Supporting Statement OMB 3060-1030 (AWS) - Feb 18 2021

Service Rules for Advanced Wireless Services (AWS) 3060-1030

in the 1.7 GHz and 2.1 GHz Bands March 2021

With this submission, the Commission seeks Office of Management and Budget (“OMB”) approval for an extension to this information to obtain the full three-year clearance for the requirements described below. Although there are no program changes, we are adjusting estimates of the currently approved information collection to more accurately reflect our current estimates by decreasing some estimates and adding estimates for previously reported, periodic collections that will be active during the three-year approval period. The decreases reflect (1) the winding down of relocation and cost-sharing activities in the AWS bands (including the closures of both AWS clearinghouses and a 2019 Order¹ that waived rules that required licensees to submit data to the clearinghouse, and (2) the Commission’s Wireless Radio Services (WRS) Renewals Order, which consolidated AWS-specific renewal and permanent discontinuance rules (that were in Part 27 and covered under this collection) into FCC rules 1.949 and 1.953, respectively, which now govern renewal and discontinuance for most Wireless Radio Services.²

1. Justification:

1. The currently approved information collections under Control No. 3060-1030³ relate to three groups of Advanced Wireless Service (“AWS”) spectrum, commonly referred to as AWS-1, AWS-3, and AWS-4. The FCC’s policies and rules apply to application, licensing, operating and technical rules for this spectrum. The respondents are AWS licensees and the relatively few remaining incumbent Fixed Microwave Service (FS) and Broadband Radio Service (BRS) licensees in the AWS bands. AWS licensees also have coordination requirements with certain Federal Government incumbents.

AWS-1 (1710-1755 MHz and 2110-2155 MHz)

In the AWS-1 Report and Order, FCC 03-251, the Commission adopted flexible use rules for the AWS-1 bands (1710-1755 MHz and 2110-2155 MHz), including the following information collection requirements⁴ (as revised by the WRS Renewals Order and the 2019 Order):

(a) Before the WRS Renewals Order, Section 27.14 provided that AWS-1 licensees involved in a comparative renewal proceeding would receive a renewal expectancy provided they file a substantial service showing as part of their license renewal application and have complied with the Communications Act and applicable FCC rules and policies. In the WRS Renewals Order, the Commission revised this rule to require AWS-1 licensees to make a showing of substantial service as a performance requirement. (See item 12-b below.)

(b) The AWS-1 Report and Order also adopted the requirement of coordination as a solution to possible in-band interference between AWS licensees in adjacent geographic licensing areas and possible out-of-band interference between AWS licensees and adjacent-band licensees. (See items 12-c and 12-k below.)

The Commission subsequently adopted mechanisms for the relocation of incumbent Fixed Microwave Service (FS) radio links and Broadband Radio Service (BRS) systems in AWS bands, and for AWS-1 coordination with incumbent Federal Government operators: ⁵

(a) The Ninth Report & Order, FCC 06-45, established procedures for the relocation of FS and BRS stations, including mechanisms for the reimbursement of relocation costs and the sharing of these costs among benefitting new licensees. (See items 12-d, 12-e, 12-f, 12-g, 13-a, 13-b below.)

(b) In a Public Notice issued jointly with the National Telecommunications and Information Administration (“NTIA”), the FCC set forth procedures for AWS-1 licensees to coordinate frequency usage with incumbent Federal Government users in the 1710-1755 MHz band. (See items 12-h and 13-c below.)

AWS-4 (2000-2020 MHz and 2180-2200 MHz)

In the AWS-4 Report and Order, FCC 12-151, the Commission adopted flexible use rules for the AWS-4 bands (2000-2020 MHz and 2180-2200 MHz), including information collection requirements similar to those for AWS-1⁶ (as revised by the WRS Renewals Order): They included:

(a) Construction requirements tied to the fourth and seventh anniversaries of initial license grants. (See item 12-b below.)

(b) Protection of Federal Government operations and associated record keeping requirements. (See items 12-h and 13-c below.)

(c) Protection of in-band Mobile Satellite Services systems. (See item 12-i below.)

(d) Documentation of private agreements relaxing out-of-band emission limits. (See item 12-j below.)

AWS-3 (1695-1710 MHz, 1755-1780 MHz and 2155-2180 MHz)

In February 2012, Congress enacted the Middle Class Tax Relief and Job Creation Act of 2012.⁷ Title VI of the Act⁸ (“the Spectrum Act”) requires the Secretary of Commerce and the Commission to identify, reallocate, auction, and license certain spectrum for commercial use by February 2015, under flexible use service rules.⁹ In the AWS-3 Report and Order, the Commission adopted rules for the allocation, licensing and commercial use of a total of 65 megahertz of spectrum including bands specifically identified in the Spectrum Act and other bands that the Act required NTIA or the Commission to identify and allocate for commercial use. NTIA identified 1695-1710 MHz, a band then authorized for Federal operations; the FCC identified 1755-1780 MHz, a band then authorized for Federal operations, after extensive consultations with NTIA and the affected Federal incumbents; and the Spectrum Act specifically identified 2155-2180 MHz, a band authorized for non-Federal use. For the two Government bands, the transition to shared commercial use will be protracted, with some incumbent Federal operations remaining permanently and some relocating to other spectrum over time.¹⁰ The shared use of these two bands thus requires coordination to ensure that AWS-3 operations will not interfere with Federal incumbents.

The AWS-3 Report and Order adopted application, licensing, operating and technical rules for these AWS-3 bands. The Commission applied its Part 27 flexible-use rules to these bands,¹¹ as it did for the AWS-1 and AWS-4 spectrum bands discussed above, with modifications necessary to account for issues relevant to the AWS-3 bands. Many information collections in Part 27 are implemented by requirements to file FCC forms, in particular Form 601, OMB Control No. 3060-0798 (FCC Application for Radio Service Authorization: WTB and PSHSB). This includes filings that may be necessary to keep information accurate. For example, under 47 CFR § 27.10(b), a Part 27 applicant must report its regulatory status, and the FCC collects this information on FCC Form 601. 47 CFR § 27.10(d) provides that the regulatory status of a Part 27 license can be amended by filing an application for minor modification of the license within 30 days of the change in regulatory status. Such a license modification is also filed on FCC Form 601. By administering AWS-3 under Part 27, these information collections are extended to the AWS-3 bands by operation of § 27.10(d). See also AWS-3 Report and Order at para. 120 (foreign ownership reporting).

