Commercial Operations in the 1695-1710 MHz, 1755-1780 MHz, and 2155-2180 MHz Bands, 32365-32415 [2014-11235]
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Vol. 79
Wednesday,
No. 107
June 4, 2014
Part II
Federal Communications Commission
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47 CFR Parts 1, 2, and 27
Commercial Operations in the 1695–1710 MHz, 1755–1780 MHz, and
2155–2180 MHz Bands; Final Rule
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Federal Register / Vol. 79, No. 107 / Wednesday, June 4, 2014 / Rules and Regulations
FEDERAL COMMUNICATIONS
COMMISSION
47 CFR Parts 1, 2, and 27
[GN Docket No. 13–185; FCC 14–31]
Commercial Operations in the 1695–
1710 MHz, 1755–1780 MHz, and 2155–
2180 MHz Bands
Federal Communications
Commission.
ACTION: Final rule.
AGENCY:
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This is a
summary of the Commission’s AWS–3
Report and Order, FCC 14–31, adopted
and released on March 31, 2014
(corrected by Erratum, released on May
6, 2014. The full text of this document
is available for inspection and copying
during normal business hours in the
FCC Reference Information Center,
Room CY–A257, 445 12th Street SW.,
Washington, DC 20554. The complete
text may be purchased from the
Commission’s duplicating contractor,
Best Copy and Printing, Inc. (BCPI),
Portals II, 445 12th Street SW., Room
CY–B402, Washington, DC 20554, (202)
488–5300, facsimile (202) 488–5563, or
via email at fcc@bcpiweb.com. The
complete text is also available on the
Commission’s Web site at https://
fjallfoss.fcc.gov/edocs_public/
attachmatch/FCC-14-31A1.docx.
Alternative formats (computer diskette,
large print, audio cassette, and Braille)
are available by contacting Brian Millin
at (202) 418–7426, TTY (202) 418–7365,
or via email to bmillin@fcc.gov.
SUPPLEMENTARY INFORMATION:
In this document, the Federal
Communications Commission
(Commission) adopts rules governing
use of spectrum in the 1695–1710 MHz,
1755–1780 MHz, and 2155–2180 MHz
bands that will make available
significantly more commercial spectrum
for Advanced Wireless Services. This
additional 65 megahertz of spectrum for
commercial use will help ensure that
the speed, capacity, and ubiquity of the
nation’s wireless networks keeps pace
with industry demands for wireless
service. This is another step in
implementing the Congressional
directive in Title VI of the Middle Class
Tax Relief and Job Creation Act of 2012
to make more spectrum available for
flexible uses.
DATES: Effective July 7, 2014 except for
the amendment to 47 CFR 2.106 adding
Fixed and Mobile allocations for the
2025–2110 MHz band to the Federal
Table of Frequency Allocations, which
will become effective after the
Commission publishes a document in
the Federal Register announcing the
relevant effective date, and except for 47
CFR 2.1033(c)(19)(i)–(ii); 27.14(k), (s);
27.17(c); 27.50(d)(3); 27.1131; 27.1132;
27.1134(c), (f), which contain new or
modified information collection
requirements that are not effective until
approved by the Office of Management
and Budget. The Commission will
publish a document in the Federal
Register announcing the effective date
for those sections.
ADDRESSES: Federal Communications
Commission, 445 12th Street SW.,
Washington, DC 20554. A copy of any
comments on the Paperwork Reduction
Act information collection requirements
contained herein should be submitted to
the Federal Communications
Commission via email to PRA@fcc.gov
and to Cathy Williams, Federal
Communications Commission, Room
1–C823, 445 12th Street SW.,
Washington, DC 20554 or via the
Internet at Cathy.Williams@fcc.gov.
FOR FURTHER INFORMATION CONTACT:
Ronald Repasi, Office of Engineering
and Technology, at (202) 418–0768 or
SUMMARY:
Ronald.Repasi@fcc.gov or Peter
Daronco, Broadband Division, Wireless
Telecommunications Bureau, at (202)
418–7235 or Peter.Daronco@fcc.gov. For
additional information concerning the
Paperwork Reduction Act information
collection requirements contained in
this document, contact Cathy Williams
at (202) 418–2918, or via the Internet at
PRA@fcc.gov.
Summary
1. With the Report and Order, we
adopt rules governing use of spectrum
in the 1695–1710 MHz, 1755–1780
MHz, and 2155–2180 MHz bands that
will make available significantly more
commercial spectrum for Advanced
Wireless Services (AWS). We refer to
these bands as AWS–3. This action is
another step in implementing the
Congressional directive in Title VI of the
Middle Class Tax Relief and Job
Creation Act of 2012, Public Law 112–
96, 126 Stat. 156 (2012) (Spectrum Act)
to make more spectrum available for
flexible uses. It also represents a
milestone in speeding commercial
access to bands through spectrumsharing arrangements with incumbent
Federal users. In particular, 40
megahertz in the band is being made
available for commercial use pursuant
to collaboration among the wireless
industry and Federal agencies facilitated
by the Commerce Spectrum
Management Advisory Committee
(CSMAC) chartered to advise the
National Telecommunications and
Information Administration (NTIA).
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2. We will license the AWS–3
spectrum in two sub-bands. We will
pair the 2155–2180 MHz band for
downlink/base station operations with
the 1755–1780 MHz band for uplink/
mobile operations. The 2155–2180 MHz
band is already currently allocated for
non-Federal, commercial use. The
1755–1780 MHz band is being made
available on a shared basis with a
limited number of Federal incumbents
indefinitely, while many of the Federal
systems will over time relocate out of
the band. We also adopt rules to allocate
and license the 1695–1710 MHz band
for uplink/mobile operations on an
unpaired shared basis with incumbent
Federal meteorological-satellite (MetSat)
data users. We will assign AWS–3
licenses by competitive bidding,
offering 5 megahertz and 10 megahertz
blocks that can be aggregated using
Economic Areas (EAs) as the area for
geographic licensing, except for 1755–
1760/2155–2160 MHz, which will be
licensed by Cellular Market Areas
(CMAs).
I. Background
3. Section 6401 of the Spectrum Act.
In February 2012, Congress enacted the
Spectrum Act. That Act includes several
provisions designed to make more
spectrum available for commercial use.
It established, among other things,
deadlines applicable to both the
Secretary of Commerce and the
Commission to identify, reallocate,
auction, and license, subject to flexible
use service rules, spectrum for
commercial use. Specifically, the
Spectrum Act requires the allocation of
spectrum in the following bands for
services that support commercial use:
25 megahertz at 2155–2180 MHz; an
additional contiguous 15 megahertz to
be identified by the Commission; 15
megahertz between 1675–1710 MHz, to
be identified by NTIA by February 2013;
and 10 megahertz at 1915–1920 MHz
and 1995–2000 MHz, if the Commission
finds no harmful interference to the
neighboring Personal Communications
Service (PCS) band. The Spectrum Act
states that the Commission shall grant
new initial licenses for all of these
bands by February 2015. In June 2013
the FCC adopted service rules for the
last of these four bands listed above
(1915–1920 and 1995–2000 MHz, or the
H Block) in a separate FCC proceeding
and the Commission completed the H
Block auction on February 27, 2014.
4. The Spectrum Act also amended
the Commercial Spectrum Enhancement
Act, Public Law 108–494, 118 Stat.
3986, 3991 (2004), codified at 47 U.S.C.
309(j), 923(g), 928 (CSEA). In 2004, the
CSEA created the Spectrum Relocation
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Fund (SRF) to streamline the process by
which Federal incumbents can recover
the costs associated with relocating their
spectrum-dependent systems from
spectrum bands authorized to be
licensed under the Commission’s
competitive bidding authority. See 47
U.S.C. 309(j), 928. The Spectrum Act
extended the CSEA cost reimbursement
mechanism for Federal incumbents to
include sharing as well as relocation
costs, and to facilitate Federal
incumbents sharing of spectrum with
commercial users by expanding the
types of expenditures that can be
funded or reimbursed from the SRF.
These changes are intended to permit
agencies to receive funds associated
with planning for Commission auctions
and relocations, spectrum sharing, the
use of alternative technologies, the
replacement of existing governmentowned equipment with state-of-the-art
systems, and the research, engineering
studies, and economic analyses
conducted in connection with spectrum
sharing arrangements, including
coordination with auction winners. The
Spectrum Act also created a new
category of allowable pre-auction costs
that may, in certain circumstances, be
funded before the start of a Commission
auction of licenses for applicable
eligible frequencies.
5. The conclusion of any auction of
eligible frequencies reallocated from
Federal use to non-Federal use or to
shared use is contingent on obtaining
from such auction cash proceeds
amounting to at least 110 percent of the
total estimated relocation or sharing
costs provided to the Commission by
NTIA. Proceeds attributable to the
2155–2180 MHz, 1915–1920 MHz, and
1995–2000 MHz non-Federal bands
must also be deposited in the PSTF. The
Spectrum Act establishes the priority for
making payments or deposits from the
PSTF as amounts are deposited into the
Fund. Spectrum Act section 6413(b),
codified at 47 U.S.C. 1457(b). Once the
relocation and sharing costs of the
Federal incumbents are covered,
however, the remainder of the proceeds
attributable to eligible Federal
frequencies required to be auction under
the Spectrum Act must be deposited in
the Public Safety Trust Fund (PSTF)
rather than the SRF.
6. CSEA Transition Planning Process.
The CSEA also requires the Commission
to notify NTIA at least 18 months before
the start of an auction of eligible
frequencies and for NTIA to notify the
Commission of estimated relocation and
sharing costs associated therewith, and
timelines for such relocation or sharing,
at least 6 months before the start of the
auction. On March 20, 2013, the
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Commission notified NTIA that it
‘‘plans to commence the auction of
licenses in the 1695–1710 MHz band
and the 1755–1780 MHz band as early
as September 2014’’ in order to satisfy
the Spectrum Act licensing deadline of
February 2015. NTIA subsequently
notified the affected agencies of their
requirement to prepare transition plans.
7. As noted above, the Spectrum Act
amended the CSEA to expand the types
of costs for which Federal agencies can
be reimbursed from the Spectrum
Relocation Fund. It also required the
Department of Commerce to adopt a
common format for Transition Plans,
create an expert Technical Panel to
review the sufficiency of these
transition plans, and adopt a process to
resolve disputes regarding the
execution, timing, or cost of transition
plans. The Technical Panel consists of
three members, one appointed by the
Director of the Office of Management
and Budget (OMB), one appointed by
the Assistant Secretary of Commerce for
Communications and Information, and
one appointed by the Chairman of the
Federal Communications Commission.
Each member must be a radio engineer
or a technical expert. 47 U.S.C.
923(h)(3)(B); see 47 CFR 301.100. The
Technical Panel reviews each Federal
entity’s transition plan and reports on
its sufficiency. 47 U.S.C. 923(h)(4); see
47 CFR 301.120.
8. The Spectrum Act amendments to
the CSEA require Federal agencies
authorized to use eligible frequencies to
submit a Transition Plan to NTIA and
the Technical Panel no later than 240
days (i.e., 8 months) before the auction
start date. The amendments further
require the Technical Panel to submit to
NTIA and the applying Federal agency
a report on the sufficiency of the
Transition Plan no later than 30 days
after the submission of the plan (i.e., 7
months, or 210 days, before the auction
start date). NTIA must make the
Transition Plans available on its Web
site with the exception of classified and
other sensitive information, no later
than 120 days (i.e., 4 months) before the
auction start date. 47 U.S.C. 923(h)(5).
See also Common Format for Federal
Entity Transition Plans, Notice of
Inquiry in Doc No. 130809701–3701–01,
78 FR 50396, Aug. 19, 2013.
9. CSMAC Working Groups. As
discussed in the AWS–3 NPRM, NTIA
established five joint government/
industry working groups within its
CSMAC to facilitate the implementation
of services that support commercial use
in the 1695–1710 MHz and 1755–1850
MHz bands. Working Group 1 (WG1)
was charged with addressing sharing
issues related to the 1675–1710 MHz
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band, while Working Groups 2–5 were
charged with addressing sharing issues
related to Federal operations in the
1755–1850 MHz band. WG1’s final
report, adopted by CSMAC on February
21, 2013, recommended that the
Commission adopt a framework for
reallocating the 1695–1710 MHz band
for commercial use with ‘‘Protection
Zones.’’ Under this framework,
commercial operations could be freely
deployed outside of these ‘‘Protection
Zones.’’ Operations inside these
‘‘Protection Zones,’’ however, would
require prior successful Federal
coordination. With respect to the 1755–
1850 MHz band, only WG2’s final report
was completed before the AWS–3 NPRM
was released. The Commission noted
that the record of the instant proceeding
would be informed by NTIA’s
subsequent recommendations regarding
CSMAC’s then ongoing study of the
potential for Federal/non-Federal
spectrum sharing. If NTIA endorsed
these reports, the Commission would
add them to the record for commenters
to discuss in comments, reply
comments, or ex parte presentations, as
appropriate, depending on the timing.
