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DA 26-798

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DA 26-798
Released: July 31, 2026
AUCTION OF FM BROADCAST CONSTRUCTION PERMITS SCHEDULED FOR
FEBRUARY 2, 2027
NOTICE AND FILING REQUIREMENTS, MINIMUM OPENING BIDS, UPFRONT
PAYMENTS, AND OTHER PROCEDURES FOR AUCTION 114
AU Docket No. 26-105
TABLE OF CONTENTS
Heading
I.

Paragraph #

GENERAL INFORMATION .................................................................................................................1
A. Introduction.......................................................................................................................................1
B. Background and Relevant Authority ................................................................................................3
C. Construction Permits Offered in Auction 114 ..................................................................................6
D. Auction Specifics ............................................................................................................................19
1. Auction Title and Start Date.....................................................................................................19
2. Auction Dates and Deadlines ...................................................................................................21
3. Auction Delay, Suspension, or Cancellation............................................................................22
4. Requirements for Participation.................................................................................................23
E. Educational Materials .....................................................................................................................24
II. PRE-BIDDING ACTIVITIES AND CONSIDERATIONS .................................................................28
A. Due Diligence .................................................................................................................................28
B. Environmental Review Requirements ............................................................................................33
C. Short-Form Applications Due Prior to 6:00 p.m. ET on September 30, 2026 ...............................34
D. Application Processing and Minor Modifications ..........................................................................37
1. Public Notice of Applicant’s Initial Application Status and Opportunity for Minor
Modifications............................................................................................................................37
2. Public Notice of Applicant’s Final Application Status ............................................................40
E. Upfront Payments ...........................................................................................................................41
1. Making Upfront Payments by Wire Transfer...........................................................................42
2. Completing and Submitting FCC Form 159 ............................................................................48
3. Upfront Payments and Bidding Eligibility ...............................................................................50
F. Auction Registration .......................................................................................................................55
G. Remote Electronic Bidding via the Bidding System ......................................................................58
H. Mock Auction .................................................................................................................................62
I. Fraud Alert ......................................................................................................................................63
III. SHORT-FORM APPLICATION CONTENTS AND CERTIFICATIONS .........................................66
A. General Information Regarding Short-Form Applications .............................................................66
B. Certification of Notice of Auction 114 Requirements and Procedures ..........................................77
C. Authorized Bidders .........................................................................................................................82
D. Permit Selection ..............................................................................................................................84

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DA 26-798

E. Disclosure of Agreements and Bidding Arrangements...................................................................85
F. Ownership Disclosure Requirements..............................................................................................91
G. Foreign Ownership Disclosure Requirements ................................................................................92
H. New Entrant Bidding Credit ...........................................................................................................94
1. Application Requirements ......................................................................................................103
2. Unjust Enrichment..................................................................................................................104
I. Provisions Regarding Former and Current Defaulters..................................................................105
J. Noncommercial Educational Status Election................................................................................110
K. Modifications to FCC Form 175...................................................................................................111
1. Duty to Maintain Accuracy and Completeness of FCC Form 175 ........................................111
2. Modifying an FCC Form 175 .................................................................................................112
IV. INFORMATION PROCEDURES AND PROHIBITED COMMUNICATIONS..............................119
A. Information Procedures During the Auction Process ...................................................................119
B. Prohibited Communications and Compliance with Antitrust Laws .............................................126
1. Entities Subject to Section 1.2105(c) .....................................................................................127
2. Prohibition Applies Until Down Payment Deadline ..............................................................128
3. Scope of Prohibition on Certain Communications; Prohibition on Joint Bidding
Agreements.............................................................................................................................129
4. Communicating with Third Parties ........................................................................................138
5. Section 1.2105(c) Certifications.............................................................................................142
6. Duty to Report Prohibited Communications ..........................................................................143
7. Procedures for Reporting Prohibited Communications..........................................................144
8. Additional Information Concerning Prohibition on Certain Communications in
Commission Auctions ............................................................................................................147
9. Antitrust Laws ........................................................................................................................148
V. BIDDING ............................................................................................................................................150
A. Auction Structure ..........................................................................................................................150
1. Simultaneous Multiple-Round Auction..................................................................................150
2. FCC Auction Bidding System ................................................................................................151
3. Availability of Bidding Information.......................................................................................154
4. Round Structure......................................................................................................................157
5. Eligibility and Activity Rules.................................................................................................159
6. Activity Rule Waivers ............................................................................................................162
7. Auction Stopping Rule ...........................................................................................................166
8. Auction Delay, Suspension, or Cancellation..........................................................................168
B. Bidding Procedures .......................................................................................................................170
1. Minimum Opening Bids and Acceptable Bid Amounts.........................................................170
2. Provisionally Winning Bids ...................................................................................................179
3. Bid Removal...........................................................................................................................182
4. Bidding Results ......................................................................................................................183
5. Auction Announcements ........................................................................................................184
VI. POST-AUCTION PROCEDURES .....................................................................................................185
A. Down Payments ............................................................................................................................186
B. Final Payments..............................................................................................................................187
C. Long-Form Applications...............................................................................................................188
D. Default and Disqualification .........................................................................................................190
E. Refund of Remaining Upfront Payment Balance .........................................................................193
VII.PROCEDURAL MATTERS...............................................................................................................195
A. Paperwork Reduction Act .............................................................................................................195
B. Congressional Review Act............................................................................................................196
C. Final Regulatory Flexibility Analysis ...........................................................................................197
VIII.CONTACT INFORMATION ............................................................................................................216
ATTACHMENT A: Auction 114 Construction Permits
2

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DA 26-798

GENERAL INFORMATION
A.

Introduction

1.
By this Public Notice, the Office of Economics and Analytics (OEA) and the Media
Bureau (MB) establish the procedures and minimum opening bid amounts to be used for Auction 114, an
auction of FM broadcast construction permits.
2.
Bidding in this auction is scheduled to start on February 2, 2027. Auction 114 will be
conducted using a simultaneous multiple-round auction format. This Public Notice provides details of the
procedures, terms, conditions, dates, and deadlines governing participation in Auction 114 bidding, as
well as an overview of the post-auction application and payment processes.
B.

Background and Relevant Authority

3.
On May 11, 2026, we released a public notice seeking comment on competitive bidding
procedures and minimum opening bid amounts to be used in Auction 114.1 Three parties filed comments
to the Auction 114 Comment Public Notice.2 In this Public Notice, we resolve all open issues raised in the
Auction 114 Comment Public Notice. Auction 114 will proceed pursuant to the procedures described in
this Public Notice, which have been adopted in accordance with section 309(j)(3) of the Communications
Act of 1934, as amended (the Act).3
4.
Other Commission rules and decisions provide the underlying authority for the
procedures we adopt today for Auction 114. Auction 114 applicants must familiarize themselves
thoroughly with the Commission’s general competitive bidding rules,4 including Commission decisions in
proceedings regarding competitive bidding procedures, application requirements, and obligations of
Commission licensees.5 Potential applicants should also familiarize themselves with the Commission’s
FM broadcast service and competitive bidding requirements contained in part 73 of the Commission’s
rules,6 as well as Commission orders concerning competitive bidding for broadcast construction permits.7
1 Auction of FM Broadcast Construction Permits Scheduled for February 2, 2027; Comment Sought on Competitive

Bidding Procedures for Auction 114, AU Docket No. 26-105, Public Notice, DA 26-444 (OEA/MB May 11, 2026)
(Auction 114 Comment Public Notice).
2 Those comments are available in AU Docket No. 26-105 in the Commission’s Electronic Comment Filing System

(ECFS). The ECFS home page is publicly accessible at www.fcc.gov/ecfs.
3 47 U.S.C. § 309(j)(3)(E)(i) (requirement to seek comment on proposed auction procedures); see also id.

§ 309(j)(4)(F) (authorization to prescribe reserve price or minimum bid); 47 CFR § 1.2104(c)–(d).
4 47 CFR pt. 1, subpart Q.
5 See, e.g., Updating Part 1 Competitive Bidding Rules et al., WT Docket No. 14-170 et al., Report and Order; Order

on Reconsideration of the First Report and Order; Third Order on Reconsideration of the Second Report and Order;
Third Report and Order, 30 FCC Rcd 7493 (2015) (Updating Part 1 Report and Order) (modified by Erratum, 30
FCC Rcd 8518 (2015)); Amendment of Part 1 of the Commission's Rules – Competitive Bidding Procedures, WT
Docket No. 97-82, Order, Memorandum Opinion and Order and Notice of Proposed Rule Making, 12 FCC Rcd
5686 (1997) (Auction Procedures Consolidation Order & NPRM); Order on Reconsideration of the Third Report
and Order, Fifth Report and Order, and Fourth Further Notice of Proposed Rule Making, 15 FCC Rcd 15293 (2000)
(Part 1 Fifth Report and Order) (modified by Erratum, 15 FCC Rcd 21520 (2000)); Seventh Report and Order, 16
FCC Rcd 17546 (2001) (Part 1 Seventh Report and Order); Eighth Report and Order, 17 FCC Rcd 2962 (2002)
(Part 1 Eighth Report and Order); Second Order on Reconsideration of the Third Report and Order and Order on
Reconsideration of the Fifth Report and Order, 18 FCC Rcd 10180 (2003) (First Reconsideration of Fifth Report
and Order); Second Order on Reconsideration of the Fifth Report and Order, 20 FCC Rcd 1942 (2005) (Second
Reconsideration of Fifth Report and Order).
6 47 CFR §§ 73.201–73.333, 73.501–73.599, 73.1001–73.3999, 73.5000–73.5009.
7 See, e.g., Implementation of Section 309(j) of the Communications Act – Competitive Bidding for Commercial

Broadcast and Instructional Television Fixed Service Licenses et al., MM Docket No. 97-234 et al., First Report and
(continued….)

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DA 26-798

Applicants must also be thoroughly familiar with the procedures, terms, and conditions contained in this
Public Notice and any future public notices that may be released in this proceeding.
5.
The terms contained in the Commission’s rules, relevant orders, and public notices are
not negotiable. The Commission may amend or supplement the information contained in its public
notices at any time and will issue public notices to convey any new or supplemental information to
applicants. It is the responsibility of all applicants to remain current with all Commission rules and with
all public notices pertaining to this auction.8
C.

Construction Permits Offered in Auction 114

6.
Auction 114 will offer 132 construction permits in the FM broadcast service, which are
listed in Attachment A to this Public Notice. The construction permits to be auctioned are for 132 new
FM allotments, including 33 construction permits that were offered but not sold in prior auctions.9 These
construction permits are for vacant FM allotments reflecting FM channels added to the Table of FM
Allotments, pursuant to the Commission’s established rulemaking procedures, and assigned at the
indicated communities.10
7.
Pursuant to the policies established in the Broadcast Competitive Bidding Order, an
applicant seeking to participate in Auction 114 may select on its short-form application (FCC Form 175)
any FM construction permit listed in Attachment A.11 An applicant may submit a set of preferred site
coordinates as an alternative to the reference coordinates for the vacant FM allotment upon which the
applicant intends to bid.12 Detailed instructions for specifying preferred site coordinates in an FCC Form
175 for a specific FM allotment are provided in the Auction 114 FCC Form 175 Filing Instructions.13
Consistent with our approach in previous broadcast service auctions, when two or more short-form
applications are submitted specifying the same FM allotment in Auction 114, mutual exclusivity exists for
auction purposes, and that construction permit must be awarded by competitive bidding procedures.14
Once mutual exclusivity exists for auction purposes, even if only one applicant is qualified to bid for a
(Continued from previous page)
Order, 13 FCC Rcd 15920 (1998) (Broadcast Competitive Bidding Order), on recon., Memorandum Opinion and
Order, 14 FCC Rcd 8724 (1999) (Broadcast First Reconsideration Order), on further recon., Memorandum Opinion
and Order, 14 FCC Rcd 12541 (1999), aff'd, Orion Commc’ns Ltd. v. FCC, 221 F.3d 196 (D.C. Cir. 2000), aff'd,
Orion Commc’ns Ltd. v. FCC, 213 F.3d 761 (D.C. Cir. 2000).
8 Copies of most auctions-related Commission documents, including public notices, can be retrieved from the

Commission’s FCC Auctions website at www.fcc.gov/auctions. Additionally, documents are available at the
Commission’s headquarters during normal business hours when the building is open to the public. Contact Auctions
Division staff at [email protected] or (202) 418-0660 for guidance.
9 Those previously-offered permits, and the auctions in which they were offered, are identified in Attachment A.
10 47 CFR § 73.202(b).

Additionally, MB has frozen all changes to the Table of FM Allotments, 47 CFR § 73.202,
that would affect any of the vacant allotments scheduled for Auction 114. See Auction 114 Freeze Announced for
Certain FM Applications and Rulemaking Filings, AU Docket No. 26-105, Public Notice, DA 26-445 (MB May 11,
2026) (Auction 114 Rulemaking Freeze Public Notice).
11 See Broadcast Competitive Bidding Order, 13 FCC Rcd at 15974, para. 142.
12 See id. at 15974–75, para. 142 & n.152–53.
13 Concurrent with the release of the Public Notice, we will make publicly available detailed instructions for

submitting an FCC Form 175 for Auction 114 (Auction 114 FCC Form 175 Instructions) in the Education section on
the Auction 114 website at www.fcc.gov/auction/114.
14 47 U.S.C. § 309(j); see Broadcast Competitive Bidding Order, 13 FCC Rcd at 15974, 15978-80, paras. 142, 149-

53; see also Implementation of Section 309(j) of the Communications Act – Competitive Bidding, PP Docket No. 93253, Second Report and Order, 9 FCC Rcd 2348, 2376, para. 165 (1994) (Competitive Bidding Second Report and
Order).

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DA 26-798

particular construction permit, that applicant is required to submit a bid in order to obtain the construction
permit.
8.
We note that Attachment A to this Public Notice reflects a change to the allotment
coordinates for MM-FM1193-C3, Battlement Mesa, Colorado, Channel 275C3, from those that were
listed in Attachment A to the Auction 114 Comment Public Notice. MB staff granted station KSPN-FM’s
(Facility ID No. 43884, Aspen, Colorado) minor modification application on May 29, 2026.15 The
application was short-spaced to the Battlement Mesa, Colorado vacant allotment (as previously listed),
and thus, KSPN-FM proposed a change in the vacant allotment coordinates in order to be fully spaced.
KSPN-FM’s application was filed on May 8, 2026, before the release of the Auction 114 Rulemaking
Freeze Public Notice. The new Battlement Mesa, Colorado, allotment coordinates—39 degrees 27
minutes 18 seconds North Latitude, 107 degrees 59 minutes 0 seconds West Longitude—are listed in
Attachment A to this Public Notice.
9.
In response to the Auction 114 Comment Public Notice, three commenters—SSR
Communications (SSR), Tracy K. Wood (Mr. Wood), and William Erickson (Mr. Erickson)—request
that additional construction permits be added to the inventory for Auction 114.
10.
Enterprise, Utah Allotment: SSR requests that the Commission include the newly
allotted FM Channel 265C3 at Enterprise, Utah (Enterprise), stating that the inclusion would serve the
public interest.16
11.
We decline to add the Enterprise allotment to the Auction 114 inventory. The Report and
Order granting allocation of this channel became effective on June 8, 2026.17 Therefore, the Enterprise
allotment was not yet effective when staff compiled the inventory, nor was it effective when we released
the Auction 114 Comment Public Notice on May 11, 2026. 18 We anticipate that it will be included in the
inventory of a future auction of FM broadcast permits.
12.
Other Vacant Allotments: SSR also requests that additional allotments listed in two
Various Location Orders from 2023 and 2024 be added to the Auction 114 inventory.19
13.
We decline to add any additional allotments from SSR’s referenced Various Location
Orders. The list of vacant allotments is constantly changing based on an ongoing process of allotment
“drop-in” rulemakings and license cancellation and allotment reinstatement proceedings. Due to practical
and technical limitations, including staff resources, we are unable to offer every vacant FM channel
designated in the Table of FM Allotments each time an auction of FM construction permits is
announced.20 MB staff assess a variety of factors in compiling the auction inventory. For example, to the
extent possible, we attempt to include allotments in a variety of states and thus avoid an auction inventory

15 Broadcast Actions, Public Notice, Report No. PN-2-260602-02 (MB June 2, 2026).
16 SSR Communications, Inc. Comments at 1 (SSR Comments).
17 Amendment of Section 73.202(b), Table of Allotments, FM Broadcast Stations (Enterprise, Utah), et al,

MB Docket No 25-243, Report and Order, DA 26-395 (MB Apr. 23, 2026). The Report and Order was published in
Federal Register on April 30, 2026, 91 Fed. Reg. 23172 (Apr. 30, 2026).
18 In preparing an auction inventory, we do not include an FM allotment if it is not yet effective.

See Auction of FM
Broadcast Construction Permits Scheduled for July 27, 2021; Notice and Filing Requirements, Minimum Opening
Bids, Upfront Payments, and Other Procedures for Auction 109, Public Notice, 36 FCC Rcd 6424, 6427, para. 9
(2021) (Auction 109 Procedures Public Notice).
19 SSR Comments at 3.

See Amendment of Section 73.202(b), Table of Allotments, FM Broadcast Stations (Various
Locations), 38 FCC Rcd 1106 (MB 2023) and Amendment of Section 73.202(b), Table of Allotments, FM Broadcast
Stations (Various Locations), 39 FCC Rcd 2296 (MB 2024).
20 See Auction 109 Procedures Public Notice, 36 FCC Rcd at 6427-28, paras. 9-10.

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DA 26-798

that is unevenly concentrated in the same geographic location.21 We anticipate that the additional vacant
allotments that SSR requested will be included in an upcoming auction of FM broadcast permits.
14.
Lindsay, California and Independence, Oregon Allotments: Mr. Wood requests that the
Auction 114 construction permit inventory include FM allotments at Lindsay, California, Channel 277B1
(Lindsay), and Independence, Oregon, Channel 274C0 (Independence).22
15.
We decline to add these two FM allotments to the Auction 114 inventory. These two
allotments were not initially included in the Auction 114 inventory because they each had engineering
defects, and thus were not rule-compliant when staff was compiling the inventory.23 These technical
issues precluded reinstating the respective channels to the Table of FM Allotments, which in turn,
precluded the vacant channels from being included in the auction inventory.24 We anticipate that they
will be included in the inventory in an upcoming auction of FM broadcast permits.
16.
Whitehall, Michigan Allotment: Mr. Erickson argues that the Whitehall, Michigan,
Channel 248A (Whitehall) FM allotment should be added to the Auction 114 inventory list because
Whitehall lacks any other service.25 Mr. Erickson also asserts that the Commission should include all
vacant FM frequencies.26
17.
The Whitehall allotment is not ripe to be included in the Auction 114 inventory.27 After
an authorization has been surrendered or cancelled, the channel must be reinstated to the Table of FM
Allotments.28 MB staff’s engineering review indicates that the now-vacant Whitehall FM allotment
requires a channel change in order to achieve a fully spaced, rule-compliant site. A Report and Order that
effects this channel change has not yet been released.29 Accordingly, we decline to add Whitehall to the
Auction 114 inventory. It may be included in an upcoming FM auction, provided that the requisite
rulemaking proceeding is final and the allotment has been reinstated.
18.
For the reasons described above, we conclude that it is not in the public interest to
include additional allotments in the inventory for this auction and therefore decline to add all vacant
allotments in response to SSR’s request.

21 See 47 U.S.C. § 307(b) (instructing the Commission to distribute broadcast licenses “among the several States and

communities as provide a fair, efficient, and equitable distribution of radio service to each of the same”).
22 Tracy K. Wood Comments at 1-2 (Wood Comments).
23 At the time vacant FM channels were being evaluated for Auction 114, Lindsay did not comply with section

73.315 city-grade coverage requirements. Similarly, Independence was not included because it was short-spaced to
station KKCW-FM and did not comply with section 73.207.
24 See Auction of FM Broadcast Construction Permits Scheduled for April 28, 2020; Notice and Filing

Requirements, Minimum Opening Bids, Upfront Payments, and Other Procedures for Auction 106, 34 FCC Rcd
11993, 11996, para. 4 (OEA/MB 2019) (Auction 106 Procedures Public Notice).
25 William Erickson Comments at 1-4.

The allotment was formerly occupied by FM station WLAW-FM, which
surrendered the license for cancellation, along with companion AM station WLAW and FM translator station
W256DM, in March 2026.
26 Id. at 2-3.

In this regard, Mr. Erickson claims that he has identified 23 such vacant FM allotments that were not
included in the Auction 114 inventory list, and they should be made available for bidding in Auction 114. Mr.
Erickson states that when licensed facilities are permanently deleted, “any unnecessary administrative delay in
returning those frequencies to the public interest” runs counter to the Commission’s statutory obligation. Id. at 3.
27 See Auction 106 Procedures Public Notice, 34 FCC Rcd at 11996, para. 4.
28 Id.
29 47 CFR § 73.207.

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Auction Specifics
1.

Auction Title and Start Date

19.
The auction of FM broadcast construction permits is referred to as “Auction 114.”
Bidding in Auction 114 will begin on February 2, 2027. Pre-bidding dates and deadlines are listed
below.
20.
The initial schedule for bidding rounds in Auction 114 will be announced by public
notice at least one week before the bidding begins. Unless otherwise announced, bidding on all
construction permits will be conducted on each business day until bidding has stopped on all construction
permits.
2.
21.

Auction Dates and Deadlines

The following dates and deadlines apply to Auction 114:

Auction Application Tutorial Available (via Internet)......by August 21, 2026
Short-Form Application (FCC Form 175)
Filing Window Opens .................................................September 14, 2026, 12:00 p.m. Eastern Time (ET)
Short-Form Application (FCC Form 175)
Filing Deadline............................................................September 30, 2026, 6:00 p.m. ET
Upfront Payments (via wire transfer) .........................December 3, 2026, 6:00 p.m. ET
Bidding Tutorial Available (via Internet) ...................No later than January 6, 2027
Mock Auction .............................................................January 29, 2027
Auction Bidding Begins..............................................February 2, 2027
3.

Auction Delay, Suspension, or Cancellation

22.
We adopt our proposal that at any time before or during the bidding process, we may
delay, suspend, or cancel bidding in Auction 114 in the event of a natural disaster, technical obstacle,
network interruption, administrative or weather necessity, evidence of an auction security breach or
unlawful bidding activity, or for any other reason that affects the fair and efficient conduct of competitive
bidding.30 This approach has proven effective in resolving exigent circumstances in previous auctions,
and we find no reason to depart from it here. We will notify participants of any such delay, suspension,
or cancellation by public notice and/or through the announcement function in the FCC Auction Bidding
System (bidding system). If the bidding is delayed or suspended, we may, in our sole discretion, elect to
resume the auction starting from the beginning of the current round or from some previous round, or
cancel the auction in its entirety.31 We emphasize that we will exercise the authority to delay, suspend, or
cancel bidding in Auction 114 solely at our own discretion.
4.
23.

Requirements for Participation

Those wishing to participate in Auction 114 must:

•

Submit a short-form application (FCC Form 175) electronically prior to 6:00 p.m. ET on
September 30, 2026, following the filing procedures and other instructions set forth in this Public
Notice and the Auction 114 FCC Form 175 Instructions;

•

Submit a sufficient upfront payment and an FCC Remittance Advice Form (FCC Form 159) by
6:00 p.m. ET on December 3, 2026, following the procedures and instructions set forth in this
Public Notice;32 and

30 See 47 CFR § 1.2104(i); Auction 114 Comment Public Notice at 6, para. 15.
31 Auction 114 Comment Public Notice at 6, para. 15; see also 47 CFR §§ 0.271, 0.21(m).

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•

DA 26-798

Comply with all provisions outlined in this Public Notice and applicable Commission rules.
E.

Educational Materials

24.
Before the opening of the short-form filing window for Auction 114, detailed educational
information will be provided to potential participants in various formats on the Auction 114 website.
Specifically, we will provide educational materials on the pre-bidding processes in advance of the
opening of the short-form application window, beginning with the Auction 114 FCC Form 175
Instructions, which will be posted at the same time as this public notice. These materials will be available
in the Education section on the Auction 114 website at www.fcc.gov/auction/114. In addition, we will
provide an online application procedures tutorial for the auction, covering information on pre-bidding
preparation, completing short-form applications, and the application review process.
25.
For the first time in a broadcast auction, applicants will use the Commission’s Auction
Application System (AAS) to file applications to participate in Auction 114. Applicants should carefully
review both the Auction 114 application tutorial and the Auction 114 FCC Form 175 Instructions, paying
close attention to any departures from previous application processes as a result of the use of the AAS for
Auction 114.33
26.
Additionally, in advance of the start of the mock auction, we will provide educational
materials on the bidding procedures for Auction 114, including a user guide for the bidding system and an
online bidding procedures tutorial. These materials will provide detailed information on bidding features
specific to the simultaneous multiple-round auction format. Accordingly, the educational materials will
be released as soon as reasonably possible in order to provide qualified bidders with time to review them
and ask questions of Commission staff before bidding begins.
27.
We believe that parties interested in participating in Auction 114 will find the interactive,
online tutorials an efficient and effective way to further their understanding of the application and bidding
processes. The online tutorials will allow viewers to navigate the presentation outline, review written
notes, and listen to audio of the notes. Additional features of these web-based tools include links to
auction-specific Commission releases, email links for contacting Commission staff, and screen shots of
the online auction application and bidding systems. The online tutorials will be accessible in the
Education section on the Auction 114 website at www.fcc.gov/auction/114. Once posted, the tutorials
will remain continuously accessible.
II.

