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TEXT_155.txt
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Federal Communications CommissionApproved by OMB
Washington, D. C. 20554 3060-0075
Expires 12/31/99
INSTRUCTIONS FOR FCC FORM 345
APPLICATION FOR TRANSFER OF CONTROL OF
A CORPORATE LICENSEE OR PERMITTEE, OR ASSIGNMENT OF LICENSE OR PERMIT,
FOR AN FM OR TV TRANSLATOR STATION, OR A LOW POWER TELEVISION STATION
INSTRUCTIONS AND INFORMATION
Before filling out this application, the assignee/transferee
should familiarize itself with the Communications Act of 1934,
as amended, and with 47 C.F.R. Parts 1, 73 and 74.
1. This form is to be used when applying for authority for a
transfer of control of a corporate licensee or permittee, or
assignment of license or permit, for an FM or TV
translator station, or a low power television station. It
should also be used for the transfer or assignment of any
associated auxiliary stations (see 47 Code of Federal
Regulations (C.F.R.) Part 74, Subparts D, E, F and H) and
UHF translator booster stations (see 47 C.F.R. Section
74.701), provided the transaction does not also involve the
transfer or assignment of a commonly owned or controlled
primary station.
NOTE: When a commonly owned or controlled primary
station is filing an application for transfer of control or an
assignment of a permit or license, the licensee or permittee
of the primary station shall include all associated booster
and auxiliary authorizations in its application on FCC
Form 314, 315 or 316, whichever is applicable. Forms
314 and 315 should NOT be used to transfer or assign a
permit or license for an FM translator, TV translator or
low power television broadcast station.
2. Prepare and submit an original and one copy of this form
and all exhibits. Number the exhibits serially in the
spaces provided in the body of this form. Each exhibit
must be dated and clearly indicate whether it was prepared
by the assignor/transferor (seller) or the assignee/transferee
(buyer). The application, with all required exhibits,
should be filed with the Federal Communications
Commission in the manner and at the location specified in
47 C.F.R. Section 0.401.
Replies to questions in this form and the applicants'
statements constitute representations on which the FCC
will rely in considering the application. Thus, time and
care should be devoted to all replies, which should reflect
accurately the applicants' responsible consideration of the
questions asked. Include all information called for by this
application. If any portions of the application are not
applicable, so state. Defective or incomplete
applications will be returned without consideration.
Information called for by this application which is already
on file with the Commission need not be refiled in this
application provided: (1) the information was submitted by
or on behalf of the parties to this application; (2) the
information is identified fully by reference to the file
number (if any), the FCC form number, and the filing date
of the application or other form containing the information
and the page or paragraph referred to; and (3) the party
states, "No change since date of filing." The material so
identified will be considered incorporated in the attached
application. The incorporated application or other form
will thereafter be open to public inspection in its entirety.
3. Public Notice Requirement:
(a) 47 C.F.R. Section 73.3580 requires that applicants for
assignment or transfer of a construction permit or
license give local notice in a newspaper of general
circulation in the community in which the station is
located. Local notice is also required to be broadcast
over the station, if it is capable of originating such an
announcement. However, if the station is the only
operating station in its broadcast service which is
located in the community involved, publication of the
notice in a newspaper is not required, if the
announcement can be broadcast. This public notice
requirement also applies with respect to major
amendments, as defined in 47 C.F.R. Section
73.3578(b).
(b) Completion of publication may occur within 30 days
before or after tendering of the application.
Compliance or intent to comply with the public notice
requirements must be certified in Section IV of this
application. The information that must be contained
in the notice of filing is described in paragraph (g) of
47 C.F.R. Section 73.3580. Proof of publication need
not be filed with this application.
4. FEES. By law, the Commission is required to collect
charges for certain of the regulatory services it provides to
the public. Generally, applicants seeking to transfer
control of a corporate licensee or permittee, or to assign
the license or permit, for an FM or TV translator or a low
power television station are required to pay and submit a
fee with the filing of FCC Form 345. However,
governmental entities, which include any possession, state,
city, county, town, village, municipal organization or
similar political organization or subpart thereof controlled
by publicly elected and/or duly appointed public officials
exercising sovereign direction and control over their
respective communities or programs, are exempt from the
payment of this fee. Also exempted from this fee are
noncommercial educational radio and full service TV
broadcast station licensees or permittees provided the
stations being acquired or transferred will operate on a
noncommercial basis. See 47 C.F.R. Section 1.1113. To
avail itself of any fee exemption, the applicant must
indicate its eligibility by checking the appropriate box in
response to Question 2(B), Section I. FCC Form 345
applications not involving the payment of a fee can be
hand-delivered or mailed to the FCC's Washington, D.C.
offices. See 47 C.F.R. Section 0.401(a).