Many of the other information collections adopted in the AWS‑3 Report and Order were previously described in earlier submissions to OMB (3060-1030) for both AWS-1 and AWS-4 and the previously submitted (Nov. 2014) descriptions for AWS-3 are below for reference (updated to reflect the WRS Renewals Order).¹² In the AWS-3 Report and Order:

(a) Section 2.1033(c)(19)(i)-(ii) – (AWS-3 equipment certification) the Commission has OMB approval for this collection under OMB Control No. 3060-0057 (Application for Equipment Authorization).¹³

(b) Section 27.14(k) and (s) – set forth performance requirements for AWS-3 licensees. Section 27.14(s) requires AWS-3 licensees to offer service to 40 percent of the population of their license areas within six years of licensing, and to 75 percent of the population within 12 years (accelerated to 10 years if the interim performance requirement is not met). These performance timeframes are different from those for AWS-4 due to the longer initial AWS-3 license terms (12 years versus 10 years for AWS-4). Section 27.14(k) requires AWS-3 licensees to demonstrate compliance with the performance requirements by filing construction notifications with the Commission within 15 days of the expiration of the applicable benchmark in accordance with 47 CFR § 1.946(d). Licensees must certify whether they have met the applicable performance requirements and demonstrate compliance by including a description and certification of the areas for which they are providing service. Construction notifications must include electronic coverage maps, supporting technical documentation, and any other information as the Wireless Telecommunications Bureau may prescribe by public notice.

(c) Section 27.50(d)(3) – requires that a licensee operating an AWS-3 base or fixed station utilizing a power greater than 1640 watts EIRP or 1640 watts/MHz EIRP must be coordinated in advance with the following licensees authorized to operate within 120 kilometers (75 miles) of the base or fixed station: all Broadband Radio Service (BRS) licensees authorized in the 2155-2160 MHz band, and all AWS licensees authorized to operate on adjacent frequency blocks in the 2110-2180 MHz band.

(d) Section 27.1131 – requires AWS-3 licensees, prior to initiating operations from any base or fixed station, to coordinate their frequency usage with incumbent co-channel and adjacent-channel fixed point-to-point microwave licensees operating in the 2110-2150 MHz and 2160-2200 MHz bands. If coordination does not resolve potential conflicts, an AWS licensee may undertake to relocate the FS stations under Part 101, Subpart B of the Commission’s rules. Although AWS-1 licensees have relocated many FS legacy operations, AWS-3 licensees could have to relocate some remaining incumbents, resulting in disclosures described below. Under section 101.79 of the Commission’s rules, these relocation requirements sunset ten years after the first AWS license is issued in each band.¹⁴

(e) Section 27.1132 – requires AWS-3 licensees in the 2155-2160/62 MHz band to coordinate with and protect BRS stations from interference and to relocate them prior to initiating operations. Under section 27.1253 of the Commission’s rules, these relocation requirements will sunset fifteen years after the first AWS license is issued in the band.¹⁵

(f) Section 27.1134(c) – requires AWS-3 licensees to coordinate with Federal Government incumbents before commencing operations in the 1695-1710 MHz band, and to provide and maintain a point of contact in case interference occurs. For transmitters operating with a maximum EIRP of 20 dBm, coordination is required inside 27 specific Protection Zones detailed in US note 88 to section 2.106 of the Commission’s rules and in the 2014 Joint PN. For higher-powered operations, § 27.1134(c) and US note 88 to § 2.106 both require coordination nationwide unless otherwise specified by FCC rule, order, or notice. The 2014 Joint PN (see below) refined the nationwide default zone for higher-power operations by adding 27 Protection Zones (larger than the zones for operations up to 20 dBm, to account for the higher power).

(g) Section 27.1134(f) – requires AWS-3 licensees to coordinate with Federal Government incumbents before commencing operations in the 1755-1780 MHz band, and to provide and maintain a point of contact in case interference occurs. While the default coordination requirement for this band is nationwide, the 2014 Joint PN (see below) effectively reduced the scope of coordination to specific Protection Zones for many AWS-3 licensees that limit transmitter power to 20 dBm EIRP.

On July 18, 2014, the FCC and NTIA jointly published a public notice to provide guidance on the process of coordinating with Federal incumbents (“2014 Joint PN”).¹⁶ The guide does not create additional information collection requirements. Instead, it provides information and guidance on the overall coordination process adopted in the AWS-3 Report and Order, including informal pre-coordination discussions; the formal process of submitting coordination requests, including points of contact with Federal agencies and online coordination portals; receiving results from relevant agencies; and dispute resolution options. As noted above, the 2014 Joint PN also refines certain protection zones by reducing their size and provides a streamlined option for satisfying the coordination requirement with respect to Federal satellite uplink stations.

AWS-3 & AWS-4

In April 2019, the CTIA Clearinghouse notified the Commission that it would cease providing AWS clearinghouse services on July 1, 2019.¹⁷ CTIA also filed a Petition for waiver of the clearinghouse notification requirements in 47 CFR §§ 27.1170, 27.1186, as no longer are necessary to assist in identifying cost-sharing obligations related to incumbent relocations in the AWS bands.¹⁸ CTIA explained that the requirements were adopted to ensure that all cost-sharing triggers could be identified by a clearinghouse in an environment with a high number of relocators, licensees, and potential triggers. CTIA reported, however, that the cost-sharing environment has changed significantly since the rules were adopted and that, as of 2019, there were very few potential triggers to assess in light of the sunset of AWS-1 cost-sharing obligations, relatively few remaining microwave incumbents, a limited number of AWS-3 licensees, two AWS-4 licensees owned by a single entity, and a single main licensee for the relevant BRS spectrum.¹⁹ On July 26, 2019, the Commission’s Wireless Telecommunications Bureau granted waivers of Sections 27.1170 and 27.1186 in light of the fact that there is no longer an AWS clearinghouse (and no longer a need for an AWS clearinghouse). The Bureau reiterated that new entrants into these AWS bands continue to bear the cost-sharing obligations contemplated by the Commission’s rules. To discharge these obligations, the Bureau expects AWS licensees to notify other licensees with potential reimbursement rights in the relevant area, promptly after construction of the applicable newly constructed or modified existing sites. Based on the limited number of incumbents identified in the record, the Bureau anticipated that parties will be able to satisfy any remaining obligations through voluntary negotiations and agreements, which continue to be contemplated by the Commission’s rules.²⁰ For the same reasons that it granted CTIA’s Petition, the Bureau also waived the requirements of 47 CFR §§ 27.1166, 27.1182, under which AWS relocators and voluntarily self-relocating microwave incumbents file cost data with the clearinghouse within 30 days of signing an agreement or notifying the Commission that the link is decommissioned, respectively.²¹

Statutory authority for these collections are contained in sections 1, 2, 4(i), 201, 301, 302, 303, 307, 308, 309, 310, 316, 319, 324, 332, and 333 of the Communications Act of 1934, as amended, and sections 6003, 6004, and 6401 of the Middle Class Tax Relief Act of 2012, Pub. L. No. 112-96, 126 Stat. 156, 47 U.S.C. §§ 151, 152, 154(i), 201, 301, 302(a), 303, 307, 308, 309, 310, 316, 319, 324, 332, 333, 1403, 1404, and 1451.

