General Information (licensee/permittee and contact
representatives, if any)
II. Assignor/Transferor
III. Assignee/Transferee
D. 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.):

All previous editions obsolete.

FCC 316-IBFS Instructions
May 2017

by the Commission or review by any court.
(1)
(2)
(3)
(4)

Part 0
Part 1
Part 73
Part 74

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

J.

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.

K. This application is presented primarily in a "Yes/No"
certification format. However, it contains appropriate
places for submitting explanations and exhibits where
necessary. 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. Applicants must
submit an explanatory exhibit providing full particulars for
each "No" response. Thus, a "No" response to any of the
certification items will not cause the immediate dismissal of
the application provided that an appropriate exhibit is
submitted.

E. 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.
F.

Applicants that prepare this application in paper form
should file an original and two copies of this application
form and all exhibits. Applicants should follow the
procedures set forth in Part 0 and Part 73 of the
Commission's rules. Amendments to previously filed
applications should be prepared, signed, and filed in the
same manner as the original application.

L. In cases involving voluntary transfers and either multiple
transferors or transferees, the signature of each transferor
and/or transferee is required.
Voluntary assignment
applications require the signature of the assignor. See 47
C.F.R. Section 73.3513(a). Depending on the nature of the
applicant, the application should be signed as follows: for a
sole proprietor, personally; for a partnership, by a general
partner; for a corporation, by an officer; for 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. If the application is filed
electronically, the signature will consist of the electronic
equivalent of the typed name of the individual. See Report
and Order in MM Docket No. 98-43, 13 FCC Rcd 23056,
23064 (1998).

G. A copy of the completed application and all related
documents shall be made available for inspection by the
public in the Licensee/Permittee's public inspection file
pursuant to 47 C.F.R. Section 73.3526 for commercial
stations and Section 73.3527 for noncommercial
educational stations.
H. Applicants should provide all information called for by this
application. If any portion of the application is not
applicable, the applicant should so state. Defective or
incomplete applications will be returned without
consideration.
Inadvertently accepted applications are
also subject to dismissal. See 47 C.F.R. Section 73.3564(b)
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 and are designed
to increase the reliability of applicant certifications. These
instructions and worksheets track the standards and criteria
which the Commission applies to determine compliance.
They are not designed 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.

In cases involving involuntary assignments or transfers, the
application need not be signed by the assignor/transferor.
Rather, the court document appointing the estate
executor/administrator, trustee, receiver, or other may take
the place of assignor/transferor's signature in Section II. In
this case, the applicant must submit documentation
(enabling court order, letters testamentary, etc.) of its legal
capacity to execute the application as an exhibit, as required

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 significant changes in
the information furnished in this application.
This
requirement continues until the FCC action on this
application is no longer subject to reconsideration or review

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in Section II, Item 6.
When filing a fee-exempt application, an applicant must
complete Item 3 and provide an explanation as appropriate.
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. Section 0.401(a). Fee- exempt applications
should not be sent to the Mellon Bank Lockbox; so doing
will result in a delay in processing the application.

INSTRUCTIONS FOR SECTION I: GENERAL
INFORMATION
A. Item 1: Legal Name/Address. In Section I, applicants
should use only those state abbreviations approved by the
U.S. Postal Service.

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 316 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. Section 0.401(b). A listing of the fees required to
assign or transfer control of various types of broadcast
station construction permits and licenses and the addresses
to which FCC Form 316 should be mailed or otherwise
transmitted are also set forth in the "Media Services 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. Section
1.1104. The Fee Filing Guide also contains a list of the Fee
Type Codes needed to complete this application.

The name of the licensee/permittee must be stated in Item 1
exactly as it appears in the authorization to be assigned or
transferred.
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.

A separate fee payment must be submitted for each FCC
Form 316 filed. Where multiple station authorizations are
being assigned or transferred on one FCC Form 316, 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 316, 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.