AWS–3 NPRM, 28 FCC Rcd at 11491
para. 19. See also Wireless
Telecommunications Bureau and Office
of Engineering and Technology Exempt
Certain Ex Parte Presentations in GN
Docket No. 13–185, Public Notice, 28
FCC Rcd 12268 (2013).
10. DoD Proposal. The AWS–3 NPRM
also sought comment on two specific
proposals for facilitating wireless
industry access to the 1755–1780 MHz
portion of the 1755–1850 MHz band,
including the Department of Defense
Alternative Proposal (DoD Proposal).
Letter from Karl B. Nebbia, Associate
Administrator, Office of Spectrum
Management, NTIA, to Julius P. Knapp,
Chief, Office of Engineering and
Technology, FCC, at 1 (July 22, 2013)
(GN Docket No. 09–51, ET Docket 10–
123) (NTIA July 2013 Letter). See also
id., Enclosure 1 (Letter from Teresa M.
Takai, Chief Information Officer, DoD,
to Lawrence E. Strickling, Assistant
Secretary for Communications and
Information, NTIA, U.S. Dept. of
Commerce (July 17 2013). The other
proposal was the ‘‘Industry Roadmap.’’
See AWS–3 NPRM, 28 FCC Rcd at 11514
para. 78. Under the DoD Proposal, the
Commission would be able to auction
licenses in the 1755–1780 MHz band in
the near term, while protecting DoD’s
critical capabilities and preserving the
flexibility necessary to address the longterm status of the remaining (1780–1850
MHz) portion of this band. DoD
proposed to relocate most of its
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operations out of the 1755–1780 MHz
band by shifting and compressing some
operations now at 1755–1850 MHz into
the 1780–1850 MHz band and by
relocating other operations on a shared
basis to the 2025–2110 MHz band. DoD
estimated the cost of implementing its
proposal at $3.5 billion. NTIA July 2013
Letter, Enclosure 1. Under the DoD
Proposal, DoD would not seek access to
the 5150–5250 MHz band for telemetry.
NTIA July 2013 Letter, Enclosure 1.
11. NTIA Endorsement of CSMAC
Reports and DoD Proposal. In a letter
filed with the Commission on November
25, 2013, NTIA endorsed the remaining
CSMAC reports and transmitted final
versions of all five reports to the
Commission, which we added to the
record of this proceeding. Letter from
Letter from Karl B. Nebbia, Associate
Administrator, NTIA Office of Spectrum
Management to Julius Knapp, Federal
Communications Commission at 1
(dated Nov. 25, 2013) (NTIA November
2013 Letter). NTIA also fully endorsed
the DoD Proposal to relocate most of its
operations out of the 1755–1780 MHz
band and to gain additional access to
the 2025–2110 MHz band by adding
primary fixed and mobile allocations to
the Federal Table of Frequency
Allocations limited to certain military
operations with protection and priority
for non-Federal fixed and mobile
operators in the Television Broadcast
Auxiliary Service (BAS), the Cable
Television Relay Service (CARS), or the
Local Television Transmission Service
(LTTS). NTIA clarified that coordination
between military and these non-Federal
operations should occur via a
memorandum of understanding between
the Federal and non-Federal fixed and
mobile operators. Under this framework
DoD operations would share the 2025–
2110 MHz band with BAS, CARS, and
LTTS, thus enabling DoD to relocate
some military operations from the 1755–
1780 MHz band to the 2025–2110 MHz
band for those operations that could not
compress into the 1780–1850 MHz band
or could not relocate to other bands
allocated for Federal use.
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II. Discussion
A. Bands for AWS–3
12. In the AWS–3 NPRM, the
Commission proposed AWS–3 service
rules for the 1695–1710 MHz, 1755–
1780 MHz, 2020–2025 MHz, and 2155–
2180 MHz bands. We discuss each band
below.
13. 1695–1710–MHz. As discussed in
the AWS–3 NPRM, in accordance with
the Spectrum Act’s mandate to identify
new commercial spectrum for auction,
NTIA identified 1695–1710 MHz for
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commercial services. The 1695–1710
MHz band is immediately below the
AWS–1 uplink band at 1710–1755 MHz.
The 1675–1700 MHz band segment is
allocated to the meteorological aids
service and restricted to radiosonde
operation. This portion of the band is
also allocated to the MetSat service and
is restricted to space-to-Earth operation
on a primary basis for Federal and nonFederal use. The 1700–1710 MHz
segment is allocated to the fixed and
MetSat service on a primary basis for
Federal and on a secondary basis for
non-Federal use, and restricted to spaceto-Earth operation.
14. Uplink Designation, Block Size
and Service Area Size. In the AWS–3
NPRM, to implement NTIA’s
endorsement of the CSMAC WG1 Final
Report, the Commission proposed to
limit use of the 1695–1710 MHz band to
mobile/uplink operations subject to
successful coordination with Federal
incumbents prior to operation within 27
Protection Zones. To implement this
coordination requirement, the
Commission proposed to require all
uplink operations in this band to
transmit only when controlled by an
associated base station. Such base
stations located within the 27 Protection
Zones would be subject to successful
coordination prior to operation of the
1695–1710 MHz uplinks. Additionally,
the Commission proposed to license the
band in 5 megahertz blocks, noting that
a minimum bandwidth of 5 megahertz
was necessary to implement the
technologies contemplated for the band,
and proposed geographic area licensing
utilizing 176 Economic Areas (EAs) as
the service area size.
15. Commenters generally agree that
we should allow only uplink operations
in 1695–1710 MHz. Raytheon points out
that the record is supportive of the
Commission’s proposal to limit
operations in the band to uplink only
while prohibiting fixed operations in
these frequencies. T-Mobile does not
oppose a requirement that uplink/
mobile devices be under the control of,
or associated with, a base station as a
means to facilitate shared use of the
band and prevent interference to
Federal operations.
16. Regarding block and area sizes,
most commenters agree with the
Commission’s proposal to license AWS–
3 spectrum in 5 megahertz blocks and
to implement geographical area
licensing utilizing EAs for the 1695–
1710 MHz band. Verizon supports
auctioning the AWS–3 spectrum in a
combination of 5 and 10 megahertz
blocks as these offerings will facilitate
the deployment of multiple
technologies. DISH favors auctioning
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1695–1710 MHz as a single, unpaired 15
megahertz band.
17. We conclude that operations in
the 1695–1710 MHz should be limited
to mobile/uplink operations for
commercial operators, and that the band
will not be available for fixed uses or
air-to-ground operations. We note that
the Commission’s proposal in this
regard was based on NTIA’s
endorsement of the CSMAC report,
which assumed mobile operations up to
20 dBm EIRP, recommending that
commercial use of this band be limited
to low-power mobile (uplink)
transmission. Furthermore, as Verizon
notes, in determining the Protection
Zones for these bands, the CSMAC did
not consider the impact of high gain or
tall antennas on government operations.
Additionally, operations in the band
will be subject to successful
coordination with Federal incumbents
in the 27 Protection Zones that we are
adopting based on NTIA’s endorsement
of the CSMAC WG1 Final Report. We
believe that the combination of low
power, mobile uses along with the
designation of the protection zones with
coordination requirements will allow
commercial and Federal users to coexist successfully in the band protecting
in-band and adjacent band
meteorological-satellite receive stations.
We also understand that Federal
incumbents plan to develop and deploy
real-time spectrum monitoring systems
for the 1695–1710 MHz band. We will
also require that uplink/mobile devices
be under the control of, or associated
with, a base station as a means to
facilitate shared use of the band and
prevent interference to Federal
operations. The Protection Zones for the
1695–1710 MHz band are premised on
the distance between the incumbent
Federal operations and non-Federal base
station(s) that will enable the AWS–3
uplink/mobile operations. Thus, even
though the base station is receiving
rather than transmitting in the 1695–
1710 MHz band, its location inside a
Protection Zone triggers the
coordination requirement. As discussed
in the CSMAC WG1 Final Report the 27
Protection Zones actually protect 47
individual federal MetSat receive
stations. See WG 1 Final Report at
Appendix 1.1 Table 1 for a complete list
of MetSat receive stations that are
protected. We discuss this requirement
further below.
18. We will authorize and license the
1695–1710 MHz band by Economic
Areas (EAs) in one 5 megahertz and one
10 megahertz block, which may be
aggregated. Economic Areas are
geographic areas established by the
Bureau of Economic Analysis of the
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Department of Commerce and used by
the Federal Communications
Commission to define the coverage of
spectrum licenses for certain services.
There are 172 EAs, plus 4 EA-like areas,
which have been assigned Commissioncreated EA numbers: 173 (Guam and the
Northern Mariana Islands), 174 (Puerto
Rico and the United States Virgin
Islands), 175 (American Samoa), and
176 (the Gulf of Mexico). See 47 CFR
27.6(a). Specifically, we will offer a 5
megahertz block at 1695–1700 MHz and
a 10 megahertz block at 1700–1710
MHz. Offering the spectrum in 5 and 10
megahertz blocks will support the wide
range of technologies contemplated for
the band, and will match the
configuration of other AWS–3 spectrum.
The small 5 megahertz block will also
facilitate the opportunity for new
entrants and smaller businesses to
acquire the right to use this spectrum.
Because the blocks can be aggregated,
potential bidders and future licensees
also have the option to acquire the
rights to use both blocks within an EA,
i.e., a 15 megahertz band as DISH
suggests.
19. Pairing. In the AWS–3 NPRM, the
Commission noted that the new AWS–
3 band segments could be configured in
any number of pairings or even
auctioned on an unpaired basis and
sought comment on a range of options.
Commenters were asked to address
whether and how the AWS–3 band
segments should be paired, and were
also asked to discuss the competitive
effects of the available options. The
Commission specifically noted CTIA’s
earlier proposal to designate 2095–2110
MHz for AWS downlink operations
paired with 1695–1710 MHz and sought
comment on CTIA’s recommendation.
In this regard, the Commission also
noted prior opposition to CTIA’s
proposal including a feasibility study
that NASA had prepared (NASA Study)
and NTIA’s statement that the NASA
Study showed that high-density
terrestrial base stations or user
equipment operating co-frequency in
the 2025–2110 MHz band would exceed
established protection criteria for the
Tracking and Data Relay Satellite
System (TDRSS) spaceborne receivers
by an average of 16.4 dB to 40.7 dB and
that analysis of sharing with satellite
systems of other administrations will
likely show similar results.
20. Commenters strongly favor pairing
the 1695–1710 MHz band. Moreover,
commenters note that pairing the
spectrum would allow aggregation of
AWS–3 spectrum with AWS–1
spectrum, which would create
significantly larger blocks of contiguous
paired spectrum that would
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accommodate higher bandwidths
offered by technologies. USCC points
out that access to paired spectrum is
particularly critical for small and
regional carriers, who typically lack
sufficient spectrum holdings to pair
with newly-acquired spectrum blocks
on an asymmetric basis. Thus,
commenters state that offering 1695–
1710 MHz on a paired basis would boost
auction participation, provide for the
creation of a single band class,
internationally harmonize the spectrum,
and result in significant economies of
scale. Put differently, Verizon and other
commenters state that auctioning the
1695–1710 MHz band as stand-alone
uplink spectrum would render it
‘‘virtually useless, as it is the downlink
spectrum that carriers, both new and
incumbent, most require to meet the
skyrocketing demand for mobile
broadband bandwidth.’’ They note that
auctioning 1695–1710 MHz as standalone supplemental uplink would
significantly decrease the value of the
spectrum, relative to auctioning it
paired with downlink spectrum, and
would limit both its uses and interested
bidders. T-Mobile opines that seeking a
brief delay of the statutory deadline
would be preferable to auctioning and
licensing the band unpaired. In contrast,
Raytheon notes that there is no
requirement in the Spectrum Act to pair
this band.