PRE-BIDDING ACTIVITIES AND CONSIDERATIONS
A.

Due Diligence

28.
We remind each potential bidder that it is solely responsible for investigating and
evaluating all technical and marketplace factors that may have a bearing on the value of the construction
permit(s) it is seeking in this auction. The FCC makes no representations or warranties about the use
of this spectrum or these construction permits for particular services. Applicants should be aware
that an FCC auction represents an opportunity to become an FCC permittee in a broadcast service,
subject to certain conditions and regulations. This includes the established authority of the
Commission to alter the terms of existing licenses by rulemaking, which is equally applicable to
licenses awarded by auction.34 An FCC auction does not constitute an endorsement by the FCC of
(Continued from previous page)
32 These instructions can be found in Section II.E.2., “Completing and Submitting FCC Form 159”, below.
33 As explained below, in order to access the Auction Application Portal within the AAS, an individual must have an

FCC Username account that is associated with the applicant’s FCC Registration Number (FRN) in the Commission
Registration System (CORES). See Section III.A., “General Information Regarding Short-Form Applications”,
below, for more information on requirements for accessing the AAS and creating an FCC Form 175.
34 See, e.g., Cellco P’ship v. FCC, 700 F.3d 534, 542 (D.C. Cir. 2012); Celtronix Telemetry, Inc. v. FCC, 272 F.3d

585, 589 (D.C. Cir. 2001) (citing 47 U.S.C. § 309(j)(6)(D)).

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DA 26-798

any particular service, technology, or product, nor does an FCC construction permit or license
constitute a guarantee of business success.
29.
An applicant should perform its due diligence research and analysis before proceeding, as
it would with any new business venture. In particular, we strongly encourage each potential bidder to
perform technical analyses and/or refresh its previous analyses to assure itself that, should it become a
winning bidder for any Auction 114 construction permit, it will be able to build and operate facilities that
will fully comply with all applicable technical and legal requirements. We strongly encourage each
applicant to inspect any prospective transmitter sites located in, or near, the service area for which it plans
to bid, to confirm the availability of such sites, and to familiarize itself with the Commission’s rules
regarding any applicable federal, state, and local requirements.35
30.
We strongly encourage each applicant to continue to conduct its own research throughout
Auction 114 in order to determine the existence of pending or future administrative or judicial
proceedings that might affect its decision to continue participating in the auction. Each Auction 114
applicant is responsible for assessing the likelihood of the various possible outcomes and for considering
the potential impact on construction permits available in this auction. The due diligence considerations
mentioned in this Public Notice do not comprise an exhaustive list of steps that should be undertaken
prior to participating in this auction. As always, the burden is on the potential bidder to determine how
much research to undertake, depending upon specific facts and circumstances related to its interests.
31.
Applicants are solely responsible for identifying associated risks and for
investigating and evaluating the degree to which such matters may affect their ability to bid on,
otherwise acquire, or make use of the construction permits available in Auction 114. Each potential
bidder is responsible for undertaking research to ensure that any permits won in this auction will be
suitable for its business plans and needs. Each potential bidder must undertake its own assessment of the
relevance and importance of information gathered as part of its due diligence efforts.
32.
The Commission makes no representations or guarantees regarding the accuracy or
completeness of information in its databases or any third-party databases, including, for example, court
docketing systems. To the extent the Commission’s databases may not include all information deemed
necessary or desirable by an applicant, it must obtain or verify such information from independent sources
or assume the risk of any incompleteness or inaccuracy in said databases. Furthermore, the Commission
makes no representations or guarantees regarding the accuracy or completeness of information that has
been provided by incumbent licensees and incorporated into its databases.
B.

Environmental Review Requirements

33.
Permittees or licensees must comply with the Commission’s rules for environmental
review under the National Environmental Policy Act,36 the National Historic Preservation Act,37 and other
federal environmental statutes.38 When constructing a broadcast facility, the permittee or licensee must
comply with the Commission’s environmental rules for each such facility.39 These environmental rules
35 See, e.g., 47 CFR pt. 1, subpart I.
36 42 U.S.C. § 4321 et seq.
37 54 U.S.C. § 300101 et seq.
38 See 47 CFR pt. 1, subpart I (Procedures Implementing the National Environmental Policy Act of 1969).

We note
that in August 2025, the Commission released a Notice of Proposed Rulemaking to consider updates to its rules
implementing NEPA. See Modernizing the Commission’s National Environmental Policy Act Rules; CTIA Petition
for Rulemaking on the Commission’s National Environmental Policy Act Rules, WT Docket No. 25-217, Notice of
Proposed Rulemaking, 40 FCC Rcd 6377 (2025). Potential bidders in Auction 114 should be mindful that if the
Commission amends its NEPA rules, broadcast permittees and licensees will be subject to the amended rules.
39 47 CFR §§ 1.1301–1.1320.

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DA 26-798

require, among other things, that the permittee or licensee consult with expert agencies having
environmental responsibilities, including the U.S. Fish and Wildlife Service, the State Historic
Preservation Office, the U.S. Army Corps of Engineers, and the Federal Emergency Management Agency
(through the local authority with jurisdiction over floodplains). In assessing the effect of facility
construction on historic properties, the permittee or licensee must follow the provisions of the FCC’s
Nationwide Programmatic Agreement Regarding the Section 106 National Historic Preservation Act
Review Process.40 The permittee or licensee must prepare environmental assessments for any facility that
may have a significant impact in or on wilderness areas, wildlife preserves, threatened or endangered
species, or designated critical habitats, historical or archaeological sites, Indian religious sites,
floodplains, and surface features. In addition, the permittee or licensee must prepare environmental
assessments for facilities that include high intensity white lights in residential neighborhoods or excessive
radio frequency emission.
C.

Short-Form Applications Due Prior to 6:00 p.m. ET on September 30, 2026

34.
In order to be eligible to bid in Auction 114, an applicant must first submit a short-form
application (FCC Form 175) via the Auction Application Portal (AAP) in the AAS, following the
instructions set forth in the Auction 114 FCC Form 175 Instructions. The short-form application will
become available with the opening of the initial filing window and must be submitted prior to 6:00 p.m.
ET on September 30, 2026. Late applications will not be accepted. No application fee is required for
the short-form application at the time of filing.41
35.
Applications may be filed at any time beginning at 12:00 p.m. ET on September 14,
2026, until the filing window closes at 6:00 p.m. ET on September 30, 2026. Applicants are strongly
encouraged to file early and are responsible for allowing adequate time to file their applications. There
are no limits or restrictions on the number of times an application can be updated or amended until the
initial filing deadline on September 30, 2026.
36.
An applicant must always click on the CERTIFY & SUBMIT button on the Certify &
Submit screen to successfully submit its FCC Form 175 and any modifications; otherwise, the application,
or changes to the application, will not be received or reviewed by Commission staff. Additional
information about accessing, completing, and viewing the FCC Form 175 is included in the Auction 114
FCC Form 175 Instructions. Applicants requiring technical assistance should contact FCC Auctions
Technical Support using the contact information provided in Section VII.D. “Contact Information,”
below.42 In order to provide better service to the public, all calls to Technical Support are recorded.
D.

Application Processing and Minor Modifications
1.

Public Notice of Applicant’s Initial Application Status and Opportunity for
Minor Modifications

37.
After the deadline for filing short-form applications for Auction 114, Commission staff
will review all timely submitted applications to determine whether each applicant has complied with the
application requirements and provided all information concerning its qualifications for bidding. After this
review is completed, we will issue a public notice announcing applicants’ initial application status,
identifying (1) those that are complete; (2) those that are rejected;43 and (3) those that are incomplete or
40 47 CFR pt. 1, Appx. C to Part 1.
41 Each Auction 114 winning bidder must, however, submit a consolidated long-form and short-form application

filing fee with each separate long-form application. See 47 CFR § 1.1104, Table 3. This consolidated application
filing fee must be paid in addition to the winning bid amount.
42 We caution applicants that the Commission periodically performs scheduled maintenance of its IT systems.

During scheduled maintenance activities, which typically occur over weekends, every effort is made to minimize
any downtime to auction-related systems, including the AAP. However, there are occasions when auction-related
systems may be temporarily unavailable.

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DA 26-798

deficient because of minor defects that may be corrected. This public notice also will establish an
application resubmission filing window, during which an applicant may make permissible minor
modifications to its application to address identified deficiencies.44 The public notice will include the
deadline for resubmitting corrected applications, and a paper copy will be sent by overnight delivery to
the contact address listed in the FCC Form 175 for each applicant. In addition, each applicant with an
incomplete application will be sent information on the nature of the deficiencies in its application, along
with the name and phone number of a Commission staff member who can answer questions specific to
the application. To become a qualified bidder, an applicant must have a complete application (i.e., have
timely corrected any identified deficiencies)45 and make a timely and sufficient upfront payment.46
38.
After the initial application filing deadline on September 30, 2026, applicants can make
only minor modifications to their short-form applications.47 Major modifications (e.g., change of permit
selection, change in ownership that would constitute an assignment or transfer of control of the applicant,
change in the required certifications, change in applicant’s legal classification that results in a change in
control, or change to claim eligibility for a higher bidding credit) will not be permitted.48 If an
amendment reporting changes is a “major amendment,” as described in section 1.2105(b)(2) of the
Commission’s rules, the major amendment will not be accepted and may result in the dismissal of the
application.49 After the deadline for resubmitting corrected applications, an applicant will have no further
opportunity to cure any deficiencies in its application or provide any additional information that may
(Continued from previous page)
43 An application may be rejected based on the applicant’s response to the noncommercial educational (NCE) status
election on its FCC Form 175. As discussed generally in the NCE Second Report and Order, the opening of a
window for nonreserved vacant FM allotments provides a filing opportunity for both NCE and commercial
applicants. See generally Reexamination of the Comparative Standard for Noncommercial Educational Applicants
et al., MM Docket No. 95–31, Second Report and Order, 18 FCC Rcd 6691 (2003) (NCE Second Report and
Order). However, as discussed in Section III.J., “Noncommercial Educational Status Election,” below, while nonmutually exclusive NCE applications will not be resolved through competitive bidding, any application specifying
NCE facilities that is mutually exclusive with any application specifying commercial facilities will be returned as
unacceptable for filing. 47 CFR § 73.5002(b).
44 47 CFR § 1.2105(b)(2).
45 Id.
46 If an applicant fails to submit a sufficient upfront payment to establish eligibility to bid on at least one of the

construction permits selected on its FCC Form 175, the applicant will not be eligible to participate in bidding in the
auction. Broadcast Competitive Bidding Order, 13 FCC Rcd at 15979–80, para. 153. Even if this occurs, the
applicant will retain its status as an applicant in Auction 114 and will remain subject to 47 CFR §§ 1.2105(c) and
73.5002(d). See Star Wireless, LLC, Forfeiture Order, 19 FCC Rcd 18626, 18627–29, para. 4 & n.19 (EB 2004)
(Star Wireless Forfeiture Order), order granted in part sub nom, Star Wireless, LLC and Northeast Commc’ns of
Wis., Inc., Order on Review, 22 FCC Rcd 8943 (2007), petition for review denied, Star Wireless, LLC v. FCC, 522
F.3d 469 (D.C. Cir. 2008).
47 See 47 CFR § 1.2105(b)(2).

Minor amendments include any changes that are not major, such as: the deletion or
addition of authorized bidders (to a maximum of three); revision of addresses and telephone numbers of the
applicant, its responsible party, and its contact person; correcting typographical errors; and supplying or correcting
information as requested to support the certifications made in the application.
48 Id. § 1.2105(b); see also Two Way Radio of Carolina, Inc., Memorandum Opinion and Order, 14 FCC Rcd 12035,

12039, para. 8 (1999) (denying an auction applicant’s request to change its designated entity status after application
filing deadline).
49 See 47 CFR § 1.2105(b)(2) (“An application will be considered to be newly filed if it is amended by a major

amendment and may not be resubmitted after applicable filing deadlines.”). Any change in control of an applicant—
resulting from a merger, for example—will be considered a major amendment, and the application will consequently
be dismissed. We reiterate that, even if an applicant’s FCC Form 175 is dismissed, the applicant would remain
subject to the communication prohibitions of 47 CFR § 1.2105(c) until the down payment deadline for Auction 114.
See 47 CFR § 1.2105(b)(2) for more examples of major amendments.

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affect Commission staff’s ultimate determination of whether and to what extent the applicant is qualified
to participate in Auction 114 and whether the applicant may be eligible to pursue any bidding credit
claim.
39.
Commission staff will communicate only with an applicant’s contact person or certifying
official, as designated on the short-form application, unless the applicant’s certifying official or contact
person notifies the Commission in writing that another representative is authorized to speak on behalf of
the applicant.50 Authorizations may be sent by email to [email protected].
2.

Public Notice of Applicant’s Final Application Status

40.
After Commission staff review resubmitted applications for Auction 114 and evaluate
upfront payment submissions, Commission staff will release a public notice identifying applicants that
have become qualified bidders. A Qualified Bidders Public Notice will be issued before bidding in the
auction begins. Qualified bidders are those applicants with a submitted short-form application that is
deemed timely filed and complete, and that have made a timely and sufficient upfront payment (as
described below).
E.

Upfront Payments

41.
After completing its short-form application, an applicant will have access to an electronic
blank version of the FCC Form 159.51 In order to be eligible to bid in this auction, a sufficient upfront
payment and a complete and accurate FCC Remittance Advice Form (FCC Form 159, February 2003
edition) must be received prior to 6:00 p.m. ET on December 3, 2026. An accurate and complete FCC
Form 159 must accompany each payment. Proper completion of this form is critical to ensuring correct
crediting of upfront payments. Payers are responsible for ensuring that all information entered on the
FCC Form 159, including payment amounts, is accurate. Instructions for completing FCC Form 159 for
Auction 114 are provided below.
1.

Making Upfront Payments by Wire Transfer

42.
All upfront payments for Auction 114 must be transmitted by electronic wire transfer
directly from a bank or other financial institution to the proper account at the U.S. Treasury.52 Wire
transfer payments for Auction 114 must be received prior to 6:00 p.m. ET on December 3, 2026. No
other payment method is acceptable.53 To avoid untimely payments, applicants should discuss
arrangements (including bank closing schedules and other specific bank wire transfer requirements, such
as an in-person written request before a specified time of day) with their bankers several days before they
plan to make the wire transfer, and must allow sufficient time for the transfer to be initiated and
completed before the deadline. The following information will be needed:
Routing Number:
Receiving Bank:

021030004
TREAS NYC

50 In no event, however, will the FCC send auction registration materials to anyone other than the contact person

listed on the applicant’s FCC Form 175 or respond to a request for replacement registration materials from anyone
other than the authorized bidder, contact person, or certifying official listed on the applicant’s FCC Form 175. For
more information on auction registration materials, see Section II.F., “Auction Registration,” below.
51 Unlike in other FCC broadcast auctions—where the application system made both an electronic pre-filled version

and an electronic blank version of the FCC Form 159 available to an applicant after it had completed its short-form
application—for Auction 114, the AAS will make only an electronic blank version of the FCC Form 159 available
to applicants.
52 See Consolidated Appropriations Act, 2018, Pub. L. No. 115-141, Division P, Title I, 132 Stat. 348, 1080 (2018).

For more information on calculating upfront payments and the impact of upfront payments on bidding eligibility, see
Section II.E.3. “Upfront Payments and Bidding Eligibility”, below.
53 The Commission will not accept checks, credit cards, or automated clearing house (ACH) payments.

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BENEFICIARY:

DA 26-798

33 Liberty Street
New York, NY 10045
FCC
45 L Street, NE, 4th Floor
Washington, DC 20554

ACCOUNT NUMBER: 827000001001
Originating Bank Information (OBI Field): (Skip one space between each information item)
“AUCTIONPAY”
APPLICANT FCC REGISTRATION NUMBER (FRN): (use the same FRN as used on the
applicant’s FCC Form 159, block 21)
PAYMENT TYPE CODE: (same as FCC Form 159, block 24A: “U114”)
43.
NOTE: The beneficiary account number is specific to the upfront payments for
Auction 114. Do not use a beneficiary account number from a previous auction.
44.
At least one hour before placing the order for the wire transfer (but on the same business
day), applicants must print and fax a completed FCC Form 159 (Revised 2/03) to the FCC at (202) 4182843. Alternatively, the completed form can be scanned and sent as an attachment to an email to
[email protected]. On the fax cover sheet or in the email subject header, write “Wire Transfer
— Auction Payment for Auction 114.” To meet the upfront payment deadline, an applicant’s payment
must be credited to the Commission’s account for Auction 114 before the deadline.54
45.
Each applicant is responsible for ensuring timely submission of its upfront payment and
for timely filing of an accurate and complete FCC Form 159. An applicant should coordinate with its
financial institution well ahead of the due date regarding its wire transfer and allow sufficient time for the
transfer to be initiated and completed prior to the deadline.55 The Commission repeatedly has cautioned
auction participants about the importance of planning ahead to prepare for unforeseen last-minute
difficulties in making payments by wire transfer.56 Each applicant is responsible for obtaining
confirmation from its financial institution that its wire transfer to U.S. Treasury was successful and from
Commission staff that its upfront payment was timely received and that it was deposited into the proper
account. As a regulatory requirement, the U.S. Treasury screens all payments from all financial
institutions before deposits are made available to specified accounts. If wires are suspended, the U.S.
Treasury may direct questions regarding any transfer to the financial institution initiating the wire. Each
applicant must take care to assure that any questions directed to its financial institution(s) are addressed
promptly. To receive confirmation from Commission staff requesting receipt and deposit of wire
transfers, contact Scott Radcliffe of the Office of Managing Director’s Revenue & Receivables
Operations Group/Auctions at (202) 418-7518, or Theresa Meeks at (202) 418-2945.

54 See, e.g., Four Corners Broadcasting, LLC—Request for Waiver of Section 1.2106(a), Closed Broadcast

Auction 88, Letter Order, 25 FCC Rcd 9046, 9050 (WTB 2010) (denying request of waiver for upfront payment
deadline where applicant claimed its late upfront payment was due to a “bank error completely out of the
[applicant’s] control”) (Four Corners Order).
55 Among other things, the Commission cautions each applicant to plan ahead regarding any potential delays in its or

its financial institution’s ability to complete wire transfers.
56 See, e.g., Four Corners Order, 25 FCC Rcd 9046; Spectrum Acquisitions, Inc., Letter Order, 23 FCC Rcd 4765

(WTB 2008) (denying waiver request of upfront payment deadline); Lynch 3G Communications Corp., Letter Order,
18 FCC Rcd 11552 (WTB 2003) (finding that upfront payment was not timely submitted).

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46.

DA 26-798

Please note the following information regarding upfront payments:

•

All payments must be made in U.S. dollars.

•

All payments must be made by wire transfer.

•

Upfront payments for Auction 114 go to an account number different from the accounts used in
previous FCC auctions.

47.
Failure to deliver a sufficient upfront payment as instructed herein by the 6:00 p.m. ET
deadline on December 3, 2026, will result in dismissal of the short-form application and disqualification
from participation in the auction.57
2.

Completing and Submitting FCC Form 159

48.
The following information supplements the standard instructions for FCC Form 159
(Revised 2/03) and is provided to help ensure the correct completion of FCC Form 159 for upfront
payments for Auction 114. Applicants need to complete FCC Form 159 carefully because:
•

Mistakes may affect bidding eligibility; and

•

Lack of consistency between information provided in FCC Form 159 (Revised 2/03),
FCC Form 175, and correspondence about an application may cause processing delays.

49.
Therefore, appropriate cross-references between the FCC Form 159 Remittance Advice
and the FCC Form 175 are described below.
Block
Number

Required Information

LOCKBOX # — Leave Blank

Payer Name — Enter the name of the person or company making the payment. If the
applicant itself is the payer, this entry would be the same name as in FCC Form 175.

Total Amount Paid — Enter the amount of the upfront payment associated with the FCC
Form 159 (Revised 2/03).

4–8

Street Address, City, State, ZIP Code — Enter the street mailing address (not post office
box number) where mail should be sent to the payer. If the applicant is the payer, these
entries would be the same as FCC Form 175 from the Applicant Information section.

Daytime Telephone Number — Enter the telephone number of a person knowledgeable
about this upfront payment.

Country Code — For addresses outside the United States, enter the appropriate postal
country code (available from the Mailing Requirements Department of the U.S. Postal
Service).
Payer FRN — Enter the payer’s 10-digit FCC Registration Number (FRN) registered in the
Commission Registration System (CORES).

11
21

Applicant FRN (Complete only if applicant is different than payer) — Enter the applicant’s
10-digit FRN registered in CORES.

24A

Payment Type Code — Enter “U114”.

25A

Quantity — Enter the number “1”.

57 If an applicant’s FCC Form 175 is dismissed, the applicant would remain subject to the prohibitions on certain

communications of 47 CFR § 1.2105(c) until the down payment deadline for this auction.

Federal Communications Commission

Block
Number

Required Information

26A

Fee Due — Amount of Upfront Payment

27A

Total Fee — Will be the same amount as 26A.

28A

FCC Code 1 — Enter the number “114” (indicating Auction 114).

DA 26-798

NOTES:
•

Do not use Remittance Advice (Continuation Sheet), FCC Form 159-C, for upfront payments.

•

If the applicant is different from the payer, complete blocks 13 through 21 for the applicant, using the
same information shown on FCC Form 175. Otherwise leave them blank.

•

No signature is required on FCC Form 159 for auction payments.

•

Because credit card payments will not be accepted for upfront payments for an auction, leave
Section E blank.
3.

Upfront Payments and Bidding Eligibility

50.
An upfront payment is a refundable deposit made by each applicant seeking to participate
in bidding to establish its eligibility to bid on construction permits. Upfront payments that are related to
the specific construction permits being auctioned protect against frivolous or insincere bidding, and
provide the Commission with a source of funds from which to collect payments owed at the close of
bidding.58 In the Auction 114 Comment Public Notice, we proposed that applicants be required to submit
upfront payments as a prerequisite to becoming qualified to bid and proposed an upfront payment amount
for each construction permit, taking into account various factors related to the efficiency of the auction
process and the potential value of similar construction permits, and sought comment on the upfront
payment amounts.59 We received no comments on these proposals and adopt the upfront payment
requirement and upfront payment amounts as proposed.
51.
An applicant must make an upfront payment sufficient to obtain bidding eligibility on the
construction permits on which it will bid. We proposed in the Auction 114 Comment Public Notice that
the amount of the upfront payment would determine a bidder’s initial bidding eligibility, the maximum
number of bidding units on which a bidder may place bids in any single round.60 Under that proposal, in
order to bid on a particular construction permit, a qualified bidder must have selected the construction
permit on its FCC Form 175 and must have a current eligibility level that meets or exceeds the number of
bidding units assigned to that construction permit. At a minimum, therefore, an applicant’s total
upfront payment must be enough to establish eligibility to bid on at least one of the construction
permits selected on its FCC Form 175, or else the applicant will not be qualified to participate in
the auction. An applicant does not have to make an upfront payment to cover all construction permits
the applicant selected on its FCC Form 175, but only enough to cover the maximum number of bidding
units that are associated with construction permits on which they wish to place bids and hold

58 See Competitive Bidding Second Report and Order, 9 FCC Rcd at 2377–79, paras. 169–76.
59 Auction 114 Comment Public Notice at 4–5, paras. 10–12; see also Auction Procedures Consolidation Order &

NPRM, 12 FCC Rcd at 5697–98, para 16; Amendment of Part 1 of the Commission’s Rules — Competitive Bidding
Procedures, WT Docket No. 97–82, Third Report and Order and Second Further Notice of Proposed Rule Making,
13 FCC Rcd 374, 425, para. 86 (1997) (Part 1 Third Report and Order); Competitive Bidding Second Report and
Order, 9 FCC Rcd at 2377–79, paras. 169–75.
60 Auction 114 Comment Public Notice at 4-5, para. 12.