B. Item 2: Contact Representative. If the licensee/permittee
has retained a representative (for example, legal counsel)
for purposes of prosecuting the FCC Form 316, that
person's name, firm or company name, mailing address,
telephone number, and e-mail address should be specified in
Section I, Item 2.
C. Item 3: Fees. The Commission is statutorily required to
collect charges for certain regulatory services to the public.
Generally, applicants seeking to assign licenses or permits
or seeking to transfer control of a licensee or permittee of
AM, FM, or TV broadcast stations are required to submit a
fee with the filing of FCC Form 316. Government entities,
however, are exempt from this fee requirement. Exempt
governmental 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 full-service noncommercial educational radio,
noncommercial educational TV and LPFM licensees and
permittees, provided that the station(s) being acquired will
continue to operate noncommercially. See 47 C.F.R.
Section 1.1114.

FCC Form 159 must be submitted with any application
subject to a fee received at the Commission.
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
stations in the same lockbox with a single payment
instrument, applicants must list each call sign as a separate
item on FCC Form 159 (Remittance Advice). If additional
entries are necessary, applicants should use FCC Form
159C (Continuation Sheet).
Procedures for payment of application fees when
applications are filed electronically will be announced by
subsequent Public Notice. See General Instructions E
above. Payment of application fees may also be made by

3

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.

INSTRUCTIONS FOR SECTION II -ASSIGNOR/TRANSFEROR
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.

Applicants hand-delivering FCC Forms 316 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
may be furnished and clearly marked as a "return copy."
The applicant may attach this copy to a stamped, selfaddressed envelope. Only one piece of paper per
application will be stamped for receipt purposes.

B. Item 2: Type of Application. FCC Form 316 may be
utilized for both assignments of license/permit and transfers
of control, so long as the proposed transaction meets any
one of the criteria set forth in General Instruction A above.
Each type of application, even in a pro forma matter for
which Form 316 is appropriate, requires a slightly different
staff analysis. For that reason, Item 2 of Section II requires
the assignor/transferor to specify whether the parties seek
consent to an assignment or transfer of control.

For further information regarding fees and payment
procedures, applicants should consult the "Media Services
Fee Filing Guide."
Item 4: Nature of Application. This application form may
be used for both voluntary and involuntary assignments and
transfers of control. Item 4a requests the applicant to
specify the precise nature of the transaction proposed. In
the case of an amendment to a pending application, this item
also requests the file number of the associated application.

C. Item 3: Legal Name/Address. The name of the assignor
or each transferor must be stated in Section II, Item 2: if the
assignor/transferor 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
assignor/transferor, the person's full legal name.

Additionally, Item 4b requires the applicant to certify that
FCC Form 316 is suitable for the proposed transaction. In
responding to this question, the applicant should review the
"General Instructions" set forth above. If the applicant is
not certain that Form 316 can be used, it should check the
box marked "No" and submit an exhibit explaining why it
believes Form 316 to be appropriate.

D. Item 4: Contact Representative. If the assignor/transferor
has retained a representative (for example, legal counsel)
for purposes of prosecuting the FCC Form 316, that
person's name, firm or company name, mailing address,
telephone number, and e-mail address should be specified in
Section II, Item 4.

Item 5: Auction Authorization. Under the Commission’s
competitive bidding licensing procedures, applicants
seeking to assign or transfer control of 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. Section 1.2111(a). Item 5 requires the applicant to
identify those authorizations that were obtained through
competitive bidding, and for which FCC consent to
assignment or transfer of control is sought in this
application.

E. Item 5: Authorizations to be Assigned/Transferred.
Unless specifically enumerated as excluded authorizations,
the authorizations for all subsidiary communications
services (SCA's), FM and TV booster stations, and auxiliary
service stations authorized under Subparts D, E, F, and H of
47 C.F.R. Part 74 will be included in the
assignment/transfer of the license 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.

The Commission’s auction rules also require an applicant
seeking approval of an assignment or transfer of control 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 or transfer of
control of its license or permit. See 47 C.F.R. Sections
1.2111(a), 73.5009.

4

Item 6: Agreements for Sale/Transfer of Station. All
applicants for voluntary assignment or transfer on FCC
Form 316 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 sale 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
public inspection 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 Item 6a.i and ii.

of federal benefits pursuant to the Anti-Drug Abuse Act of
1988, 21 U.S.C. Section 862. Applicants should review the
instructions for Section III, Item 11, of this form before
completing this item.

G. In Item 6a.iii, applicants for voluntary assignment or
transfer are asked to certify that the contracts/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 #1 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.