21. Many commenters strongly
preferred pairing 1695–1710 MHz with
2095–2110 MHz, which CTIA
previously advocated due to the pair’s
important ability to use the same duplex
spacing as the existing and adjacent
AWS–1 band. Verizon likewise notes
that because 2095–2110 MHz is directly
adjacent to AWS–1, adopting this
pairing configuration will provide a
solid foundation for the next generation
of wireless networks and services,
including those that will utilize LTEAdvanced technology and ‘‘could
ultimately lead to a unified band plan
for the 2 GHz spectrum: 1695–1920
MHz for uplink operations and 1930–
2200 MHz for downlink operations.’’
For this reason, T-Mobile and other
commenters initially urged limited
relocation of DoD’s systems to 2095–
2110 MHz.
22. In contrast, Raytheon and Boeing
state that 2095–2110 MHz is not an
acceptable pairing option for 1695–1710
MHz because the former band supports
critical TDRSS communication, which
may become critical for manned
spaceflight programs, and is currently
occupied by Federal users for satellite
and non-Federal BAS operations.
Raytheon notes that the NASA Study is
a comprehensive analysis showing that
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shared use of 2095–2110 MHz with
AWS operations is infeasible. In
addition, Raytheon notes that DoD has
proposed to relocate some operations in
the 1755–1780 MHz band to the 2025–
2110 MHz band. Verizon and others
contend that the NASA Study is
incomplete and that more information is
needed from NASA to properly evaluate
any technical challenges with additional
uses of that band. Verizon states that
while the study raises concerns that cochannel mobile services could cause
satellite-to-satellite interference in the
forward-link transmissions from NASA
geostationary Tracking and Data Relay
Satellite System (TDRSS) to Low Earth
Orbit (LEO) satellites, it is impossible to
assess the validity of modeling of
propagation, antenna performance, LTE
system characteristics, and satellite
system characteristics without
additional information from NASA.
NASA subsequently provided
additional information and updated its
study to address the most current
internationally-agreed parameters of
commercial broadband mobile (LTE)
systems. See NTIA November 21013
Letter Enclosure 6 ‘‘NASA’s reply to
comments filed with the FCC in
response to its AWS–3 NPRM regarding
NASA’s feasibility assessment for
accommodation of mobile broadband
long term evolution (LTE) systems in
the 2025–2110 MHz band.’’ Boeing
states that the Updated NASA Study
addresses the concerns raised about the
initial NASA Study with respect to
assuming unrealistically high numbers
of transmitting handsets, and
correspondingly high aggregate per city
handset transmitter power levels.
Specifically, Boeing explains that the
initial NASA Study relied on the
number of handsets specified by
CSMAC Working Group 1, prior to the
release of updated specifications by
Working Party 5D of the International
Telecommunications Union
Radiocommunication Sector. Because
CTIA and other wireless commenters
are no longer pursuing the proposal to
pair 2095–2110 MHz as the downlink
band to be auctioned and licensed
paired with 1695–1710 MHz, we reach
no conclusions today regarding the
initial or updated NASA Studies.
23. Notwithstanding the fact that the
2095–2110 MHz band initially received
the most support as the pairing match
for the 1695–1710 MHz band, the
wireless industry subsequently
recognized difficulties with pairing the
2095–2110 MHz band with the 1695–
1710 MHz band. Specifically, the
industry acknowledged that the
challenges associated with Federal and
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BAS incumbents in the band would lead
to extreme difficulties with allocating,
auctioning and licensing 2095–2110
MHz in time to meet the February 2015
deadline for licensing the 1695–1710
MHz band. Additionally, CTIA, the
original proponent of this pairing now
asserts that the Commission’s highest
priority is the clearing of the DoD
services at 1755–1780 MHz, and points
out that the DoD is actively working
with the FCC, broadcasters and other
Federal agencies to relocate from the
1755–1780 MHz band into a portion of
the Broadcast Auxiliary Services at
2025–2110 MHz.
24. Commenters provided other
suggestions on possible candidate bands
for pairing with 1695–1710 MHz, but
also identified serious or
insurmountable obstacles with each
suggested match. For example, citing a
recent NTIA spectrum-monitoring
report that, according to T-Mobile,
suggests that the 1370–1390 MHz subband is lightly used, T-Mobile identified
the 1370–1390 MHz band as a possible
candidate for pairing with 1695–1710
MHz. But T-Mobile acknowledges
technical limitations that weigh against
this pairing, in that the 1370–1390 MHz
band suffers from a lack of synergy with
existing bands, which in turn would
require the use of additional base station
amplifiers and antennas.
25. In the AWS–3 NPRM, the
Commission noted SBE’s opposition to
CTIA’s proposal to use 2095–2110 MHz
and its ensuing suggestion to instead
consider 2360–2390 MHz as an option
for pairing with 1695–1710 MHz. In
response to this suggestion, AFTRCC
responds that this is a principal band
used for flight test telemetry and that an
LTE allocation at 2360–2390 MHz
would create threats to the continued
effective operation of safety-of-life
Aeronautical Mobile Telemetry (AMT)
operations in the band, and would also
jeopardize the successful deployment of
Medical Body Area Network (MBAN)
devices in hospitals and clinics
throughout the country. Raytheon agrees
that the 2360–2395 MHz band is not
suitable for pairing with 1695–1710
MHz, not only because of its designation
for primary flight testing, but also
because it is designated for secondary
medical telemetry uses. Moreover,
Raytheon notes that the flight test
operations occurring in 2360–2395 MHz
are incompatible with both the fixed
and mobile high density terrestrial
operations that are contemplated for
1695–1710 MHz.
26. Finally, as another possible
alternative, TIA suggests pairing 1695–
1710 MHz with 2000–2020 MHz for
downlink. However, TIA acknowledges
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that this pairing option is challenging in
that it would require the adjustment of
incumbents licensed for 2000–2020
MHz as well as the utilization of
different duplex spacing and filters.
27. The comments do not identify any
particular 15 megahertz of spectrum that
can readily pair with 1695–1710 MHz.
In the absence of any substantial record
support for any such workable pairing at
this time, we conclude that the 1695–
1710 MHz band should be licensed in
an unpaired configuration. We note that
no regulation would prohibit licensees
from pairing this uplink band with
another present or future licensed
downlink band. Indeed, our secondary
markets and flexible use policies are
designed to facilitate the configuration
of licenses in their most productive
economic use.
28. 1755–1780 MHz. Requirement to
Identify 15 Megahertz of Contiguous
Spectrum for Commercial Use. As noted
above, the Spectrum Act requires the
Commission to identify 15 megahertz of
contiguous spectrum for commercial
allocation and licensing by auction. In
the AWS–3 NPRM, the Commission
sought comment on appropriate
candidates to identify an additional 15
megahertz of contiguous spectrum for
commercial use. The Commission
proposed, as an example, the
identification of the 25 megahertz of
contiguous spectrum comprising the
1755–1780 MHz band. The Commission
also sought general comment on the
allocation of other frequencies in order
to meet or surpass this requirement of
the Spectrum Act, including CTIA’s
recommendation of 2095–2110 MHz as
the additional 15 megahertz to be paired
with 1695–1710 MHz. While several
commenters supported CTIA’s
recommendation, as noted above the
record developed on this issue reflects
that neither the band identified by CTIA
nor any other spectrum is readily
available to auction and license paired
with 1695–1710 MHz by the statutory
deadline of February 2015.
29. Several commenters claim that the
Commission cannot identify 1755–1780
MHz to meet the statutory requirement
and/or that the statute requires us to
identify a band that can be used for
downlink operations paired with 1695–
1710 MHz. According to CTIA, the
legislative history of the Spectrum Act
makes clear that Congress intended for
the Commission to identify 15
megahertz in addition to the 1755–1780
MHz band. CTIA notes that an earlier
version of the House bill would have
required the Commission to identify 15
megahertz of contiguous spectrum as
well as the 1755–1780 MHz band if
technically feasible. This version of the
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bill also stipulated that the 15
megahertz identified by NTIA and the
15 megahertz identified by the FCC
were to be paired together and,
according to CTIA, ‘‘this is a logical
interpretation of the Spectrum Act, as
an alternative reading would cause the
1695–1710 MHz band to be orphaned.’’
T-Mobile agrees with CTIA that, based
upon the Spectrum Act’s parallel
mandates that NTIA and the FCC each
identify 15 megahertz of spectrum to be
made available for commercial use, ‘‘it
seems ‘apparent that Congress intended
for these two 15 megahertz spectrum
bands to complement one another
through ready pairing for base and
mobile station communications.’ ’’
Mobile Future contends that, with the
exception of the 2095–2110 MHz band,
other spectrum bands considered in the
AWS–3 NPRM should not be found to
satisfy Spectrum Act’s directive that the
Commission identify another 15
megahertz of spectrum for commercial
use.
30. Raytheon and NAB disagree with
this statutory interpretation. According
to Raytheon, ‘‘Section 6401 of the
Spectrum Act simply requires [that 15
MHz of contiguous spectrum] be
allocated by the Commission and
auctioned in 2015. There is no guidance
as to where that spectrum is to be
located or indication that it be paired
with 1695–1710 MHz band or any other
band. (Nothing precludes such a
pairing, either.) Similarly, Section 6401
does not provide any direction that the
15 MHz to be auctioned from the 1675–
1710 MHz band is to be auctioned on a
paired basis. Were the Commission to
allocate 1755–1780 MHz, for example,
to AWS–3, that action would fully
satisfy the unambiguous letter of the
statute that an ‘‘additional 15 MHz’’ of
spectrum be allocated for commercial
broadband use, regardless of which
band, if any, 1755–1780 MHz is paired.
CTIA’s argument that the legislative
history supports a paired allocation for
1695–1710 MHz is unavailing [cite
omitted]. Indeed, the fact the final
House bill included a provision for 15
MHz in addition to 1755–1780 MHz,
whereas the final legislation was silent
on allocating 1755–1780 MHz and
where the additional 15 MHz is to come
from actually leads to the opposite
conclusion, namely that 1755–1780
MHz can be the source of the
‘‘additional 15 MHz’’ that Congress
requires be auctioned in addition to the
specific spectrum bands identified in
the Spectrum Act for auction.’’
Raytheon Reply Comments at 7–8, n.18.
NAB avers that if the Commission were
to allocate 1755–1780 MHz, for
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example, to AWS–3, that action would
fully satisfy the unambiguous letter of
the statute that an ‘‘additional 15 MHz’’
of spectrum be allocated for commercial
broadband use.
31. We agree for the reasons set forth
above by Raytheon and NAB that the
language of the Spectrum Act permits
the Commission to ‘‘identif[y]’’ any
‘‘[f]ifteen megahertz of contiguous
spectrum,’’ without regard to its current
use or whether it is paired or unpaired.
The legislative history is not
inconsistent with this plain language, as
it shows that Congress did not adopt the
House bill reflecting the contrary view.
See H.R. 3630, 112th Cong. sections
4101(a)(2)(A), (b)(2) (2011) (as passed by
the House, December 13, 2011). We note
that where Congress intended to signal
the pairing of bands (as some
commenters suggest is the case for
1695–1710 MHz and the 15 megahertz
to be identified by the Commission), it
used explicit language. See, e.g., H.R.
3630, 112th Cong. sections
4101(a)(2)(A), (b)(2) (2011) (as passed by
the House, December 13, 2011); S. 911,
112th Cong. 2d Sess., section 302(c)
(authorizing the Commission to
combine 1755–1780 MHz and 2155–
2180 MHz ‘‘in an auction of licenses for
paired spectrum blocks’’). Tellingly, the
bill as enacted did not include any
requirement to auction ‘‘paired’’
spectrum. Accordingly, we are today
adopting rules to allocate and license
the 1755–1780 MHz band for
commercial use, in satisfaction of the
Spectrum Act’s requirement for us to
identify 15 megahertz of contiguous
spectrum in addition to the bands
specifically identified in the Act. To the
extent this entire 25 megahertz band
exceeds the requirement of the
Spectrum Act to identify 15 megahertz,
our action in coordination with NTIA to
identify the entire band for commercial
use is warranted as integrally related
and reasonably ancillary to our mandate
under the Spectrum Act (given its
pairing with the 2155–2180 MHz band
specified in that Act) as well as
pursuant to our broad spectrum
management authority under Title III of
the Communications Act, as amended.
The Spectrum Act grants the
Commission authority to implement and
enforce that Act ‘‘as if . . . a part of the
Communications Act of 1934.’’ 47
U.S.C. 1403(a). See also id. sections
154(i), 303.