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provisionally winning bids in any given round.61 The total upfront payment does not affect the total
dollar amount the bidder may bid on any given construction permit.
52.
We received no comments on the proposal that the upfront payment amount would
determine a bidder’s initial eligibility and to assign each construction permit a specific number of bidding
units, equal to one bidding unit per dollar of the upfront payment listed in Attachment A. Therefore, we
adopt this proposal. Each applicant’s upfront payment amount will determine that bidder’s initial bidding
eligibility.
53.
In calculating its upfront payment amount, an applicant must determine the maximum
number of bidding units on which it may wish to be active (bid on or hold provisionally winning bids on)
in any single round, and submit an upfront payment amount covering that number of bidding units.62 In
order to make this calculation, an applicant should add together the bidding units for all construction
permits on which it seeks to be active in any given round. Applicants should check their calculations
carefully, as there is no provision for increasing a bidder’s eligibility after the upfront payment
deadline.
Example: Upfront Payments, Bidding Eligibility, and Bidding Flexibility
Construction
Permit
MM-FM1228-A

Keeseville, NY

25,000

$25,000

MM-FM1232-A

Wayne, OK

10,000

$10,000

Market Name

Bidding Units

Upfront Payment

If a bidder wishes to bid on both construction permits in a round, it must have selected both on its
FCC Form 175 and purchased at least 35,000 bidding units (25,000 + 10,000) of bidding eligibility.
If it only wishes to bid on one, but not both, purchasing 25,000 bidding units would meet the eligibility
requirement for either construction permit. The bidder would be able to bid on either construction
permit, but not both at the same time. If the bidder purchased only 10,000 bidding units, the bidder
would have enough eligibility for the Wayne, OK construction permit but not for the Keeseville, NY
construction permit.
54.
An applicant that is a former defaulter, as described in more detail below,63 must pay an
upfront payment 50% greater than that required of an applicant that is not a former defaulter.64 For
purposes of this rule, defaults and delinquencies of the applicant itself and its controlling interests are
included.65 If an applicant is a former defaulter, it must calculate its upfront payment for all of its selected
construction permits by multiplying the number of bidding units on which it wishes to be active (bid on or
hold provisionally winning bids on) during a given round by 1.5. In order to calculate the number of
61 Provisionally winning bids are bids that would become final winning bids if the auction were to close after the

given round. See Section V.B.2., “Provisionally Winning Bids,” below, for an explanation of how the bidding
system will determine provisionally winning bids.
62 A qualified bidder’s maximum eligibility will not exceed the sum of the bidding units associated with the total

number of construction permits selected on its FCC Form 175. In some cases, a qualified bidder’s maximum
eligibility may be less than the amount of its upfront payment because the qualified bidder has either previously
been in default on a Commission construction permit or license or delinquent on non-tax debt owed to a Federal
agency, see 47 CFR § 1.2106(a), or has submitted an upfront payment that exceeds the total amount of bidding units
associated with the construction permits it selected on its FCC Form 175.
63 See Section III.I., “Provisions Regarding Former and Current Defaulters,” below.
64 47 CFR § 1.2106(a); see Part 1 Fifth Report and Order, 15 FCC Rcd at 15316-18, paras. 40–43.
65 For this purpose, the term “controlling interest” is defined in 47 CFR § 1.2105(a)(4)(i).

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bidding units to assign to former defaulters, the Commission will divide the upfront payment received by
1.5 and round the result up to the nearest bidding unit.66
F.

Auction Registration

55.
All qualified bidders for Auction 114 are automatically registered for the auction.
Registration materials will be distributed prior to the auction by overnight delivery. The mailing will be
sent only to the contact person at the contact address listed in the FCC Form 175 and will include the
RSA SecurID® tokens (RSA tokens) that will be required to place bids, the web address and instructions
for accessing and logging in to the bidding system, FCC assigned User ID for each authorized bidder, and
the Auction Bidder Line phone number.
56.
Qualified bidders that do not receive this registration mailing will not be able to submit
bids. Therefore, if this mailing is not received by the contact representative for a qualified bidder by noon
on Wednesday, January 27, 2027, call the Auctions Hotline at (717) 338-2868. Receipt of this
registration mailing is critical to participating in the auction, and each qualified bidder is responsible for
ensuring it has received all of the registration materials.
57.
In the event that an RSA token is lost or damaged, only a person who has been designated
as an authorized bidder, the contact person, or the certifying official on the applicant’s short-form
application may request replacements. To request replacement, call the Auction Bidder Line at the
telephone number provided in the registration materials or the Auctions Hotline at (717) 338-2868.
G.

Remote Electronic Bidding via the Bidding System

58.
Bidders will be able to participate in Auction 114 over the Internet using the bidding
system. In addition, bidders will have the option of placing bids by telephone through a dedicated auction
bidder line. Please note that telephonic bid assistants are required to use a script when entering bids
placed by telephone. Telephonic bidders are therefore reminded to allow sufficient time to bid by placing
their calls well in advance of the close of a round. The length of a call to place a telephonic bid may vary;
please allow a minimum of 10 minutes. The toll-free telephone number for the auction bidder line will be
provided to qualified bidders prior to the start of bidding in the auction.
59.
Only qualified bidders are permitted to bid. Each authorized bidder must have his or her
own RSA token, which the Commission will provide at no charge. Each applicant that is deemed to be a
qualified bidder will be issued three RSA tokens. A bidder cannot bid without his or her RSA token. In
order to access the bidding function of the bidding system, bidders must be logged in during the bidding
round using the passcode generated by the RSA token and a personal identification number (PIN) created
by the bidder. For security purposes, the RSA tokens and a telephone number for bidding questions are
only mailed to the contact person at the contact address listed on the FCC Form 175. Each RSA token is
tailored to a specific auction. RSA tokens issued for other auctions or obtained from a source other than
the FCC will not work for Auction 114. Please note that the RSA tokens can be recycled, and the
Commission requests that bidders return the tokens to the FCC. Pre-addressed envelopes will be
provided to return the tokens once the auction has ended.
60.
The Commission makes no warranties whatsoever, and shall not be deemed to have made
any warranties, with respect to the bidding system, including any implied warranties of merchantability or
fitness for a particular purpose. In no event shall the Commission, or any of its officers, employees, or
agents, be liable for any damages whatsoever (including, but not limited to, loss of business profits,
business interruption, loss of use, loss of revenue, loss of business information, or any other direct,
66 If an applicant fails to submit a sufficient upfront payment to establish eligibility to bid on at least one of the

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indirect, or consequential damages) arising out of or relating to the existence, furnishing, functioning, or
use of the bidding system. Moreover, no obligation or liability will arise out of the Commission’s
technical, programming, or other advice or service provided in connection with the bidding system.
61.
To the extent an issue arises with the bidding system itself, the Commission will take all
appropriate measures to resolve such issues quickly and equitably. Should an issue arise that is outside
the bidding system or attributable to a bidder, including, but not limited to, a bidder’s hardware, software,
or Internet access problem that prevents the bidder from submitting a bid prior to the end of a round, the
Commission shall have no obligation to resolve or remedy such an issue on behalf of the bidder.
Similarly, if an issue arises due to bidder error using the bidding system, the Commission shall have no
obligation to resolve or remedy such an issue on behalf of the bidder. Accordingly, after the close of a
bidding round, the results of bid processing will not be altered absent evidence of any failure in the
bidding system.
H.

Mock Auction

62.
All qualified bidders will be eligible to participate in a mock auction.67 The mock
auction, which will begin on January 29, 2027, will enable bidders to become familiar with the bidding
system and to practice submitting bids prior to the auction. We recommend that all qualified bidders,
including all their authorized bidders, participate to ensure that they can log in to the bidding system and
gain experience with the bidding procedures. Participating in the mock auction may reduce the likelihood
of a bidder making a mistake during the auction. Details regarding the mock auction will be announced
in the Qualified Bidders Public Notice for Auction 114.
I.

Fraud Alert

63.
As is the case with many business investment opportunities, some unscrupulous parties
may attempt to use Auction 114 to deceive and defraud unsuspecting investors. Common warning signals
of fraud include the following:
•

The first contact is a “cold call” from a telemarketer, or is made in response to an inquiry
prompted by a radio or television infomercial.

•

The offering materials used to invest in the venture appear to be targeted at IRA funds, for
example, by including all documents and papers needed for the transfer of funds maintained
in IRA accounts.

•

The amount of investment is less than $25,000.

•

The sales representative makes verbal representations that: (a) the Internal Revenue Service,
Federal Trade Commission (FTC), Securities and Exchange Commission (SEC), FCC, or
other government agency has approved the investment; (b) the investment is not subject to
state or federal securities laws; or (c) the investment will yield unrealistically high short-term
profits. In addition, the offering materials often include copies of actual FCC releases, or
quotes from FCC personnel, giving the appearance of FCC knowledge or approval of the
solicitation.

64.
Information about deceptive telemarketing investment schemes is available from the FCC
as well as the FTC and SEC. Additional sources of information for potential bidders and investors may
be obtained from the following sources:
•

the FCC’s Consumer Call Center at (888) 225-5322 or by visiting
www.fcc.gov/general/frauds-scams-and-alerts-guides

67 Only those bidders that are qualified to bid in Auction 114 will be eligible to participate in the mock auction.

Federal Communications Commission

•

the FTC at (877) FTC-HELP ((877) 382-4357) or by visiting
www.consumer.ftc.gov/articles/0238-investment-risks

•

the SEC at (800) 732-0330 or by visiting www.sec.gov/investor.

DA 26-798

65.
Complaints about specific deceptive telemarketing investment schemes should be
directed to the FTC, the SEC, or the National Consumer League’s Fraud project at https://fraud.org/ or
(202) 835-3323, Ext. 815.
III.

SHORT-FORM APPLICATION CONTENTS AND CERTIFICATIONS
A.

General Information Regarding Short-Form Applications

66.
An application to participate in Auction 114, referred to as a short-form application or
FCC Form 175, provides information that the Commission uses to determine whether the applicant is
legally, technically, and financially qualified to participate in Commission auctions for licenses or
permits.68 The short-form application is the first part of the Commission’s two-phased auction application
process. In the first phase, parties desiring to participate in the auction must file a streamlined, short-form
application in which they certify under penalty of perjury as to their qualifications.69 Eligibility to
participate in bidding is based on the applicant’s short-form application and certifications, and on its
upfront payment.70 After bidding closes, in the second phase of the process, each winning bidder in
Auction 114 must file a more comprehensive post-auction, long-form application (FCC Form 2100,
Schedule 301-FM) in MB’s Licensing and Management System (LMS) for each construction permit it
wins in the auction.71
67.
A party seeking a construction permit available in Auction 114 must file an
FCC Form 175 electronically via the AAP in the AAS prior to 6:00 p.m. ET on September 30, 2026,
following the procedures prescribed in the Auction 114 FCC Form 175 Instructions.72 In order to access
the AAP to create a new short-form application for an applicant, or take any other action on an auction
application, an individual must have an FCC Username account in the Commission Registration System
(CORES) that is associated with the applicant’s FRN and has been assigned the appropriate Auctions
Permissions in the AAP.73 The AAS includes security features, including the use of multifactor
authentication and Auctions Permissions, that must be set-up before you can create a short-form
application.74 We encourage individuals who expect to work on a short-form application on behalf of an

68 47 CFR §§ 1.2105, 73.5002.
69 Id.; see Competitive Bidding Second Report and Order, 9 FCC Rcd at 2376–77, paras. 165–66.
70 See Section II.E., “Upfront Payments”, above, for more information on how upfront payments affect eligibility.
71 See 47 CFR § 73.5005 (requiring high bidders in auctions of broadcast spectrum to file appropriate long-form

applications). We remind applicants that being deemed qualified to bid in Auction 114 does not constitute a
determination that a party is qualified to hold a Commission license or is eligible for a new entrant bidding credit.
72 Auction 114 FCC Form 175 Instructions are available in the Education section on the Auction 114 website at

www.fcc.gov/auction/114. FCC Form 175 previously included an optional “Applicant Status” field in which
applicants owned by members of minority groups and/or women and rural telephone companies could voluntarily
identify themselves. That field no longer appears on the application form. This information, which had been
collected only for post-auction informational purposes, will not be collected for Auction 114.
73 Instructions for setting up an FCC Username account and associating it with an FRN are available on the CORES

website: apps.fcc.gov/cores. Instructions for logging into the AAP and setting up Auctions Permissions for an FCC
Username are available on the Auctions website at www.fcc.gov/economics-analytics/auctionsdivision/auctions/about-form-175.
74 Users of the AAS will be required to undergo a login authentication process each time they log in to AAP for an

additional layer of security. Users have the option to enroll in either Okta Verify® or Google Authenticator®.

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applicant to take the steps necessary to access the AAP and obtain Auction Permission for the applicant’s
FRN prior to the opening of the filing window.
68.
Below we describe more fully the information disclosures and certifications required in
the short-form application.
69.
An Auction 114 applicant bears full responsibility for submitting an accurate, complete,
and timely short-form application. Pursuant to the Commission’s competitive bidding rules, an applicant
must make a series of certifications under penalty of perjury on its FCC Form 175 related to the
information provided in its application and its participation in the auction, and an applicant must confirm
that it is legally, technically, financially, and otherwise qualified to hold a license.75 If an applicant claims
eligibility for a bidding credit, then the information provided in its short-form application will be used to
determine whether the applicant appears to be eligible for the claimed bidding credit. An applicant’s
eligibility for a claimed bidding credit is verified after bidding concludes, based on an evaluation of the
winning bidder’s post-auction long-form application. As discussed below, each participant in
Auction 114 must also certify that it has read this Public Notice and familiarized itself both with the
auction procedures and with the requirements for obtaining a construction permit and operating facilities
in the FM broadcast service.76 If an Auction 114 applicant fails to make the required certifications in its
FCC Form 175 by the filing deadline, then its application will be deemed unacceptable for filing and
cannot be corrected after the filing deadline.77 Applicants filing a short-form application are subject to the
Commission’s rules prohibiting certain communications beginning at the deadline for filing, as described
below.
70.
Each applicant should note that submission of a short-form application (and any
amendments thereto) constitutes a representation by the certifying official that he or she is an authorized
representative of the applicant, that he or she has read the form’s instructions and certifications, and that
the contents of the application, its certifications, and any attachments are true and correct. Submission of
a false certification to the Commission may result in penalties, including monetary forfeitures, license
forfeitures, ineligibility to participate in future auctions, and/or criminal prosecution.78
71.
Applicants are cautioned that, because the required information submitted in FCC
Form 175 bears on each applicant’s qualifications, requests for confidential treatment will not be
routinely granted. The Commission generally has held that it may publicly release confidential business
information where the party has put that information at issue in a Commission proceeding or where the
Commission has identified a compelling public interest in disclosing the information.79
72.
An applicant must designate between one and three individuals as authorized bidders in
its FCC Form 175.80 The Commission’s rules prohibit an individual from serving as an authorized bidder
for more than one auction applicant.81

75 47 CFR § 1.2105(a)(2)(v)–(xii).
76 See Section III.B. “Certification of Notice of Auction 114 Requirements and Procedures,” below, for more

information on this certification requirement.
77 See 47 CFR § 1.2105(b)(1)(i).
78 See id. § 1.2105(a)(2) (all information, statements, certifications and declarations submitted in the application

shall be made under penalty of perjury).
79 See Examination of Current Policy Concerning Treatment of Confidential Information Submitted to the

Commission, GC Docket No. 96-55, Report and Order, 13 FCC Rcd 24816, 24822–23, para. 8 (1998).
80 See section III.C. “Authorized Bidders,” below, for more information on authorized bidders.
81 47 CFR § 1.2105(a)(2)(iii).

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73.
No individual or entity may file more than one short-form application or have a
controlling interest in more than one short-form application.82 If a party submits multiple short-form
applications for an auction, then only one application may be the basis for that party to become qualified
to bid in that auction.83
74.
Similarly, and consistent with the Commission’s general prohibition of joint bidding
agreements, a party is generally permitted to participate in a Commission auction only through a single
bidding entity.84 Accordingly, the filing of applications in Auction 114 by multiple entities controlled by
the same individual or set of individuals generally will not be permitted.85 Consistent with this restriction,
a broadcaster interested in bidding on more than one construction permit cannot use two or more
subsidiary entities to bid separately on construction permits in separate markets, regardless of whether
each subsidiary were to select different construction permits on its short-form application. Likewise, if an
entity, individual, or set of individuals hold controlling interests in multiple entities that are interested in
participating in Auction 114, regardless of whether those entities have other, non-shared controlling or
non-controlling interests, those entities must participate in the auction through a single bidding entity and
only that bidding entity may file a short-form application.86 As noted by the Commission in adopting the
prohibition of applications by commonly controlled entities, this rule, in conjunction with the prohibition
against joint bidding agreements, protects the competitiveness of the Commission’s auctions.87
75.
As discussed above, after the initial short-form application filing deadline, Commission
staff will review all timely submitted applications for Auction 114 to determine whether each application
complies with the application requirements and whether it has provided all required information
concerning the applicant’s qualifications for bidding.88 After this review is completed, a public notice
will be released announcing the status of applications and identifying the applications that are complete,
rejected, and those that are incomplete because of minor defects that may be corrected. This public notice
also will establish an application resubmission filing window, during which an applicant may make
permissible minor modifications to its application to address identified deficiencies.89 The public notice
will include the deadline for resubmitting modified applications. To become a qualified bidder, an
applicant must have a complete application (i.e., have timely corrected any identified deficiencies) and
make a timely and sufficient upfront payment. Qualified bidders will be identified by public notice at
least 10 days prior to the mock auction.
76.
Below we discuss additional details regarding certain information required to be
submitted in the short-form application. An applicant should consult the Commission’s rules to ensure
that, in addition to the materials described below, all required information is included in its short-form
application. To the extent the information in this Public Notice does not address a potential applicant’s
82 47 CFR § 1.2105(a)(3).
83 Id.
84 See Updating Part 1 Order, 30 FCC Rcd at 7580–81, paras. 206–08.
85 See 47 CFR § 1.2105(a)(3), (b)(1)(ii); Updating Part 1 Order, 30 FCC Rcd at 7580–81, paras. 206-08.

This
restriction applies across all applications, without regard to the construction permits selected. See Updating Part 1
Order, 30 FCC Rcd at 7580, para. 206.
86 In that regard, the bidding entity must disclose in its short-form application any joint ventures or other agreements

or arrangements with any commonly controlled, non-applicant entities related to bidding in Auction 114. 47 CFR §
1.2105(a)(2)(viii). Section II.E., “Disclosure of Agreements and Bidding Arrangements,” below, provides an
overview of an auction applicant’s obligations to disclose certain agreements.
87 See Updating Part 1 Order, 30 FCC Rcd at 7580, para. 206.
88 See Section II.D. “Application Processing and Correction of Deficiencies”, above, for more details on this

process.
89 47 CFR § 1.2105(b)(2).

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DA 26-798

specific operating structure, or if the applicant needs additional information or guidance concerning the
following disclosure requirements, the applicant should review the educational materials for Auction 114
(see the Education section on the Auction 114 website at www.fcc.gov/auction/114) and use the contact
information provided in this Public Notice to consult with Commission staff to better understand the
information it must submit in its short-form application.
B.

Certification of Notice of Auction 114 Requirements and Procedures

77.
For the reasons set forth in the Auction 114 Comment Public Notice, we adopt the
proposal to require any applicant seeking to participate in Auction 114 to certify in its short-form
application, under penalty of perjury, that it has read this Public Notice adopting procedures for
Auction 114 and that it has familiarized itself with these procedures and with the requirements for
obtaining a construction permit for an FM broadcast station.90 We received no comment on the proposal.
78.
This certification is designed to bolster applicants’ efforts to educate themselves about
the procedures for auction participation and to ensure that, prior to submitting their short-form
applications, applicants understand their obligation to stay abreast of relevant information. Familiarity
with the Commission’s rules and procedures governing Auction 114 may also help bidders avoid the
consequences to them associated with defaults, which also cause harm to other applicants and the public
by reducing the efficiency of the auction process and reducing the likelihood that the construction permits
will be assigned to the bidder that values it the most. This certification, along with the other certifications
required pursuant to section 1.2105(a), will promote the submission of applications that meet the
Commission’s requirements, thereby leading to a more efficient application process.
79.
A substantively similar requirement was instituted for Auctions 110, 108, 112, and 113.91
This requirement furthers a long-standing policy under which the Commission expressly places a burden
upon each applicant to be thoroughly familiar with the procedures, terms, and conditions contained in the
relevant Procedures Public Notice and any future public notices that may be released in the auction
proceeding.92 While the certification we add refers to information regarding auction procedures and
licensing that is available at the time of certification, potential auction applicants are on notice from this
Public Notice that their educational efforts must continue even after their short-form applications are
filed. Commission staff routinely makes available detailed educational materials, such as interactive,
online tutorials, to enhance interested parties’ comprehension of the pre-bidding and bidding processes
and to help applicants minimize their need to engage outside engineers, legal counsel, or other auction
experts.

90 See Auction 114 Comment Public Notice at 2–3, para. 5.
91 Certification Adopted for Auction of Flexible-Use Service Licenses in the in the 3.45–3.55 GHz Band for Next

Generation Wireless Services (Auction 110), AU Docket No. 21-62, Public Notice, 36 FCC Rcd 8444, 8444–46,
paras. 1–7 (OEA/WTB 2021); Auction of Construction Permits for Full Power Television Stations; Notice and
Filing Requirements, Minimum Opening Bids, Upfront Payments, and Other Procedures for Auction 112; Bidding
Scheduled to Begin June 7, 2022, AU Docket No. 21-449, Public Notice, 37 FCC Rcd 1155, 1162–63, paras. 19–23
(OEA/MB 2022) (Auction 112 Procedures Public Notice); Auction of Flexible-Use Licenses in the 2.5 GHz Band for
Next-Generation Wireless Services; Notice and Filing Requirements, Minimum Opening Bids, Upfront Payments,
and Other Procedures for Auction 108; Bidding Scheduled to Begin July 29, 2022, AU Docket No. 20-429, Public
Notice, 37 FCC Rcd 4370, 4381–83, paras. 24–28 (2022) (Auction 108 Procedures Public Notice); Auction of
Advanced Wireless Services (AWS-3) Licenses; Notice and Filing Requirements, Minimum Opening Bids, Upfront
Payments, and Other Procedures for Auction 113; Bidding Scheduled to Begin June 2, 2026, AU Docket
No. 25-117, Public Notice, 40 FCC Rcd 10097, 10123-24, paras. 76–80.
92 See, e.g., Auction of Flexible Use Licenses in the 3.7–3.98 GHz Band for Next-Generation Wireless Services;

Notice and Filing Requirements, Minimum Opening Bids, Upfront Payments, and Other Procedures for
Auction 107; Bidding in Auction 107 Scheduled to Begin December 8, 2020, AU Docket No. 20-25, Public Notice,
35 FCC Rcd 8404, 8407, para. 5 (2020) (Auction 107 Procedures Public Notice).

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80.
For these reasons, we will require each Auction 114 applicant to certify as follows in its
short-form application:
that the applicant has read the public notice adopting procedures for the auction and that
it has familiarized itself both with the auction procedures and with the requirements for
obtaining a construction permit for an FM broadcast station.
81.
An applicant must provide this certification under penalty of perjury, consistent with
section 1.2105(a) of the Commission’s rules.93 This certification must be provided in addition to the
certifications already required under section 1.2105.94 As with the other certifications required in the
short-form application, an applicant’s failure to make this certification in its FCC Form 175 by the
September 30, 2026, short-form filing deadline will render its application unacceptable for filing, and its
application will be dismissed with prejudice.95
C.

Authorized Bidders

82.
An applicant must designate at least one authorized bidder, and no more than three, in its
FCC Form 175. The Commission’s rules prohibit an individual from serving as an authorized bidder for
more than one auction applicant or being listed as an authorized bidder in more than one short-form
application.96
83.
To access the bidding system, each authorized bidder must have an FCC Username
account that is associated with the applicant’s FRN in CORES.97 Each authorized bidder must use its
own unique FCC Username to access the bidding system. The applicant must provide the authorized
bidder’s FCC Username as the email address for that authorized bidder in its FCC Form 175. We will
withhold these email addresses from public disclosure. If an applicant does not provide an FCC
Username that is associated with the applicant’s FRN for an authorized bidder in its FCC Form 175, that
bidder will be unable to place or submit bids. For further details, applicants should refer to the
Auction 114 FCC Form 175 Instructions.
D.

Permit Selection

84.
An applicant must select on its FCC Form 175 all of the construction permits on which it
may want to bid from the list of available permits. An applicant must carefully review and verify its
construction permit selections before the deadline for submitting the FCC Form 175 because those
selections cannot be changed after the initial short-form application filing deadline.98 An applicant is not
required to place bids on any of the permits it selects, but the bidding system will not accept bids for any
permit that the applicant did not select in its FCC Form 175.

93 47 CFR § 1.2105(a)(2).
94 Id. § 1.2105(a)(2)(v)-(xiii).

See Section III.A. “General Information Regarding Short-Form Applications”, above.