INSTRUCTIONS FOR SECTION III-ASSIGNEE/TRANSFEREE
A. Item 1: Certification. Assignees/transferees must review
the instructions for Section II, Item 1 before completing this
item.
B. Item 2: Legal Name/Address. The name of the assignee or
each transferee must be stated exactly in Section III, Item 2.
The name of the assignee/transferee shall be the exact
corporate name, if transferee is a corporation; if a
partnership, the name of all general partners and 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 the assignee or transferee(s) are individual applicants, the
full legal name of each person.

H. If the application is requesting approval of an involuntary
assignment or transfer, the applicant should check the box
marked "N/A" and respond to the certification in Item 6b.
I.

J.

All applicants for involuntary assignment or transfer on
FCC Form 316 are required by Item 6b to certify that the
court orders or other appropriate documents duly
authorizing it to file the instant application have been issued
and that certified copies of such court orders, Letters
Testamentary, Letters of Administration, or other
documents have been submitted with the application. A
certified copy of the document(s) must also be placed in the
subject station public inspection file(s) and retained 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 public inspection
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).

C. Item 3: Contact Representative. If the assignee/transferee
has retained a representative (for example, legal counsel)
for purposes of prosecuting the FCC Form 316, that
person's name, firm or company name, mailing address,
telephone number, and e-mail address should be specified in
Section III, Item 3.
D. Item 4: Agreements for Sale/Transfer of Station. This
question requires the assignee/transferee to certify that the
written agreement submitted to the Commission 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/transferee must undertake an
independent evaluation of the contract in order to make this
certification. Worksheet #1 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.

Items 7 and 8: Character Issues/Adverse Findings.
These questions require an evaluation of any unresolved
character issues involving the assignor/transferor or any of
its principals, as well as any relevant adverse findings by a
court or administrative body. Applicants should review
the instructions for Section III, Items 5, 8, and 9 of this
form before completing this item.

K. Item 9: Auction Authorization. This question asks the
assignor/transferor to certify that the proposed assignment
or transfer of control will comply with the “unjust
enrichment” provisions of the Commission’s competitive
bidding rules, 47 C.F.R. Section 73.5007(c).
Assignors/transferors must review the instructions for
Section III, Item 11 before completing this item. See
Policies to Promote Rural Radio Service and to
Streamline Allotment and Assignment Procedures, First
Report and Order and Further Notice of Proposed
Rulemaking, MB Docket No. 09-52, FCC 10-24, in which
the Commission established that the unjust enrichment
rule provisions should apply in the context of pro forma
assignment and transfer of control applications.

E. Item 5: Changes in interest as a result of
assignment/transfer. This item requires the applicant to
set forth, in tabular form, a listing of the names, addresses,
and citizenship of all parties to this application. This
includes all parties with attributable interests in the
station(s) to be assigned or transferred who are giving up
any portion of that interest, as well as any person who will
acquire an attributable interest in the station(s).
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

L. Item 10: Anti-Drug Abuse Act Certification. This
question requires the Assignor/Transferor to certify that
neither it nor any party to the application is subject to denial

5

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 5, 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, as revised
and explained in Review of the Commission's Regulations
Governing Attribution of Broadcast and Cable/MDS
Interests, FCC 99-207, released August 6, 1999. See also,
Report and Order in MM Docket No. 83-46, 97 FCC 2d
997 (1984), reconsideration granted in part, 58 RR 2d 604
(1985), further modified on reconsideration, 61 RR 2d 739
(1986).

the limited partner is not materially involved, directly or
indirectly, in the management or operation of the mediarelated activities of the partnership. Sufficient insulation of
a limited partner for purposes of this certification would be
assured if the limited partnership arrangement:
(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;

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 #2 entitled, "Investor
Insulation
and
Non-Party
Influence
over
Assignee/Transferee," the holder of such an interest may be
deemed a party to the application and, if so, must be listed
in the table in Section III, Item 5. In the event that the
Investor Insulation and Non-Party Influence over
Assignee/Transferee worksheet requires the submission of
an explanatory exhibit, the assignee/transferee must respond
"No" to Section III, Item 5b and complete this exhibit.