These information collection requirements do not affect individuals or households; thus, there are no impacts under the Privacy Act.

2. Recordkeeping, reporting, and third-party disclosure requirements associated with the FCC items listed in item 1 will be used by incumbent licensees and new entrants to negotiate relocation agreements and to coordinate operations to avoid interference. The information also may be used by licensees to determine reimbursement obligations of entrants pursuant to the Commission’s rules, and notify such entrants of their reimbursement obligations. Additionally, the information will be used to facilitate dispute resolution and for FCC oversight of the cost-sharing plan.

3. Before finalizing rulemakings, the Commission conducted an analysis to ensure that improved information technology could be used to reduce the burden on the public. This analysis considers the possibility of obtaining and/or computer-generating the required data from existing data bases in the Commission or other Federal agencies. The Commission encourages licensees to provide the requested information and notifications electronically in situations where licensees wish to use electronic means and the Commission’s regulations permit this approach. Any submissions made through the Universal Licensing System (“ULS”) must be filed electronically. The Commission does not impose a similar information collection on the respondents. There are no similar data available.

4. The Commission does not impose a similar information collection on the respondents. There are no similar data available.

5. In conformance with the Paperwork Reduction Act of 1995, the Commission is making an effort to minimize burdens on all respondents, regardless of size. The Commission has limited the information requirements to those absolutely necessary for evaluating compliance with Commission rules and policies, to ensure fair and efficient relocation and cost sharing, and to avoid interference between radio services, especially to Federal operations in the 1.7 GHz band. The Commission’s use of a flexible regulatory scheme for relocation of incumbents that includes an industry-administered cost-sharing plan is a reflection of the FCC’s intent to minimize the regulatory burden on incumbents as well as prospective applicants and licensees for these frequencies. Likewise, offering guidelines, developed and issued jointly with NTIA, for AWS-3 licensees that wish to operate before Federal operations are relocated, promotes the opening of these frequencies to a wide variety of licensees offering a range of services to the public. In addition, applying to AWS-3 licensees’ information requirements that are already in place for AWS-1 and AWS-4 licensees would limit the additional information requirements needed for AWS-3 licensees.

6. Without the reporting, recordkeeping, and disclosure requirements, it would be difficult for the Commission to ensure that licensees are in compliance with FCC rules and policies. Specifically, without the required disclosures and recordkeeping for incumbent licensees and new entrants, the Commission could not effectively facilitate the relocation of incumbents from the bands and clear the bands for the services that will be offered by AWS. Moreover, the costs of relocating incumbents could not be allocated and shared among all entrants benefiting from the relocation of any given incumbent, which would lead to an inequity in the development of competition in the wireless telecommunications service market. The license condition requiring coordination with Federal operations and the related FCC/NTIA guidelines allow AWS operations to commence prior to the relocation of Federal incumbents, in accordance with the Commercial Spectrum Enhancement Act (CSEA).²²

7. No special circumstances exist except as follows: some relocators that seek reimbursement through the FCC cost-sharing plan will be required to retain records for more than three years.

8. Pursuant to 5 CFR 1320.5(d), the FCC published a 60-day notice which appeared in the Federal Register on December 4, 2020 (85 FR 78326) seeking comment from the public on the information collection requirements contained in this collection. No PRA comments have been received.

9. Respondents will not receive any payments or gifts from the Commission associated with this collection of information.

10. There is no need for confidentiality except as follows: the Commission’s rules permit parties filing information with the Commission to request confidential treatment of that information under 47 CFR § 0.459.

11. The reporting and disclosure requirements described herein do not address any private matters of a sensitive nature.

12. Respondent Burden: In this section, we revise the estimate of burdens on rules related to AWS‑1, AWS-4 and AWS-3 licensees based on updated licensing data and other developments including the WRS Renewals Order, the sunset of AWS-1 relocation and cost-sharing obligations for fixed microwave (FS) incumbents on November 29, 2016, the relatively few FS and Broadband Radio Service (BRS) licensees that remain in the AWS bands, the closures of the AWS Clearinghouses, and the 2019 Order, which waived several rules. Some AWS relocation and cost-sharing rules are common among the three AWS services, however, the activation of these reporting or third-party disclosure requirements began with the issuance of the first license in the service and sunset or sunsets 10 or 15 years thereafter:

• AWS-1: FS sunset was November 29, 2016

BRS sunset is November 29, 2021

• AWS-4: FS sunset is March 8, 2023

• AWS-3: FS sunset is April 8, 2025

BRS sunset is April 8, 2030

For purposes of this submission, we estimate the following based on licensing data:

• AWS-1: 132 Licensees; 1,604 Licenses

• AWS-3: 37 Licensees; 1,456 Licenses

• AWS-4: 2 Licensees; 352 Licenses

Approximately 5 of the 37 AWS-3 licensees hold licenses in the 1695-1710 MHz band – hence these licensees are particularly impacted by section 27.1134(c), below.

In addition, due to the ongoing clearance of FS and BRS stations from the AWS bands, we estimate that the number of FS and BRS respondents has decreased. There are now approximately

• FS: 48 Licensees of 55 Licenses

• BRS: 4 Licensees of 6 Licenses

note: † in the table below indicates a figure rounded following computations. See explanatory text following the table for details.