95 47 CFR § 1.2105(b)(1).
96 Id. § 1.2105(a)(2)(iii); Updating Part 1 Order, 30 FCC Rcd at 7577, para. 200.
97 The email address associated with an FCC Username account is also the FCC Username for that account.

An
applicant should provide that FCC Username as the unique email address for the authorized bidder in the applicant’s
FCC Form 175. Each authorized bidder must have its own unique FCC Username; authorized bidders cannot share
FCC Usernames or FCC Username accounts. An applicant may designate up to three individuals to serve as an
authorized bidder for the applicant. Thus, an applicant may list up to three authorized bidders in its FCC Form 175,
with each having its own unique email address (FCC Username). Instructions for setting up an FCC Username
account and associating the FCC Username for that account to an FRN are available on the CORES website:
apps.fcc.gov/cores. The Commission will withhold these email addresses—the authorized bidders’ FCC
Usernames—from public disclosure.
98 47 CFR § 1.2105(b)(2).

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Disclosure of Agreements and Bidding Arrangements

85.
An applicant must provide, in its short-form application, a brief description of, and
identify each party to, any partnership, joint venture, consortium, or other agreements, arrangements, or
understandings of any kind relating to the FM construction permits being auctioned, including any
agreement that addresses or communicates directly or indirectly bids (including specific prices), bidding
strategies (including the specific construction permit(s) on which to bid or not to bid), or the post-auction
market structure, to which the applicant, or any party that controls or is controlled by the applicant, is a
party.99 In connection with the agreement disclosure requirement, the applicant must certify under
penalty of perjury in its FCC Form 175 that it has described, and identified each party to, any such
agreements, arrangements, or understandings to which it (or any party that controls it or that it controls) is
a party.100 An auction applicant that enters into any agreement during an auction that relates to the
permits being auctioned is subject to the same disclosure obligations it would have for agreements
existing at the short-form application filing deadline, and it must maintain the accuracy and completeness
of the information in its pending application.101
86.
For purposes of making the required agreement disclosures on the short-form application,
if parties agree in principle on all material terms prior to the application filing deadline, then each party to
the agreement that is submitting an application must provide a brief description of, and identify the other
party or parties to, the agreement on its respective FCC Form 175,102 even if the agreement has not been
reduced to writing.103 Parties that have not agreed in principle by the short-form application filing
deadline should not describe, or include the names of parties to, the discussions on their applications.104
87.
The Commission’s rules generally prohibit joint bidding and other arrangements
involving auction applicants (including any party that controls, or is controlled by, such applicants).105
For purposes of this prohibition, a joint bidding arrangement includes arrangements relating to the permits
being auctioned that address or communicate, directly or indirectly, bidding at the auction, bidding
strategies, including arrangements regarding price or the specific permits on which to bid, and any such
arrangements relating to the post-auction market structure.106
88.
To implement the prohibition on joint bidding arrangements, the Commission’s rules
require each applicant to certify in its short-form application that it has disclosed any arrangements or
understandings of any kind relating to the permits or licenses being auctioned to which it (or any party
that controls or is controlled by it) is a party.107 The applicant must also certify that it (or any party that
99 Id. § 1.2105(a)(2)(viii), (a)(4).

As defined for purposes of this rule, a controlling interest includes all individuals
or entities with positive or negative de jure or de facto control of the applicant or licensee. Id. § 1.2105(a)(4)(i).
100 Id. § 1.2105(a)(2)(viii).
101 See Guidance Regarding the Prohibition of Certain Communications During the Incentive Auction,

Auction 1000, WT Docket No. 12-269, Public Notice, 30 FCC Rcd 10794, 10806–07, para. 34 (WTB 2015)
(Prohibited Communications Guidance Public Notice); see also 47 CFR §§ 1.65, 1.2105(b)(4); Auction of Advanced
Wireless Services (AWS-3) Licenses Scheduled for November 13, 2014; Notice and Filing Requirements, Reserve
Prices, Minimum Opening Bids, Upfront Payments, and Other Procedures for Auction 97, AU Docket No. 14-78,
Public Notice, 29 FCC Rcd 8386, 8418, para. 109 (2014) (Auction 97 Procedures Public Notice) (discussing
applicants’ obligation to maintain accuracy and completeness of information in pending auction applications).
102 47 CFR § 1.2105(a)(2)(viii), (c)(1).
103 See Wireless Telecommunications Bureau Clarifies Spectrum Auction Anti-Collusion Rules, Public Notice, 11

FCC Rcd 9645, 9646 (WTB 1995) (clarifying standard for determining when a disclosable agreement exists,
discussed in connection with an earlier version of section 1.2105 of the Commission’s rules).
104 See id.
105 See 47 CFR § 1.2105(a)(2)(ix); see also Updating Part 1 Order, 30 FCC Rcd at 7569–77, paras. 177–98.
106 See Updating Part 1 Order, 30 FCC Rcd at 7575, para. 195.

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controls or is controlled by it) has not entered and will not enter into any arrangement or understanding of
any kind relating directly or indirectly to bidding at auction with, among others, any other applicant.108
89.
Although the Commission’s rules do not prohibit auction applicants from communicating
about matters that are within the scope of an excepted agreement that has been disclosed in an
FCC Form 175,109 the Commission reminds applicants that certain discussions or exchanges could
nonetheless touch upon impermissible subject matters,110 and that compliance with the Commission’s
rules will not insulate a party from enforcement of the antitrust laws.111
90.
Applicants should bear in mind that a winning bidder will be required to disclose in its
post-auction long-form application (FCC Form 2100, Schedule 301-FM) the specific terms, conditions,
and parties involved in any agreement relating to the construction permits being auctioned into which it
had entered prior to the time bidding was completed.112 This applies to any settlement agreement, joint
venture, partnership, or other agreement, arrangement, or understanding of any kind entered into relating
to the competitive bidding process, including any agreements relating to the construction permits being
auctioned that address or communicate directly or indirectly bids (including specific prices), bidding
(Continued from previous page)
107 47 CFR § 1.2105(a)(2)(viii).
108 “The short-form application must contain . . .

(viii) Certification that the applicant has provided in its application a brief description of, and identified
each party to, any partnerships, joint ventures, consortia or other agreements, arrangements or
understandings of any kind relating to the licenses being auctioned, including any agreements that address
or communicate directly or indirectly bids (including specific prices), bidding strategies (including the
specific licenses on which to bid or not to bid), or the post-auction market structure, to which the
applicant, or any party that controls as defined in paragraph (a)(4) of this section or is controlled by the
applicant, is a party.
(ix) Certification that the applicant (or any party that controls as defined in paragraph (a)(4) of this
section or is controlled by the applicant) has not entered and will not enter into any partnerships, joint
ventures, consortia or other agreements, arrangements, or understandings of any kind relating to the
licenses being auctioned that address or communicate, directly or indirectly, bidding at auction (including
specific prices to be bid) or bidding strategies (including the specific licenses on which to bid or not to
bid), or post-auction market structure with: any other applicant (or any party that controls or is controlled
by another applicant); . . . other than:
(A) Agreements, arrangements, or understandings of any kind that are solely operational as
defined under paragraph (a)(4) of this section;
(B) Agreements, arrangements, or understandings of any kind to form consortia or joint ventures
as defined under paragraph (a)(4) of this section;
(C) Agreements, arrangements or understandings of any kind with respect to the transfer or assignment of
licenses, provided that such agreements, arrangements or understandings do not both relate to the licenses
at auction and address or communicate, directly or indirectly, bidding at auction (including specific prices
to be bid), or bidding strategies (including the specific licenses on which to bid or not to bid), or postauction market structure.”
47 CFR § 1.2105(a)(2)(viii)–(ix); see also Updating Part 1 Order, 30 FCC Rcd at 7570–78, paras. 180–201.
109 47 CFR § 1.2105(a)(2)(viii), (a)(2)(ix)(A)–(C), (c)(1).
110 See Part 1 Third Report and Order, 13 FCC Rcd at 467–68, para. 163; see generally Prohibited Communications

Guidance Public Notice, 30 FCC Rcd 10794.
111 47 CFR § 1.2105(a)(2)(viii), (a)(2)(ix)(A) –(C); see also Updating Part 1 Order, 30 FCC Rcd at 7571, para. 181;

Prohibited Communications Guidance Public Notice, 30 FCC Rcd at 10809, para. 43.
112 47 CFR § 1.2107(d); see also id. § 1.2105(a)(2)(viii), (a)(2)(ix)(A)–(C).

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strategies (including the specific permits on which to bid or not to bid), or the post-auction market
structure, to which the applicant, or any party that controls or is controlled by the applicant, is a party.113
F.

Ownership Disclosure Requirements

91.
Each applicant must comply with the ownership disclosure requirements and provide
information required by sections 1.2105 and 1.2112 of the Commission’s rules.114 Specifically, an
applicant must fully disclose information regarding the real party or parties-in-interest in the applicant or
application and the ownership structure of the applicant, including both direct and indirect ownership
interests of 10% or more, as prescribed in sections 1.2105 and 1.2112.115 Each applicant is responsible
for ensuring that information submitted in its short-form application is complete and accurate.
G.

Foreign Ownership Disclosure Requirements

92.
Section 310 of the Communications Act requires the Commission to review foreign
investment in broadcast station licenses and imposes specific restrictions on who may hold certain types
of broadcast licenses.116 When completing a short-form application, an applicant must disclose
information concerning its foreign ownership. In addition, if an applicant’s foreign ownership exceeds
the benchmark set forth in section 310(b)(4) of the Communications Act, then it may seek to participate in
Auction 114 only if it has filed a section 310(b)(4) petition for declaratory ruling with the Commission
prior to the short-form application filing deadline.117
93.
When submitting its short-form application, an applicant must certify that, as of the filing
deadline, the applicant is in compliance with the foreign ownership restrictions in section 310 of the
Communications Act, is in compliance with the terms and conditions of a section 310(b)(4) declaratory
ruling granted by the Commission, or has filed a petition for declaratory ruling requesting Commission
approval to exceed the foreign ownership benchmark in section 310(b)(4) that is pending before the
Commission.118 An applicant with foreign ownership that necessitates a section 310(b)(4) declaratory
ruling must submit as an attachment to its short-form application a copy of its pending petition for
declaratory ruling or a citation to its previously granted declaratory ruling, whichever is applicable. In
113 Id. § 1.2107(d); see also id. § 1.2105(a)(2)(viii), (a)(2)(ix)(A)–(C).
114 Section 1.2105 requires the disclosure on the FCC Form 175 of the applicant’s ownership information as set forth

in sections 1.2105 and 1.2112. See 47 CFR §§ 1.2105(a)(2)(ii)(B), 1.2112. In addition, each applicant should
ensure that its disclosures comply with the ownership disclosure requirements in the Part 1 rules. See generally
Updating Part 1 Report and Order, 30 FCC Rcd 7493. In certain cases, interest holders disclosable under sections
1.2105 and 1.2112 may differ from attributable interest holders required to be reported by broadcast applicants
under part 73 of the Commission’s rules when filing licensing, assignment and transfer applications, and ownership
reports. Compare 47 CFR § 1.2112 with 47 CFR § 73.3555. For example, insulated interest holders and holders of
non-voting stock/equity may not be attributable under section 73.3555, yet are disclosable under section 1.2112. 47
CFR §§ 1.2112, 73.3555.
115 47 CFR §§ 1.2105, 1.2112.
116 See 47 U.S.C. § 310(a)–(b).

Section 310 applies to applications for initial broadcast licenses and applications for
assignments and transfers of control of broadcast licenses. Id.
117 47 CFR § 1.2105(a)(2)(vi) (“The Commission will accept applications certifying that a request for waiver or

other relief from the requirements of section 310 is pending.”), 1.5000 (providing procedures for submitting
petitions for declaratory ruling seeking relief from section 310(b)(4) of the Communications Act).
118 See id. § 1.2105(a)(2)(v)–(vi).

In completing its short-form application and certifying its compliance with section
310 of the Communications Act, an applicant should carefully review the Commission’s rules implementing its
foreign ownership policies under section 310(b) of the Communications Act and the Commission’s recent
amendments to those rules. See 47 CFR §§ 1.5000–1.5004; 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, GN Docket No. 25-149, Report and Order, FCC 26-3 (Jan. 30, 2026).

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addition, if the applicant has been granted a section (b)(4) declaratory ruling, it must indicate in
its short-form application whether the applicant remains in compliance with the terms and conditions
of that declaratory ruling. Such an applicant must also indicate in its short-form application whether
the facts upon which its declaratory ruling was based have changed and, if they have, the applicant
must explain any such changes and whether and how the applicant remains in compliance with its
declaratory ruling.
Similarly, an applicant whose petition for declaratory ruling is pending before the
Commission must indicate in its short-form application whether the facts contained in its petition
have changed since it was filed and, if they have, the applicant must explain any such changes and
indicate whether the pending petition has been amended to reflect such changes.
Additional
information concerning foreign ownership disclosure requirements is provided in the Auction 114 FCC
Form 175 Instructions.
H.

New Entrant Bidding Credit

94.
To promote the objectives of section 309(j) of the Act and further its long-standing
commitment to the diversification of broadcast facility ownership, the Commission provides a tiered new
entrant bidding credit for broadcast auction applicants with no, or very few, other media interests.119
95.
Applicants that qualify for the new entrant bidding credit are eligible for a bidding credit
in this auction that represents the amount by which a bidder’s winning bid is discounted. Eligibility for
the new entrant bidding credit must be specified in an applicant’s short-form application, which
establishes that applicant’s maximum bidding credit eligibility for Auction 114.120 The size of a new
entrant bidding credit depends on the number of ownership interests in other media of mass
communications that are attributable to the bidder-entity and its attributable interest-holders:
•

A 35% bidding credit will be given to a winning bidder if it, and/or any individual or entity with
an attributable interest in the winning bidder, has no attributable interest in any other media of
mass communications, as defined in section 73.5008;

•

A 25% bidding credit will be given to a winning bidder if it, and/or any individual or entity with
an attributable interest in the winning bidder, has an attributable interest in no more than three
mass media facilities, as defined in section 73.5008;

•

No bidding credit will be given if any of the commonly owned mass media facilities serve the
“same area” as the broadcast permit proposed in the auction, as defined in section 73.5007(b), or
if the winning bidder, and/or any individual or entity with an attributable interest in the winning
bidder, has attributable interests in more than three mass media facilities.121 For purposes of
determining whether a broadcast permit offered in this auction is in the “same area” as an
applicant’s existing mass media facilities, the coverage area of the to-be-auctioned facility is
calculated using maximum class facilities at the FM allotment reference coordinates specified in
Attachment A, not based on any applicant-specified preferred site coordinates for FM
allotments.122

96.
Bidding credits are not cumulative; qualifying applicants receive either the 25% or the
35% bidding credit, but not both.

119 47 CFR § 73.5007.
120 Id. § 73.5007(a).
121 47 CFR §§ 73.5007(b), 73.5008; Policies to Promote Rural Radio Service and to Streamline Allotment and

Assignment Procedures, MB Docket No. 09-52, First Report and Order and Further Notice of Proposed Rule
Making, 25 FCC Rcd 1583, 1609, para. 52 (2010).
122 47 CFR § 73.5007(b)(1)–(3).

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97.
The interests of the applicant, and of any individuals or entities with an attributable
interest in the applicant, in other media of mass communications are considered when determining an
applicant’s eligibility for the new entrant bidding credit.123 Attributable interests are defined in section
73.3555 and note 2 of that section.124 The bidder’s attributable interests, and thus its maximum new
entrant bidding credit eligibility, are determined as of the short-form application filing deadline, which for
Auction 114 is September 30, 2026.125 Each prospective bidder is reminded, however, that events
occurring after the short-form application filing deadline, such as the acquisition of attributable interests
in media of mass communications, may cause diminishment or loss of the bidding credit and must be
reported immediately.126
98.
Under broadcast attribution rules, those entities or individuals with an attributable interest
in a bidder include:
•

all officers and directors of a corporate bidder;

•

any owner of 5% or more of the voting stock of a corporate bidder;

•

all general partners and limited partners of a partnership bidder, unless the limited partners are
sufficiently insulated; and

•

all members of a limited liability company, unless sufficiently insulated.127

99.
In cases where an applicant’s spouse or close family member holds other media interests,
such interests are not automatically attributable to the bidder. The Commission decides attribution issues
in this context based on certain factors traditionally considered relevant.128

123 “Media of mass communications” include both commercial and noncommercial educational (NCE) full-power

broadcast stations. See 47 CFR § 73.5008; see also 47 CFR § 73.3555 note 2.
124 See 47 CFR § 73.3555 note 2; see also id. § 73.5008.
125 See id. § 73.5007(a).

An applicant intending to divest a media interest or make any other ownership change, such
as resignation of positional interests (officer or director) in order to avoid attribution for purposes of qualifying for
the new entrant bidding credit, must have consummated such divestment transactions or have completed such
ownership changes by no later than the FCC Form 175 filing deadline. If, for example, on September 30, 2026, an
auction applicant has a pending or granted application to assign or transfer control of a media interest, the applicant
will not avoid attribution with respect to that interest. To avoid attribution, an applicant must have consummated the
transaction before the FCC Form 175 filing deadline. Thus, an applicant could not qualify for a bidding credit, nor
upgrade a previously claimed bidding credit, based upon ownership or officer/director positional changes occurring
after the short-form application filing deadline.
126 Id. § 73.5007(a).

We remind each applicant of its duty to continuously maintain the accuracy of information
submitted in its auction application. 47 CFR § 1.65; see, e.g., Vermont Tel. Co., Inc., Notice of Apparent Liability
for Forfeiture, 26 FCC Rcd 14130 (EB 2011) (Vermont Telephone Co.) (finding auction applicant apparently liable
for forfeiture in the amount of $34,000 for failing to submit accurate bidding credit information and failing to
maintain the continuing accuracy of bidding credit information in its application for Broadband Radio Service
Auction 86).
127 See 47 CFR § 73.3555 note 2.
128 See Clarification of Commission Policies Regarding Spousal Attribution, MM Docket No. 91–122, Policy

Statement, 7 FCC Rcd 1920 (1992). For a discussion of media attribution rules generally, see Review of the
Commission’s Regulations Governing Attribution of Broadcast and Cable/MDS Interests, MM Docket No. 94-150,
Report and Order, 14 FCC Rcd 12559 (1999) (revising media attribution policies, prior history omitted).

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100.
In the New Entrant Bidding Credit Reconsideration Order,129 the Commission further
refined the eligibility standards for the new entrant bidding credit, judging it appropriate to attribute the
media interests held by very substantial investors in, or creditors of, an applicant claiming new entrant
status. Specifically, the attributable mass media interests held by an individual or entity with an equity
and/or debt interest in an applicant shall be attributed to that bidder for purposes of determining its
eligibility for the new entrant bidding credit, if the equity and debt interests, in the aggregate, exceed 33%
of the total asset value of the applicant, even if such an interest is non-voting.130
101.
In the Diversification Order, the Commission relaxed the equity/debt plus attribution
standard, to allow for higher investment opportunities in entities meeting the definition of “eligible
entities.”131 An “eligible entity” is defined in Note 2(i) of section 73.3555.132 Pursuant to the
Diversification Order, the Commission will allow the holder of an equity or debt interest in the applicant
to exceed the above-noted 33% threshold without triggering attribution provided (1) the combined equity
and debt in the “eligible entity” is less than 50%; or (2) the total debt in the “eligible entity” does not
exceed 80% of the asset value, 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.133
102.
Generally, media interests will be attributable for purposes of the new entrant bidding
credit to the same extent that such other media interests are considered attributable for purposes of the
broadcast multiple ownership rules.134 Attributable interests held by a winning bidder in existing low
power television, television translator, or FM translator facilities, however, will not be counted among the
applicant’s other mass media interests in determining its eligibility for a new entrant bidding credit.135 A
medium of mass communications is defined in section 73.5008(b) of the Commission’s rules.136 Full

129 Implementation of Section 309(j) of the Communications Act – Competitive Bidding for Commercial Broadcast

and Instructional Television Fixed Service Licenses, MM Docket No. 97-234, Memorandum Opinion and Order,
14 FCC Rcd 12541 (1999) (New Entrant Bidding Credit Reconsideration Order).
130 See 47 CFR § 73.5008(c).
131 Promoting Diversification of Ownership in the Broadcasting Services, MM Docket No. 07-294, et al., Report and

Order and Third Further Notice of Proposed Rule Making, 23 FCC Rcd 5922 (2008) (Diversification Order).
132 47 CFR § 73.3555 Note 2(i).

An “eligible entity” shall include 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 CFR § 121.201, and
holds (i) 30% or more of the stock or partnership interests and more than 50% of the voting power of the corporation
or partnership that will own the media outlet; (ii) 15% or more of the stock or partnership interests and more than
50% 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% of the outstanding stock or partnership interests; or (iii) more than
50% of the voting power of the corporation that will own the media outlet if such corporation is a publicly traded
company. See 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, MB Docket No. 14-50, et al.,
Second Report and Order, 31 FCC Rcd 9864, 9982-83, para. 285 & n.858 (2016) (re-adopting the eligible entity
standard for the media attribution rules and new entrant bidding credit after remand by the court).
133 See 47 CFR § 73.5008(c).
134 Further, any bidder asserting new entrant status must have de facto as well as de jure control of the entity

claiming the bidding credit. 47 CFR § 73.5007. Typically, de jure control is evidenced by ownership of at least
50.1% of an entity's voting stock or equivalent level of interest in cases where the bidder is not a corporate entity.
De facto control is determined on a case-by-case basis.
135 47 CFR § 73.5007; Broadcast First Reconsideration Order, 14 FCC Rcd at 8764, para. 75.
136 47 CFR § 73.5008(b).

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service noncommercial educational stations, on both reserved and non-reserved channels, are included
among “media of mass communications” as defined in section 73.5008(b).137
1.

Application Requirements

103.
In addition to the ownership information required pursuant to sections 1.2105 and 1.2112,
applicants seeking a new entrant bidding credit are required to establish on their short-form applications
that they satisfy the eligibility requirements to qualify for the bidding credit.138 In those cases, a
certification under penalty of perjury must be provided in completing the short-form application. An
applicant claiming that it qualifies for a 35% new entrant bidding credit must certify that neither it nor any
of its attributable interest holders has any attributable interests in any other media of mass
communications. An applicant claiming that it qualifies for a 25% new entrant bidding credit must certify
that neither it nor any of its attributable interest holders has any attributable interests in more than three
media of mass communications, and must identify and describe such media of mass communications.139
2.

Unjust Enrichment

104.
Applicants should note that unjust enrichment provisions apply to a winning bidder that
utilizes a bidding credit and subsequently seeks to assign or transfer control of its license or construction
permit to an entity not qualifying for the same level of bidding credit.140
I.

Provisions Regarding Former and Current Defaulters

105.
Pursuant to the rules governing competitive bidding, each applicant must make
certifications regarding whether it is a current or former defaulter or delinquent.141 A current defaulter or
delinquent is not eligible to participate in Auction 114,142 but a former defaulter or delinquent may
participate so long as it is otherwise qualified and makes an upfront payment that is 50% more than would
otherwise be necessary.143 Accordingly, each applicant must certify under penalty of perjury on its FCC
137 Id.; see Minnesota Christian Broadcasters, Inc., Memorandum Opinion and Order, 18 FCC Rcd 614, 615, para. 8

(2003) (Minnesota Christian Broadcasters), aff’d sub nom. Carol DeLaHunt v. FCC, No. 03-1029, slip op., 2004
WL 288606 (D.C. Cir. Feb. 4, 2004); aff’d Minnesota Christian Broadcasters, Inc. v. FCC, 411 F.3d 283 (D.C. Cir.
2005).
138 See 47 CFR §§ 1.2105(a), 73.3555 & note 2, 73.5007, 73.5008.
139 Id. §§ 73.5007, 73.5008.
140 See id. § 73.5007(c).
141 Id. § 1.2105(a)(2)(xi), (xii).
142 An applicant is considered a “current defaulter” or a “current delinquent” when it, any of its affiliates, any of its

controlling interests, or any of the affiliates of its controlling interests, is in default on any payment for any
Commission construction permit or license (including a down payment) or is delinquent on any non-tax debt owed
to any Federal agency as of the filing deadline for auction applications. See Part 1 Fifth Report and Order, 15 FCC
Rcd at 15317, para. 42 & n.142; Wireless Telecommunications Bureau Reminds Prospective Broadband PCS
Spectrum Auction Applicants of Default and Delinquency Disclosure Requirements, Public Notice, 19 FCC Rcd
21920, 21920 (2004) (Auction Default Disclosure Public Notice). This public notice may be found at
www.fcc.gov/auction/58.
143 47 CFR §§ 1.2105(a)(2)(xii), (b)(1), 1.2106(a).