The Commission's fee collection program utilizes a U.S.
Treasury lockbox bank for maximum efficiency of
collection and processing. All FCC Form 345 applications
which require the remittance of a fee, must be submitted
to the appropriate post office box address. See 47 C.F.R.
Section 0.401(b). A listing of the required fee and the
address to which FCC Form 345 should be mailed or
otherwise delivered is set forth in the "Mass Media
Services Fee Filing Guide" which can be obtained either
by writing to the Commission's Form Distribution Center,
9300 E. Hampton Drive, Capital Heights, Maryland,
20743, or by calling Telephone No. 1-800-418-FORM and
leaving your request on the answering machine provided
for this purpose. See 47 C.F.R. Section 1.1104. The Fee
Filing Guide also contains a list of the Fee Type Codes
needed to complete this application.
A separate fee payment must be submitted for each FCC
Form 345 filed. Where multiple translators or low power
television stations are being transferred or assigned on one
FCC Form 345, a single payment covering the total
required fee, which is calculated on the basis of the
number of translator or low power television station
permits or licenses that are the subject of that Form 345,
can be made.
Payment of any required fee can be made by check, bank
draft, money order or credit card. If paying by check,
bank draft or money order, your remittance must be
denominated in U.S. dollars, drawn upon a U.S. financial
institution and made payable to the Federal
Communications Commission. No postdated, altered or
third-party checks will be accepted. DO NOT SEND
CASH. Checks dated six months or older will not be
acceptable for filing.
Applicants who wish to pay their filing fee by money
order or credit card must submit FCC Form 159,
together with their application. Applicants who wish to
pay for more than one application in the same lockbox
with a single payment must also submit FCC Form 159.
When paying for multiple filings in the same lockbox with
a single payment instrument, you must list each filing as
a separate item on FCC Form 159 (Remittance Advice).
If additional entries are necessary, please use FCC Form
159C (Continuation Sheet). Those applicants electing to
pay in a manner that requires the submission of FCC Form
159 must still complete Section I, Question 1, of FCC
Form 345. Question 2 of Section I need not be
completed, but FCC Form 159 must be submitted instead.
Payment of application fees may also be made by
Electronic Payment provided prior approval has been
obtained from the Commission. Licensees interested in
this option must first contact the Billings and Collections
Branch at (202) 418-1995 to make the necessary
arrangements.
Parties hand-delivering FCC Form 345's may receive
dated receipt copies by presenting copies of the
applications to the acceptance clerk at the time of delivery.
For mailed-in applications, a "return copy" of the
application can be furnished provided the applicant clearly
identifies the "return copy" and attaches it to a stamped,
self-addressed envelope. Only one piece of paper per
application will be stamped for receipt purposes.
For further information regarding the applicability of a
fee, the amount of the fee or the payment of the fee, refer
to the "Mass Media Services Fee Filing Guide."
5. The name of the assignor/transferor must be stated exactly
as it appears on the authorization to be assigned or
transferred. If this information has been set forth in
response to Section I - Applicant Fee Information,
Question 1, it need not be repeated.
The name of the assignee/transferee shall be the exact
corporate name, if a corporation; if a partnership, the
name of all general partners and the name under which the
partnership does business; if an unincorporated association,
the name of an executive officer, his/her office, and the
name of the association; and if an individual applicant,
that person's full legal name. In other sections of the
form, the name need be only sufficient for identification
of the assignee/transferee. If this information has been set
forth in response to Question 1, Section I, it need not be
repeated.
6. As used in Sections II and III, the words "applicant" and
"party to this application" have the following meanings:
APPLICANT: The individual or entity seeking the
proposed facilities.
INDIVIDUAL APPLICANT: The natural person
applying for the facilities in his or her own right.
PARTNERSHIP APPLICANT: All partners, including
limited partners. However, limited partners in a limited
partnership are not considered parties to the application IF
the limited partners are not materially involved, directly or
indirectly, in the management or operation of the media-
related activities of the partnership. Sufficient insulation
of a limited partner for purposes of this certification would
be assured if the limited partnership arrangement:
(a) specifies that any exempt limited partner (if not a
natural person, its directors, officers, partners, etc.)