32. Designation for AWS. In the AWS–
3 NPRM, the Commission, noting
NTIA’s report on Federal government
use of the 1755–1780 MHz band (as part
of the larger 1755–1850 MHz band) and
the band’s potential as an extension to
existing AWS spectrum, proposed
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uplink mobile use of the band under
technical rules similar to AWS–1
uplinks in the adjacent 1710–1755 MHz
band. Such use would be subject to
Federal requirements, including
coordination with incumbent Federal
users, emerging from the CSMAC
process, if transmitted by NTIA. The
Commission sought comment on
various methods of sharing the 1755–
1780 MHz portion of the 1755–1850
MHz band, including the use of
Protection Zones, Exclusion Zones, and
other measures. In case the CSMAC and
NTIA were unable to recommend
clearly defined sharing parameters, the
Commission also sought comment on
whether to issue ‘‘overlay’’ licenses that
would permit new licensees to gain
access to the 1755–1780 MHz band only
if they are able to reach coordination
agreements with affected Federal users,
i.e., ‘‘operator-to-operator’’
coordination. The Commission also
sought comment on two additional
proposals that addressed commercial
use of the 1755–1780 MHz band: The
‘‘Industry Roadmap’’ submitted by
members of the wireless industry and
the ‘‘DoD Proposal’’ submitted by DoD.
In the ‘‘Industry Roadmap’’ the wireless
industry assessed Federal operations in
the band and proposed to provide
industry early access to the 1755–1780
MHz portion of the band. In the ‘‘DoD
Proposal,’’ DoD also proposed to make
the 1755–1780 MHz band available for
auction in the near term, while
protecting critical military capabilities.
Specifically, DoD proposed to modify
selected systems operating in the 1755–
1780 MHz portion of the band to operate
at both 1780–1850 MHz and 2025–2110
MHz, including Small Unmanned Aerial
Systems, Tactical Targeting Network
Technology, Tactical Radio Relay, and
High Resolution Video Systems. DoD
also proposed that its Precision Guided
Munitions systems would be modified
to operate at 1435–1525 MHz; that its
Point-to-Point Microwave Links would
be modified to operate at 7125–8500
MHz; and that its DoD Video
Surveillance/Robotics systems would be
modified to operate at 4400–4940 MHz.
DoD further proposed that specific
systems, namely Satellite Operations
(SATOPS), Electronic Warfare (EW), Air
Combat Training System (ACTS) (where
required), and Joint Tactical Radio
System (JTRS) at six sites, would
continue to operate in the 1755–1780
MHz portion of the band, but would
share that spectrum with commercial
users. Finally, DoD proposed to
compress its remaining operations into
the 1780–1850 MHz portion of the band.
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33. Apart from the statutory issue
described above concerning the
‘‘additional 15 megahertz of spectrum to
be identified by the Commission,’’ most
commenters strongly favored the
Commission’s proposal to designate the
1755–1780 MHz band for commercial
use. Commenters oppose the use of an
overlay license approach to licensing
the 1755–1780 MHz band, arguing that
the use of such a licensing regime is
premature until it is determined that
clearing the spectrum for commercial
users by relocation is not feasible and
that mutual sharing mechanisms cannot
be adopted. Issuing overlay licenses, the
commenters further argued, would
amount to consigning commercial
mobile operations to secondary status,
would create uncertainty about the
nature of rights the licensee would
obtain, and would be inconsistent with
the Spectrum Act’s preference to
relocate Federal users to the maximum
extent feasible. On the other hand,
commenters were generally supportive
of the Industry Roadmap and DoD’s
Proposal and urged the Commission to
coordinate with NTIA to clear Federal
operations from the 1755–1780 MHz
portion of the 1755–1850 MHz band.
CTIA argues, however, that DoD has not
adequately explained or justified the
need for the use of the 2025–2110 MHz
band and asks why DoD needs to
replace access to 25 megahertz of
spectrum with access to 85 megahertz of
spectrum.
34. On November 25, 2013, NTIA
filed a letter enclosing and endorsing
CSMAC’s final reports and stating that
it fully supports the DoD Proposal
submitted to the Commission in July
2013, including DoD’s proposal to
modify certain military systems to
operate at both 1780–1850 MHz, which
is currently allocated for Federal use,
and at 2025–2110 MHz, which is
currently allocated for non-Federal fixed
and mobile use and used by operators
in the Broadcast Auxiliary Service
(BAS), the Cable Television Relay
Service (CARS), and the Local
Television Transmission Service
(LTTS).
35. We note at the outset that some of
CSMAC’s recommendations regarding
sharing are overtaken by the DoD
Proposal, under which DoD will
relocate most of its operations out of the
1755–1780 MHz band. NTIA has fully
endorsed the DoD Proposal and
submitted additional details into the
record. In light of these actions, we
authorize the use of the 1755–1780 MHz
band for commercial services in
conformance with NTIA’s
endorsements, the DoD Proposal, and
the Spectrum Act.
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36. Regarding non-DoD Federal
incumbents, NTIA endorsed the
findings of WG2 that the two primary
video surveillance systems operating in
the 1755–1850 MHz band operate in all
portions of the band at any time and at
any location and thus cannot share the
band with commercial operators. NTIA
also endorsed WG2’s recommendation
that EAs to be transitioned should be
ranked according to industry
implementation priorities, but then
clarified that the industry’s prioritized
list would serve as an input for
consideration as agencies develop their
transition plans.
37. NTIA responded to CTIA’s claims
that DoD has not explained the need for
access to the 2025–2110 MHz band or
why it needs to replace 25 megahertz of
spectrum with access to 85 megahertz of
spectrum. NTIA explained that because
the military systems that are relocating
from the 1755–1780 MHz band to the
2025–2110 MHz band must share the
latter band with operators in the BAS,
CARS, and LTTS services and must
comply with the conditions in two new
proposed footnotes to the Table of
Frequency Allocations, DoD needs the
additional spectrum to ensure that it can
maintain comparable capability of
current activities. Furthermore,
according to NTIA, by having access to
85 megahertz of spectrum, the Federal
operations will have the flexibility they
need without limiting the existing nonFederal users. Under the two new
footnotes that NTIA has proposed to the
U.S. Table of Frequency Allocations,
Federal operations would be limited to
the military, and new military
operations would be required to be
coordinated, via a memorandum of
understanding between the Federal and
non-Federal fixed and mobile operators
in the BAS, CARS, and LTTS.
38. 2155–2180 MHz. In the AWS–3
NPRM, the Commission proposed
downlink/base station use of the 2155–
2180 MHz band. Because the 2155–2180
MHz band is immediately above the
AWS–1 downlink band (2110–2155
MHz) and immediately below the AWS–
4 downlink band (2180–2200 MHz), the
Commission proposed to license the
2155–2180 MHz band under rules
similar to those it adopted for AWS–1
and AWS–4. Commenters agreed with
the Commission’s proposal.
39. We adopt the proposal in the
AWS–3 NPRM to authorize downlink/
base station use of the 2155–2180 MHz
band. Licensing the 2155–2180 MHz
band under technical rules similar to
those for the adjacent AWS–1 and
AWS–4 spectrum efficiently manages
the spectrum, will improve economies
of scale for mobile device equipment
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manufacturing, and is consistent with
global standards activity in this
frequency range. Moreover, downlink
operations in the 2155–2180 MHz band
would be compatible with similar
operations in the adjacent AWS–1 band
(2110–2155 MHz) and AWS–4 band
(2180–2200 MHz), thus avoiding the
need for guard bands. It would also
harmonize the rules applicable to 2155–
2180 MHz with AWS–1 and AWS–4
downlink spectrum, thus efficiently
managing the spectrum and improving
economies of scale for mobile device
equipment manufacturing. It would also
permit stations already designed for
AWS–1 to be easily modified to operate
at 2155–2180 MHz band, thus allowing
operators to quickly deploy this
spectrum for consumer use.
40. Band-Plan for 1755–1780 MHz
and 2155–2180 MHz. Uplink/downlink
designations and pairing. In the
AWS–3 NPRM, the Commission
proposed to allow base and fixed, but
not mobile, operations in the 2155–2180
MHz band and to allow mobile transmit
operations (but to prohibit high-power
fixed and base station operations) in the
1755–1780 MHz band. The Commission
sought comment on a range of options
that included configuring any of the
AWS–3 bands in any number of pairings
or auctioning any of the AWS–3 bands
on an unpaired basis. Commenters
favored allowing base and fixed, but not
mobile, operations in the 2155–2180
MHz band and to allow mobile transmit
operation (but to prohibit high-power
fixed and base stations operations) in
the 1755–1780 MHz band. Commenters
overwhelmingly favored pairing the
1755–1780 MHz band with the 2155–
2180 MHz band. According to Verizon,
43 countries are using this spectrum for
commercial purposes and 17 of the
G–20 countries have allocated this
spectrum for commercial use.
International harmonization will
enhance international roaming, create
economies of scale that lowers device
costs, speed deployment, and reduce
interference potential near international
borders.
41. We agree with commenters that
we should allow base and fixed, but not
mobile, operations in the 2155–2180
MHz band and to allow mobile transmit
operations in the 1755–1780 MHz band.
We will also prohibit higher-power
fixed and base station operations in the
1755–1780 MHz band. Designating the
1755–1780 MHz band for uplink/mobile
transmit operations under service rules
similar to AWS–1 is consistent with
international standards in this
frequency range, while designating the
2155–2180 MHz band for downlink
operations is compatible with similar
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downlink operations in the adjacent
AWS–1 band at 2110–2155 MHz and the
AWS–4 band at 2180–2200 MHz.
Moreover, by designating new downlink
spectrum adjacent to existing downlink,
the industry avoids having to add guard
bands or impose significant technical
limits between adjacent services,
thereby increasing the amount and
utility of usable spectrum. As discussed
more fully below, we conclude that to
facilitate coordination, uplink/mobile
devices in the 1755–1780 MHz band
must be under the control of, or
associated with, a base station as a
means to facilitate shared use of the
band and prevent interference to
Federal operations.
42. We also agree with commenters
that there are many advantages to
pairing these two bands. Pairing the
1755–1780 MHz band with the 2155–
2180 MHz band adds 50 megahertz of
AWS–3 spectrum to the existing 90
megahertz of AWS–1 spectrum. Thus
pairing would allow carriers to combine
AWS–1 and the 1755–1780/2155–2180
MHz band in a single 140 megahertz
band. The 1755–1780/2155–2180 MHz
pair would use the same duplex spacing
as the existing AWS–1 band, thus
facilitating the availability of new
devices that can use this band.
Allocation of the 1755–1780 MHz band
for commercial use with 2155–2180
MHz also harmonizes the U.S. spectrum
allocation of this band with
international spectrum allocations. In
summary, the record reflects that ‘‘[t]he
adjacency of these bands . . . will
create efficiencies by allowing the same
equipment to be used for AWS–1 and
AWS–3. These benefits apply not only
to network infrastructure, but also to
end user equipment. This, in turn, will
lower deployment costs and speed LTE
buildout in this spectrum. As Motorola
Mobility explained, ‘[t]here would be
significant device design benefits to
pursuing this pairing. Because the
1755–1780/2155–2180 MHz pairing is
symmetrical to the AWS–1 band and
has the same duplex spacing, this band
could be supported by existing
duplexers. . . [t]hese efficiencies mean
that 1755–1780/2155–2180 MHz
capabilities likely could be built into
devices with minimal additional cost
and without a significant impact on
battery life, heat production, or other
performance characteristics.’’’ CTIA
Reply Comments at 5 quoting Motorola
Mobility Comments at 11.
43. Despite these advantages, we note
that the Commission is statutorily
barred from concluding an auction for
‘‘eligible spectrum’’ such as the 1755–
1780 MHz band if the total cash
proceeds attributable to such spectrum
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are less than 110 percent of total
estimated relocation or sharing costs.
See 47 U.S.C. 309(j)(16)(B), 1451(b)(3)
(FCC shall not conclude any auction of
eligible frequencies if the total cash
proceeds attributable to such spectrum
are less than 110 percent of total
estimated relocation or sharing cost).
44. Geographic Area Licensing;
Service-area size(s). In the AWS–3
NPRM, the Commission proposed to
license all AWS–3 spectrum blocks by
EAs and sought comment on alternative
approaches. The Commission also
sought comment on whether there are
costs and benefits to adopting an EA
licensing approach for bands to be
shared with Federal users.