For purposes of evaluating the certifications under sections
1.2105(a)(2)(xi) and (xii), we clarify that “non-tax debt owed to any Federal agency” includes, within the meaning
of the rule, all amounts owed under Federal programs, including contributions to the Universal Service Fund (USF),
Telecommunications Relay Services Fund, and the North American Numbering Plan Administration,
notwithstanding that the administrator of any such fund may not be considered a Federal “agency” under the Debt
Collection Improvement Act of 1996, Pub. L. No. 104-134, 110 Stat. 1321 (1996) (codified in relevant parts at 31
U.S.C. §§ 3716 (administrative offset), 3717 (interest and penalty on claims)); see also 47 CFR §§ 1.1901, 1.1911,
1.1912, 1.1940. For example, an applicant with a past due USF contribution as of the auction application filing
deadline would be disqualified from participating in Auction 114 under the Commission’s rules. 47 CFR
(continued….)

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Form 175 that it, its affiliates, its controlling interests, and the affiliates of its controlling interests are not
in default on any payment for a Commission construction permit or license (including down payments)
and that they are not delinquent on any non-tax debt owed to any Federal agency.144 Additionally, an
applicant must certify under penalty of perjury whether it (along with its controlling interests) has ever
been in default on any payment for a Commission construction permit or license (including down
payments) or has ever been delinquent on any non-tax debt owed to any Federal agency, subject to the
exclusions described below.145 For purposes of making these certifications, the term “controlling interest”
is defined in section 1.2105(a)(4)(i) of the Commission rules.146
106.
Under the Commission’s rule regarding short-form applications by former defaulters, an
applicant is considered a “former defaulter” or a “former delinquent” when, as of the application filing
deadline, the applicant or any of its controlling interests has defaulted on any Commission construction
permit or license or has been delinquent on any non-tax debt owed to any Federal agency, but has since
remedied all such defaults and cured all the outstanding non-tax delinquencies.147 For purposes of the
certification under section 1.2105(a)(2)(xii), the applicant may exclude from consideration any cured
default on a Commission construction permit or license or cured delinquency on a non-tax debt owed to a
Federal agency for which any of the following criteria are met: (1) the notice of the final payment
deadline or delinquency was received more than seven years before the short-form application filing
deadline, (2) the default or delinquency amounted to less than $100,000, (3) the default or delinquency
was paid within two quarters (i.e., six months) after receiving the notice of the final payment deadline or
delinquency, or (4) the default or delinquency was the subject of a legal or arbitration proceeding and was
cured upon resolution of the proceeding.148 With respect to the first exclusion, notice to a debtor may
(Continued from previous page)
§ 1.2105(a)(2)(xi), (b)(1). If, however, the applicant cures the overdue debt prior to the auction application filing
deadline (and such debt does not fall within one of the exclusions described in paragraph 105 of this Public Notice),
then it may be eligible to participate in Auction 114 as a former defaulter under the Commission’s rules. See id.
§§ 1.2105(a)(2)(xii), 1.2106(a). For additional information on upfront payments and related forms, see Section II.E.
“Upfront Payments”, above.
144 47 CFR § 1.2105(a)(2)(xi); see also Part 1 Fifth Report and Order, 15 FCC Rcd at 15317, para. 42 n.142 (“If any

one of an applicant’s controlling interests or their affiliates . . . is in default on any Commission licenses or is
delinquent on any non-tax debt owed to any Federal agency at the time the applicant files it[s] FCC Form 175, the
applicant will not be able to make the certification required by Section 1.2105(a)(2)(x) . . . and will not be eligible to
participate in Commission auctions.”).
145 47 CFR § 1.2105(a)(2)(xii).

Updating Part 1 Report and Order, 30 FCC Rcd at 7568, para. 175 (interpreting the
former defaulter certification in section 1.2105(a)(2)(xii) as applying to applicants and controlling interests).
146 47 CFR § 1.2105(a)(4)(i).
147 47 CFR § 1.2105(a)(2)(xii); Updating Part 1 Report and Order, 30 FCC Rcd at 7568, para. 175.

In 2015, the
Commission narrowed the scope of the individuals and entities to be considered for purposes of the former defaulter
rule. Updating Part 1 Report and Order, 30 FCC Rcd at 7568, para. 175; see 47 CFR § 1.2105(a)(2)(xii), (a)(4).
148 47 CFR § 1.2105(a)(2)(xii), (a)(4); Updating Part 1 Report and Order, 30 FCC Rcd at 7566–68, paras. 173–75.

Additionally, for purposes of the certification required on an FCC Form 175, a debt will not be deemed to be in
default or delinquent until after the expiration of a final payment deadline. See, e.g., Expedited Clarification of
Sections 1.2105(a) and 1.2106(a) of the Commission’s Rules, Letter Order, 19 FCC Rcd 22907, 22907–08 (WTB
2004). Thus, to the extent that the rules providing for payment of a specific federal debt permit payment after an
original payment deadline accompanied by late fee(s), such debts would not be in default or delinquent for purposes
of applying the former defaulter rules until after the late payment deadline. In addition, we provide the following
regarding defaults on Commission licenses: any winning bidder that fails to timely pay its post-auction down
payment or the balance of its final winning bid amount(s) or is disqualified for any reason after the close of an
auction will be in default and subject to a default payment. 47 CFR § 1.2109(c). Commission staff provide
individual notice of the amount of such a default payment as well as procedures and information required by the
Debt Collection Improvement Act of 1996, including the payment due date and any charges, interest, and/or
penalties that accrue in the event of delinquency. See, e.g., 31 U.S.C. §§ 3716, 3717; 47 CFR §§ 1.1911, 1.1912,
1.1940. For purposes of the certifications required on an FCC Form 175, such notice provided by Commission staff
(continued….)

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include notice of a final payment deadline or notice of delinquency and may be express or implied
depending on the origin of any Federal non-tax debt giving rise to a default or delinquency.149
Additionally, for the third exclusion, the date of receipt of the notice of a final default deadline or
delinquency by the intended party or debtor will be used for purposes of verifying receipt of notice.150
107.
In addition to this Public Notice, applicants are encouraged to review previous guidance
on default and delinquency disclosure requirements in the context of the auction short-form application
process.151 Parties are also encouraged to consult with Auctions Division staff if they have any questions
about default and delinquency disclosure requirements.
108.
The Commission considers outstanding debts owed to the United States Government, in
any amount, to be a serious matter. The Commission adopted rules, including a provision referred to as
the “red light rule,” that implement its obligations under the Debt Collection Improvement Act of 1996,
which governs the collection of debts owed to the United States.152 Under the red light rule, applications
and other requests for benefits filed by parties that have outstanding debts owed to the Commission will
not be processed. When adopting that rule, the Commission explicitly declared, however, that its
competitive bidding rules “are not affected” by the red light rule.153 As a consequence, the Commission’s
adoption of the red light rule does not alter the applicability of any of its competitive bidding rules,
including the provisions and certifications of sections 1.2105 and 1.2106, with regard to current and
former defaults or delinquencies.
109.
We remind each applicant, however, that the Commission’s Red Light Display System,
which provides information regarding debts currently owed to the Commission, may not be determinative
of an auction applicant’s ability to comply with the default and delinquency disclosure requirements of
section 1.2105.154 Thus, while the red light rule ultimately may prevent the processing of long-form
applications by auction winners, an auction applicant’s lack of current “red light” status is not necessarily
determinative of its eligibility to participate in an auction (or whether it may be subject to an increased
upfront payment obligation). Moreover, a prospective applicant in Auction 114 should note that any
long-form applications filed after the close of bidding will be reviewed for compliance with the
Commission’s red light rule,155 and such review may result in the dismissal of a winning bidder’s longform application.156 We encourage each applicant to carefully review all records and other available
Federal agency databases and information sources to determine whether the applicant, or any of its
(Continued from previous page)
assessing a default payment arising out of a default on a winning bid constitutes notice of the final payment deadline
with respect to a default on a Commission license.
149 Updating Part 1 Report and Order, 30 FCC Rcd at 7566, para. 173 & n.556.
150 Id. at 7567, para. 173 & n.559.
151 See Auction Default Disclosure Public Notice, 19 FCC Rcd at 21920.
152 Amendment of Parts 0 and 1 of the Commission's Rules; Implementation of the Debt Collection Improvement Act

of 1996 and Adoption of Rules Governing Applications or Requests for Benefits by Delinquent Debtors, MD Docket
No. 02-339, Report and Order, 19 FCC Rcd 6540 (2004) (Debt Collection Report and Order).
153 Id. at 6541, para. 3 n.11 (specifically noting the current defaulter and former defaulter certifications of 47 CFR §

1.2105(a)(2) and stating that “[t]hese rules are not affected by the red light rule”).
154 Auction Default Disclosure Public Notice, 19 FCC Rcd at 21920 (addressing relationship between Commission’s

Red Light Display System and short-form application default and delinquency disclosure requirements for auction
applicants). The red light status of an FRN can be viewed in the FRN Financial section of CORES:
apps.fcc.gov/cores/userLogin.do.
155 Debt Collection Report and Order, 19 FCC Rcd at 6540-41, paras. 1–2, 6541, para. 3 & n.11, 6541–42, paras. 4–

5; see also 47 CFR § 1.1114.
156 Applicants that have their long-form applications dismissed will be deemed to have defaulted and will be subject

to default payments under 47 CFR §§ 1.2104(g) and 1.2109(c).

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affiliates, or any of its controlling interests, or any of the affiliates of its controlling interests, currently
owes or was ever delinquent in the payment of non-tax debt owed to any Federal agency.
J.

Noncommercial Educational Status Election

110.
In the NCE Second Report and Order, the Commission held that applications for
noncommercial educational (NCE) radio stations on non-reserved spectrum, filed during an auction filing
window, will be returned as unacceptable for filing if mutually exclusive with any application for a
commercial station.157 Accordingly, if an FCC Form 175 filed during the Auction 114 filing window
identifying the application’s proposed station as noncommercial educational is mutually exclusive with
any application filed during that window for a commercial station,158 the NCE application will be returned
as unacceptable for filing and the applicant will not be provided with any further opportunity to become
eligible to bid in this auction.159 For this reason, each prospective applicant in this auction should
consider carefully whether it wishes to propose NCE operation for any FM station acquired in this
auction. This NCE election cannot be reversed after the initial application filing deadline.160
K.

Modifications to FCC Form 175
1.

Duty to Maintain Accuracy and Completeness of FCC Form 175

111.
Pursuant to section 1.65 of the Commission’s rules, each applicant has a continuing
obligation to maintain the accuracy and completeness of information furnished in its pending application
to participate in Auction 114.161 Consistent with the requirements for prior broadcast auctions, an
applicant for Auction 114 must furnish additional or corrected information to the Commission within five
business days after a significant occurrence, or amend its FCC Form 175 no more than five business days
after the applicant becomes aware of the need for the amendment.162 In accordance with the
Commission’s rules, an applicant’s obligation to make modifications to a pending auction application in
order to provide additional or corrected information continues beyond the five-day period, even if the
report is not made within the five-day period.163 An applicant is obligated to amend its pending
application even if a reported change may result in the dismissal of the application because it is
subsequently determined to be a major modification.
2.

Modifying an FCC Form 175

112.
As noted above, a party seeking to participate in Auction 114 must file an FCC Form 175
electronically via the Auction Application Portal (AAP) in the Auction Application System (AAS).
During the initial filing window, an applicant will be able to make any necessary modifications to its FCC
157 NCE Second Report and Order, 18 FCC Rcd at 6699-6701, paras. 21–24; see 47 CFR § 73.5002(b).
158 In the NCE Second Report and Order, the Commission determined that short-form applications that do not

identify the facilities proposed in the FCC Form 175 as “noncommercial educational” will be considered, as a matter
of law, applications for commercial broadcast stations. NCE Second Report and Order, 18 FCC Rcd at 6700, para.
22.
159 47 CFR § 73.5002(b); see NCE Second Report and Order, 18 FCC Rcd at 6699–6701, paras. 21–24.
160 47 CFR § 1.2105(b); see NCE Second Report and Order, 18 FCC Rcd at 6700, para. 22.
161 47 CFR §§ 1.65, 1.2105(b)(4).
162 Id. §§ 1.65(b), 1.2105(b)(4);

see Procedural Amendments to Commission Part 1 Competitive Bidding Rules, WT
Docket No. 10-18, Order, 25 FCC Rcd 521, 523, para. 8 (2010) (Part 1 Procedural Amendments Order). Changes
that cause a loss of or reduction in the percentage of bidding credit specified on the originally submitted application
must be reported immediately, and no later than five business days after the change occurs. 47 CFR § 73.5007(a);
see, e.g., Vermont Telephone Co., 26 FCC Rcd at 14130.
163 See Auction 114 FCC Form 175 Instructions for information about submitting modifications to an FCC Form

175 after the initial application filing deadline.

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Form 175 in the AAP. An applicant that has certified and submitted its FCC Form 175 before the close of
the initial filing window may continue to make modifications as often as necessary until the close of that
window; however, the applicant must re-certify and re-submit its FCC Form 175 before the close of the
initial filing window to confirm and effect its latest application changes. After each submission, a
confirmation page will be displayed stating the submission time and submission date.164
113.
An applicant will also be allowed to modify its FCC Form 175 in the AAP, except for
certain fields, during the resubmission filing window and after the release of the public notice announcing
the qualified bidders for an auction. During these times, if an applicant needs to make permissible minor
changes to its FCC Form 175 or must make changes in order to maintain the accuracy and completeness
of its application pursuant to sections 1.65 and 1.2105(b)(4), then it must make the change(s) in the AAP
and re-certify and re-submit its application to confirm and effect the change(s).165
114.
An applicant’s ability to modify its FCC Form 175 in the AAP will be limited between
the closing of the initial filing window and the opening of the application resubmission filing window,
and between the closing of the resubmission filing window and the release of the public notice
announcing the qualified bidders for an auction. During these periods, an applicant will be able to view
its submitted application, but will be permitted to modify only the applicant’s address, responsible party
address, and contact information (e.g., name, address, telephone number) in the AAP. An applicant will
not be able to modify any other pages of the FCC Form 175 in the AAP during these periods. If, during
these periods, an applicant needs to make other permissible minor changes to its FCC Form 175, or
changes to maintain the accuracy and completeness of its application pursuant to sections 1.65 and
1.2105(b)(4), then the applicant must submit a letter briefly summarizing the changes to its FCC
Form 175 via email to [email protected]. The email summarizing the changes must include a subject
line referring to Auction 114 and the name of the applicant, for example, “Re: Changes to Auction 114
Auction Application of XYZ Corp.” Any attachments to the email must be formatted as Adobe®
Acrobat® (PDF) or Microsoft® Word documents. An applicant that submits its changes in this manner
must subsequently modify, certify, and submit its FCC Form 175 electronically in the AAP once it is
again open and available to applicants.
115.
Applicants should also note that even at times when the AAP is open and available to
applicants, the system will not allow an applicant to make certain other permissible changes itself (e.g.,
correcting a misstatement of the applicant’s legal classification).166 If an applicant needs to make a
permissible minor change of this nature, then it must submit a written request by email to the Auctions
Division Chief, via [email protected] requesting that the Commission manually make the change on
the applicant’s behalf. Once Commission staff has informed the applicant that the change has been made
in the AAP, the applicant must then re-certify and re-submit its FCC Form 175 in the AAP to confirm and
effect the change(s).
116.
As with filing the FCC Form 175, any amendment(s) to the application and related
statements of fact must be certified by an authorized representative of the applicant with authority to bind
the applicant. Applicants should note that submission of any such amendment or related statement of fact
164 We advise applicants to retain a copy of this confirmation page.
165 After the initial FCC Form 175 filing deadline, an Auction 114 applicant will be permitted to make only minor

amendments to its application consistent with the Commission’s rules. See 47 CFR § 1.2105(b)(2). See paragraph
38, above, for a discussion of allowable amendments. Minor amendments include any changes that are not major,
such as: the deletion or addition of authorized bidders (to a maximum of three); revision of addresses and telephone
numbers of the applicant, its responsible party, and its contact person; correcting typographical errors; and supplying
or correcting information as requested to support the certifications made in the application. See 47 CFR §
1.2105(b)(2).
166 Specifically, an applicant will not be allowed to modify in the AAP the applicant’s legal classification, the

applicant’s name, or the certifying official after the initial short-form application filing window closes.

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constitutes a representation by the person certifying that he or she is an authorized representative with
such authority and that the contents of the amendment or statement of fact are true and correct.
117.
Applicants must not submit application-specific material through the Commission’s
Electronic Comment Filing System. Further, as discussed below, parties submitting information related
to their applications should use caution to ensure that their submissions do not contain confidential
information or communicate information that would violate section 1.2105(c) or the limited information
procedures adopted for Auction 114. An applicant seeking to submit, outside the AAP, information that
might reflect non-public information, such as an applicant’s permit selection(s), upfront payment amount,
or bidding eligibility, should consider including in its email a request that the filing or portions of the
filing be withheld from public inspection until the end of the prohibition on certain communications
pursuant to section 1.2105(c).
118.
Questions about FCC Form 175 amendments should be directed to the Auctions Division
at [email protected] or (202) 418-0660.
IV.

INFORMATION PROCEDURES AND PROHIBITED COMMUNICATIONS
A.

Information Procedures During the Auction Process

119.
Consistent with past practice in most recent Commission spectrum auctions, we adopt the
proposal to limit information available in Auction 114 in order to discourage unproductive and anticompetitive strategic behavior. 167 Accordingly, we will not identify bidders placing particular bids until
after the bidding has closed. While we generally make available to the public information provided in
each applicant’s short-form application following an initial review by Commission staff, we will not
make public until after bidding has closed: (1) the construction permits that an applicant selects for
bidding in its short-form application,168 (2) the amount of any upfront payment made by or on behalf of an
applicant, (3) any applicant’s bidding eligibility, and (4) any other bidding-related information that might
reveal the identity of the bidder placing a bid.
120.
The limited information procedures used in past auctions have helped safeguard against
potential anticompetitive behavior such as retaliatory bidding and collusion.169 One commenter, Mr.

167 See Auction 114 Comment Public Notice at 3-4, paras. 6-8; see 47 CFR § 1.2104(h). The Commission has

instituted limited information procedures in most recent auctions, including Auction 112, an auction of full power
television stations in 2022. See Auction 112 Procedures Public Notice, FCC Rcd at 1166-67, para. 35. See also,
e.g., Auction 113 Procedures Public Notice at 46, para. 130; Auction 108 Procedures Public Notice at 22, para. 53;
Auction of Flexible-Use Service Licenses in the 3.45–3.55 GHz Band for Next-Generation Wireless Services; Notice
and Filing Requirements, Minimum Opening Bids, Upfront Payments, and Other Procedures for Auction 110;
Bidding in Auction 110 Scheduled to Begin October 5, 2021, AU Docket No. 21-62, Public Notice, 36 FCC Rcd
9272, 9286-87, paras. 37-42 (OEA/WTB 2021) (Auction 110 Procedures Public Notice).
168 An applicant in a broadcast auction that is seeking a new entrant bidding credit and has an attributable interest in

no more than three mass media facilities is required to disclose those facilities in its short-form application and to
indicate whether any such facility is in the “same area” as the permit(s) selected in its short-form application. See 47
CFR § 73.5007(b); see also Auction 114 FCC Form 175 Filing Instructions at 14, para. 66. Because this
information could reveal the permits selected by an applicant, we will also not make public, until after bidding has
closed, any applicant’s response to the question of whether a disclosed existing mass media facility is in the “same
area” as a selected permit.
169 See Auction of AWS-1 and Broadband PCS Licenses Rescheduled for August 13, 2008; Notice and Filing

Requirements, Minimum Opening Bids, Upfront Payments, and Other Procedures for Auction 78, AU Docket No.
08-46, Public Notice, 23 FCC Rcd 7496, 7536, para. 157 (WTB 2008) (recognizing that limited information
procedures may have overall competitive benefits from reduced opportunities for bid signaling, retaliatory bidding,
or other anti-competitive strategic bidding) (Auction 78 Procedures Public Notice); Auction of 700 MHz Band
Licenses Scheduled for July 19, 2011; Notice and Filing Requirements, Minimum Opening Bids, Upfront Payments,
and Other Procedures for Auction 92, AU Docket No. 10-248, Public Notice, 26 FCC Rcd 3342, 3372, para. 128
(continued….)

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Wood, objects to the use of anonymous bidding on the basis that each bidder needs to know the
“capabilities and motivations” of other bidders in order to plan its own bidding strategy.170 In furtherance
of this goal, Mr. Wood proposes that we provide full bidding information about each bidder, including the
construction permits selected by the bidder on its short-form application and its bidding eligibility at the
end of each round, while replacing the bidder’s name with a pseudonym to hide its identity.171 Mr. Wood
also suggests providing a mechanism for a bidder to signal to other bidders when it is done bidding on an
item and would like to be outbid.172
121.
We find that Mr. Wood’s proposals would enable the very types of anti-competitive
strategic bidding behavior that our limited information procedures are intended to prevent. Bidder
identities, even when the bidder is given a pseudonym, allow bidders to send messages with their bids,
making tacit collusion easier. For example, if two bidders at the start of the auction see that they are
competing for the same two permits, they can use bid increments to tacitly indicate which permit they
value more. In this way, the two bidders divide the two permits, and do so at a lower price than they
would have had they each bid against one another based on their respective valuations for each permit.
Likewise, the mechanism that Mr. Wood proposes, by which a bidder can signal to other bidders when it
is done bidding on a permit and would like to be outbid, would facilitate collusion by providing another
channel through which bidders can message one another during bidding.173 Our longstanding limited
information procedures, in combination with the prohibited communications rule, are generally designed
to deter collusion and other types of undesirable strategic bidding, to ensure that auction participants bid
in a straightforward manner, and that the licenses or permits are won by the bidder that values them the
most. Therefore, we decline to adopt Mr. Wood’s proposals. On the whole, the competitive benefits
associated with limiting information disclosure support adoption of such procedures and outweigh any
perceived benefits of full disclosure.174
122.
Under the limited information procedures (sometimes also referred to as anonymous
bidding) we adopt herein, after the close of each round of bidding in Auction 114, we will make public
for each permit the current provisionally winning bid amount, the minimum acceptable bid amount for the
following round, and the number of new bids placed on the permit during the round.175 These reports will
be publicly accessible.
123.
Throughout the auction, we will provide bidders with secure access to certain non-public
bidding information while bidding is ongoing. For example, bidders will be able to view their own level
of eligibility during the auction.
124.
After the close of bidding, bidders’ permit selections, upfront payment amounts, bidding
eligibility, bids, and other bidding-related information will be made publicly available.176
(Continued from previous page)
(WTB 2011) (finding that the competitive benefits associated with limited information disclosure procedures
support adoption of such procedures) (Auction 92 Procedures Public Notice).
170 Wood Comments at 6, para 18.
171 Id. at 7, para. 19.
172 Id. at 7, para. 21.
173 Furthermore, we believe that replacing a bidder’s name with a pseudonym will often fail to conceal that bidder’s

identity. In localized broadcast markets, bidders are likely to have some prior knowledge of who their competitors
are. Pairing that ex-ante knowledge with the complete set of permits chosen by a bidder and that bidder’s eligibility,
the latter of which can be a signal for the bidder’s financial resources, could render the pseudonym ineffective.
174 See Auction 78 Procedures Public Notice 23 FCC Rcd at 7536, para. 157.
175 See Auction 114 Comment Public Notice at 8, para. 25.
176 See id. at 4, para. 8.

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125.
We warn applicants that direct or indirect communication to other applicants or the
public disclosure of non-public information (e.g., reductions in eligibility, identities of bidders) could
violate the Commission’s rule prohibiting certain communications.177 Therefore, to the extent an
applicant believes that such a disclosure is required by law or regulation, including regulations issued by
the U.S. Securities and Exchange Commission (SEC), we strongly urge that the applicant consult with
Commission staff in the Auctions Division before making such disclosure.
B.

Prohibited Communications and Compliance with Antitrust Laws

126.
The rules prohibiting certain communications set forth in sections 1.2105(c) and
73.5002(d) of the rules apply to each “applicant” in Auction 114.178 Section 1.2105(c)(1) of the
Commission’s rules provides that, subject to specified exceptions, after the deadline for filing a shortform application, all applicants are prohibited from cooperating or collaborating with respect to,
communicating with or disclosing, to each other in any manner the substance of their own, or each
other’s, or any other applicant’s bids or bidding strategies (including post-auction market structure), or
discussing or negotiating settlement agreements, until after the down payment deadline.179
1.

Entities Subject to Section 1.2105(c)

127.
An “applicant” for purposes of this rule includes all “controlling interests” in the entity
submitting the short-form application, as well as all holders of interests amounting to 10% or more of the
entity (including institutional investors and asset management companies), and all officers and directors
of that entity.180 Under section 1.2105(c), a party that submits an application becomes an “applicant”
under the rule at the short-form application filing deadline, and that status does not change based on later
developments, including failure to become a qualified bidder.181
2.