cannot act as an employee of the limited partnership
if his or her functions, directly or indirectly, relate to
the media enterprises of the company;
(b) bars any exempt limited partner from serving, in any
material capacity, as an independent contractor or
agent with respect to the partnership's media
enterprises;
(c) restricts any exempted limited partner from
communicating with the licensee or the general
partner on matters pertaining to the day-to-day
operations of its business;
(d) empowers the general partner to veto any admissions
of additional general partners admitted by vote of the
exempt limited partners;
(e) prohibits any exempt limited partner from voting on
the removal of a general partner or limits this right to
situations where the general partner is subject to
bankruptcy proceedings, as described in Sections 402
(4)-(5) of the Revised Uniform Limited Partnership
Act, is adjudicated incompetent by a court of
competent jurisdiction, or is removed for cause, as
determined by an independent party;
(f) bars any exempt limited partner from performing any
services to the limited partnership materially relating
to its media activities, with the exception of making
loans to, or acting as a surety for, the business; and
(g) states, in express terms, that any exempt limited
partner is prohibited from becoming actively involved
in the management or operation of the media
businesses of the partnership.
Notwithstanding conformance of the partnership agreement
to these criteria, however, the requisite certification cannot
be made if the applicant has actual knowledge of a
material involvement of the limited partner in the
management or operation of the media-related businesses
of the partnership. In the event that the applicant cannot
certify as to the noninvolvement of the limited partners,
the limited partners will be considered as parties to this
application.
CORPORATE APPLICANT: All officers and directors
and each owner of or subscriber to stock accounting for
5% or more of the voting stock of the applicant, each of
the corporate stockholder's directors and "executive"
officers (president, vice-president, secretary, treasurer or
their equivalents) is considered a party to this application
UNLESS the applicant submits a statement establishing
that an individual director or officer will not exercise
authority or influence in areas that will affect the applicant
or the proposed station. The applicant should identify the
individual by name and title, describe the individual's
duties and responsibilities, and explain why that person
should not be attributed an interest in the corporate
applicant or considered a party to this application. In
addition, a person or entity holding an ownership interest
in the corporate stockholder of the applicant is considered
a party to this application ONLY IF that interest, when
multiplied by the corporate stockholder's interest in the
applicant, would account for 5% or more of the votes of
the applicant. For example, where X owns or subscribers
to stock accounting for 25% of the applicant's votes, only
those stockholders or corporation X which hold stock
accounting for 20% or more have a 5% indirect interest in
the applicant (.25 x .20 = .05) and, therefore, are
considered parties to this application. In applying the
multiplier, any entity holding more than 50% of its
subsidiary will be considered a 100% owner.
If any stockholder agreement exists pertaining to
cooperative voting accounting for 5% or more of the
votes, that block of stock is regarded as if held by a single
entity and any stockholder holding 5% or more of the
stock in that block is considered a party to this
application.
An investment company, insurance company or trust
department of a bank is not considered a party to this
application IF its aggregated holding accounts for less
than 10% of the outstanding votes in the applicant.
ANY OTHER APPLICANT: All executive officers,
members of the governing board and owners or
subscribers who hold 5% or more of the votes in the
applicant.
7. Assignee or transferee applicants seeking authorization for
commercial FM translator stations should familiarize
themselves with 47 C.F.R. Section 74.1232(d) which
provides, generally that an authorization for an FM
translator station whose coverage contour extends beyond
the protected contour of the commercial primary station
will not be granted to the licensee or permittee of a
commercial FM radio broadcast station. Nor will such
authorization be granted to any person or entity having
any interest whatsoever, or any connection with such
primary FM station. For purposes of this rule, interested
and connected parties extend to group owners, corporate
parents, shareholders, officers, directors, employees,
general and limited parties, family members and business
associates.
8. Commission policies and litigation reporting requirements
for broadcast station applicants are directed to focusing on
misconduct which violates the Communications Act or a
Commission rule or policy and on certain non-FCC
misconduct. In responding to Section II, Question 7, and
Section III, Question 5, applicants are advised that the
parameters of the Commission's policies and requirements
regarding character qualifications are fully set forth in
Character Qualifications, 102 FCC 2d 1179 (1985),
reconsideration denied, 1 FCC Rcd 421 (1986), as
modified, 5 FCC Rcd 3252 (1990) and 7 FCC Rcd 6564
(1992).
For the purpose of these questions only, the terms "parties
to the application" includes any individual or entity whose
ownership or positional interest in the applicant is
cognizable under the Commission's multiple ownership
rules. See in this regard Report and Order in MM Docket
No. 83-46, 97 FCC 2d 997 (1984), reconsideration granted
in part, 58 RR 2d 604 (1985), further modified on
reconsideration, 61 RR 2d 739 (1986).
9. Section 310 of the Communications Act requires that
United States citizens must control broadcast stations,
including FM and TV translator stations, and low power
television stations. Specifically, the FCC cannot assign or
transfer a license or construction permit to an alien or the
representative of an alien, to a foreign government or a
representative of a foreign government, or to a corporation
organized under the laws of a foreign government.