12-	Burden on Respondents	Total Number of Respondents	Average Annual Responses per Respondent	Total Average Annual Responses	Time per Response (Hours)	Total Annual Burden Hours
a.	Foreign ownership reports23	10	1 (on occasion)	10	0.5	5
b.	§ 27.14 (Substantial service performance showings for AWS-1 licensees at end of initial license term) § 27.14 (Performance showings for AWS-3 and AWS-4 licensees)24	132(AWS-1) 37 (AWS-3) 2 (AWS-4)	4† 16† 59†	528 592 118	2 2 2	1,056 1,184 23625
c.26	§ 27.1131 (Protection of Part 101 operations) § 27.1132 (Protection of incumbent operations in the 2150-2160/62 MHz band) § 27.1133 (Protection of Part 74 and Part 78 operations) (some AWS licensees)	55 12 10	0.33(on occasion) 0.33 (on occasion) 35† (on occasion)	18 4 350	0.25 0.25 0.5	5† 1 175
d.	§§ 101.69, 101.73(d), 101.75(a) (disclosures related to negotiation and relocation of FS links)27	48 (FS) 39 (AWS)	0.38 (on occasion) 0.47† (on occasion)	18 18	0.25 0.25	5† 5†
e.	§§ 27.1250, 27.1251, 27.1252, 27.1255(a) (disclosures related to negotiation and relocation of BRS systems)	4 (BRS) 12 (AWS)	1 (on occasion) 1 (on occasion)	4 12	5 2	20 24
f.	§§ 27.1166(b), 27.1182(b) retain/disclose documentation of reimbursable costs for FS or BRS relocations)	55 (FS or AWS) 12 (AWS)	0.33 (on occasion) 0.33 (on occasion)	18 4	1 3	18† 12
g.	§§ 27.1166(b),(f) 27.1182(b) (additional recordkeeping, disclosures of documentation to other licensee(s), and reporting to FCC	55 (FS or AWS) 12 (AWS)	0.33 (on occasion) 1 (on occasion)	18 12	1 3	18† 36
h.	Disclosures by AWS to Federal incumbents operating in the 1.7 GHz or 2.2 GHz bands, and associated record keeping requirements § 27.1134(a) (AWS-1) § 27.1134(e)(1) and (2) (AWS-4) § 27.1134(c)(1), (4), (5), and (f)(1), (3), (4) (AWS-3)	10 (AWS-1) 39 (AWS-3&4)	1 15	10 585	5 5	50 2,925
i.	§ 27.1136 (AWS-4 protection of MSS) (AWS-4)	0	0	0	0.5	0
j.	§ 27.53(h)(4)(iii) (An AWS licensee who is a party to a private agreement must maintain a copy of the agreement in its station files and disclose it, upon request, to prospective AWS assignees, transferees, or spectrum lessees and to the Commission.) (AWS-4)	0	0	0	0.5	0
k.	§27.50(d)(3) (AWS coordination of high-power operation with nearby licensees) (AWS-1, AWS-3 and AWS-4)	52	22 (on occasion)	1,144	2x2	4,576
	Totals	223		3,463	0.25-5	10,351

12-a. Reporting- Compliance with foreign ownership filing requirements for AWS-1, AWS-3 and AWS‑4 licensees. The Commission sought and received OMB approval for the estimated burden that it would take about 0.5 hours to complete this filing and that perhaps 10 licensees would make this occasional filing per year, prepared by a licensee’s existing staff attorneys (“in-house”) at approximately $69.86 per hour, the average hourly rate for an in-house attorney according to the Bureau of Labor Statistics²⁸. This information is collected on FCC forms that are separately approved by OMB. In an abundance of caution, this entry covers any approval required in addition to OMB approval of the relevant FCC forms.

10 respondents x 1 response x 0.5 hours per response = 5 hours.

Internal cost: $69.86 x 5 hours = $349.00 ($349.30)

12-b. Reporting - Showing of compliance with substantial service requirement for AWS-1 licensees. See 47 CFR §§ 27.14(a). AWS-1 licensees must, as a performance requirement, make a showing of "substantial service" in their license area prior to the expiration of their license term. Licensees can file their showings any time before the performance deadline, but we estimate that most licensees will wait until the deadline approaches. The first AWS-1 licenses were granted in 2006; thus, this is an occasional requirement likely to be performed at the end of the first 15-year license term. When reports are required, we estimate 2 hours per response. We are also assuming an equal distribution of the 1,604 (licenses) total number of responses among 132 AWS-1, which works out to an average 12.15 responses per respondent over the course of three-year approval period, or 12/3 =4 (12.15) per year. ((1, 132) = 12.15/3=4))

132 respondents x 4 response x 2 hours per response = 1,056 hours

Internal cost: $69.86 x 1,056 hours = $73,772.00 ($73,772.16)

Reporting - Showing of compliance with performance requirement for AWS-4 and AWS-3 operators. See 47 CFR § 27.14(k), (q), (s). During their initial license terms, AWS-4 and AWS-3 licensees are required to file aggregate performance data with the FCC at the end of specified buildout periods (4 and 7 years for AWS-4 licensees and 6 and 12 years for AWS-3). The AWS-4 final buildout deadline and the AWS-3 initial buildout deadline will fall within the next three-year approval period, so these licensees will have an average of 75 (59 + 16) responses per year. The Commission estimates that licensees’ staff engineers ($51.08 per hour)²⁹ will take an average of two hours to prepare each disclosure. We are also assuming an equal distribution of the 1,456-total number of responses among the 37 AWS-3 licensees. We estimate that 40 percent will response that will average of 16 (15.74) responses. ((1,456 37) .40 = 15.74))

For AWS-3 operators: 37 respondents x 16 responses x 2 hours per response = 1,184 hours.

For AWS-4 operators: 2 respondents x 59 responses x 2 hours per response = 236 hours.