(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 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;

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,
aggregating both equity and debt, must exceed 33% 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 multiple ownership rules AND the
interest holder must either also hold an attributable interest
in a media outlet in the same market or supply over 15% 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. However, under the EDP standard, that
interest would be attributable if the limited partner's interest
exceeded 33% of the applicant's total asset value AND the
limited partner also held a 5% voting interest in a radio or
television station licensee in the same market.

(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.
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.

Additionally, "parties to the application" includes the
following with respect to each of the listed applicant
entities:

LIMITED LIABILITY COMPANY APPLICANT: The
Commission treats a LLC as a limited partnership, each of
whose members is considered to be a party to the
application. However, where a 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 a LLC member to insulate itself in

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

6

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 5b.

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.
F.

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
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 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 non-insulated,
regardless of the partnership interest, is considered a party
to the application.

For purposes of this question, "control" may be either
"positive" (in which case the person or entity will end up
with more than 50 percent of the voting rights in the
station(s)) or "negative" (in which case the person or entity
will have exactly 50 percent of the voting rights in the
station(s)).
If qualification for short-form treatment is not based on the
acquiring entity's prior approval on FCC Forms 301, 314, or
315, the applicant should mark the box labeled "N/A".
G. Items 8 and 9: Character Issues/Adverse Findings.
Section III, Item 8 requires the transferee 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. Item 9 inquires
whether the transferee or any party to the application has
been the subject of a final adverse finding with respect to
certain non-broadcast matters. In reviewing these questions,
applicants are advised that Commission character policies
and litigation reporting requirements for broadcast
applicants have been revised with a view to focusing on
misconduct which violates the Communications Act or a
Commission rule or policy and on certain specified nonFCC misconduct. In responding to Items 8 and 9, Section
III, applicants should review the Commission's character
qualification policies, which are fully set forth in Character
Qualifications, 102 FCC 2d 1179 (1985), reconsideration
denied, 1 FCC Rcd 421 (1986), as modified, 5 FCC Rcd
3252 (1990) and 7 FCC Rcd 6564 (1992).

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.
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 in
response to Section III, Item 5b 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:
(1) such entity exercises no influence or control over the
corporation, directly or indirectly; and
(2) such entity has no representatives among the officers
and directors of the corporation.
ANY OTHER APPLICANT:

Item 7: Acquisition of Control. This question addresses
the specific situation in which a single individual or entity,
which already has an attributable interest in the station(s)
involved in this transaction, seeks to acquire "control" of the
station(s). So long as not more than 50 percent of the
voting stock is changing hands in the proposed transaction,
see General Instruction B above, a single entity may acquire
control via FCC Form 316, provided that such person or
entity previously has been approved as an attributable
owner of the station(s) pursuant to a "long form" FCC Form
314 or 315 (FCC Form 345 if an FM or TV translator or
low power television station is involved); alternatively, the
person or entity seeking control in this application could
have been approved as a party to the original construction
permit application for the station(s) on FCC Form 301
(FCC Form 318 for Low Power FM Stations, FCC Form
346 for TV translator/low power TV stations or FCC Form
349 for FM translator stations). Section III, Item 7 asks the
assignee/transferee to list the file number and date of grant
of the application pursuant to which the Commission
approved such person's or entity's qualifications to own the
station(s).

Where the response to Item 8 is "No," the
assignee/transferee must submit an exhibit that includes an

Each executive officer,

7

two-prong analysis, one pertaining to voting interests and
the second to ownership interests. See, e.g., BBC License
Subsidiary L.P., 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
5. 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's voting interest in Corporation B was 60%,
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% alien indirect voting interest in the
licensee. If Partnership A held a 40% voting interest 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 their 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).

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/transferee should also fully explain the referenced
matter, setting forth the reasons why the matter is not an
impediment to a grant of this application.
In responding to Item 9, the assignee/transferee 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/transferee 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 9 is "No," the assignee/
transferee 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 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/transferee should also fully explain the
referenced matter, setting forth reasons why the matter is
not an impediment to a grant of this application.

Assignees/transferees in FCC Form 316 must also comply
with the separate alien equity ownership benchmark
restrictions of Section 310. Under the second prong of the
analysis, an assignee/transferee must determine the pro rata
equity holdings of any alien investor in a licensee entity or
its parent. In calculating equity alien ownership, the same
voting interest multiplier rules apply.