45. Commenters supported one of
three different geographic licensing
plans: The EA licensing approach
proposed by the Commission; a
licensing plan based on CMAs; and a
hybrid licensing approach where some
licenses are based on CMAs and some
are based on EAs.
46. We find that there are benefits to
adopting a hybrid licensing approach
for this spectrum. We note that the
Commission adopted a hybrid approach
in licensing AWS–1 spectrum based on
EAs, Regional Economic Area
Groupings (REAGs), and CMAs. In this
case, we adopt a hybrid approach and
license the 1755–1780 MHz and 2155–
2180 MHz bands on an EA and a CMA
basis.
47. Adopting a hybrid licensing plan
for this spectrum will enable us to
achieve several statutory objectives and
policy goals. Licensing some areas by
CMA will encourage the dissemination
of licenses among a variety of
applicants, including small businesses,
rural telephone companies, and
businesses owned by members of
minority groups and women, as
required by section 309(j) of the Act.
Licensing the 1755–1780 and 2155–
2180 MHz bands by EA and CMA we
have struck the appropriate balance
between the needs of large and small
carriers. Licensing some areas by EAs
will enable large carriers to minimize
post-licensing aggregation costs. Also,
because EAs are nested within MEAs
and REAGs, large carriers will be able to
aggregate their spectrum into even larger
areas, with minimal aggregation costs.
We also note that EA license areas are
a useful and appropriate geographic unit
that the Commission has used for
similar bands. Notably, AWS–1 Blocks
B and C are licensed on an EA basis.
Licensing three spectrum blocks on an
EA basis best balances the
Commission’s goals of encouraging the
offering of broadband service both to
broad geographic areas and to sizeable
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populations while licensing one block
by CMAs will enable smaller carriers to
serve smaller less dense population
areas that more closely fit their smaller
footprints. Thus, we further find that
adopting this hybrid licensing plan will
help us to meet other statutory goals,
including providing for the efficient use
of spectrum; encouraging deployment of
wireless broadband services to
consumers; and promoting investment
in and rapid deployment of new
technologies and services. We designate
the spectral blocks for CMAs and EAs in
the next section on Block size(s).
48. Block size(s). In the AWS–3
NPRM, the Commission proposed to
license the 1755–1780 and 2155–2180
MHz bands on a geographical area basis
in 5 megahertz blocks and sought
comment on whether it should adopt a
plan using different size blocks.
Commenters favored one of two
approaches: Licensing the band by 5
megahertz blocks or licensing the band
using a combination of 5 and 10
megahertz blocks. Commenters favoring
the first approach argue that 5
megahertz blocks align well with a
variety of wireless broadband
technologies (such as Long-Term
Evolution (LTE), Wideband Code
Division Multiple Access (W–CDMA),
and High-Speed Packet Access (HSPA)),
would increase wireless providers’
flexibility in auction bidding, and can
be aggregated to enable better
performance for LTE service and greater
bandwidth capacity through wider
channels. Commenters that supported a
combination of 5x5 megahertz and
10x10 megahertz blocks argue that a
combination of license sizes maximizes
both utility and efficiency.
49. We conclude that licensing the
1755–1780 and 2155–2180 MHz bands
in a combination of 5 and 10 megahertz
blocks will promote rapid deployment
of new technologies and services for the
reasons stated below. Thus we adopt the
following licensing plan: Block G at
1755–1760/2155–2160; Block H at
1760–1765/2160–2165; Block I at 1765–
1770/2165–2170 MHz; and Block J at
1770–1780/2170–2180 MHz. We further
determine to license the 1755–1760/
2155–2160 MHz bands by CMA, and to
license the remaining paired blocks by
EA.
50. Using a combination of 5 and 10
megahertz blocks and a combination of
CMAs and EAs will permit licensees
maximum flexibility. Such a
combination enables both larger and
smaller carriers to participate in an
auction of licenses to use this spectrum.
Moreover, as commenters note, 5
megahertz blocks align well with a
variety of wireless broadband
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technologies, including LTE, W–CDMA,
and HSPA. The larger 10 megahertz
block will afford larger carriers the
ability to offer higher-bandwidth
services, as is common in the 10
megahertz AWS–1 blocks. Such a
combination may also facilitate
coordination with incumbent Federal
agencies. For example, designating the
1755–1760 MHz/2155–2160 MHz as the
first channel block avoids frequency
overlaps and minimizes potential cochannel interference issues with the
Space Ground Link System (SGLS),
which operates from 1761–1842 MHz.
51. 2020–2025 MHz. The 2020–2025
MHz band is already allocated for the
non-Federal fixed and mobile services
and is part of the 35 megahertz (1990–
2025 MHz) that the Commission
repurposed in 2000 from BAS to
emerging technologies such as Personal
Communications Services (PCS), AWS,
and Mobile Satellite Service (MSS). This
repurposing was possible because BAS
converted nationwide from seven analog
channels (each 17–18 megahertz wide)
to seven digital channels (each 12
megahertz wide). In 2004, the
Commission proposed to license 2020–
2025 MHz for uplink/mobile use paired
with 2175–2180 MHz. The Commission
did not adopt this proposal and, in 2008
it proposed instead to combine 2175–
2180 MHz and 2155–2175 MHz, to make
a larger unpaired block at 2155–2180
MHz. The Commission did not make a
further proposal for the 2020–2025 MHz
band immediately above the AWS–4
uplink band (2000–2020 MHz).
52. In the AWS–3 NPRM, the
Commission proposed uplink/mobile
use of 2020–2025 MHz under rules
similar to the AWS–4 rules. Although
the Commission did not propose to
modify the allocation for this band in
the AWS–3 NPRM, we proposed
changes to several related footnotes in
the Table of Frequency Allocations.
53. T-Mobile agrees that 2020–2025
MHz should be cleared to the maximum
extent possible and auctioned on a
paired basis. T-Mobile states that one
option would be for the Commission to
consider providing DoD with access to
the 2020–2025 MHz band if doing so
would allow the 15 megahertz at 2095–
2110 MHz to be paired with 1695–1710
MHz. However, T-Mobile states that the
most appropriate use of the 2020–2025
MHz band is contingent on the outcome
of the then-pending waiver request
sought by DISH for flexibility to use
2000–2020 MHz for terrestrial
downlink. USCC strongly urges the
Commission to focus on maximizing the
amount of paired spectrum in deciding
which bands to license under the
AWS–3 service rules. It argues that
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access to paired spectrum is particularly
critical for small and regional carriers
that typically lack sufficient spectrum
holdings to pair with newly-acquired
spectrum blocks on an asymmetric
basis.
54. The 2020–2025 MHz band is
adjacent to the AWS–4 uplink band at
2000–2020 MHz and BAS/CARS/NASA
uses at 2025–2110 MHz band. These
adjacent uses create challenges with
respect to the allocation of this
spectrum. EIBASS notes that the band
may be at risk of interference from
higher-power Electronic News
Gathering (ENG) transmitters operating
in the 2025–2110 MHz TV BAS band
(up to 65 dBm EIRP for ENG platforms
vs. 33 dBm EIRP for AWS handsets).
This interference would come and go on
a seemingly random basis as a mobile
ENG transmitter is used near an AWS
base station location. This could be a
challenge to the AWS user as it appears
cellular/AWS use is higher at or near
locations of newsworthy events, the
same events that ENG trucks would be
transmitting from. EIBASS notes that
DISH has raised the same concern but
notes that broadcasters have dealt with
high-power PCS/AWS, specialized
filters have been developed, and TV
BAS into AWS interference should be a
manageable problem.
55. DISH states that designating
mobile operation in the 2020–2025 MHz
band would make this band vulnerable
to significant interference from adjacent
Federal government and BAS users
above 2025 MHz. DISH states that
EIBASS agrees that BAS operations
would cause interference to 2020–2025
MHz uplink operations. Regarding
EIBASS’s view that such interference
would be manageable based on PCS/
AWS filtering solutions, DISH responds
that the existing PCS/AWS to BAS
scenario is not representative of the
more problematic scenario of
interference from BAS into base stations
receiving low-power, mobile uplink
transmissions in the 2020–2025 MHz
band. On the other hand, if 2020–2025
MHz is used for downlinks, DISH agrees
with EIBASS that coordination and
filtering similar to that used for
AWS–1 could be used to protect BAS.
Referencing its then-pending waiver
request to be able to elect to utilize the
2000–2020 MHz band for downlink
operations,’’ DISH suggests that the
Commission designate 2020–2025 MHz
for downlink use if the adjacent AWS–
4 band is also used for downlink. If
adjacent AWS–4 band is used for uplink
operations, DISH states that 2020–2025
MHz also should be designated for
uplinks because downlink operations
would cause interference to AWS–4
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uplink operations, absent severe power
and OOBE restrictions to protect AWS–
4 uplink operations.
56. T-Mobile and other commenters
believe that the Commission may wish
to evaluate how best to use the 2020–
2025 MHz band but the future use of the
2020–2025 MHz band is uncertain until
DISH decides whether it will be using
the adjacent AWS–4 spectrum at 2000–
2020 MHz for uplink or downlink
operations. Sprint supports the auction
of 2020–2025 MHz, and recommends
that the Commission postpone making a
determination on whether the band
should be uplink or downlink until after
it resolves DISH’s waiver petition and
Dish makes its election. T-Mobile states
that until that time, it is premature to
consider whether it may be used to
support commercial wireless operations.
57. On December 20, 2013, the
Wireless Telecommunications Bureau
granted DISH’s request, subject to
certain conditions, for flexibility to elect
to use 2000–2020 MHz for either uplink
or downlink operations. One of the
conditions requires DISH to file its
uplink or downlink election, which
shall apply to all AWS–4 licenses, as
soon as commercially practicable but no
later than 30 months after the December
20, 2013, release date of the Bureau’s
order. Auctioning and licensing of the
2020–2025 MHz band is not governed
by the February 2015 deadline in the
Spectrum Act. We agree with some
commenters that the public interest is
best served by deferring action on the
2020–2025 MHz band, without
prejudice to the ultimate disposition of
service rules for that band.
B. Technical Rules
58. In addition to protecting other
operations that will remain in the
AWS–3 bands, as discussed above, we
noted in the AWS–3 NPRM that our
AWS–3 rules must take into account the
potential for AWS–3 operations to cause
harmful interference to operations in
other service areas, in other AWS–3
blocks and in adjacent frequency bands,
including both Federal and non-Federal
operations. The AWS–3 NPRM therefore
sought comment on what technical and
operational rules were needed to protect
these various services from harmful
interference. Where possible, we
proposed to adopt for AWS–3 the same
technical requirements as apply to
AWS–1, where our experience indicates
that the requirements have facilitated
good service while minimizing
undesirable interference, and to AWS–
4. However, we recognized that specific
AWS–3 spectrum considerations may
warrant different requirements, and we
asked commenters to address any
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specific technical rules that they believe
necessary for specific AWS–3 bands.
59. With respect to adjacent bands,
two predominant types of interference
can occur. The first is caused by out-ofband emissions (OOBE) that fall directly
within the passband of an adjacent-band
receiver. Such emissions cannot be
‘‘filtered out,’’ and can only be mitigated
through appropriate operation of the
transmitter. The second type of
interference is caused by ‘‘receiver
overload.’’ Receiver overload
interference occurs when a strong signal
from an adjacent band transmission falls
just outside the passband of a receiver,
where the front-end filter of the receiver
can provide only limited attenuation of
the unwanted signal. Our rules
generally limit the potential for both
kinds of interference by specifying
OOBE and power limits.
1. OOBE Limits
60. For situations where adjacent
spectrum blocks are put to similar uses,
our rules commonly require that out-ofband emissions be attenuated below the
transmitter power in watts (P) by a
factor of not less than 43 + 10 log10 (P)
dB outside of the licensee’s frequency
block. Where stricter OOBE limits
apply, it is typically because adjacent
spectrum blocks are put to different
uses—high-power downlink in one
block and low-power uplink in the
other, for example—or because other
special protection requirements exist.
Section 27.53(h)(1) of our rules applies
this standard limit to AWS–1, and
§ 27.53(h)(3) specifies the measurement
procedure required to determine
compliance with the OOBE standard.
The AWS–3 NPRM sought comment on
extending these requirements to the
AWS–3 bands.