Internal cost: $51.08 x 1,420 (1,184 + 236) = $72,534.00 ($72,533.60)

12-c. Disclosures for interference coordination.  See 47 CFR §§ 27.1131 (Protection of Part 101 operations), 27.1132 (Protection of incumbent operations in the 2150-2160/62 MHz band): AWS licensees have coordination requirements to avoid interference to fixed microwave links (FS, Part 101), Broadband Radio Service (BRS) operations (in 2150-2160/62 MHz), and Broadcast Auxiliary Service (BAS, Parts 74 & 78) operations in co- or adjacent bands. The Commission believes that many cases of potential interference with in-band and out-of-band licensees that required coordination have already been resolved by previous coordinations with and relocations of FS and BRS incumbents. AWS licensees, however, must coordinate with any of the relatively few remaining FS or BRS incumbents located near a planned new or modified AWS base station. After the applicable relocation sunset date (e.g., November 29, 2016, for AWS-1 licensees’ obligation to relocate FS incumbents), coordination is essentially a notification to the incumbent that it must cease operations because the AWS licensee intends to turn on a system within the interference range. See also 47 CFR 27.1133 (Protection of Part 74 and Part 78 operations): We believe that previous AWS coordinations and filter installations now protect most BAS receive sites from AWS signals above 2110 MHz but there is no sunset date for AWS coordination and protection of BAS operations. In an abundance of caution, we estimate that up to 8 AWS licensees, deploying new or modified base stations that operate above 2110 MHz, might need to coordinate with BAS sites that receive in the 2025-2110 MHz band during the next three years. Additionally, we expect that AWS-4 systems with base stations that operate up to 2020 MHz (i.e., near the 2025 MHz lower edge of the BAS band) will be deployed during the next three years. We estimate that each of the two AWS-4 licensees will need to coordinate with up to 100 BAS receive-sites during the three-year approval period. The Commission estimates that licensees’ staff engineers ($51.08 per hour) will take an average of 15 minutes each to prepare coordinations for §§ 27.1131 and 27.1132, and an average of 30 minutes to prepare coordinations for § 27.1133.

§ 27.1131: 55 AWS respondents x 0.33 responses x 0.25 hours per response = 5 (4.5) hours.

§ 27.1132: 12 AWS respondents x 0.33 responses x 0.25 hours per response = 1 hour.

§ 27.1133: 10 AWS respondents x 35 responses x 0.5 hours per response = 175 hours.

Internal cost: (5 + 1 + 175) 181 x $51.08 = $9,245.00 ($9,245.48)

12-d. Disclosures related to negotiation and relocation of FS links. See 47 CFR §§ 101.69, 101.73(d), 101.75(a). During the next three years, up to 48 FS licensees of 55 FS links could have to make disclosures to AWS-3 or -4 licensees related to relocation/negotiation of up to 55 links ((55 ÷ 48) ÷ 3 = 0.3819 or 0.38)). Up to all 37 AWS-3 licensees and both AWS-4 licensees could have to make disclosures related to relocation/negotiation of up to 55 FS links during the next three years ((55 39) 3 = 0.47)). The total annual average responses is 36.7 ((110 = 36.66). We expect that relocations will proceed via agreements between AWS licensees and FS incumbents negotiated by in-house by staff attorneys ($69.86) and engineers ($51.08). We estimate that the required disclosures will take each FS and AWS party an average of 0.25 hours each per relocation (0.5-hour total per relocation).

48 (FS) respondents x 0.38 response x 0.25 hours per response = 5 (4.57) hours x $69.86 (attorney) = $349.00 ($349.30)

39 (AWS) respondents x 0.47 responses x 0.25 hours per response = 5 (4.57) hours x $51.08 (engineer) = $255.00 ($255.40).

Internal cost: $349.00 + $255.00 = $604.00

12-e.    Disclosures related to negotiation and relocation of BRS systems.  See 47 C.F.R. §§ 27.1250, 27.1251, 27.1252, 27.1255(a).  Approximately 4 licensees hold approximately 6 BRS licenses with a total of approximately 12 channels remaining in AWS spectrum.  In an abundance of caution, we are assuming over the next three-year approval period that up to 2 AWS licensees could negotiate with a BRS licensee to relocate one of the 12 BRS channels.  If 2 AWS licensees initiate negotiations for each of the 12 channels, one BRS licensee per channel must provide information about its system to the 2 AWS licensees.  Under this estimate, in the aggregate, 3 BRS licensees will make 24 responses to 24 AWS licensees (2 AWS per 12 BRS channels).  All parties must share necessary information and engage in good faith negotiation.  If no agreement is reached, the rules provide a process for involuntary relocation.  In an abundance of caution, we are assuming that all the AWS licensees negotiating for relocation of the 12 BRS channels are unique.  For convenience, we are assuming an equal distribution of 24 potential negotiations among the 3 BRS licensees.  We estimate that the required disclosures will take each AWS respondent an average of 2 hours per relocation and each BRS respondent an average of 5 hours per relocation, and that the negotiations will probably be conducted in-house by staff engineers at $51.08.  Additional, external costs are shown in item 13. 

12 AWS respondents x 1 response x 2 hours = 24

4 BRS respondents x 1 response x 5 hours = 20 + 24 = 48 hours.

Internal cost: 48 hours x $51.08 = $ 2,452.00 (2,451.84)

12-f. Disclosures to other licensees related to documentation of reimbursable costs for FS or BRS relocations. See 47 CFR §§ 27.1166(b), 27.1182(b). Over the course of the three-year approval period, up to 55 FS relocations could occur with up to 55 respondents (FS licensees that self-relocate or AWS-3 and -4 licensees that relocate FS links) required to retain and disclose records. We are assuming an equal distribution of the 55 FS relocations among the 55 respondents, which works out to approximately 0.33 responses per respondent annually. Also, over the next three years, up to 12 BRS-channel relocations could occur with up to 12 AWS respondents (AWS-1 or -3 licensees that relocate BRS channels) required to retain and disclose records. We are also assuming an equal distribution of the 12 BRS relocations among the 12 AWS respondents, which works out to approximately 0.33 responses per respondent annually. We estimate that meeting the documentation requirement will average 1 hour per FS relocation and 3 hours per BRS channel, and that relocators will use in-house management analyst³⁰ ($45.95/hr.) to prepare, submit, and retain this documentation itemizing reimbursable costs. (Appraisal costs are covered in Item 13.)

FS/AWS: 55 respondents x 0.33 responses @ 1 hr. = 18 hours

AWS: 12 respondents x 0.33 responses @ 3 hrs. = 12 hours

Total = 30 hours.