Prohibition Applies Until Down Payment Deadline

128.
The prohibition in section 1.2105(c) on certain communications begins at an auction’s
short-form application filing deadline and ends at the auction’s down payment deadline after the auction
closes, which will be announced in a future public notice.182 To be clear, communications that occur even
after bidding has ended and the auction has closed, but before the down payment deadline, are still subject
to section 1.2105(c).183

177 See 47 CFR § 1.2105(c). See Section IV.B., “Prohibited Communications and Compliance with Antitrust Laws”,

below, for more information regarding compliance with the prohibited communications rule.
178 47 CFR §§ 1.2105(c), 73.5002(d).
179 47 CFR § 1.2105(c)(1).
180 47 CFR § 1.2105(c)(5)(i).
181 See Star Wireless, LLC v. FCC, 522 F.3d 469, 474-75 (D.C. Cir. 2008).

Thus, an auction applicant that does not
correct deficiencies in its application, fails to submit a timely and sufficient upfront payment, or does not otherwise
become qualified, remains an “applicant” for purposes of the rule and remains subject to the prohibition on certain
communications until the applicable down payment deadline.
182 47 CFR § 1.2105(c)(1).
183 Indeed, the Commission has recently taken enforcement action against such communications by auction

participants in the context of the Commission’s analogous prohibited communications rule for universal service
auctions, 47 CFR § 1.21002(b). See LTD Broadband LLC, Notice of Apparent Liability, 37 FCC Rcd 5736 (EB
2022) (post-Auction 904 communications to an applicant regarding LTD’s winning bids); AMG Technology
Investment Group, LLC, Forfeiture Order, 39 FCC Rcd 3953 (EB 2024) (post-Auction 903 communications
regarding AMG’s winning bids).

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Scope of Prohibition on Certain Communications; Prohibition on Joint
Bidding Agreements

129.
Section 1.2105(c) of the Commission’s rules prohibits certain communications between
applicants for an auction, regardless of whether the applicants seek permits in the same geographic area or
market.184 The rule also prohibits any “joint bidding arrangements,” including arrangements relating to
the permits being auctioned that address or communicate, directly or indirectly, bidding at the auction,
bidding strategies, including arrangements regarding price or the specific permits on which to bid, and
any such arrangements relating to the post-auction market structure.185 The rule allows for limited
exceptions for communications within the scope of any arrangement consistent with the exclusion from
the Commission’s rule prohibiting joint bidding, provided such arrangement is disclosed on the
applicant’s short-form application.186 Applicants may communicate pursuant to any pre-existing
agreements, arrangements, or understandings relating to the permits being auctioned that are solely
operational or that provide for the transfer or assignment of permits, provided that such agreements,
arrangements, or understandings are disclosed on their application and do not both relate to the permits at
auction and address or communicate bids (including amounts), bidding strategies, or the particular
permits on which to bid or the post-auction market structure.187
130.
In addition to express statements of bids and bidding strategies, the prohibition against
communicating “in any manner” includes public disclosures as well as private communications and
indirect or implicit communications.188 Consequently, an applicant must take care to determine whether
its auction-related communications may reach another applicant.189
131.
Parties subject to section 1.2105(c) should take special care in circumstances where their
officers, directors, and employees may receive information directly or indirectly relating to any
applicant’s bids or bidding strategies, even if the officers, directors, or employees are not involved in their
company’s participation in the auction or if the information received is wholly unsolicited.190 Such
information may be deemed to have been received by the applicant under certain circumstances. For
example, Commission staff have found that, where an individual serves as an officer and director for two
or more applicants, the bids and bidding strategies of one applicant are presumed to be conveyed to the
other applicant through the shared officer, which creates an apparent violation of the rule.191
184 47 CFR § 1.2105(a)(2)(ix), (c)(1); see Updating Part 1 Report and Order, 30 FCC Rcd at 7577, para. 199.
185 47 CFR § 1.2105(a)(2)(ix); see Updating Part 1 Report and Order, 30 FCC Rcd at 7575, para. 195.
186 47 CFR § 1.2105(a)(2)(viii), (ix)(A)–(C); see Updating Part 1 Report and Order, 30 FCC Rcd at 7576–77, paras.

197–99.
187 47 CFR § 1.2105(a)(2)(ix)(A)–(C); see Updating Part 1 Report and Order, 30 FCC Rcd at 7576–77, paras. 197–

99; see generally Prohibited Communications Guidance Public Notice, 30 FCC Rcd 10794 (providing further
guidance on complying with the rule).
188 See Prohibited Communications Guidance Public Notice, 30 FCC Rcd at 10795, para. 2; Cascade Access, LLC,

Forfeiture Order, 28 FCC Rcd 141, 144, para. 7 (EB 2013) (rejecting argument that the communication was not
prohibited because it did not reveal the “substance” of Cascade’s bids or bidding strategies).
189 We remind applicants that they must determine whether their communications with other parties are permissible

under the rule once the prohibition begins at the deadline for submitting applications, even before the public notice
identifying applicants is released.
190 See generally AT&T Services, Inc., Forfeiture Order, 39 FCC Rcd 3943, 3947–48 & n.40, para. 9 (EB 2024)

(“[T]here is no provision in the rule that the communication must be received by an applicant’s authorized bidder(s)
or bidding team for a prohibited communication to occur.”).
191 See, e.g., Letter to Auction 109 Applicant Paul S. Alexander, Jr. Concerning Non-Qualified Status, AU Docket

No. 21-39, Letter Order, 36 FCC Rcd 10262, 10265–66 (OEA/MB 2021) (finding a violation of the prohibited
communications rule where an individual applicant reported being the officer of another applicant).

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132.
Subject to the limited exceptions for communications within the scope of any
arrangement consistent with the exclusion from the Commission’s rule prohibiting joint bidding, section
1.2105(c)(1) prohibits applicants from communicating with specified other parties only with respect to
“their own, or each other’s, or any other applicant’s bids or bidding strategies.”192 The Prohibited
Communications Guidance Public Notice released in advance of the Broadcast Incentive Auction
(Auction 1000) reviewed the scope of the prohibition generally, as well as specific variations on the
prohibition that were unique to Auction 1000. As the Commission explained therein, a communication
conveying “bids or bidding strategies (including post-auction market structure)” must also relate to the
“[permits] being auctioned” in order to be covered by the prohibition.193 Thus, the prohibition is limited
in scope and does not apply to all communications between or among the specified parties. The
Commission consistently has made clear that application of the rule prohibiting communications has
never required total suspension of essential ongoing business.194 Entities subject to the prohibition may
negotiate agreements during the prohibition period, provided that the communications involved do not
relate to both: (1) the licenses or permits being auctioned and (2) bids or bidding strategies or postauction market structure.195
133.
Accordingly, business discussions and negotiations that are unrelated to bidding in
Auction 114 and that do not convey information about the bids or bidding strategies of an applicant,
including the post-auction market structure, are not prohibited by the rule.196 Moreover, not all auctionrelated information is covered by the prohibition. For example, communicating merely whether a party
has or has not applied to participate in Auction 114 will not violate the rule.197 In contrast,
communicating, among other things, how a party will participate, including whether or not a party plans
to submit an upfront payment and the upfront payment amount, specific bid amounts, and/or whether or
not the party is placing or intends to place bids, would convey bids or bidding strategies and would be
prohibited.198
134.
While section 1.2105(c) does not prohibit business discussions and negotiations among
auction applicants that are unrelated to the auction, each applicant must remain vigilant not to
communicate, directly or indirectly, information that affects, or could affect, bids or bidding strategies.
Certain discussions, even if they do not directly address the permits offered in Auction 114, still might
touch upon subject areas that relate to bids and bidding strategies or to post-auction market structure,
which could convey price or geographic information related to bidding strategies. Such subject areas
include, but are not limited to, management, sales, local marketing agreements, and other transactional
agreements.
135.
We caution applicants that bids or bidding strategies may be communicated outside
situations that involve one party subject to the prohibition communicating privately and directly with
another such party. For example, the Commission has warned that prohibited “communications
concerning bids and bidding strategies may include communications regarding capital calls or requests for
additional funds in support of bids or bidding strategies to the extent such communications convey
information concerning the bids and bidding strategies directly or indirectly.”199 Moreover, the
192 47 CFR § 1.2105(c)(1).
193 Prohibited Communications Guidance Public Notice, 30 FCC Rcd at 10806, para. 33.
194 See, e.g., Expanding the Economic and Innovation Opportunities of Spectrum Through Incentive Auctions, GN

Docket No. 12-268, Report and Order, 29 FCC Rcd 6567, 6770–71, para. 492 (2014).
195 Prohibited Communications Guidance Public Notice, 30 FCC Rcd at 10806–07, paras. 33–34.
196 Id. at 10806, para. 32.
197 See id. at 10796, paras. 6–7 (interpreting similar rule language in 47 CFR § 1.2205).
198 See id. at 10796–97, paras. 8–9.

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Commission found a violation of the rule against prohibited communications when an applicant used the
Commission’s bidding system to disclose “its bidding strategy in a manner that explicitly invited other
auction participants to cooperate and collaborate . . . in specific markets,”200 and it has placed auction
participants on notice that the use of its bidding system “to disclose market information to competitors
will not be tolerated and will subject bidders to sanctions.”201
136.
Likewise, when completing a short-form application, each applicant should avoid any
statements or disclosures that may violate section 1.2105(c), particularly in light of the limited
information procedures in effect for Auction 114. Specifically, an applicant should avoid including any
information in its short-form application that might convey information regarding its permit selections,
such as referring to certain markets when describing agreements, including any information in application
attachments that will be publicly available that may otherwise disclose the applicant’s permit selections,
or using applicant names that refer to permits being offered.
137.
Applicants also should be mindful that communicating non-public application or bidding
information publicly or privately to another applicant may violate section 1.2105(c) even though that
information subsequently may be made public during later periods of the application or bidding
processes.
4.

Communicating with Third Parties

138.
Section 1.2105(c) does not prohibit an applicant from communicating bids or bidding
strategies to a third party, such as a consultant or consulting firm, counsel, or lender. An applicant should
take appropriate steps, however, to ensure that any third party it employs for advice pertaining to its bids
or bidding strategies does not become a conduit for prohibited communications to other specified parties,
as that would violate the rule.202 For example, an applicant might require a third party, such as a lender,
to sign a non-disclosure agreement before the applicant communicates any information regarding bids or
bidding strategy to the third party.203 Within third-party firms, separate individual employees, such as
attorneys or auction consultants, may advise individual applicants on bids or bidding strategies, as long as
such firms implement firewalls and other compliance procedures that prevent such individuals from
communicating the bids or bidding strategies of one applicant to other individuals representing separate
applicants.204 Although firewalls and/or other procedures should be used, their existence is not an
absolute defense to liability for violating the rule.205

(Continued from previous page)
199 Implementation of Section 309(j) of the Communications Act—Competitive Bidding, PP Docket No. 93-253,
Memorandum Opinion and Order, 9 FCC Rcd 7684, 7689, para. 12 (1994) (Competitive Bidding Memorandum
Opinion and Order).
200 Mercury PCS II, LLC, Notice of Apparent Liability for Forfeiture, 12 FCC Rcd 17970, 17976, para. 17 (1997).
201 Mercury PCS II, LLC, Memorandum Opinion and Order, 13 FCC Rcd 23755, 23760, para. 11 (1998).
202 See, e.g., Prohibited Communications Guidance Public Notice, 30 FCC Rcd at 10798, para. 13 (interpreting

similar rule language in 47 CFR § 1.2205).
203 Id.
204 Id.; see Application of Nevada Wireless for a License to Provide 800 MHz Specialized Mobile Radio Service in

the Farmington, NM-CO Economic Area (EA 155) Frequency Band A, Memorandum Opinion and Order, 13 FCC
Rcd 11973, 11978, para. 12 (WTB 1998) (Nevada Wireless Order) (strongly encouraging applicants to implement
any firewall procedures necessary and to provide information in their auction applications regarding the procedures).
205 See Prohibited Communications Guidance Public Notice, 30 FCC Rcd at 10799, para. 14; Nevada Wireless

Order, 13 FCC Rcd at 11978, para. 13.

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139.
As the Commission has noted in other spectrum auctions, in the case of an individual, the
objective precautionary measure of a firewall is not available.206 As a result, an individual that is privy to
bids or bidding information of more than one applicant presents a greater risk of becoming a conduit for a
prohibited communication.207 We will take the same approach to interpreting the prohibited
communications rule in Auction 114. We emphasize that whether a prohibited communication has taken
place in a given case will depend on all the pertinent facts, including who possessed what information,
what information was conveyed to whom, and the course of bidding in the auction.208
140.
We remind potential applicants that they may discuss the short-form application or bids
for specific permits with the counsel, consultant, or expert of their choice before the short-form
application deadline. Furthermore, the same third-party individual could continue to give advice after the
short-form application deadline regarding the application, provided that no information pertaining to bids
or bidding strategies, including permits selected on the short-form application, is conveyed to that
individual from any of the applicants the individual advises. We remind potential applicants, however,
that no person may serve as an authorized bidder for more than one applicant in Auction 114.209
141.
Applicants also should use caution in their dealings with other parties, such as members
of the press, financial analysts, or others who might become conduits for the communication of prohibited
bidding information. For example, even though communicating that it has applied to participate in this
auction will not violate the rule, an applicant’s statement to the press or a statement on social media that it
intends to stop bidding or does not intend to bid at all in an auction could give rise to a finding of a
section 1.2105 violation.210 Similarly, an applicant’s public statement of intent not to place bids during
bidding in Auction 114 could also violate the rule.
5.

Section 1.2105(c) Certifications

142.
By electronically submitting its FCC Form 175, each applicant for Auction 114 certifies
its compliance with section 1.2105(c) and 73.5002(d) of the rules.211 The mere filing of a certifying
statement as part of an application, however, will not outweigh specific evidence that a prohibited
communication has occurred, nor will it preclude the initiation of an investigation when warranted.212
Any applicant found to have violated these communication prohibitions may be subject to sanctions.213

206 See, e.g., Auction 108 Procedures Public Notice, 37 FCC Rcd at 4396, para. 73 & n.169 (citing Prohibited

Communications Guidance Public Notice, 30 FCC Rcd at 10800, para. 15).
207 Prohibited Communications Guidance Public Notice, 30 FCC Rcd at 10800, para. 15.
208 See id.
209 47 CFR § 1.2105(a)(2)(iii).
210 Cf. Wireless Telecommunications Bureau Responds to Questions About the Local Multipoint Distribution Service

Auction, Public Notice, 13 FCC Rcd 341, 347–48 (WTB 1998) (“Public statements can give rise to collusion
concerns. This has occurred in the antitrust context, where certain public statements can support other evidence
which tends to indicate the existence of a conspiracy.”).
211 See 47 CFR § 1.2105(a)(2)(ix).

In accordance with the Updating Part 1 Report and Order, if an applicant has a
non-controlling interest with respect to more than one application, then the applicant must certify that it has
established internal control procedures to preclude any person acting on behalf of the applicant from possessing
information about the bids or bidding strategies of more than one applicant or communicating such information with
respect to either applicant to another person acting on behalf of and possessing such information regarding another
applicant. Updating Part 1 Report and Order, 30 FCC Rcd at 7577, para. 199.
212 Updating Part 1 Report and Order, 30 FCC Rcd at 7577, para. 199; Nevada Wireless Order, 13 FCC Rcd at

11978, para. 13; see also Competitive Bidding Memorandum Opinion and Order, 9 FCC Rcd at 7689, para. 12.
213 See 47 CFR §§ 1.2105(c), 1.2107(d), 1.2109(d).

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Duty to Report Prohibited Communications

143.
Section 1.2105(c)(4) requires that any applicant that makes or receives a communication
that appears to violate section 1.2105(c) must report such communication in writing to the Commission
immediately, and in no case later than five business days after the communication occurs.214 Each
applicant’s obligation to report any such communication continues beyond the five-day period after the
communication is made, even if the report is not made within the five-day period.215
7.

Procedures for Reporting Prohibited Communications

144.
A party reporting any information or communication pursuant to sections 1.65(a),
1.2105(a)(2), or 1.2105(c)(4) must take care to ensure that any report of a prohibited communication does
not itself give rise to a violation of section 1.2105(c). For example, a party’s report of a prohibited
communication could violate the rule by communicating prohibited information to other parties specified
under the rule through the use of Commission filing procedures that allow such materials to be made
available for public inspection.
145.
An applicant must file only a single report concerning a prohibited communication and
must file that report with the Commission personnel expressly charged with administering the
Commission’s auctions.216 This rule is designed to minimize the risk of inadvertent dissemination of
information in such reports.217 Any reports required by section 1.2105(c) must be filed consistent with
the instructions set forth in this Public Notice.218 For Auction 114, such reports must be submitted to the
Chief of the Auctions Division, Office of Economics and Analytics, by email to [email protected]. If
you have any questions about filing such a report, contact Auctions Division staff at [email protected]
or (202) 418-0660 for further guidance.
146.
Given the potential competitive sensitivity of public disclosure of information in such a
report, a party seeking to report such a prohibited communication should consider submitting its report
with a request that the report or portions of the submission be withheld from public inspection by
following the procedures specified in section 0.459 of the Commission’s rules.219 We encourage such
parties to coordinate with the Auctions Division staff about the procedures for submitting such reports.220
8.

Additional Information Concerning Prohibition on Certain
Communications in Commission Auctions

147.
A summary listing of documents issued by the Commission and OEA/MB addressing the
application of section 1.2105(c) is available on the Commission’s auction web page at

214 Id. § 1.2105(c)(4); Part 1 Seventh Report and Order, 16 FCC Rcd at 17553–55, paras. 13–17.
215 See Service Rules for the 698–746, 747–762 and 777–792 MHz Bands et al., WT Docket No. 06-150 et al.,

Second Report and Order, 22 FCC Rcd 15289, 15395, paras. 285–86 (2007); see also 47 CFR § 1.65(a); Part 1
Seventh Report and Order, 16 FCC Rcd at 17550–51, para. 9; Part 1 Procedural Amendments Order, 25 FCC Rcd
at 523, para. 8.
216 Part 1 Procedural Amendments Order, 25 FCC Rcd at 522, para. 4.

This process differs from filing procedures
used in connection with other Commission rules and processes, which may call for submission of filings to the
Commission’s Office of the Secretary or ECFS. Filing through the Office of Secretary or ECFS could allow the
report to become publicly available and might result in the communication of prohibited information to other
auction applicants.
217 Id.
218 47 CFR § 1.2105(c)(4).
219 See 47 CFR § 0.459.
220 See Section VIII. “Contact Information”, below, for contact information for the Auctions Division staff.

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www.fcc.gov/summary-listing-documents-addressing-application-rule-prohibiting-certaincommunications.
9.

Antitrust Laws

148.
Regardless of compliance with the Commission’s rules, applicants remain subject to the
antitrust laws, which are designed to prevent anticompetitive behavior in the marketplace.221 Compliance
with the disclosure requirements of section 1.2105(c)(4) will not insulate a party from enforcement of the
antitrust laws.222 For instance, a violation of the antitrust laws could arise out of actions taking place well
before any party submits a short-form application.223 The Commission has cited a number of examples of
potentially anticompetitive actions that would be prohibited under antitrust laws: for example, actual or
potential competitors may not agree to divide territories in order to minimize competition, regardless of
whether they split a market in which they both do business, or whether they merely reserve one market
for one and another market for the other.224
149.
To the extent we become aware of specific allegations that suggest that violations of the
federal antitrust laws may have occurred, we may refer such allegations to the United States Department
of Justice for investigation.225 If an applicant is found to have violated the antitrust laws or the
Commission’s rules in connection with its participation in the competitive bidding process, then it may be
subject to a forfeiture and may be prohibited from participating further in Auction 114 and in future
auctions, among other sanctions.226
V.

BIDDING
A.

Auction Structure
1.

Simultaneous Multiple-Round Auction

150.
In the Auction 114 Comment Public Notice, we proposed to auction all construction
permits listed in Attachment A of this Public Notice in a single auction using the Commission’s standard
simultaneous multiple-round auction format.227 This type of auction offers every construction permit for
bid at the same time and consists of successive bidding rounds in which qualified bidders may place bids
on individual construction permits. We received no comment on this proposal, and this proposal is
adopted. Unless otherwise announced, bids will be accepted on all construction permits in each round of
the auction until bidding stops on every construction permit.
2.

FCC Auction Bidding System

151.
All bidding will take place remotely either through the FCC Auction Bidding System
(bidding system) or by telephonic bidding. Please note that telephonic bid assistants are required to use a
script when entering bids placed by telephone. Telephonic bidders are therefore reminded to allow

221 See, e.g., Amendment of Part 1 of the Commission’s Rules—Competitive Bidding Procedures, WT Docket No.

97-82, Third Further Notice of Proposed Rulemaking, 14 FCC Rcd 21558, 21560–61, para. 4 & n.17 (1999).
222 See Competitive Bidding Memorandum Opinion and Order, 9 FCC Rcd at 7689, para. 12; see also Press Release,

Dep’t of Justice, Justice Department Sues Three Firms Over FCC Auction Practices (Nov. 10, 1998),
www.justice.gov/archive/atr/public/press_releases/1998/2068.htm.
223 See, e.g., Implementation of Section 309(j) of the Communications Act—Competitive Bidding, PP Docket No. 93-

253, Fourth Memorandum Opinion and Order, 9 FCC Rcd 6858, 6869, para. 59 & n.125 (1994).
224 Id.
225 Competitive Bidding Second Report and Order, 9 FCC Rcd at 2388, para. 226.
226 Id.; 47 CFR § 1.2109(d).
227 Auction 114 Comment Public Notice at 7, para. 19.

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sufficient time to bid by placing their calls well in advance of the close of a round. The length of a call to
place a telephonic bid may vary; please allow a minimum of ten minutes.
152.
An Auction 114 bidder’s ability to bid on specific construction permits is determined by
two factors: (1) the construction permits selected by that applicant in its FCC Form 175 and (2) the
bidder’s bidding eligibility measured in bidding units. The bidding system will allow bidders to submit
bids on only those construction permits the bidder selected on its FCC Form 175.
153.
In order to access the bidding function of the bidding system, bidders must be logged in
during a bidding round using the passcode generated by the RSA token and a personal identification
number (PIN) created by the bidder. Bidders are strongly encouraged to print their bid summary for each
round after they have completed all of their activity for that round.
3.

Availability of Bidding Information

154.
As discussed above, in the Auction 114 Comment Public Notice, we proposed to employ
limited information procedures for Auction 114, including limiting the availability of bidding information
during the auction, and we adopt that proposal here.228 Limited information about the results of a round
will be made public after the conclusion of the round. Specifically, after a round closes, we will make
available for each construction permit its current provisionally winning bid amount, the minimum
acceptable bid amount for the following round, and the number of new bids placed on the permit during
the round. The reports will be publicly accessible. Moreover, after Auction 114 closes, we will make
available complete reports of all bids placed during each round of the auction that include bidder
identities.
155.
As in past Commission spectrum auctions, bidders will have secure access to certain nonpublic bidding information while bidding is ongoing. Specifically, after each round ends, and before the
next round begins, we will make the following information available to individual bidders:
•

The bidder’s activity, based on all bids in the previous round; and

•

Summary statistics of the bidder’s bidding/bid-related actions in each round, including
the construction permits on which it bid and the price it bid for each of those construction
permits, the result of each of its bids, whether it has any provisionally winning bids, and
remaining activity rule waivers.

156.
As discussed more fully above,229 limiting the availability of bidding information during
the auction balances our interest in providing bidders with sufficient information about the status of their
own bids and bidding across all construction permits to allow them to bid confidently and effectively,
while restricting the availability of information that may facilitate identification of bidders placing
particular bids, which could potentially lead to undesirable strategic bidding.230
4.

Round Structure

157.
The first round of bidding for Auction 114 will begin on Tuesday, February 2, 2027. The
initial bidding schedule will be announced in a public notice listing the qualified bidders, which is
released at least one week before the start of bidding in the auction. Each bidding round is followed by
the release of round results. Multiple bidding rounds may be conducted each day.
228 See Section IV.A., “Information Procedures During the Auction Process,” above, for a discussion of a comment

received in response to our proposal to employ limited information procedures.
229 Id.
230 See, e.g., Auction 78 Procedures Public Notice, 23 FCC Rcd at 7536, para. 157 (noting that limited information

procedures reduce opportunities for bid signaling, retaliatory bidding, and other anti-competitive strategic bidding);
Auction 92 Procedures Public Notice, 26 FCC Rcd at 3372, para. 128 (finding that competitive benefits of
anonymous bidding supports its use).