H. Item 10: Alien Ownership. 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, the
representative of an alien, a foreign government or a
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 Section
1.5000 et seq. of the Commission’s rules.

In order to complete this two-prong analysis, an
assignee/transferee must determine the citizenship of each
shareholder 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

Compliance with Section 310 is determined by means of a

8

on identifying and calculating foreign interests, see 2016
Foreign Ownership Order, paras. 44-72.

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.

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
CFR § 1.5004(b).
I.

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 Section III, Item 11
constitutes a certification that neither the assignee transferee
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; 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.

The competitive
Item 11: Auction Authorization.
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 ten-year 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. Section 73.5007(c). The amount of
this payment will be reduced over a five year period. 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. See 47 C.F.R. Section 73.5007(c).

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,
AMDPERM, Paperwork Reduction Project (3060-1290),
20554. Please DO NOT SEND
Washington, DC
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.
THE FOREGOING NOTICE IS REQUIRED BY THE
PAPERWORK REDUCTION ACT OF 1995, P.L. 10413, OCTOBER 1, 1995, 44 U.S.C. 3507.

In accordance with these provisions, Item 11 requires that
the assignee/transferee certify that either (1) more than
five years have passed since the assignor/transferor
received its authorization(s) via the competitive bidding
process; or (2) the proposed assignee/transferee meets the
eligibility criteria for the bidding credit.
If such
certification cannot be made, then the assignee/transferee
must answer “No” in Item 11 and tender the applicable
reimbursement payment to the United States Government.
See 47 C.F.R. Sections 73.5007, 73.5008. See also
Policies to Promote Rural Radio Service and to
Streamline Allotment and Assignment Procedures, First
Report and Order and Further Notice of Proposed
Rulemaking, MB Docket No. 09-52, FCC 10-24, in which
the Commission established that the unjust enrichment
rule provisions should apply in the context of pro forma
assignment and transfer of control applications.
J.

Item 12: Anti-Drug Abuse Act Certification. This
question requires the assignee/transferee to certify that

9

WORKSHEET #1

SALES CONTRACT EVALUATION WORKSHEET
This worksheet may be used by the assignor/transferor in responding to Section II, Item 6 of FCC Form 316; it may also be used by
the assignee/transferee in responding to Section III, Item 4. The applicants should review these questions with respect to all
contractual documents, agreements, and/or understandings between the assignor/transferor and the assignee/transferee.
A. SALES CONTRACT
I.

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/transferred?

Yes

No

(a)

Yes

No

Yes

No

Yes

No

Are there any unwritten agreements between the assignor/transferor and the assignee/transferee
which have not been referenced in the contract documents to be submitted with the
application?
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/transferor and the assignee/
transferee 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.

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

Yes

No

3.

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

Yes

No

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/transferee's complete control
of the station in an exhibit to the application.

FCC 316-IBFS Worksheet 1

B. TIME BROKERAGE/LOCAL MARKETING AGREEMENTS

This worksheet also may be used in connection with the certifications regarding the contract(s) between the assignor/transferor and
the assignee/transferee, Section II, Item 6 and Section III, Item 4. They are intended for use when the sales agreements between the
assignor/transferor and the assignee/transferee include a ''time brokerage agreement,'' ''local marketing agreement,'' or any other
document pursuant to which the assignee/transferee provides programming for the subject station(s) prior to Commission approval
of the proposed assignment.
1.

Do any agreements entered into by the assignor/transferor and the assignee/transferee contain a time
brokerage agreement or local marketing agreement pursuant to which the assignee/transferee will
provide programming to the station prior to Commission approval of the assignee/transferee's
acquisition of the station?

Yes

No

If ''Yes,'' has the assignor/transferor 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:
(a)

retain the right to reject/substitute programming 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

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

FCC 316-IBFS Worksheet 1 (Page 2)

WORKSHEET #2

INVESTOR INSULATION AND NON-PARTY INFLUENCE OVER ASSIGNEE/ TRANSFEREE
This section of the worksheet may be used in connection with Section III, Item 5, in which the assignee/transferee lists all parties that
either give up or acquire ownership interests in the station(s). It indicates the kinds of contractual relationships that, in the Commission's
view, may exceed the authority of a properly insulated investor or demonstrate some indicia of de facto control by a creditor such that the
investor or creditor would need to be listed in the table for Section III, Item 5. See e.g., Report and Order in MM Docket Nos. 94-150,
92-5 1, and 87-154, FCC 99-207, released August 6, 1999.
I. Investor Insulation
If an assignee/transferee 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 should 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

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

g.