Total Internal cost: 30 hours x $45.95 = $1,379.00 ($1,378.50)

12-g. Additional reporting and disclosures of documentation to FCC or AWS licensee(s) when another new entrant triggers a cost-sharing obligation for a relocation for which reimbursement is sought. See 47 CFR §§ 27.1166(b)(c)(f), 27.1182(b). All respondents must maintain documentation of cost-related issues until the applicable sunset date and provide such documentation, upon request, to the FCC, or an entrant that triggers a cost-sharing obligation for which reimbursement is sought. Regarding the recordkeeping requirement, we believe this requirement imposes no annual burden because respondents already will retain these cost-related documents as part of customary and usual business practices. Regarding the third-party disclosures, we estimate that 18 (18.15) (.33% of the up to 55) FS relocations during the next three years could involve licensees seeking cost sharing reimbursement from other licensees. We are assuming an equal distribution of the 18 responses among the 55 respondents, which works out to an average 3.05 responses per respondent per year, over the course of the three-year approval period, which works out to an average of 1.01 or 1 response per respondent annually.

FS/AWS: 55 respondents x .33 responses x 1 hr. = 18 hours.

AWS: 12 respondents x 1 response x 3 hr. = 36 hours.

Internal cost: 54 (18 + 36) hours x $45.95 = $2,481.00 ($2,481.30)

12-h.     Disclosures for interference coordination by AWS-1 and AWS-3 to Federal incumbents operating in the 1.7 GHz band.  See license condition, 2006 NTIA/FCC Public Notice and 2014 NTIA/FCC Public Notice.  See generally 47 CFR § 27.1134.  AWS-1 and AWS-3 licensees must coordinate spectrum use with incumbent Federal operations in the 1.7 GHz band.  The transition of federal operations out of the AWS-1 band is complete, but we estimate that up to 10 AWS-1 licensees could have to coordinate new or modified operations within specified distances from Federal facilities areas set forth in 47 CFR § 27.1134(a).  Additionally, because all AWS-3 licenses include bands that may have Federal incumbents and because the Upper AWS-4 block is adjacent to Federal operations in the 2200-2290 MHz band, we estimate that up to all 37 AWS-3 and both AWS-4 licenses will have to coordinate some of their operations with federal incumbents.  We are assuming an equal distribution of the 585 annual coordinations among the 39 AWS-3 and AWS-4 respondents, licensees, which works out to an average of 45 responses per respondent over the course of the three-year approval period, or 15 responses per respondent year. ((1,755 39) 3 = 15). On average, we estimate that the disclosures required for each coordination will take an average of 5 hours (in-house staff engineer at $51.08/hr.).  Additional external costs are discussed in item 13. 

10 (AWS-1) respondents x 1 response x 5 hrs. = 50 hours

39 (AWS-3, -4) respondents x 15 responses x 5 hrs. = 2,925 hours.

Internal cost: (2,925 + 50 = 2,975 hours) x $51.08 = $151,963

12-i. Protection of Mobile Satellite Services in the 2000-2020 MHz and 2180-2200 MHz bands. (placeholder)

0 respondent x 0 response x 0.5 hrs. = 0 hour.

Internal cost = $0.

12-j. Private Agreements. (placeholder)

0 respondent x 0 response x 0.5 hrs. = 0 hour.

Internal cost = $0

12-k. Coordination for use of high power. See 47 CFR § 27.50(d)(3), (8). AWS-1, -4 and -3 licensees utilizing a power greater than 1640 watts EIRP or 1640 watts/MHz EIRP (“high power”) must coordinate such operations in advance with certain AWS and BRS licensees and satellite entities. We expect about 3,412 coordinations annually by 52 AWS-1, -4 and -3 respondents coordinating with up to 4 BRS incumbents, 7 satellite entities and perhaps 2 other AWS licensees, which works out to an average 65.61 responses per respondent over the course of the three-year approval period, or 22 or 21.87 per year. We assume such high-power operations will occur pursuant to agreements negotiated in-house by staff attorneys ($69.863/hr.) and engineers ($51.085/hr.). We estimate that the required disclosures will take each party an average of 2 hours per agreement, and we are assuming an equal distribution of the disclosures or responses among the 59 respondents (37 AWS-3 + 4 BRS + 7 satellites + 2 AWS-4), which works out to approximately 22 coordinations per respondent.

52 respondents (2 AWS-1, 37 AWS-3, 2 AWS-4, 4 BRS, and 7 satellite entities) x 22 responses x 2 parties per coordination x 2 hr. = 4,576 hours

Internal cost: $276,711 = (2,288 hours x $69.86 attorney = $159,840 ($159,839.68)) + (2,288 hours x $51.08 engineer = $116,871 ($116,871.04))

TOTAL NUMBER OF RESPONDENTS: 223³¹

TOTAL NUMBER OF RESPONSES: 3,463

TOTAL ANNUAL BURDEN HOURS: 10,351 HOURS

TOTAL ANNUAL IN-HOUSE/INTERNAL COST: $431,650.00

13. Annual Costs to the Respondent:

13-a. Appraisals required under 47 CFR §§ 27.1166(b)(1), 27.1182(a)(3) to seek reimbursement for certain relocations.

- Appraisal for FS self-relocations: We estimate that up to 48 incumbent FS licensees could self-relocate 55 FS links, see 12-f. When seeking reimbursement from other licensees, self-relocators must include an appraisal, which we estimate will cost an average of $750 (engineer/economist at 3 hrs. x $250/hr.) for each of the self-relocations. We are assuming an equal distribution of the 55 FS appraisals among 48 FS respondents, which works out to an average of 0.87 appraisal per FS respondent over the course of the three-year approval period, or 0.290 per year.

48 respondents x 0.290 appraisals each @ $750 = $10,440.00

- Appraisal for BRS relocations BRS relocation reimbursements can be sought without an appraisal under certain conditions. However, we are assuming that potential relocators (AWS licensees) could obtain appraisals for up to 6 BRS relocations and that each appraisal will cost an average of $1,500 (engineer/economist at 6 hrs. x $250/hr.). We are assuming an equal distribution of the 6 BRS appraisals among the 4 AWS licensees, which works out to an average of 1.5 appraisals per respondent over the course of the three-year approval period, or 0.5 per year.

4 respondents x 0.5 responses/respondent/year x $1,500 per response = $3,000

13-b. Disclosures related to negotiation and relocation of BRS systems. In addition to the burdens discussed in paragraph 12-e, we estimate that the 4 BRS respondents will retain legal counsel to assist in the negotiations, and that some of these costs will be attributable to the disclosure requirements. We estimate these costs at up to $3,000 (attorney @ $300/hr. x 10 hrs.) for each of 12 BRS channels subject to relocation. Assuming an equal distribution of negotiations among the four BRS licensees for up to 12 channels, we estimate that each respondent will incur an external cost of up to $3,000 per year for one negotiation annually.