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158.
In the Auction 114 Comment Public Notice, we proposed to retain the discretion to
change the bidding schedule in order to foster an auction pace that reasonably balances speed with the
bidders’ need to study round results and adjust their bidding strategies.231 We received no comment on
these proposals, and we adopt them for Auction 114. We may change the amount of time for the bidding
rounds, the amount of time between rounds, or the number of rounds per day, depending upon bidding
activity and other factors, by prior announcement.
5.

Eligibility and Activity Rules

159.
As discussed above, we will use upfront payments to determine initial (maximum)
bidding eligibility (as measured in bidding units) for Auction 114.232 The amount of the upfront payment
submitted by a bidder determines initial bidding eligibility, the maximum number of bidding units on
which a bidder may be active (bid or hold provisionally winning bids) in a given round. As noted earlier,
each construction permit is assigned a specific number of bidding units as listed in Attachment A.
Bidding units assigned to each construction permit do not change as prices rise during the auction.
Upfront payments are not attributed to specific construction permits. Rather, a bidder may place bids on
any of the construction permits selected on its FCC Form 175 as long as the total number of bidding units
associated with those construction permits does not exceed the bidder’s current eligibility. Eligibility
cannot be increased during the auction; it can only remain the same or decrease. Thus, in calculating its
upfront payment amount, an applicant must determine the maximum number of bidding units on which it
may wish to bid or hold provisionally winning bids in any single round, and submit an upfront payment
amount covering that total number of bidding units. At a minimum, an applicant’s upfront payment must
cover the bidding units for at least one of the construction permits it selected on its short-form application.
The total upfront payment does not affect the total dollar amount a bidder may bid on any given
construction permit. We received no comments on the bidding eligibility proposals, and these proposals
are adopted.
160.
To ensure that an auction closes within a reasonable period of time, an activity rule
requires bidders to bid actively throughout the auction, rather than wait until late in the auction before
participating. Bidders are required to be active (bid or hold provisionally winning bids) on a specified
percentage of their current bidding eligibility during each round of the auction. A bidder’s activity level
in a round is the sum of the bidding units associated with construction permits covered by the bidder’s
new bids in the current round233 and provisionally winning bids from the previous round.234 The
minimum required activity is expressed as a percentage of the bidder’s current eligibility. Failure to
maintain the requisite activity level will result in the use of an activity rule waiver, if any remain, or a
reduction in the bidder’s eligibility, possibly curtailing or eliminating the bidder’s ability to place
additional bids in the auction.235
161.
In the Auction 114 Comment Public Notice, we proposed that in each bidding round, a
bidder seeking to maintain its current bidding eligibility be required to be active on 100% of its bidding
eligibility. No commentors objected to this proposal, and we adopt it for Auction 114.236

231 Auction 114 Comment Public Notice at 7–8, para. 21.
232 See Section II.E.3., “Upfront Payments and Bidding Eligibility,” above.
233 Bidding units associated with construction permits for which the bidder has removed bids do not count towards

current activity.
234 Provisionally winning bids are bids that would become final winning bids if the auction were to close after the

given round. For more details, see Section V.B.2., “Provisionally Winning Bids,” below.
235 See Section V.A.6., “Activity Rule Waivers,” below.

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Activity Rule Waivers

162.
In the Auction 114 Comment Public Notice, we proposed that each bidder in the auction
be provided with three activity rule waivers, which are principally a mechanism for a bidder to avoid the
loss of bidding eligibility in the event that exigent circumstances prevent it from bidding in a particular
round.237 We received no comments on this issue.
163.
Therefore, we adopt this proposal to provide bidders with three activity rule waivers. Use
of an activity rule waiver preserves the bidder’s eligibility despite its activity in the current round being
below the required minimum activity level. An activity rule waiver applies to an entire round of bidding
and not to a particular construction permit. A bidder may use an activity rule waiver in any round of the
auction as long as the bidder has not used all of its waivers.
164.
The bidding system will assume that a bidder that does not meet the activity requirement
would prefer to use an activity rule waiver (if available) rather than lose bidding eligibility. Therefore,
the system will automatically apply a waiver at the end of any bidding round in which a bidder’s activity
level is below the minimum required unless (1) the bidder has no activity rule waiver remaining, or
(2) the bidder overrides the automatic application of a waiver by reducing eligibility, therefore meeting
the activity requirement. If the bidder has no waivers remaining and does not satisfy the required activity
level, the bidder’s current eligibility will be permanently reduced, possibly curtailing or eliminating the
ability to place additional bids in the auction.
165.
A bidder with insufficient activity may wish to reduce its bidding eligibility rather than
use an activity rule waiver. If so, the bidder must affirmatively override the automatic waiver mechanism
during the bidding round by using the reduce eligibility function in the bidding system. In this case, the
bidder’s eligibility would be permanently reduced to bring it into compliance with the activity rule
described above. Reducing eligibility is an irreversible action once the round has closed, and a bidder
cannot regain its lost bidding eligibility.
7.

Auction Stopping Rule

166.
For Auction 114, we proposed to employ a simultaneous stopping rule approach, which
means all construction permits remain available for bidding until bidding stops on every construction
permit.238 Specifically, bidding will close on all construction permits after the first round in which no
bidder submits any new bid on a construction permit for which the bidder is not the provisionally winning
bidder. We received no comments on these proposals and adopt the proposed stopping rule.
167.
We also proposed in the Auction 114 Comment Public Notice to retain discretion to
attempt to change the pace of the auction in certain circumstances, for example, where the auction is
proceeding unusually slowly or quickly, there is minimal overall bidding activity, or it appears likely that
the auction will not close within a reasonable period of time or will close prematurely.239 For example,
we may adjust the pace of the auction by changing the number of bidding rounds per day and/or the
minimum acceptable bids.240 We proposed to retain the discretion to exercise any of these options with or

(Continued from previous page)
236 One commentor stated that, while prior broadcast auctions had a lower activity requirement in the earlier rounds,
he would “accept the 100% level, single-stage approach from auction start to accelerate the auction process.” Wood
Comments at 7, para. 22.
237 Auction 114 Comment Public Notice at 9, paras. 29–32.
238 Auction 114 Comment Public Notice at 8, paras. 23–24.
239 Id. at 8, para. 24.
240 Id.

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without prior announcement during the auction.241 We received no comments on this proposal, and adopt
it for Auction 114.
8.

Auction Delay, Suspension, or Cancellation

168.
In the Auction 114 Comment Public Notice, we proposed that, by public notice or by
announcement through the bidding system, we may delay, suspend, or cancel bidding in the auction in the
event of natural disaster, technical obstacle, network interruption, administrative or weather necessity,
evidence of an auction security breach or unlawful bidding activity, or for any other reason that affects the
fair and efficient conduct of competitive bidding.242 We received no comment on this issue.
169.
Because this approach has proven effective in resolving exigent circumstances in
previous auctions, we adopt these proposals regarding auction delay, suspension, or cancellation. By
public notice or by announcement through the bidding system, we may delay, suspend, or cancel bidding
in the auction in the event of natural disaster, technical obstacle, network interruption, administrative or
weather necessity, evidence of an auction security breach or unlawful bidding activity, or for any other
reason that affects the fair and efficient conduct of competitive bidding. In such cases, OEA and MB, in
their sole discretion, may elect to resume the auction starting from the beginning of the current round or
from some previous round, or cancel the auction in its entirety. We emphasize that we will exercise this
authority solely at our discretion.
B.

Bidding Procedures
1.

Minimum Opening Bids and Acceptable Bid Amounts

170.
Section 309(j) of the Act calls upon the Commission to prescribe methods by which a
reasonable reserve price will be required or a minimum opening bid established when applications for
FCC licenses or construction permits are subject to auction (i.e., because they are mutually exclusive),
unless the Commission determines that a reserve price or minimum opening bid is not in the public
interest.243 Consistent with this mandate, the Commission directed that, prior to the start of each auction,
comment be sought on the use of a minimum opening bid and/or reserve price.244
171.
In the Auction 114 Comment Public Notice, we proposed not establishing separate
reserve prices for the construction permits in Auction 114.245 We received no comment on this proposal
and adopt it for Auction 114. The Auction 114 Comment Public Notice did, however, propose to establish
minimum opening bids for each construction permit, reasoning that a minimum opening bid, which has
been used in other auctions, is an effective tool for accelerating the competitive bidding process.246 A
minimum opening bid was proposed for each permit by taking into consideration the type of service and
class of facility offered, market size, population covered by the proposed broadcast facility, and recent
broadcast transaction data.247
172.
SSR suggests that we revisit the minimum opening bids proposed in the Auction 114
Comment Public Notice for six FM allotments located on the island of Kauai, Hawaii.248 SSR asserts that
241 Id.
242 Id. at 6, para. 15.
243 47 U.S.C. § 309(j)(4)(F).
244 Part 1 Third Report and Order, 13 FCC Rcd at 455–56, para. 141.
245 Auction 114 Comment Public Notice at 5, para. 13.
246 Auction 114 Comment Public Notice at 5–6, para. 13–14; see 47 U.S.C. § 309(j).
247 Auction 114 Comment Public Notice at 5, para. 13.
248 SSR Comments at 3–4.

While SSR Communications does not specifically name the six FM allotments located
on the island of Kauai, Hawaii, the three Class A allotments in Kauai, Hawaii are: Channel 272A at Koloa, Hawaii,
(continued….)

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“the three Kauai FM Class A allotments each carry minimum opening bids that exceed the opening bids
assigned to [the] three Kauai FM Class C3 allotments, notwithstanding the substantially greater facilities
and service potential associated with the Class C3 channels.”249 We disagree that there is greater service
potential associated with the Class C3 allotments than there is with the three Class A allotments. The
three Class A allotments, in fact, cover substantially higher service populations than the three Class C3
allotments, and the proposed minimum opening bids for those licenses accounted for this. We disagree,
therefore, with SSR’s suggestion that the minimum opening bids proposed for these six allotments are
inconsistent. As a result, and because we received no other comments on our proposed minimum opening
bids, we adopt the minimum opening bid amounts proposed in the Auction 114 Comment Public Notice.
The specific minimum opening bid and upfront payment amounts for each construction permit are set
forth in Attachment A to this Public Notice.
173.
In the Auction 114 Comment Public Notice, we proposed that in each round a qualified
bidder will be able to place a bid on a given construction permit in any of up to nine different amounts.250
Under the proposal, the bidding system interface will list the nine acceptable bid amounts for each
construction permit.251 We received no comments on this proposal, and adopt it as proposed.
174.
In the Auction 114 Comment Public Notice, we proposed to use a minimum acceptable
bid increment percentage of 10% to calculate the first of the acceptable bid amounts.252 This means that
the minimum acceptable bid amount for a construction permit will be approximately 10% greater than the
provisionally winning bid amount for the construction permit. To calculate the eight additional
acceptable bid amounts, we proposed in the Auction 114 Comment Public Notice to use an additional bid
increment percentage of 5%.253 We did not receive any comments on these proposals to use 10% and 5%
respectively in our calculation of nine acceptable bid amounts for each construction permit. Our
experience in previous broadcast auctions assures us that a minimum acceptable bid increment percentage
of 10% and an additional bid increment percentage of 5% are sufficient to ensure active bidding.
Therefore, we will begin the auction with a minimum acceptable bid increment percentage of 10% and an
additional bid increment percentage of 5%.
175.
In Auction 114, the minimum acceptable bid amount for a construction permit will be
equal to its minimum opening bid amount until there is a provisionally winning bid for the construction
permit. After there is a provisionally winning bid for a construction permit, the minimum acceptable bid
amount will be calculated by multiplying the provisionally winning bid amount by one plus the minimum
acceptable bid percentage—i.e., provisionally winning bid amount * 1.10, rounded up.254
176.
In Auction 114, the bidding system will calculate the eight additional bid amounts by
multiplying the minimum acceptable bid amount by the additional bid increment percentage of 5%, and
(Continued from previous page)
Channel 296A at Lihue, Hawaii, and Channel 280A at Puhi, Hawaii, with populations of 65,427, 48,970, and
65,427, respectively. The three Class C3 allotments in Kauai, Hawaii are: Channel 298C3 at Kekaha, Hawaii,
Channel 236C3 at Princeville, Hawaii, and Channel 224C3 at Waimea, Hawaii, with populations of 26,577, 29,256,
and 26,577, respectively. See Auction 114 Comment Public Notice at Attach. A.
249 SSR Comments at 4.
250 Auction 114 Comment Public Notice at 10–11, paras. 33–38.

A bidder must have sufficient eligibility to place a
bid on the particular construction permit. See Section II.E.3., “Upfront Payments and Bidding Eligibility,” above.
251 Auction 114 Comment Public Notice at 10–11, paras. 33–38.
252 Auction 114 Comment Public Notice at 10, para. 36.
253 Auction 114 Comment Public Notice at 10, para. 36.
254 Auction 114 Comment Public Notice at 10, para. 34, n.34.

Under the Commission’s standard rounding procedure
for auctions (which will be used in all instances of where rounding is necessary in Auction 114) results above
$10,000 are rounded up to the nearest $1,000; results below $10,000 but above $1,000 are rounded up to the nearest
$100; and results below $1000 are rounded up to the nearest $10.

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that result (rounded up) is the additional increment amount. The first additional acceptable bid amount
equals the minimum acceptable bid amount plus the additional increment amount. The second additional
acceptable bid amount equals the minimum acceptable bid amount plus two times the additional
increment amount; the third additional acceptable bid amount is the minimum acceptable bid amount plus
three times the additional increment amount; etc. Because the additional bid increment percentage is 5%,
the calculation of the additional increment amount is (minimum acceptable bid amount) * (0.05), rounded
up. The first additional acceptable bid amount equals (minimum acceptable bid amount) + (additional
increment amount); the second additional acceptable bid amount equals (minimum acceptable bid
amount) + (2*(additional increment amount)); the third additional acceptable bid amount equals
(minimum acceptable bid amount) + (3*(additional increment amount)); etc.
177.
In the Auction 114 Comment Public Notice, we proposed to retain the discretion to
change the minimum acceptable bid increment percentage, the additional bid increment percentage, and
the number of acceptable bid amounts if we determine that circumstances so dictate, consistent with past
practice.255 We also proposed to retain the discretion to limit (a) the amount by which a minimum
acceptable bid for a construction permit may increase compared with the corresponding provisionally
winning bid, and (b) the additional increment amount. For example, we could set a $1,000 limit on
increases in minimum acceptable bid amounts over provisionally winning bids. Thus, if calculating a
minimum acceptable bid using the minimum acceptable bid increment percentage results in a minimum
acceptable bid amount that is $1,200 higher than the provisionally winning bid on a construction permit,
the minimum acceptable bid amount would instead be capped at $1,000 above the provisionally winning
bid.
178.
We received no comments on these proposals concerning changes of bid amounts, and
adopt the discretion to utilize them.256 We typically exercise this discretion based on our monitoring of
ongoing bidding, and reserve such discretion here. If we exercise this discretion, we will alert bidders by
announcement in the bidding system during the auction.
2.

Provisionally Winning Bids

179.
Consistent with practice in past auctions,257 the bidding system, at the end of each
bidding round, will determine a provisionally winning bid for each construction permit based on the
highest bid amount received for that permit. A provisionally winning bid will remain the provisionally
winning bid until there is a higher bid on the same construction permit at the close of a subsequent round.
Provisionally winning bids at the end of the auction become the winning bids.
180.
The bidding system will assign a pseudo-random number to each bid submitted in the
round. If identical high bid amounts are submitted on a construction permit in any given round (i.e., tied
bids), the tied bid with the lowest pseudo-random number wins the tiebreaker and becomes the
provisionally winning bid. The remaining bidders, as well as the provisionally winning bidder, can
submit higher bids in subsequent rounds. However, if the auction were to close with no other bids being
placed, the winning bidder would be the one that placed the provisionally winning bid. If the construction
255 Auction 114 Comment Public Notice at 10–11, para. 37.

See, e.g., Auction of FM Broadcast Construction
Permits Scheduled for July 23, 2015; Notice and Filing Requirements, Minimum Opening Bids, Upfront Payments,
and Other Procedures for Auction 98, 30 FCC Rcd 3544, 3581, paras. 147–48; see also 47 CFR § 1.2104(d) (“The
Commission may, by announcement before or during an auction, require minimum bid increments in dollar or
percentage terms.”).
256 While the Auction 114 Comment Public Notice raised the possibility of exercising this discretion on a by-permit

basis, our decision here is to retain this discretion to act uniformly with respect to all available permits, as the
present auction seems unlikely to require any by-permit changes, although future auctions may differ.
257 See, e.g., Auction of FM Broadcast Construction Permits Scheduled for July 23, 2015; Comment Sought on

Competitive Bidding Procedures for Auction 98, AU Docket No. 15–3, Public Notice, 30 FCC Rcd 1755, 1764–65,
para. 37 (WTB/MB 2015).

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permit receives any bids in a subsequent round, the provisionally winning bid again will be determined by
the highest bid amount received for the construction permit.
181.
As a reminder, provisionally winning bids count toward activity for purposes of the
activity rule.258
3.

Bid Removal

182.
In the Auction 114 Comment Public Notice, we explained bid removal procedures in the
259
bidding system. Each qualified bidder has the option of removing any bids placed in a round provided
that such bids are removed before the close of that bidding round. By removing a bid within a round, a
bidder effectively “unsubmits” the bid. Removing a bid will affect a bidder’s activity because a removed
bid no longer counts toward bidding activity for the round. Once a round closes, a bidder may no longer
remove a bid. As stated in the Auction 114 Comment Public Notice, bidders will not be able to withdraw
any bid after the close of the round in which that bid was placed.260 Bidders are cautioned to select bid
amounts carefully because no bid withdrawals will be allowed, even if a bid was mistakenly or
erroneously made.
4.

Bidding Results

183.
After Auction 114 closes, we will provide a means for the public to view and download
reports of all bids placed during each round of the auction and all bid results, including bidder identities
and bid amounts.
5.

Auction Announcements

184.
Commission staff will use auction announcements to report necessary information to
bidders, such as schedule changes. All auction announcements will be available by clicking a link in the
bidding system.
VI.

POST-AUCTION PROCEDURES

185.
The public notice announcing the close of bidding and auction results will be released
several days after bidding has ended in Auction 114. This public notice will also establish the deadlines
for submitting down payments, final payments, and the long-form applications (FCC Form 2100,
Schedule 301-FM) for the auction.
A.

Down Payments

186.
The Commission’s rules provide that, unless otherwise specified by public notice, within
ten business days after release of the auction closing public notice for Auction 114, each winning bidder
must submit sufficient funds (in addition to its upfront payment) to bring its total amount of money on
deposit with the Commission to 20% of the net amount of its winning bids (gross bids less any applicable
new entrant bidding credits).261
B.

Final Payments

187.
The Commission’s rules provide that each winning bidder must submit the balance of the
net amount of its winning bids within ten business days after the applicable deadline for submitting down
payments.262

258 See Section V.A.5., “Eligibility and Activity Rules,” above.
259 Auction 114 Comment Public Notice at 7, para. 20.
260 Id. at 7, para. 20, and 11, para. 39.
261 47 CFR § 1.2107(b).

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Long-Form Applications

188.
The Commission’s rules provide that within thirty days following the close of bidding
and notification to the winning bidders, unless a longer period is specified by public notice,263 each
winning bidder must electronically submit a separate, properly completed long-form application for each
permit won, and required exhibits, along with the applicable application filing fee.264 Winning bidders for
FM construction permits will electronically file FCC Form 2100, Schedule 301-FM, in MB’s Licensing
and Management System (LMS), and required exhibits for each construction permit won through
Auction 114. Winning bidders claiming new entrant status must include an exhibit demonstrating their
eligibility for the bidding credit.265 Further instructions on these and other filing requirements will be
provided to winning bidders in the auction closing public notice.
189.
A winning bidder will be required to provide, as part of its long-form application, any
agreement or arrangement it has entered into and a summary of the specific terms, conditions, and parties
involved in any agreement it has entered into.266 This applies to any bidding consortia, joint venture,
partnership, or agreement, understanding, or other arrangement entered into relating to the competitive
bidding process, including any agreement relating to the post-auction market structure.267 Failure to
comply with the Commission’s rules can result in enforcement action.268
D.

Default and Disqualification

190.
Any winning bidder that defaults or is disqualified after the close of the auction (i.e., fails
to remit the required down payment by the specified deadline, fails to submit a timely long-form
application, fails to make full and timely final payment, or is otherwise disqualified) is liable for a default
payment as described in section 1.2104(g)(2) of the Commission’s rules.269 A default payment consists of
a deficiency payment, equal to the difference between the amount of the Auction 114 bidder’s winning
bid and the amount of the winning bid the next time a construction permit covering the same spectrum is
won in an auction, plus an additional payment equal to a percentage of the defaulter’s bid or of the
subsequent winning bid, whichever is less.270
191.
The percentage of the applicable bid to be assessed as an additional payment for defaults
in a particular auction is established in advance of the auction. Accordingly, in the Auction 114 Comment
Public Notice, we proposed to set the additional default payment for this auction at 20% of the applicable
(Continued from previous page)
262 47 CFR § 1.2109(a); see Implementation of the Commercial Spectrum Enhancement Act and Modernization of
the Commission’s Competitive Bidding Rules and Procedures, WT Docket No. 05-211, Report and Order, 21 FCC
Rcd 891, 907–09, paras. 43–46 (2006) (CSEA/Part 1 Report and Order).
263 47 CFR § 73.5005(a).
264 Each Auction 114 winning bidder must submit a consolidated long-form and short-form application filing fee

with each separate long-form application. See 47 CFR § 1.1104, Table 3. This consolidated application filing fee
must be paid in addition to the winning bid amount. See Amendment of the Schedule of Application Fees Set Forth
in Sections 1.1102 through 1.1109 of the Commission's Rules, MD Docket No. 20-270, Report and Order, 35 FCC
Rcd 15089, 15120, 15122, paras. 97, 104 (2020) (amending filing fee schedule for FM long-form applications).
265 47 CFR § 73.5005.
266 47 CFR § 1.2107(d).

Such agreements must have been entered into prior to the filing of short-form applications
pursuant to section 1.2105. 47 CFR § 1.2107(d); see id. § 1.2105(a)(2)(viii), (c).
267 47 CFR § 1.2107(d).
268 See, e.g., id. § 1.2109(d).

See also 47 CFR § 1.2105(c)(1) and Section IV.B. “Prohibited Communications and
Compliance with Antitrust Laws”, above.
269 47 CFR § 1.2104(g)(2).
270 Id.

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DA 26-798

bid.271 We received no comments on this proposal, and it is therefore adopted for the reasons described in
the Auction 114 Comment Public Notice.
192.
Finally, in the event of a default, the Commission has the discretion to re-auction the
construction permit or offer it to the next highest bidder (in descending order) at its final bid amount.272
In addition, if a default or disqualification involves gross misconduct, misrepresentation, or bad faith by
an applicant, the Commission may declare the applicant and its principals ineligible to bid in future
auctions, and may take any other action that it deems necessary, including institution of proceedings to
revoke any existing authorizations held by the applicant.273
E.

Refund of Remaining Upfront Payment Balance

193.
If a bidder is due a refund, the bidder must request a refund in writing with the
information listed below. All refunds of upfront payment balances will be returned to the payer of record
as identified on the FCC Form 159, or on the wire transfer, unless the payer submits written authorization
instructing otherwise. Bidders are encouraged to use the Refund icon found in the Review or Modify
Existing Applications table on the FRN Selection screen or the of the Refund Form link available on the
Auction Application Submit Confirmation page in the AAP to access the form. After the required
information is completed on the blank form, the form must be printed, signed, and submitted to the
Commission by email or fax as instructed below.
194.
If you have selected not to access the Refund Form, the Commission is requesting that all
information listed below be supplied in writing:
Name, address, contact and phone number of Bank
Routing Number (capable to accepting ACH payments)
Account Number to Credit
Name of Account Holder
FCC Registration Number (FRN)
All refund requests must be submitted to the Revenue & Receivables Operations Group/Auctions either
by fax at (202) 418-2843 or by email to [email protected].
NOTE: Refund processing generally takes up to two weeks to complete. Bidders with questions about
refunds should contact Scott Radcliffe at (202) 418-7518 or Theresa Meeks at (202) 418-2945.
VII.

PROCEDURAL MATTERS
A.

Paperwork Reduction Act

195.
The Office of Management and Budget (OMB) has approved the information collections
in the Application to Participate in an FCC Auction, FCC Form 175.274 This Public Notice does not
contain new or modified information collection requirements subject to the Paperwork Reduction Act of
1995 (PRA), Public Law 104-13. Therefore, it does not contain any new or modified information
collection burden for small business concerns with fewer than 25 employees pursuant to the Small
Business Paperwork Relief Act of 2002, Public Law 107-198.275 The Commission will be submitting a
non-substantive change request to OMB concerning OMB 3060-0600 related to the certification
requirement for Auction 114 applicants adopted herein, and the Commission will not require Auction 114
271 Auction 114 Comment Public Notice at 6–7, para. 17–18.
272 Id. § 1.2109(b), (c).
273 Id. § 1.2109(d).