61. Interference Protection between
Adjacent Block AWS–3 Licensees. As
the AWS–3 NPRM noted, we anticipate
that the characteristics of the future
AWS–3 band systems will be essentially
identical to those of AWS–1. For this
reason, the AWS–3 NPRM proposed that
the typical OOBE attenuation factor of
43 + 10 log10 (P) dB is appropriate to
protect AWS–3 services operating in
adjacent spectrum blocks. No
commenter objected to this proposal,
and the record does not suggest the
presence of any circumstances requiring
special OOBE protection for adjacent
AWS–3 spectrum blocks. We therefore
adopt an attenuation factor of 43 + 10
log10 (P) dB for emissions outside of
AWS–3 licensees’ frequency blocks into
other AWS–3 frequency blocks.
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a. Interference Protection to Services in
Other Bands—Uplink Stations
Operating in 1695–1710 MHz and 1755–
1780 MHz
62. Interference protection to
operations below 1695 MHz.
Meteorological operations: The 1695–
1710 MHz AWS–3 uplink band is
adjacent to satellite downlink spectrum
at 1675–1695 MHz, which is allocated
for Federal and non-Federal satellite
use. The rules for the AWS–1 uplink
band at 1710–1755 MHz include an
OOBE attenuation factor of our standard
43 + 10 log10 (P) dB in order to protect
satellite downlink spectrum currently
below 1710 MHz. In addition,
§ 27.1134(c) of the rules provides that
should AWS–1 operations in the 1710–
1755 MHz band cause interference to
Federal Government operations below
1710 MHz, the AWS–1 licensee must
take steps to eliminate the interference.
The AWS–3 NPRM stated that the
services used in this AWS–3 band will
be similar to those in the AWS–1 band,
and that the repurposing of 1695–1710
MHz essentially just shifts the boundary
between AWS uplink and satellite
downlink services down from 1710 to
1695 MHz. Accordingly, the AWS–3
NPRM proposed to specify the same
OOBE attenuation factor for this AWS–
3 uplink band as applies to the adjacent
AWS–1 uplink band, the standard 43 +
10 log10 (P) dB, and to extend the
obligations of § 27.1134(c) to AWS–3
operations in the 1695–1710 MHz band.
63. One commenter expressed
concern that the standard OOBE limit
may not provide adequate protection for
adjacent-band Meteorological Satellite
operations. Raytheon argued that,
‘‘[b]efore the Commission adopts an
OOBE limit applicable at the 1695 MHz
band edge for AWS–3 systems,
sufficient testing and/or analysis should
be completed to support the
Commission’s determination in light of
the [Emergency Managers Weather
Information Network] and other
operations below 1695 MHz.’’ Raytheon
errs in focusing on just one part of the
regime we are establishing to protect the
1675–1695 MHz band. The OOBE
attenuation factor functions together
with the interference-resolution
provisions of § 27.1134(c). This
combination has worked satisfactorily
for the AWS–1 service, and we believe
it will serve equally well for AWS–3.
64. Global Positioning System
operations: GPS operates in the 1559–
1610 MHz Radionavigation-Satellite
band, (47 CFR 2.106) with a center
frequency of 1575.42 MHz and a
maximum bandwidth of 20.46 MHz,
thus occupying the frequencies
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1565.19–1585.65 MHz. The GPS
Innovation Alliance (GPSIA) argued that
the proposed OOBE limit for the 1695–
1710 MHz band ‘‘is no longer effective
[in preventing interference to the Global
Positioning System (GPS)] given the
dramatic increase in RF devices and the
[RF] noise floor.’’ It recommended that
the Commission defer adopting an
OOBE limit, and instead participate in
a multi-stakeholder task group to
develop new GPS spectrum interference
standards. CTIA countered that ‘‘these
issues are best addressed in other fora,
and [that] the Commission should not
allow these speculative interference
concerns to delay this critical spectrum
auction.’’
65. The Commission has long
recognized the importance of GPS and
our responsibility to ensure that it
receives appropriate interference
protection from other
radiocommunication services. However,
GPSIA’s arguments that the proposed
OOBE limit may present some risk of
interference do not warrant deferring
action on the proposed OOBE limit.
GPSIA does not support its claims with
technical studies and apparently makes
worst-case assumptions regarding
emissions from AWS–3 mobiles; i.e., ‘‘if
appropriate standards are not adopted,
manufacturers could begin to produce
devices designed with degraded OOBE
performance. . . .’’ In fact, as GPSIA
implicitly concedes, industry standards
developed for each radio interface meet
or exceed the Commission’s OOBE
limits, often by significant amounts, and
thereby provide an additional margin of
interference protection. In addition,
parties are free to negotiate private
agreements for additional protection, as
was the case with the AWS–4 spectrum.
See AWS–4 Report and Order, 27 FCC
Rcd at 16152–53 paras. 121–22. These
standards are developed through open
working groups, which GPSIA would be
free to participate in. Most significantly,
however, there is no evidence—in either
the record here or our experience
generally—that operations in the
AWS–1 band have resulted in harmful
interference to GPS. AWS–1 handsets
and GPS receivers coexist satisfactorily,
even when they reside on the same
device. The technical operation in the
AWS–1 band is virtually identical to
what was proposed for this AWS–3
band: Both bands would be populated
by low-power mobile devices, both
would be governed by the standard 43
+ 10 log10 (P) dB OOBE attenuation
factor, and both are similarly separated
in frequency from the GPS band. In
short, for all these reasons, we believe
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the possibility of harmful interference to
GPS is extremely unlikely.
66. Further, suspending this
proceeding to reexamine interference
standards would likely make it
impossible to meet the statutory
requirement that this spectrum be
licensed by February 2015. In light of
our findings above, we believe that the
better course is to proceed based on the
record herein. Of course we will
continue to explore new ways to
maximize spectrum efficiency. For
example, in ET Docket No. 13–101 we
are considering recommendations of the
Commission’s Technological Advisory
Council regarding the use of harm claim
thresholds to improve the interference
tolerance of wireless systems. Such
proceedings provide a more appropriate
vehicle to consider evolution of
regulatory requirements, including how
to transition incumbents to new
standards, if that should be necessary.
67. We therefore adopt for the 1695–
1710 MHz band an OOBE attenuation
factor of 43 + 10 log10 (P) dB below 1695
MHz.
b. Interference Protection to Operations
Above 1710 MHz
68. The 1695–1710 MHz AWS–3
uplink band is adjacent to AWS–1
uplink spectrum at 1710–1755 MHz.
Because we anticipate that the services
used in these adjacent bands will be
similar, the AWS–3 NPRM proposed to
specify the same OOBE attenuation
factor for this AWS–3 band as applies to
the adjacent AWS–1 band, the standard
43 + 10 log10 (P) dB. No commenter
objected to this proposal, and the record
does not suggest the presence of any
circumstances requiring special OOBE
protection for the adjacent AWS–1
band. We therefore adopt for this band
an OOBE attenuation factor of 43 + 10
log10 (P) dB above 1710 MHz.
69. Interference protection to
operations below 1755 MHz. Likewise,
the 1755–1780 MHz AWS–3 uplink
band is adjacent to AWS–1 uplink
spectrum at 1710–1755 MHz, where we
anticipate similar use. Thus the AWS–3
NPRM again proposed the same OOBE
attenuation factor for this AWS–3
uplink band as applies to the adjacent
AWS uplink band, 43 + 10 log10 (P) dB.
Again, no commenter objected to this
proposal, and the record does not
suggest the presence of any
circumstances requiring special OOBE
protection for the adjacent AWS–1
band. We therefore adopt for this band
an OOBE attenuation factor of 43 + 10
log10 (P) dB below 1755 MHz.
70. Interference protection to
operations above 1780 MHz. The 1755–
1780 MHz AWS–3 uplink band is
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adjacent to Federal operations at 1780–
1850 MHz. The AWS–3 NPRM observed
that the proposal to designate this band
for AWS–3 use would merely shift the
boundary between AWS and adjacentband services, with no significant
change in the uses on either side of the
boundary. The AWS–3 NPRM therefore
proposed to maintain the OOBE
attenuation factor for the present
boundary (i.e., the AWS–1 limit) for this
AWS–3 band, again the standard 43 +
10 log10 (P) dB. No commenters
dissented from this proposal, and the
record does not suggest the presence of
any circumstances requiring special
OOBE protection for the adjacent
Federal operations. We therefore adopt
for this band an OOBE attenuation
factor of 43 + 10 log10 (P) dB above 1780
MHz.
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c. Interference Protection to Services in
Other Bands—Base Stations Operating
in 2155–2180 MHz
71. The 2155–2180 MHz AWS–3
downlink band lies between AWS–1
downlink spectrum at 2110–2155 MHz
and AWS–4/MSS downlink spectrum at
2180–2200 MHz. Because we anticipate
that operations in 2155–2180 MHz and
in the adjacent downlink bands will be
similar, the AWS–3 NPRM proposed
that our standard OOBE attenuation
factor of 43 + 10 log10 (P) dB would be
sufficient to protect AWS–1 and
AWS–4/MSS receivers operating in the
adjacent bands. No commenters
objected to this proposal, and the record
does not suggest the presence of any
circumstances requiring special OOBE
protection for the adjacent AWS–1 and
AWS–4/MSS bands. Therefore, we
adopt for this band an OOBE
attenuation factor of 43 + 10 log10 (P) dB
both below 2155 MHz and above 2180
MHz.
d. Measurement of OOBE
72. The Commission’s rules generally
specify how to measure the power of the
emissions, such as the measurement
bandwidth. For AWS–1, AWS–4 and
PCS, the measurement bandwidth used
to determine compliance with this limit
for fixed, mobile, and base stations is
generally 1 megahertz, with some
modification within the first megahertz
immediately outside and adjacent to the
licensee’s frequency block. The AWS–3
NPRM proposed to apply this same
method to all transmissions in the
AWS–3 bands, and sought comment on
this proposal. The only party
commenting on this proposal supported
it. Since there is no opposition to our
proposal, and in order to treat the AWS–
3 bands in an equivalent manner to
other similar bands, we therefore adopt
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the same requirement for AWS–3
emission limits.
2. Antenna Height Restrictions
73. The AWS–3 NPRM proposed that
the flexible antenna height rules
applicable to AWS–1 base stations
should also govern AWS–3 base
stations. In addition, since the AWS–3
NPRM proposed not to authorize fixed
operations in the 1695–1710 MHz and
1755–1780 MHz bands, it tentatively
concluded that no special antenna
height restrictions are needed for those
bands.
74. Base Stations (2155–2180 MHz).
Part 27 of the Commission’s rules does
not set out specific antenna height
restrictions for AWS–1 base stations.
However, pursuant to § 27.56, all
services operating under part 27 are
required to limit base station antenna
heights to elevations that do not present
a hazard to air navigation. Additionally,
the limitations of field strength at the
geographical boundary of the license
discussed below effectively limit
antenna heights. As a result, because of
these inherent height limitations, the
AWS–3 NPRM proposed that unique
antenna height limits were not needed
for AWS–3 facilities, and that the
general height restrictions of part 27
would be sufficient.
75. The only comments addressing
the issue supported this proposal. As
the AWS–3 NPRM noted, two rules
effectively limit base station antenna
heights: § 27.56 regarding safety of air
navigation and § 22.55(a) limiting the
field strength of base station signals at
the edge of a licensee’s geographic
service area. In addition, Motorola
commented that ‘‘the need for spectral
reuse’’ provides a third inhibitor of base
station antenna height. For all these
reasons, we find no need for a special
restriction on the antenna height of
AWS–3 base stations operating in the
2155–2180 MHz band.
76. Fixed Stations (1695–1710 MHz
and 1755–1780 MHz). The AWS–3
NPRM proposed to prohibit fixed
stations in the 1695–1710 MHz and
1755–1780 MHz bands, because in
defining Protection Zones, CSMAC’s
assumptions did not consider the
possibility of commercial fixed uplinks.
A fixed station is ‘‘a station in the fixed
service,’’ which consists of stations at
specified fixed points that communicate
with each other. 47 CFR 27.4. The AWS–
3 NPRM therefore tentatively concluded
that no antenna height limit would be
necessary for these bands. Only one
party specifically addressed this issue:
Verizon stated that ‘‘the authorization of
fixed high gain antennas in these bands
could cause interference to government
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operations and thus the FCC should
prohibit their use in these bands.’’ We
believe that permitting fixed stations in
these uplink bands would unduly
complicate sharing with Government
incumbents, and that the lack of
comments asking us to provide for fixed
station use in these bands indicates
there is no significant demand for it. We
therefore adopt the AWS–3 NPRM’s
proposal to prohibit fixed stations from
operating in the 1695–1710 MHz and
1755–1780 MHz bands. And with no
fixed stations in these bands, there is no
need for an antenna height limit, so we
will not adopt antenna height
restrictions for the 1695–1710 MHz and
1755–1780 MHz bands at this time.