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 conclude 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 316-IBFS Worksheet 2

II. Non-Party Influence Over Assignee/Transferee
A. Non-party investors, i.e., investors with non-attributable 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
non-attributable 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?

2.

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

3.

place any limitation on assignee/transferee programming discretion?

4.

give any non-party investor the right to vote on, approve or restrict assignee/transferee's actions on
any matter 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/transferee's actions on any matter relating to programming, personnel or
finances?

6.

give any non of the assignee/transferee?

7.

give any non-party investor that holds a non-voting convertible interest the right to convert such an
interest and acquire control of the assignee based on the assignee/transferee's actions relating to
programming, personnel and finances?

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/transferee partnership
or a member of the assignee/transferee's governing body?

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/transferee relating to programming, personnel or financing?

Yes

No

Yes

No

Yes

No

Yes

No

Yes

No

Yes

No

Yes

No

Yes

No

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 conclude 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/transferee ensured that such agreement:

1.

includes an unconditional promise by the assignee to pay on demand or on a specific date a sum
certain?

Yes

No

2.

contains a fixed or defined variable rate of interest on the loan?

Yes

No

3.

does not prohibit the redemption of the loan by the assignee, or pen-nit redemption at the option
of the lender only?

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/transferee for

each loan agreement.

FCC 316-IBFS Worksheet 2 (Page 2)

Federal Communications Commission
Washington, D. C. 20554

Approved by OMB
3060-1290

FOR
FCC
USE
ONLY

FCC 316-IBFS
APPLICATION FOR CONSENT TO ASSIGN
BROADCAST STATION CONSTRUCTION
PERMIT OR LICENSE OR TO TRANSFER
CONTROL OF ENTITY HOLDING
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/Permitee)

ZIP Code

Facility ID Number

Firm or Company Name

Mailing Address

3.

City

State or Country (if foreign address)

Telephone Number (include area code)

E-Mail Address (if available)

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

4.

ZIP Code

a.

Other

Noncommercial Educational
Licensee/Permittee

Voluntary Assignment or Transfer of
Control

Involuntary Assignment or Transfer of
Control

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.
b.

5.

Applicant certifies that the use of FCC Form 316 is appropriate for this transaction.

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)?
If yes, list pertinent authorizations in an Exhibit.

Exhibit No.

Yes

No

Yes

See Explanation
in Exhibit No.

No

Exhibit No.

FCC Form 316-IBFS

NOTE: In addition to the information called for in this section, an explanatory exhibit providing full particulars must be
submitted for each question for which a ''No'' response is provided.
Section II - Assignor/Transferor
1.

Certification. Assignor/Transferor certifies that it has answered each question in this
application based on its review of the application instructions and worksheets. Assignor/
Transferor 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.

Application for (check one):

3.

Consent to Assign
Construction Permit/License

Yes

No

Consent to Transfer Control of
Permittee/Licensee

Legal Name of the Assignor/Transferor

Mailing Address
City

State or Country (if foreign address)

FCC Registration Number

4.

Telephone Number (include area code)

Contact Representative (if other than Assignor/Transferor)

ZIP Code

E-Mail Address (if available)

Firm or Company Name

Mailing Address
City

State or Country (if foreign address)

Telephone Number (include area code)

E-Mail Address (if available)

If more than one Transferor, submit the information requested in Questions 3 and 4 for
each transferor.
5.

ZIP Code

Exhibit No.

Authorizations
to
permits to be assigned/transferred. 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/transferred. 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 Facility
ID Number
ID Number

FCC Form 316-IBFS (Page 2)

CallCall
SignSign

or Construction
Permit File
Number
or
Construction
Permit
File Number

be

CityCity

State
State

6.