Competitive Bidding Second Report and Order, 9 FCC Rcd at 2382, para. 198.

274 OMB Control No. 3060-0600.
275 See 44 U.S.C. § 3506(c)(4).

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DA 26-798

applicants to make this certification in FCC Form 175 until OMB has approved the non-substantive
change request.
B.

Congressional Review Act

196.
The Commission has determined, and Administrator of the Office of Information and
Regulatory Affairs, Office of Management and Budget, concurs, that this rule is “non-major” under the
Congressional Review Act, 5 U.S.C. § 804(2). The Commission will send a copy of this Auction 114
Procedures Public Notice to Congress and the Government Accountability Office pursuant to the
Congressional Review Act, 5 U.S.C. § 801(a)(1)(A).
C.

Final Regulatory Flexibility Analysis

197.
As required by the Regulatory Flexibility Act of 1980, as amended (RFA),276 the
Commission incorporated Initial Regulatory Flexibility Analyses (IRFAs) in the Broadcast Competitive
Bidding Notice released in November 1997,277 and other Commission Notice of Proposed Rulemakings
(collectively, Competitive Bidding NPRMs) pursuant to which Auction 114 will be conducted.278 Final
Regulatory Flexibility Analyses (FRFAs) likewise were prepared in the Broadcast Competitive Bidding
Order279 and other Commission rulemaking orders (collectively, Competitive Bidding Orders) pursuant to
which Auction 114 will be conducted.280 In this proceeding, OEA and MB incorporated those prior
FRFAs in an IRFA in the Auction 114 Comment Public Notice,281 and sought written public comment on
the proposals in the Auction 114 Comment Public Notice, including comment on the IRFA. No
comments were filed addressing the IRFA. This FRFA supplements the FRFAs in the Competitive
Bidding Orders, and reflects the actions taken in the Auction 114 Procedures Public Notice, which
establishes the procedures to be used for Auction 114. This FRFA conforms to the RFA, and it (or
summaries thereof) will be published in the Federal Register.282
198.
Need for, and Objectives of, the Public Notice. The Auction 114 Procedures Public
Notice implements auction procedures for those entities that seek to bid in Auction 114 to acquire
construction permits for FM broadcast stations. The Auction 114 Procedures Public Notice resolves all
open issues, and addresses comments filed in response to the Auction 114 Comment Public Notice. The
Auction 114 Procedures Public Notice adopts procedural rules and terms and conditions governing
Auction 114, and the post-auction application and payment processes, as well as sets the minimum
276 5 U.S.C. §§ 601 et seq., as amended by the Small Business Regulatory Enforcement and Fairness Act

(SBREFA), Pub. L. No. 104-121, 110 Stat. 847 (1996).
277 Implementation of Section 309(j) of the Communications Act – Competitive Bidding for Commercial Broadcast

and Instructional Television Fixed Service Licenses, MM Docket No. 97-234, Notice of Proposed Rulemaking,
12 FCC Rcd 22363, 22416–22, Appendix B (1997) (Broadcast Competitive Bidding Notice).
278 See Implementation of the Commercial Spectrum Enhancement Act and Modernization of the Commission’s

Competitive Bidding Rules and Procedures, WT Docket No. 05-211, Declaratory Ruling and Notice of Proposed
Rule Making, 20 FCC Rcd 11268, 11301-07, Appendix B (2005) (CSEA NPRM); Auction Procedures
Consolidation Order & NPRM, 12 FCC Rcd at 5749–53, Appendix C; Implementation of Section 309(j) of the
Communications Act – Competitive Bidding, PP Docket No. 93-253, Notice of Proposed Rule Making, 8 FCC Rcd
7635, 7666, Appendix (1993) (Competitive Bidding Notice).
279 Broadcast Competitive Bidding Order, 13 FCC Rcd at 16015–27, Appendix B.
280 See Broadcast Competitive Bidding Order, 13 FCC Rcd at 16015–27, Appendix B; CSEA/Part 1 Report and

Order, 21 FCC Rcd at 927–34, Appendix C; Part 1 Third Report and Order, 13 FCC Rcd at 492–503, Appendix B;
Competitive Bidding Second Report and Order, 9 FCC Rcd at 2400, paras. 299–302.
281 Auction 114 Comment Public Notice, at 12–13, para. 43.

Fed. Reg. 27887 (May 15, 2026).
282 5 U.S.C. § 604

A summary of this public notice was published at 91

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DA 26-798

opening bid amounts for each of the FM broadcast construction permits that are subject to being assigned
by competitive bidding.
199.
To promote the efficient and fair administration of the competitive bidding process for all
Auction 114 participants, including small entities, the Auction 114 Procedures Public Notice adopts the
following procedures:
•

A requirement that any applicant seeking to participate in Auction 114 certify in its shortform application, under penalty of perjury, that it has read the public notice adopting
procedures for Auction 114 and that it has familiarized itself with those procedures and the
requirements for obtaining a construction permit for an FM station;

•

Use of anonymous bidding/limited information procedures, which the Commission will not
make public until after bidding has closed: (1) the permits that an applicant selects for
bidding in its short-form application; (2) the amount of any upfront payment made by or on
behalf of an applicant; (3) any applicant’s bidding eligibility; and (4) any other biddingrelated information that might reveal the identity of the bidder placing a bid;

•

Establishment of an additional default payment of 20% under section 1.2104(g)(2) of the
Commission’s rules in the event a winning bidder defaults or is disqualified after the auction
closes;

•

Use of a simultaneous multiple-round auction format, consisting of sequential bidding rounds
with a simultaneous stopping rule;

•

Provision of delegated authority to OEA, in conjunction with MB, to exercise its discretion to
delay, suspend, or cancel bidding in Auction 114 for any reason that affects the ability of the
competitive bidding process to be conducted fairly and efficiently;

•

Retention by OEA of discretion to adjust the bidding schedule in order to manage the pace of
Auction 114;

•

Adoption of a specific minimum opening bid amount, a specific number of bidding units, and
a specific upfront payment amount for each construction permit to be offered in this auction;

•

Establishment of a bidder’s initial bidding eligibility in bidding units based on that bidder’s
upfront payment;

•

Establishment of an activity rule requiring the bidder to be active on 100% of its bidding
eligibility in each bidding round;

•

Provision of three activity waivers for each bidder to allow it to preserve eligibility during the
course of the auction;

•

Use of minimum acceptable bid amounts and additional bid increments, along with a
proposed methodology for calculating such amounts, while retaining discretion to change the
methodology if circumstances dictate; and

•

A procedure for breaking ties if identical high bid amounts are submitted on a construction
permit in a given round.

200.
Summary of Significant Issues Raised by Public Comments in Response to the IRFA. No
comments were filed addressing the impact of the procedures and policies on small entities.
201.
Response to Comments by the Chief Counsel for the Small Business Administration Office
of Advocacy. Pursuant to the Small Business Jobs Act of 2010, which amended the RFA, the
Commission is required to respond to any comment filed by the Chief Counsel for Advocacy of the Small
Business Administration (SBA), and to provide a detailed statement of any change made to the proposed

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DA 26-798

procedures as a result of those comments.283 The Chief Counsel did not file any comments in response to
the procedures proposed in the Auction 114 Comment Public Notice.
202.
Description and Estimate of the Number of Small Entities to Which the Procedures Will
Apply. The RFA directs agencies to provide a description of and, where feasible, an estimate of the
number of small entities that may be affected by the adopted rules.284 The RFA generally defines the term
“small entity” as having the same meaning as the terms “small business,” “small organization,” and
“small governmental jurisdiction.”285 In addition, the term “small business” has the same meaning as the
term “small business concern” under the Small Business Act.286 A “small business concern” is one
which: (1) is independently owned and operated; (2) is not dominant in its field of operation; and (3)
satisfies any additional criteria established by the SBA.287 The SBA establishes small business size
standards that agencies are required to use when promulgating regulations relating to small businesses;
agencies may establish alternative size standards for use in such programs, but must consult and obtain
approval from SBA before doing so.288
203.
Our actions, over time, may affect small entities that are not easily categorized at present.
We therefore describe three broad groups of small entities that could be directly affected by our actions.289
In general, a small business is an independent business having fewer than 500 employees.290 These types
of small businesses represent 99.9% of all businesses in the United States, which translates to 34.75
million businesses.291 Next, “small organizations” are not-for-profit enterprises that are independently
owned and operated and not dominant in their field.292 While we do not have data regarding the number
of non-profits that meet that criteria, over 99 percent of nonprofits have fewer than 500 employees.293
Finally, “small governmental jurisdictions” are defined as cities, counties, towns, townships, villages,
school districts, or special districts with populations of less than fifty thousand.294 Based on the 2022 U.S.
Census of Governments data, we estimate that at least 48,724 out of 90,835 local government
jurisdictions have a population of less than 50,000.295
283 5 U.S.C. § 604(a)(3).
284 Id.
285 Id. § 601(6).
286 Id. § 601(3) (incorporating by reference the definition of “small-business concern” in the Small Business Act,

15 U.S.C. § 632). Pursuant to 5 U.S.C. § 601(3), the statutory definition of a small business applies “unless an
agency, after consultation with the Office of Advocacy of the Small Business Administration (SBA) and after
opportunity for public comment, establishes one or more definitions of such term which are appropriate to the
activities of the agency and publishes such definition(s) in the Federal Register.”
287 15 U.S.C. § 632(a)(1), (a)(2)(A).
288 13 CFR § 121.903.
289 5 U.S.C. § 601(3)-(6).
290 See SBA, Office of Advocacy, Frequently Asked Questions About Small Business (July 23, 2024),

https://advocacy.sba.gov/wp-content/uploads/2024/12/Frequently-Asked-Questions-About-Small-Business_2024508.pdf.
291 Id.
292 5 U.S.C. § 601(4).
293 See SBA, Office of Advocacy, Small Business Facts, Spotlight on Nonprofits (July 2019),

https://advocacy.sba.gov/2019/07/25/small-business-facts-spotlight-on-nonprofits/.
294 5 U.S.C. § 601(5).
295 See U.S. Census Bureau, 2022 Census of Governments –Organization,

https://www.census.gov/data/tables/2022/econ/gus/2022-governments.html, tables 1-11.

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204.
The specific competitive bidding procedures and minimum opening bid amounts
described in the Auction 114 Procedures Public Notice will affect all applicants participating in
Auction 114. The number of entities that may apply to participate in Auction 114 is unknown. Based on
the number of applicants in prior FM auctions, we estimate that the number of applicants for Auction 114
may range from approximately 130 to 260. This estimate is based on the number of applicants who filed
short-form applications to participate in previous open auctions of FM construction permits held to date,
an average of 1.7 short-form applications were filed per construction permit offered, with a median of 1.2
applications per permit.296 The actual number of applicants for Auction 114 could vary significantly as
any individual’s or entity’s decision to participate may be affected by a number of factors beyond the
Commission’s control.
205.
The procedures adopted in the Auction 114 Procedures Public Notice will apply to small
entities in the industries identified in the chart below by their six-digit North American Industry
Classification System (NAICS)297 codes and corresponding SBA size standard.298 Where available, we
also provide additional information regarding the number of potentially affected entities in the industries
identified below.
Table 1. 2022 U.S. Census Bureau Data by NAICS Code
Regulated Industry
(Footnotes specify
NAICS
potentially affected entities
Code
within a regulated industry
where applicable)
Radio Broadcasting
Stations301
516110

SBA Size
Standard

Total
Firms299

Total Small
Firms300

% Small
Firms

$47 million

2,616

2,136

81.65%

296 The number of applicants and permits in open FM auctions held to date are as follows: Auction 37 – 697

applicants for 288 permits; Auction 62 – 339 applicants for 171 permits; Auction 68 – 51 applicants for 9 permits;
Auction 70 – 181 applicants for 120 permits; Auction 79 – 121 applicants for 122 permits; Auction 91 – 161
applicants for 144 permits; Auction 93 – 145 applicants for 119 permits; Auction 94 – 109 applicants for 112
permits; Auction 98 – 112 applicants for 131 permits; Auction 106 – 133 applicants for 103 permits; Auction 109 –
158 applicants for 139 permits.
297 The North American Industry Classification System (NAICS) is the standard used by Federal statistical agencies

in classifying business establishments for the purpose of collecting, analyzing, and publishing statistical data related
to the U.S. business economy. See www.census.gov/NAICS for further details regarding the NAICS codes
identified in this chart.
298 The size standards in this chart are set forth in 13 CFR § 121.201, by six digit North American Industrial

Classification System (NAICS) code.
299 U.S. Census Bureau, “Selected Sectors: Sales, Value of Shipments, or Revenue Size of Firms for the U.S.: 2022."

Economic Census, ECN Core Statistics Economic Census: Establishment and Firm Size Statistics for the U.S., Table
EC2200SIZEREVFIRM, 2025.
300 Id.
301 Affected Entities in this industry include FM Translator Stations and Low Power FM Stations, Educational

Broadcasting Services (Radio), Low Power FM Stations, NCE and Public Broadcast Stations (Radio).

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Table 2. Broadcast Entity Data
Broadcast Station Owners
(as of August 8, 2025)302
Affected Entity

SBA Size Standard ($47 Million)
# Commercial
Licensed303 304

Radio Stations (AM & FM)
Groups

2,881

Small
Firms

% Small
Entities

2,863

99.38

206.
Description of Economic Impact and Projected Reporting, Recordkeeping, and Other
Compliance Requirements for Small Entities. The RFA directs agencies to describe the economic impact
of adopted rules on small entities, as well as projected reporting, recordkeeping and other compliance
requirements, including an estimate of the classes of small entities which will be subject to the
requirement and the type of professional skills necessary for preparation of the report or record.305
207.
For Auction 114, no new reporting, recordkeeping, or other compliance requirements for
small entities or other auction applicants were proposed. Moreover, complying with the adopted
procedures should not require small entities to hire professionals to participate, given that the procedures
are consistent with existing Commission procedures used in prior FM broadcast auctions and new
participants will have numerous resources available to them at no cost from the Commission. The
Commission designed the auction application process itself to minimize reporting and compliance
requirements for applicants, including small business applicants,306 and the Auction 114 Procedures
Public Notice remains consistent with this approach. For example, in the first part of the Commission’s
two-phased auction application process, parties desiring to participate in an auction file streamlined,
short-form applications in which they certify under penalty of perjury as to their qualifications, and to
having reviewed the Auction 114 Procedures Public Notice.307 Eligibility to participate in bidding is
based on an applicant’s short-form application and certifications, as well as remittance of a timely and
sufficient upfront payment. In the second phase of the process, winning bidders file a more
comprehensive long-form application. Thus, an applicant that fails to become a winning bidder does not
need to file a long-form application or provide the additional showings and more detailed demonstrations
required of a winning bidder, thereby saving small entities and other applicants the time and expense
associated with unnecessary filings.
208.
Auction 114 applicants, including small entities, will become qualified to bid in
Auction 114 only if they comply with the following: (1) submission of a short-form application that is
302 Data as of 2024, according to Commission staff review of the BIA Kelsey Inc. Media Access Pro Television

Database (BIA) on August 8, 2025.
303 Id.
304 As of December 31, 2025, there were 4,342 licensed commercial AM radio stations and 6,589 licensed

commercial FM radio stations, for a combined total of 10,931 commercial radio stations. There were 4,755 licensed
noncommercial (NCE) FM radio stations, 1,994 low power FM (LPFM) stations, and 8,867 FM translators and
boosters. Additionally, there were 1,389 licensed commercial television stations, 388 licensed noncommercial
educational (NCE) television stations, 397 Class A TV stations, 1,760 LPTV stations and 3,092 TV translator
stations. Broadcast Station Totals as of December 31, 2025, Public Notice, DA 26-49 (rel. Jan. 13, 2026) (January
2026 Broadcast Station Totals PN), https://docs.fcc.gov/public/attachments/DA-26-49A1.pdf.
305 5 U.S.C. § 604(a)(5).
306 This Commission policy was articulated in a 1994 rulemaking order.

and Order, 9 FCC Rcd at 2375–76, paras. 162–63, 165.
307 See id. at 2376–77, paras. 164–66.

See Competitive Bidding Second Report

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timely and is found to be substantially complete, and (2) timely submission of a sufficient upfront
payment for at least one of the construction permits that the applicant selected on its FCC Form 175.308 In
accordance with the terms of section 1.2105(b)(2) of the Commission’s rules, an applicant whose
application is found to contain deficiencies will have a limited opportunity to bring its application into
compliance with the Commission’s competitive bidding rules during a resubmission window.309 In
addition, each Auction 114 applicant must maintain the accuracy of its previously filed short-form
application electronically using the FCC Auction Application Portal (AAP) in the Auction Application
System (AAS).
209.
In the second phase of the process, there are additional compliance requirements only
applicable to winning bidders. As with other winning bidders, any small entity that is a winning bidder
will be required to comply with the terms of the following rules, among others: (1) section 1.2107(b), by
submitting as a down payment within 10 business days after release of the auction closing public notice
sufficient funds (in addition to its upfront payment) to bring its total amount of money on deposit with the
Commission for Auction 114 to 20% of the amount of its winning bid or bids;310 (2) section 1.2109(a), by
submitting within 10 business days after the down payment deadline the balance of the amount for each
of its winning bids;311 and (3) section 73.5005(a), by electronically filing a properly completed long-form
application and required exhibits for each construction permit won through Auction 114.312
210.
Further, as required by section 1.2105(c), reports concerning prohibited communications
must be filed with the Chief of the Auctions Division, as detailed in the Auction 114 Procedures Public
Notice.313
211.
Discussion of Steps Taken to Minimize the Significant Economic Impact on Small
Entities, and Significant Alternatives Considered. The RFA requires an agency to provide “a description
of the steps the agency has taken to minimize the significant economic impact on small entities . . .
including a statement of the factual, policy, and legal reasons for selecting the alternative adopted in the
final rule and why each one of the other significant alternatives to the rule considered by the agency
which affect the impact on small entities was rejected.”314
212.
OEA and MB intend that the procedures adopted in the Auction 114 Procedures Public
Notice, meant to facilitate participation in Auction 114, will result in both operational and administrative
cost savings for small entities and other auction participants. Most of the processes and procedures
adopted for Auction 114 are consistent with existing Commission policies and procedures used in prior
FM broadcast auctions. Thus, some small entities may already be familiar with such procedures and have
308 Each upfront payment must be accompanied by a complete and accurate FCC Remittance Advice Form (FCC

Form 159), following the procedures and instructions set forth in this Public Notice. Section 1.1111(a) of the
Commission’s rules specifies that FCC Form 159 must accompany each such payment submission. 47 CFR
§ 1.1111(a).
309 47 CFR § 1.2105(b)(2); Competitive Bidding Second Report and Order, 9 FCC Rcd at 2377, paras. 167–68

(establishing the resubmission opportunity for auction applicants with certain application deficiencies).
310 47 CFR § 1.2107(b); Competitive Bidding Second Report and Order, 9 FCC Rcd at 2381–82, 2409, paras. 189–

92 (establishing the down payment requirement).
311 47 CFR § 1.2109(a); Competitive Bidding Second Report and Order, 9 FCC Rcd at 2382, para. 194 (establishing

the final payment requirement).
312 47 CFR § 73.5005(a).

This long-form application requirement was applied to winning bidders in broadcast
auctions in a 1998 rulemaking order. See Broadcast Competitive Bidding Order, 13 FCC Rcd at 15984–85, paras.
163–64.
313 47 CFR § 1.2105(c).

This specific reporting requirement was adopted first by the Commission in a 2001
rulemaking order. See Part 1 Seventh Report and Order, 16 FCC Rcd at 17551–52, 17555, paras. 11–12, 17.
314 5 U.S.C. § 604(a)(6).

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the processes and procedures in place to facilitate compliance and minimize their costs to comply. All
auction participants, including small entities and those that may be new to the Commission’s auction
process, will have access to numerous resources that will be available at no cost from the Commission.
For example, small entities and other auction participants will be provided with various materials on the
pre-bidding process in advance of the short-form application filing window, which include step-by-step
instructions on how to complete the short-form application (FCC Form 175). Moreover, the Commission
has taken steps to ensure that the AAS is simple to use, and that FCC Form 175 is easy to complete. In
addition to the educational materials, small entities and other would-be participants will have access to
Commission personnel to help guide their participation in Auction 114, which should help facilitate
participation without the need to hire professionals.
213.
The Commission also offers a wide variety of free educational materials, demonstrations,
and other information and resources regarding the bidding system that will be used in Auction 114. In
addition, the Commission, prior to the beginning of bidding in this auction, will hold a mock auction to
allow qualified bidders the opportunity to familiarize themselves with both the processes and systems that
will be used in Auction 114. During the auction, participants will be able to access and participate in
bidding via the Internet using a web-based system, or telephonically, providing two cost-effective
methods of participation and avoiding the cost of travel for in-person participation. Further, small entities
as well as other auction participants will be able to avail themselves of a telephone hotline for assistance
with auction processes and procedures as well as a technical support telephone hotline to assist with
issues such as access to or navigation on AAS and use of the FCC’s auction bidding system. These
mechanisms are made available to facilitate participation by all qualified bidders and may result in
significant cost savings for small business entities that utilize these mechanisms. These resources,
coupled with the description and communication of the bidding procedures before bidding begins in
Auction 114, should ensure that the auction will be administered predictably, efficiently and fairly, thus
providing certainty for small entities as well as other auction participants.
214.
Alternatively, throughout this proceeding, we considered various processes and
procedures beyond those discussed above but determined that our approach here minimizes significant
economic impact to small entities as much as possible. Moreover, we note that commenters did not
object to the proposals we discuss above, nor did they suggest other types of resources or materials the
Commission could provide beyond those we offered.
215.
Report to Congress. The Commission will send a copy of the Auction 114 Procedures
Public Notice, including this FRFA, in a report to Congress pursuant to the Congressional Review Act.315
In addition, the Commission will send a copy of the Auction 114 Procedures Public Notice, including this
FRFA to the Chief Counsel for Advocacy of the SBA and will publish a copy of the Auction 114
Procedures Public Notice and this FRFA (or summaries thereof) in the Federal Register.316
VIII.

CONTACT INFORMATION
216.

For further information concerning this proceeding, contact the offices listed below:

General Auction 114 Information
General Auction Questions
Auction Process and Procedures

FCC Auctions Hotline
(888) 225-5322, option two; or
(717) 338-2868
Hours of service: 8:00 a.m. – 5:30 p.m. ET,
Monday through Friday

315 5 U.S.C. § 801(a)(1)(A).
316 Id. § 604(b).

Federal Communications Commission

DA 26-798

Auction 114 Legal Information
Auction Rules, Policies, Regulations, including
Reports of Section 1.2105(c) Violations and
Application Major Modifications

Auctions Division, OEA
(202) 418-0660
Lyndsey Grunewald (Attorney)

Licensing Information
Service Rules, Policies, Regulations
Licensing Issues, Engineering Issues
Due Diligence, Incumbency Issues

Audio Division, MB
(202) 418-2700
James Bradshaw (Engineer)
Rodolfo Bonacci (Engineer)
Lisa Scanlan (Attorney)
Ariane Rangel (Attorney)
FCC Auctions Technical Support Hotline
(877) 480-3201, option nine; or (202) 418-1250
ASL Video Call: (844) 432-2275
Hours of service: 8:00 a.m. – 6:00 p.m. ET,
Monday through Friday

Technical Support
Electronic Filing
FCC Auction System (Hardware/Software
Issues)
Payment Information
Wire Transfers
Refunds

FCC Revenue & Receivables Operations
Group/Auctions
Scott Radcliffe at (202) 418-7518,
or Theresa Meeks at (202) 418-2945, or
(fax) (202) 418-2843, or email to
[email protected]

Auction Bidder Line

Will be furnished only to qualified bidders

Press Information

Office of Media Relations
Will Wiquist (202) 418-0500

FCC Forms

(800) 418-3676 (outside Washington, DC)
(202) 418-3676 (in the Washington area)
www.fcc.gov/formpage.html

Accessible Formats
Braille, large print, electronic files, or
audio format for people with disabilities

Consumer and Governmental Affairs Bureau
(202) 418-0530 or ASL Video Call: (844) 432-2275
[email protected]

Small Businesses
Additional information for small and
disadvantaged businesses

Office of Communications Business
Opportunities
(202) 418-0716
[email protected]
www.fcc.gov/ocbo/

FCC Internet Sites

www.fcc.gov
www.fcc.gov/auction/114
www.fcc.gov/media
– FCC –

Federal Communications Commission

DA 26-798

ATTACHMENT A
Auction 114 Construction Permits
This page was intentionally inserted as a placeholder for Attachment A, which is available as a separate
file. This attachment will also be made available at www.fcc.gov/auction/114.