3. Power Limits
77. We will apply the existing AWS–
1 EIRP limits to the AWS–3 downlink
band at 2155–2180 MHz, as proposed in
the AWS–3 NPRM. The AWS–3 NPRM
proposed to depart from the AWS–1
EIRP limits for the AWS–3 uplink bands
at 1695–1710 MHz and 1755–1780 MHz,
because CSMAC and NTIA
recommendations for sharing these
bands with Federal incumbents were
based on assumed baseline LTE uplink
characteristics, which specify that lower
EIRP levels would be used. These
assumptions were set out in Appendix
3 of the WG1 Final Report. WG1 Final
Report, App. 3 (Baseline LTE Uplink
Characteristics). This document reflects
the consensus of the LTE Technical
Characteristics group of the CSMAC
Working Groups. Participants included
numerous Federal and non-Federal
representatives. Consistent with our
policy supporting flexible use where
possible, we are not adopting technical
rules requiring AWS–3 licensees to
comply with LTE or any other particular
industry standard. Nonetheless, we are
adopting Protection Zones for Federal
incumbents based on the power levels
used for the CSMAC studies, while also
requiring larger Protection Zones that
would apply should AWS–3 licensees
propose to operate uplink stations above
20 dBm EIRP.
78. Base Stations (2155–2180 MHz).
The current AWS–1 rules limit base
station power in non-rural areas to 1640
watts EIRP for emission bandwidths less
than 1 megahertz and to 1640 watts per
megahertz EIRP for emission
bandwidths greater than 1 megahertz,
and double these limits (3280 watts
EIRP or 3280 watts/MHz) in rural areas.
The AWS–1 rules also require that
licensees with base stations employing
transmit power above 1640 watts EIRP
and 1640 watts/MHz EIRP coordinate
with affected licensees authorized to
operate within 120 kilometers (75 miles)
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and with certain satellite entities.
Parallel provisions apply to broadband
PCS and AWS–4 stations.
79. The AWS–3 NPRM proposed to
apply similar requirements to AWS–3
base stations operating in the 2155–2180
MHz band because these rules have
provided good service while avoiding
harmful interference. Specifically, the
AWS–3 NPRM proposed to limit base
station power in non-rural areas to 1640
watts EIRP for emission bandwidths less
than 1 megahertz and to 1640 watts per
megahertz EIRP for emission
bandwidths greater than 1 megahertz,
and double these limits (3280 watts
EIRP or 3280 watts/MHz) in rural areas.
For AWS–3 base stations with transmit
power above 1640 watts EIRP and 1640
watts/MHz EIRP, the AWS–3 NPRM
proposed to require coordination with
the following licensees authorized to
operate within 120 kilometers (75 miles)
of the AWS–3 base or fixed station: All
BRS licensees authorized in the 2150–
2162 MHz band and all AWS licensees
authorized to operate on adjacent
frequency blocks in the AWS–3 band,
the 2110–2155 MHz band or the 2180–
2200 MHz band. Because of the spectral
separation between the 2155–2180 MHz
band and the 2025–2110 MHz satellite
band, however, the AWS–3 NPRM did
not propose to require coordination
with these operators.
80. Commenters generally supported
the Commission’s proposed technical
rules, specifically advocating adoption
of regulations consistent with those
applicable to the AWS–1 spectrum; no
commenter opposed the proposals for
base station power limits. The
Commission typically adopts the same
rules for similar adjacent band services,
and we see no compelling reason to do
otherwise here. Accordingly we adopt
the AWS–3 base station power limits
proposed in the AWS–3 NPRM and
described in the preceding paragraph.
81. Mobile and Portable Stations
(1695–1710 MHz and 1755–1780 MHz).
For AWS uplink bands, our rules
specify different power limits for
different bands, depending on each
band’s particular circumstances.
AWS–4 uplinks are generally limited to
2 watts EIRP, while AWS–1 uplinks are
limited to 1 watt EIRP in order to
simplify coordination with Government
operations that remain in the AWS–1
uplink band, a situation that the AWS–
4 band did not present. In this respect
the two AWS–3 uplink bands under
consideration here are similar to the
AWS–1 uplink band in that they all
contain Government operations, and
this circumstance requires careful
consideration of the power limit in
order to assure satisfactory sharing of
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the bands with Government
incumbents.
82. As described above, in conducting
studies for coexistence of commercial
and Federal systems in the AWS–3
uplink bands, CSMAC made
assumptions about the power output of
typical commercial user equipment for
the purpose of defining Protection
Zones. Specifically, CSMAC assumed
that typical commercial user equipment
will be LTE devices. The LTE standard
sets a maximum transmitter power
output (TPO) of 23 dBm. CSMAC’s
analysis indicates that such devices will
have an actual EIRP varying between -40
dBm and 20 dBm, however, due to
power control and typical antenna
gains/losses. CSMAC used these EIRP
values to assume a maximum power of
20 dBm EIRP (100 mW) for the purpose
of defining the Protection Zones. For
this reason, the Commission proposed
to limit power to the 20 dBm EIRP for
mobiles and portables operating in the
1695–1710 MHz and 1755–1780 MHz
bands.
83. The Commission also noted its
intent to adopt flexible-use service rules
for the AWS–3 band supporting
terrestrial wireless service and that it
was not proposing to mandate the use
of any industry standard. In this regard,
the Commission observed that similar
commercial mobile services such as
PCS, AWS–1, and the 700 MHz band
deploy handsets using a variety of
technologies, including CDMA and
UMTS, as well as LTE, whose devices
most commonly operate at a maximum
EIRP of 23 dBm (200 mW) regardless of
higher FCC power limits such as the
maximum EIRP limit of 1 watt (30 dBm)
for the AWS–1 uplink band.
Recognizing that the Commission’s
technical rules will govern all devices
nationwide, rather than typical devices
operating near Federal incumbents, the
Commission sought comment on
whether the benefits of a higher power
limit would outweigh the increased
burden of having to coordinate more
commercial operations with Federal
incumbents. The AWS–3 NPRM further
proposed that mobile and portable
stations operating in these bands must
employ a means for limiting power to
the minimum necessary for successful
communications.
84. While the 20 dBm EIRP figure is
a reasonable assumption from which to
determine the area where the potential
for interference requires coordination
with incumbents, a power limit higher
than proposed is feasible, so long as the
size of the Protection Zones reflects
whatever limit we adopt so that, if a
licensee proposes to operate above 20
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32377
dBm EIRP, this higher power factors
into the coordination analysis.
85. Wireless industry commenters
nearly unanimously supported the
benefits of a higher power limit over the
increased burden of coordination. AT&T
suggested that a 20 dBm EIRP limit
‘‘would effectively require the adoption
of a separate 3GPP standard for
AWS–3.’’ Motorola argued that the
proposed 20 dBm limit is inherently
flawed because it was based on the 23
dBm total power output limit set by the
LTE standard, less 3 dB in assumed
losses from issues such as negative
antenna gain. Actual losses, it said, will
be greater, which justifies a higher
power limit in the Commission’s rules.
Further, Motorola notes the important
role of automatic power control in
mobile networks, citing a 3GPP
simulation showing that ‘‘the average
transmit power across all devices in a
mobile network is below 1 dBm and that
95 percent of all devices transmit with
a power below 7 dBm.’’ DISH makes a
similar argument regarding automatic
power control, and also notes that the
Interference Power Spectral Density
level can be controlled by limiting the
number of simultaneously transmitting
mobiles around Protection Zones, rather
than restricting the mobile maximum
power to 20 dBm, thus preserving the
current Protection Zone boundaries.
DISH adds that limiting the number of
simultaneous mobile transmissions has
an added advantage of providing
protection while preserving wireless
coverage footprints typical LTE devices
can support. These commenters suggest
a range of alternatives for the AWS–3
uplink power limit, including 23 dBm,
23 dBm +/¥2 dB or 25 dBm (all based
on the LTE standard), and 30 dBm (the
AWS–1 limit).
86. On the other hand, Raytheon
argued that ‘‘[f]ailure to mandate an LTE
standard could impact directly the
validity, already qualified, of the
analysis determining the proposed
contours of the Protection Zones. . . .
[I]f the Commission chooses to forego
mandating use of the LTE standard by
auction winners, the Commission
should establish larger Protection Zones
to create an umbrella allowing for the
use of other standards.’’
87. Based on the record before us, we
are persuaded that the benefits of a
higher EIRP limit outweigh the burden
of additional coordination. Therefore,
for the sake of uniformity among
AWS–1 and AWS–3 equipment
requirements and to facilitate industry
standard setting in accordance with the
basic interoperability requirement that
we adopt herein for 1710–1780 MHz
stations, we adopt an AWS–3 uplink
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power limit of 30 dBm EIRP. We
emphasize that this EIRP limit is largely
a matter of equipment certification and
that AWS–3 licensees are not
authorized, as a matter of right, prior to
successful coordination, to operate
mobile and portable stations up to this
EIRP limit. Additionally, we agree with
Raytheon that the Protection Zones
must be properly calibrated to account
for any operations above 20 dBm EIRP.
We also adopt the AWS–3 NPRM’s
uncontested proposal to require that
mobile and portable stations operating
in these bands employ a means for
limiting power to the minimum
necessary for successful
communications.
88. Accordingly, the 27 Protection
Zones for 1695–1710 MHz will be
defined at two maximum protection
distance scenarios: operations up to 20
dBm EIRP, as proposed in the AWS–3
NPRM, and operations above 20 dBm
EIRP up to 30 dBm EIRP. The Protection
Zones are the product of consultations
between the Commission and NTIA. For
base stations that enable mobiles to
operate with a maximum EIRP greater
than 20 dBm, up to a maximum EIRP of
30 dBm, nationwide coordination will
be required. These requirements reflect
the optimum scenarios for AWS–3/
Federal sharing of these bands, and
provide ample opportunity to ensure
that incumbent Federal operations are
fully protected. The real-time spectrum
monitoring systems that Federal
incumbents are planning will also, once
deployed, help to maximize commercial
use of the band while protecting Federal
meteorological-satellite receive stations.
89. For the 1755–1780 MHz band, the
default Protection Zone is nationwide.
Therefore, all AWS–3 operations in this
band, including proposals to operate
above 20 dBm EIRP, will have to be
successfully coordinated with all
relevant Federal incumbents. In the
coming months, the Commission and
NTIA intend to jointly issue one or more
public notices establishing coordination
procedures and, if possible, more
refined Protection Zones for operations
up to 20 dBm EIRP. This forthcoming
action will not affect operations above
20 dBm EIRP (and up to the 30 dBm
EIRP limit) for which the nationwide
Protection Zone will remain applicable.
90. We also recognize CSMAC’s
suggestion that the aggregate signal level
from all licensees measured as a power
flux density at the geostationary orbit
(GSO) arc should not exceed ¥179
dBW/Hz/m2. CSMAC concluded that it
is unlikely that the aggregate power flux
density from user devices at the GSO arc
will reach ¥179 dBW/Hz/m2 and that
AWS operations are unlikely to impact
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Federal Space Operations reception in
the GSO arc, assuming user devices
operate with a maximum EIRP of 20
dBm. Further, the WG3 Final Report
indicated that there is a positive 7.6 dB
margin at the ¥179 dBW/Hz/m2 power
flux density level, and AWS–3 mobile
devices will typically operate with
significantly lower EIRP levels than
assumed in the WG3 Final Report. We
nonetheless recognize the legitimate
issue of aggregate power flux density
possibly affecting incumbent operations
and that Federal satellite operators will
routinely monitor the aggregate power
flux density level at the satellites.
AWS–3 licensees are on notice that the
Commission will revisit the matter and
take appropriate action if it is
demonstrated that the aggregate power
flux density level from all mobile
devices in a 10 megahertz bandwidth in
the 1761–1780 MHz band could impact
Federal Space Operations reception in
the GSO arc, i.e., is approaching ¥179
dBW/Hz/m2.
4. Co-Channel Interference Between
AWS–3 Systems
91. As discussed above, we determine
to license AWS–3 on an EA and CMA
geographic license area basis. The
Commission observed in the AWS–3
NPRM that should this spectrum be
licensed on a less than nationwide
basis, it would be necessary to ensure
that licensees do not cause harmful
interference to co-channel systems
operating along their common
geographic boundaries. To resolve any
such interference, the AWS–3 NPRM
proposed to adopt a boundary limit
approach, with a boundary field
strength limit of 47 dBmV/m, the same
as applies to other services similar to
AWS–3, including AWS–1 and AWS–4.