Agreements for Sale/Transfer of Station.
a. If the transaction is voluntary, Assignor/Transferor certifies that:
it has placed in licensee's/perrnittee's public inspection file(s) and submitted
to the commission as an Exhibit to this application copies of all agreements
for the assignment/transfer of the station(s);
ii.
these documents embody the complete and final understanding between
assignor/transferor and assignee/transferee; and
iii.
these agreements comply fully with the commission's rules and
policies.
b. if the transaction is involuntary, the Assignor/Transferor certifies that court orders or
other authorizing documents have been issued and that it has placed in the licensee's/
permittee's public inspection file(s) and submitted to the Commission copies of such
court orders or other authorizing documents.
i.

7.

Character issues. Assignor/Transferor certifies that neither licensee/permittee nor any party
to the application has or has had any interest in, or connection with:

No

See Explanation
in ExhibitNo

No

See Explanation
in Exhibit No.

Yes

No

See Explanation
in Exhibit No.

Yes
N/A
Exhibit No.

Yes
N/A

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.
8.

Adverse Findings.
Assignor/Transferor certifies that, with respect to the
assignor/transferor and each party to the application, no adverse finding has been made,
nor has 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.

9.

Auction Authorization. Assignor/transferor 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.

Yes

No

See Explanation
in Exhibit No.

10.

Anti-Drug Abuse Act Certification. Assignor/Transferor 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.

N/A

Yes

No

I certify that the statements in this application are true, complete, and correct to the best of my knowledge and belief, and are rnade 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 316-IBFS (Page 3)

NOTE: In addition to the information called for in this section, an explanatory exhibit providing full particulars must be
submitted for each question for which a ''No'' response is provided.
Section III - Assignee/Transferee
1.

2.

Certification. Assignee/Transferee certifies that it has answered each question in this
application based on its review of the application instructions and worksheets.
Assignee/Transferee 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.

Yes

No

Legal Name of the Assignor/Transferor

Mailing Address
City

State or Country (if foreign address)

FCC Registration Number

3.

E-Mail Address (if available)

Telephone Number (include area code)

Contact Representative (if other than Assignor/Transferor)

ZIP Code

Firm or Company Name

Mailing Address
City

State or Country (if foreign address)

Telephone Number (include area code)

E-Mail Address (if available)

Exhibit No.

If more than one Transferee, submit the information requested in Questions 2 and 3 for
each transferee.
4.

ZIP Code

Agreements for Sale/ Transfer of Station. Assignee/Transferee certifies that:

Yes

No

a. the written agreements in the licensee's/permittee's public inspection file embody the
complete and final agreement for the sale or transfer of the station(s); and
b. these agreements comply fully with the Commission's rules and policies.
5.

Changes in interests as a result of assignment/transfer.

a.

NAMES AND ADDRESSES
OF ANY PARTY TO
APPLICATION HOLDING AN
ATTRIBUTABLE INTEREST

INTEREST HELD
CITIZENSHIP

BEFORE TRANSFER OR ASSIGNMENT
(1) Percentage Vote

(2) Percentage
Total Assets
(Equity plus Debt)

b. Applicant certifies that equity and financial interests not set forth above are nonattributable.

AFTER TRANSFER OR ASSIGNMENT
(2) Percentage
Total Assets
(Equity plus Debt)

(1) Percentage vote

Yes
N/A

FCC Form 316 (Page 4)

See Explanation
in Exhibit No.

No

Exhibit No.

6.

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

Exhibit No.

N/A

7.

Acquisition of Control. List the file number and date of grant of FCC Form 301, 314, or
315 application by which the commission approved the qualifications of the individual or
entity with a pre-existing interest in the licensee/pennittee that is now acquiring control of
the licensee/permittee as a result of the grant of this application.

Exhibit No.

N/A

8.

Character Issues. Assignee/Transferee certifies that neither assignee/transferee 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
any pending broadcast application in which character issues have been raised.
b.

9.

Adverse Findings. Assignee/Transferee certifies that, with respect to the
assignee/transferee 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.

10.

Alien Ownership and Control. Assignee/Transferee 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.

11.

Auction Authorization. Assignee/transferee 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.

12.

Anti-Drug Abuse Act Certification. Assignee/Transferee certifies that neither
assignee/transferee 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

See Explanation
in Exhibit No.

Yes

No

See Explanation
in Exhibit No

Yes

No

See Explanation
in Exhibit No.

Yes

No

See Explanation
in Exhibit No.

N/A

Yes

No

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 316-IBFS (Page 5)