4 respondents x 1 response/respondent/year x $ 3,000 per response = $12,000

13-c. Disclosures by AWS to Federal incumbents operating in the 1.7 GHz band or above 2.2 GHz. In addition to the burdens discussed in item 12-h, we estimate that up to all 49 respondents (10 AWS, 37 AWS-3 and both AWS-4 licensees) will hire a consultant for up to $750 (3 hrs. x $250 per hr.) to assist in the coordination with Federal incumbents. We are assuming an equal distribution of the 10 annual responses among 10 AWS-1 licensees and of the 585 annual responses among the 39 AWS-3/-4 respondents. For the 10 AWS-1 respondents, the total annual external cost is $7,500 (10 respondents @ 1 response per year x $750). For the 39 AWS-3/-4 respondents, the total annual external cost is $438,750 (39 respondents @ 15 responses per year x $750).

10 AWS-1 respondents x 1 response per year x $750 per response = $7,500
39 AWS-3/-4 respondents x 15 responses per year x $750 per response = $438,750

Total external cost: $7,500 + $438,750 = $446,250

TOTAL ANNUAL (External) RESPONDENT COST:

$10,440 + $3,000 + $12,000 + $446,250 = $471,690.

14. Government Costs:

14-a. Foreign ownership notifications. We estimate that the cost to the Commission is for a GS 7 Step 5³² legal instrument examiner at $26.69 per hour to take 0.25 hrs. to review each of the 10 foreign ownership change submissions that might be filed annually.

Annual cost: $26.69 x 0.25 hrs. x 10 foreign ownership change submissions = $67 ($66.73).

14-b. Buildout showings. We estimate that the Commission would assign a GS 12 Step 5 engineer at $47.35 per hour to review the substantial service buildout showings filed by 132 AWS-1 licensees and the interim buildout showings filed by 37 AWS-3 licensees (i.e., 16 per year; see item 12-b), and that each review would take an average of about two hours.

Annual cost: $47.35 x 2 hrs. per review x 16 showings = $1,515 ($1,515.20)

Total cost to the government: $67 + $1,515 = $1,582.00.

15. The Commission has adjustments to this collection which are due the Commission adjusting estimates of the currently approved information collection to more accurately reflect our current estimates by decreasing some estimates and adding estimates for previously reported, periodic collections that will be active during the three-year approval period. Therefore, the adjustments/decreases are as follows: decreases of 31 to the number of respondents, 4,335 to the annual number of responses, 4,007 to the annual burden hours and $296,095 to the annual cost.

16. The data will not be published for statistical use.

17. We are not requesting OMB approval to not display the OMB expiration date as the requirements are contained in FCC rules.

The Commission publishes a comprehensive listing of all OMB approved information collections in 47 C.F.R. § 0.408. This listing “displays” the title of the collection, its OMB control number and OMB expiration date.

18. There are exceptions to the Certification Statement. The Commission published a 60-day Notice in the Federal Register Notice on December 9, 2020 (85 FR 79182) to seek comments from the public on the information collection requirements for this collection. The Commission corrected figures which were published in the 60-day notice to reflect the current figures which are contained in the published 30-day notice and this supporting statement. There are no other exceptions to the Certification Statement.

B. Collections of Information Employing Statistical Methods:

No statistical methods are employed.

1 See Order, DA 19-716, (WTB Jul. 26, 2019) (2019 Order) (granting CTIA – The Wireless Association® (CTIA) Petition for Waiver, ET Docket No. 00-258, WT Docket No. 02-353 (filed Apr. 5, 2019) (Petition)).

2 See OMB Control No. 3060-0798, ICR Ref. No. 202004-3060-026, submitted April 17, 2020, and approved by OMB June 4, 2020. See also Amendment of Parts 1, 22, 24, 27, 74, 80, 90, 95, and 101 To Establish Uniform License Renewal, Discontinuance of Operation, and Geographic Partitioning and Spectrum Disaggregation Rules and Policies for Certain Wireless Radio Services, Second Report and Order and Further Notice of Proposed Rulemaking, FCC 17-105 (WRS Renewals Order).

3 See OMB Control No. 3060-1030, ICR Ref. No. 201801-3060-001, submitted Jan. 2, 2018, and approved by OMB Feb. 21, 2018. See also Notice of Office of Management and Budget Action, Feb. 12, 2021 (approved request for emergency extension of expiration date to March 31, 2021).

4 In 2005, OMB approved revisions to Control No. 3060-1030 based on service rules that the FCC adopted for Advanced Wireless Services. See Service Rules for Advanced Wireless Services in the 1.7 GHz and 2.1 GHz Bands, 69 FR 5711 (Feb. 6, 2004) (AWS-1 Report and Order). The license application requirements and the disaggregation and partitioning burdens contained in the AWS-1 Report and Order were approved by OMB as part of the Commission’s Universal Licensing Service (ULS) system, OMB Control No. 3060-0798, which also contains approval for requiring all licensees in the 1710-1755 MHz and 2110-2155 MHz bands to report to the FCC any change in their foreign ownership status, as discussed in paragraph 61 of the AWS-1 Report and Order. However, this approval (3060-0798) covered only initial foreign ownership reporting requirements; subsequent foreign ownership filings for AWS licensees are covered by Control No. 3060-1030.

5 In 2007, OMB approved revisions to this information collection made by the Ninth R&O, 71 FR 29818 (May 24, 2006), a Clearinghouse Order, 72 FR 41940 (Aug. 1, 2007), and a Public Notice issued jointly with the National Telecommunications and Information Administration (“NTIA”), 71 FR 28696 (May 17, 2006). Furthermore, in 2010, the Commission submitted and received OMB approval extending this information collection.

6 In 2013, OMB approved extension and revisions to this information collection as a result of the AWS-4 Report and Order. See OMB Control No. 3060-1030, ICR Ref. No: 201302-3060-009; Service Rules for Advanced Wireless Services in the 2000-2020 MHz and 2180-2200 MHz Bands, 78 FR 8230 (Feb. 5, 2013).

7 Middle Class Tax Relief and Job Creation Act of 2012, Pub. L. No. 112-96 (2012).

8 Middle Class Tax Relief and Job Creation Act of 2012, Pub. L. No. 112-96, §§ 6402 (codified at 47 U.S.C. § 309(j)(8)(G)), 6403 (codified at 47 U.S.C. § 1452), 126 Stat. 156 (2012).