Similarly, the FCC cannot transfer a license or
construction permit to a corporate applicant that has more
than 20 percent of its capital stock owned or voted by
aliens or their representatives, foreign governments or their
representatives, or by a corporation, organized under the
laws of a foreign country. Finally, if the corporate
applicant is directly or indirectly controlled by another
organization, the FCC cannot grant a transfer or
assignment application if the other corporation has more
than 25 percent of its stock is owned or voted by aliens or
their representatives, foreign governments or their
representatives, or a corporation organized under the laws
of a foreign country. The applicant must determine the
citizenship of each officer and director. It must also
determine the citizenship of each person who owns or
votes shares. For large corporations, a sample survey
using a recognized statistical method is acceptable for
determining the citizenship of those who own or vote
shares.
10. Section 325(a) of the Communications Act of 1934, as
amended, prohibits the rebroadcast of programs of a
broadcast station without the express authority of the
originating station. Where the assignee/transferee is not
the licensee of the primary station, written authority must
be obtained prior to any rebroadcasting.
11. Applicants seeking to acquire a low power television
station, whether by assignment of license or permit, or by
transfer of control, are required to afford equal
employment opportunity to all qualified persons and to
refrain from discriminating in employment and related
benefits on the basis of race, color, religion, national
origin or sex. See 47 C.F.R. Section 73.2080. Pursuant
to these requirements, an applicant that proposes to
employ five or more full-time station employees must
establish a program designed to assure equal employment
opportunity for women and minority groups (that is,
Blacks not of Hispanic origin, Asian or Pacific Islanders,
American Indians or Alaskan Natives, and Hispanics.)
This is submitted to the Commission as the Model EEO
Program Form (FCC 396-A).
If minority group representation in the available labor
force is less than five percent in the aggregate, a program
for minority group members is not required. A program
must be filed, however, for women because they
compromise a significant percentage of virtually all labor
forces. If an applicant proposes to employ less than five
full-time employees, no EEO program for women or
minorities need be filed. Guidelines for developing an
Equal Employment Opportunity Program are set forth in
FCC Form 396-A.
12. Section IV consists of two parts: Part 1 is the certification
requirements to be completed by the assignor; Part II is
the certification requirements to be completed by the
assignee. BOTH PARTIES TO THE TRANSACTION
MUST SIGN THE APPLICATION. Depending on the
nature of the applicant, this application should be signed
as indicated: for a sole proprietor, personally; for a
partnership, by a general partner; for a corporation, by an
officer; for an unincorporated association, by a member
who is an officer; for a governmental entity, by such duly
elected or appointed official as is competent under the
laws of the particular jurisdiction. Counsel may sign the
application for his or her client, but only in cases of the
applicant's disability or absence from the United States.
In such cases, counsel must separately set forth why the
application is not signed by the client. In addition, as to
any matter stated on the basis of belief instead of personal
knowledge, counsel shall separately set forth the reasons
for believing that such statements are true.
FCC NOTICE TO INDIVIDUALS REQUIRED BY THE PRIVACY ACT AND THE PAPERWORK REDUCTION ACT
The solicitation of personal information requested in this application is authorized by the Communications Act of 1934, as amended.
The Commission will use the information provided in the application to determine if the benefit requested is consistent with the public
interest. In reaching that determination, or for law enforcement purposes, it may become necessary to refer personal information
contained in this form to another government agency. In addition, all information provided in this form will be available for public
inspection. If information requested on the form is not provided, the application may be returned without action having been taken
upon it or its processing may be delayed while a request is made to provide the missing information. Your response is required to
obtain the requested authorization.
Public reporting burden for this collection of information is estimated to average 10 hours and 10 minutes per response, including the
time for reviewing instructions, searching existing data sources, gathering and maintaining the data needed, and completing and
reviewing the collection of information. Send comments regarding this burden estimate or any other aspect of this collection of
information, including suggestions for reducing the burden to the Federal Communications Commission, Records Management Branch,
Paperwork Reduction Project (3060-0075), Washington, DC 20554. DO NOT send completed forms to this address. FCC may not
conduct or sponsor, and a person is not required to respond to, a collection of information unless it displays a currently valid OMB
control number.
THE FOREGOING NOTICE IS REQUIRED BY THE PRIVACY ACT OF 1974, P.L. 93-579, DECEMBER 31, 1974, 5 U.S.C.
552a(e)(3), AND THE PAPERWORK REDUCTION ACT OF 1995, P.L.104-13, OCTOBER 1, 1995, 44 U.S.C. 3507.