9 See generally id.

10 To facilitate relocation, NTIA publicizes certain transition plans provided by the Federal users. These transition plans generally disclose Federal users’ frequencies, emission bandwidth, system use, service area, timeline for sharing and transition, and estimated costs for relocation or sharing. Short-form bidders/applicants must complete a certification acknowledging the potential for interference to AWS-3 from Federal systems.

11 See AWS-3 Report and Order at para. 114.

12 On January 13, 2015, OMB approved the revisions to this information collection as a result of the AWS-3 Report and Order and related public notices. See OMB Control No. 3060-1030, Notice of Office of Management and Budget Action, dated Jan. 13, 2015, and Feb. 21, 2018.

13 See 202005-3060-012; 3060-0057 June 2020 Supporting Statement at 5 states that Applications for devices operating under certain service rules (as specified in 47 CFR § 2.1033) must also include information specified in the rule parts. See 47 CFR Sections 2.1033(b)(9)-(14), 2.1033(c)(13)-(21) and 2.1033(d).

14 After the applicable relocation sunset date, AWS licensees must coordinate with any affected Part 101 licensees that are still operating to provide notice that they intend to turn on a system within the interference range and that the incumbent must cease operating. See also 47 CFR § 101.79.

15 The information collection requirements that are involved with this rule section include coordination requirements. After the applicable relocation sunset date, AWS licensees must coordinate with any affected BRS licensees that are still operating to provide notice that they intend to turn on a system within the interference range and that the incumbent must cease operating. See 47 CFR § 27.1253.

16 See The Federal Communications Commission and the National Telecommunications and Information Administration: Coordination Procedures in the 1695-1710 MHz and 1755-1780 MHz Bands, GN Docket No. 13-185, Public Notice, DA 14-1023 (rel. Jul. 18, 2014) (“2014 Joint PN”).

17 See Letter from Thomas C. Power, Secretary/Treasurer, CTIA Spectrum Clearinghouse, LLC, to Marlene H. Dortch, Secretary, FCC at 1 (Apr. 2, 2019) (noting the November 29, 2016, sunset date for fixed microwave service relocation by AWS-1 licensees, the relatively few number of remaining links and the relatively few number of distinct licensees in the remaining AWS bands). CTIA noted that the PCIA Clearinghouse had previously ceased operations.

18 See CTIA – The Wireless Association® (CTIA) Petition for Waiver, ET Docket No. 00-258, WT Docket No. 02-353 (filed Apr. 5, 2019) (Petition). CTIA stated that it represents the U.S. wireless communications industry and the companies throughout the mobile ecosystem and that the association’s members include wireless carriers, device manufacturers, suppliers as well as apps and content companies. CTIA stated that the Clearinghouse sent notices to all AWS-3 licensees that it would be terminating services effective July 1, 2019, id. at n.16, and that the single licensee projected to benefit from future triggers related BRS relocations has indicated that it is not interested in participating in the clearinghouse, id. at n.17.

19 Id.

20 See 2019 Order at n.19 citing 47 CFR §§ 27.1160, 27.1176.

21 See 2019 Order at n.9.

22 Commercial Spectrum Enhancement Act, Pub. L. No. 108-494, 118 Stat. 3986, Title II (2004) (codified in various sections of Title 47 of the United States Code).

23 Foreign ownership reports refer to an applicant initial review of possible foreign ownership; and all AWS-1, AWS-4 and AWS-3 licensees must report change in foreign ownership.

24 Most AWS licensees will have to submit interim or final performance showings during the next three-year OMB approval period.

25 All of the AWS-4 licenses are held by two entities that are indirect, wholly owned subsidiary of DISH Network Corporation (DISH). We note in an abundance of caution that DISH is also subject to information collection, recordkeeping, and third-party disclosure requirements, related to its AWS-4 and certain other FCC licenses, in connection with FCC and U.S. District Court adjudicatory proceedings that are outside the coverage of the Paperwork Act. See 5 CFR § 1320.4(a)(2). See also Applications of T-Mobile US, Inc., and Sprint Corporation, For Consent To Transfer Control of Licenses and Authorizations, WT Docket No. 18-197, Applications of American H Block Wireless L.L.C., DBSD Corporation, Gamma Acquisition L.L.C., and Manifest Wireless L.L.C. for Extension of Time, ULS File Nos. 0008741236, 0008741420, 0008741603, and 0008741789 et al., WT Docket No. 18-197, Memorandum Opinion and Order, Declaratory Ruling, and Order of Proposed Modification, 34 FCC Rcd 10578 (2019); Order of Modification and Extension of Time to Construct, 35 FCC Rcd 9580 (WTB 2020); United States v. Deutsche Telekom AG; Final Judgment, 2020 WL 2481785 (D.D.C., Apr. 1, 2020), Memorandum Opinion, 2020 WL 1873555 (Apr. 14, 2020, D.D.C.).

26 AWS licensees typically will complete §§ 27.1131, 27.1132 and 27.1133 at the same time, as applicable, when planning a new or modified base station.

27 Four licensees hold 6 BRS licenses, and the 6 licenses are a total of 12 BRS channels. For purposes of this submission, we assume that up to 2 AWS licensees could engage in negotiations with one of the four BRS licensees to coordinate with or relocate each of the 12 BRS channels and that each of the 12 channels. The total number of AWS respondents is 24 (2 AWS licensees x 12 BRS channels).

28 U.S. Bureau of Labor Statistics, Occupational Employment and Wages, May 2019, Attorney, Hourly Mean Wage.

29 U.S. Bureau of Labor Statistics, Occupational Employment and Wages, May 2019, Engineer, Hourly Mean Wage.

30 U.S. Department of Labor Statistics; Occupational Employment Statistics; Occupational Employment and Wages; May 2019; Management Analyst; Website: https://www.bls.gov/news.release/pdf/ocwage.pdf

31 The total number of respondents was calculated as follows: FS: 48 licensees, BRS: 4 licensees, AWS-1: 132 Licensees, AWS-3: 37 Licensees and AWS-4: 2 Licensees for a total of 223 respondents.

32 WASHINGTON-BALTIMORE-ARLINGTON, DC-MD-VA-WV-PA; Salaries & Wages; Pay & Leave; OPM; website: https://www.opm.gov/policy-data-oversight/pay-leave/salaries-wages/salary-tables/pdf/2021/DCB_h.pdf.