The alternative would be to require
prior coordination of base stations
located near geographic boundaries. The
AWS–3 NPRM noted that some
commenters in other proceedings have
suggested that the boundary limit be
adjusted to accommodate varying
channel bandwidths, and sought
comment on these options. The AWS–3
NPRM also sought comment on its
proposal that licensees operating in
adjoining areas should be permitted to
employ alternative, agreed-upon signal
limits at their common borders. Except
for T-Mobile, which argued that the
field strength limit be adjusted to
accommodate for varying channel
bandwidths, commenters did not
oppose the Commission’s proposals to
protect adjacent licensees from cochannel interference.
92. We adopt the proposed boundary
limit approach for co-channel
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interference. As discussed above, the
Commission will license AWS–3 on a
geographic area basis that is less than
nationwide, i.e., an EA and CMA basis.
To prevent licensees that operate
systems along common geographic
borders from causing harmful
interference to one another, the
Commission must provide operating
limits to ensure such licensees do not
cause interference to co-channel
systems. Adopting a boundary limit
approach establishes a default standard,
which will enable licensees to deploy
facilities in boundary areas without the
need for prior coordination. (Licensees
may use this operating limit as a starting
point for negotiations to exceed the
limits with agreement of adjacent area
licensees.) Moreover, in other bands
where spectrum has been allocated for
fixed and mobile services, similar to
AWS–3, the Commission has uniformly
adopted the boundary limit method to
minimize harmful co-channel
interference. For instance, the PCS,
AWS–1, AWS–4 and H-Block bands all
use a boundary limit approach. In
response to the Commission’s proposal,
no commenter supported a coordination
requirement rather than the boundary
limit approach. Consequently, we find
that a boundary limit approach is the
best method to address potential
harmful co-channel interference
between licensees operating in adjacent
geographic regions.
93. We set the field strength limit at
the boundary at 47 dBmV/m. As the
Commission observed in the AWS–3
NPRM, in other bands where spectrum
has been allocated for fixed and mobile
services and licensed for flexible use,
similar to AWS–3, the Commission has
generally adopted a boundary field
strength limit of 47 dBmV/m. For
example, in the PCS, AWS–1, AWS–4
and H-Block bands, the Commission
adopted a field strength limit of 47
dBmV/m at the boundary of licensed
geographic areas. Because this limit has
worked well in limiting co-channel
interference in other bands, we find it
appropriate to adopt it here for the
similarly situated AWS–3.
94. In adopting this boundary limit,
we decline to adopt the alternative limit
proposed by T-Mobile. While
supporting the boundary limit approach
used in other bands, T-Mobile asserted
that we should modify the boundary
limit to set a reference measurement
bandwidth, as proposed by Sprint in
WT Docket No. 12–357. In making this
recommendation, T-Mobile claimed that
because today’s LTE transmissions
operate on wider channels than earlier
legacy technologies, a 47 dBmV/m limit
will effectively result in a comparatively
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transitions from BRS to AWS use. 47
CFR 27.1132, 27.1250–27.1255. These
BRS provisions will expire in 2021, 15
years after the first AWS license was
issued in the band, at which time any
remaining BRS licensees in the band
will lose primary status. Id. § 27.1253(a).
The Commission’s licensing records
reflect that there are fewer than five BRS
incumbents licensed on these channels
and that most of the stations use
Channels 1 and/or 2/2A for fixed
broadband uplink. Because these BRS
channels will be co-channel to some
licenses in the AWS–3 downlink band
at 2155–2180 MHz, the AWS–3 NPRM
proposed that the same AWS–1
provisions in §§ 27.1132 and 27.1255 be
applied to future AWS–3 licensees
operating in the 2155–2180 MHz band.
No parties commented on this proposal.
Therefore, and in the absence of any
compelling reason to do otherwise, we
adopt the same provisions in §§ 27.1132
and 27.1255 for AWS–3 licensees
operating in the 2155–2180 MHz band.
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lower field strength limit. Specifically,
T-Mobile proposed to adjust the field
strength limit from 47 dBmV/m to 54
dBmV/m per megahertz ‘‘which is based
on GSM technology and provides a 7 dB
increase over today’s rules.’’
95. Although we agree with T-Mobile
that a boundary limit that adjusts for
large differences in channel bandwidths
may be appropriate, we are not
persuaded that either Sprint or
T-Mobile’s proposed limit represents
the most appropriate solution. Sprint
derived the value for the field strength
based on a comparison against a 30 kHz
Digital Amps signal, and T-Mobile did
not explain how it derived its proposed
limit. Other technologies may be a more
appropriate reference upon which to
base the value for the field strength.
Also, there are other metrics that may be
used to limit the signal at the boundary,
such as power flux density. We observe
that the Commission has already
adopted a bandwidth-independent
approach when setting boundary limits
with Canada and Mexico. For example,
certain international limits are
expressed as a power flux density (i.e.,
dBW/m2/MHz), a measure of power,
whereas field strength is a measurement
of voltage. As Sprint noted, other parties
have proposed to set boundary limits in
a bandwidth neutral manner, but there
is no established consensus on what the
value of the limit should be. With no
consensus regarding an alternative
boundary limit approach, we are not
prepared to adopt any particular
approach at this time. We intend to
explore the issue of whether to apply a
measurement bandwidth to co-channel
boundary limits in future service rules
proceedings, and we encourage all
interested parties to explore this issue in
such proceedings to develop a full
record of the technical concerns and
ramifications of such an approach.
96. Finally, we adopt the
Commission’s proposal that adjacent
affected area licensees may voluntarily
agree upon higher field strength
boundary levels than the 47 dBmV/m we
adopt above. This concept is already
codified in the field strength rules for
both PCS and AWS services. No party
opposed extending this approach to
AWS–3. Accordingly, to maintain
consistency with the PCS and other
AWS bands, we permit adjacent area
licensees to agree to a higher field
strength limit.
Prior to transmitting, LTE user devices
listen for system information being broadcast
by the base station. Based on the system
information, the user device will transmit a
RACH (Random Access Channel), in order to
get the cell to grant downlink/uplink radio
resources. Because the mobile device does
not transmit until receiving system
information from the base station, the mobile
device is clearly under the control of the base
station. . . .
5. Co-Channel Interference to BRS
Channels 1 and 2
97. The AWS–1 rules include
provisions that protect BRS Channel 1
(2150–2156 MHz) and Channel 2/2A
(2156–2160/62 MHz) while the band
100. As discussed above, in order to
facilitate Federal coordination, uplink/
mobile devices in the 1695–1710 MHz
and 1755–1780 MHz bands must be
under the control of, or associated with,
a base station as a means to facilitate
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6. Base Station Control of Mobile or
Portable Devices in 1695–1710 MHz and
1755–1780 MHz Bands
98. In the AWS–3 NPRM, we proposed
to require mobile or portable devices
operating in bands shared with Federal
incumbents to be under the control of a
base station. T-Mobile did not oppose
this requirement, but suggested allowing
an exception ‘‘to allow devices to
operate that are not under the control of
a base station if that can be
accomplished in a manner consistent
with protection requirements to Federal
operations.’’ Raytheon opposed
codifying T-Mobile’s proposed
exception, stating that such flexibility
might be considered pursuant to a
specific coordination scenario as long as
Federal agencies are not obligated to
consent to such use.
99. T-Mobile also noted that any
control requirement should be
consistent with LTE mobile operations,
which it described as follows:
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32379
shared use of the band and prevent
interference to Federal operations. We
agree with T-Mobile that LTE user
devices operating as T-Mobile describes
would meet this control requirement.
However, we are not persuaded to
codify the general exception that
T-Mobile suggests, because the proposal
lacks the specificity necessary to assure
us that it would prevent interference to
Federal incumbents.
7. Receiver Performance
101. The AWS–3 NPRM sought
comment on the potential for AWS–3
operations to cause receiver overload or
other interference to non-AWS
operations below 1695 MHz, above 1780
MHz, above 2025 MHz, and above 2180
MHz. No commenter addressed this
issue directly, and the only comments
suggesting the possibility of interference
to adjacent non-AWS services were
those urging special OOBE protection
below 1695 MHz. We have addressed
these comments in connection with
finalizing the AWS–3 OOBE limits, and
no interference issues remain to be
considered.
8. Compliance With Industry Standard
102. In response to the Commission’s
request for comment on any other
technical rules that may be required,
some commenters encouraged us to
mandate use of the LTE air interface
standard in the AWS–3 spectrum, while
some urged us to adopt an equipment
interoperability requirement. In the
AWS–3 NPRM, the Commission
acknowledged that CSMAC made
technical assumptions about
commercial operations that assumed
baseline LTE uplink characteristics and
that some technical rules must
accommodate CSMAC’s assumptions or
the Protection Zones might have to be
redrawn. But the Commission
emphasized that it was not proposing
rules to require AWS–3 licensees to
comply with any particular industry
standard such as LTE. Rather, in
accordance with the Spectrum Act, the
Commission intended to propose
flexible use service rules for the
AWS–3 band. The Commission also
observed that similar commercial
mobile services such as PCS, AWS–1,
and the 700 MHz band deploy handsets
using a variety of technologies,
including CDMA and UMTS, as well as
LTE. AIA expressed concern ‘‘[w]hether
spectrum sharing and coordination rules
can be established when there is
currently no proposed requirement for
AWS–3 licensees to comply with any
particular industry standard such as
LTE.’’ And as noted above, Raytheon
argued that if the Commission did not
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mandate use of the LTE standard, it
should ‘‘establish larger Protection
Zones to create an umbrella allowing for
the use of other standards.’’ T-Mobile
disagreed, stating that ‘‘While LTE is
currently the favored standard, it may
be supplanted in the future. An LTE
mandate would hamstring innovation
and development and be contrary to the
Commission’s policy to preserve
technical flexibility and refrain from
imposing technical standards.’’
103. We agree with T-Mobile that
locking licensees into a particular
technology indefinitely is not
warranted. Mandating a particular
industry standard such as LTE would
hamstring innovation and development
and be contrary to the Commission’s
policy to preserve technical flexibility
and refrain from imposing unnecessary
technical standards. Instead, we seek to
adopt those minimum requirements
necessary to protect against interference
or effectuate other compelling public
interest objectives. As discussed above,
the LTE standard was used to determine
Protection Zones for the 1695–1710
MHz band, but that does not require its
adoption for all purposes. Where the
rules that we adopt today differ from
proposed rules that reflected CSMAC’s
assumptions, we also adopt
corresponding changes to the
coordination zones. As discussed below,
for the 1755–1780 MHz band, the
coordination requirement applies
nationwide, and not just to designated
Protection Zones. If in the future a
licensee decides to use a technology
other than LTE, the licensee will still be
subject to our technical rules. If the
technology complies with our rules but
nonetheless poses a greater risk of
interference to incumbent Federal
operations, this development can be
addressed as part of the required
coordination process. Accordingly, we
see no reason to mandate use of LTE in
the AWS–3 bands.
9. Canadian and Mexican Coordination
104. In the AWS–3 NPRM, the
Commission observed that § 27.57(c) of
the rules provides that AWS–1 and
AWS–4 operations are subject to
international agreements with Mexico
and Canada, and proposed to apply the
same limitation to the AWS–3 bands.
No comments were submitted on this
proposal. In order to ensure efficient use
of the spectrum and interference-free
operations in the border areas near
Canada and Mexico, the Commission
routinely works with the United States
Department of State and Canadian and
Mexican government officials. Until
such time as any adjusted agreements,
as needed, between the United States,
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Mexico and/or Canada can be agreed to,
AWS–3 operations must not cause
harmful interference across the border,
consistent with the terms of the
agreements currently in force. The list of
agreements includes the ‘‘Protocol
Concerning the Transmission and
Reception of Signals from Satellites for
the Provisions of Mobile-Satellite
Services and Associated Feeder links in
the United States of America and the
United Mexican States.’’ We note that
further modifications of the rules might
be necessary in order to comply with
any future agreements with Canada and
Mexico regarding the use of these bands.
10. Other Technical Issues
105. In addition to the specific
technical issues addressed above, the
Commission also noted several rules
that apply to part 27 services generally,
and proposed applying them to the
AWS–3 bands as well. Specifically, the
Commission proposed applying the
following rule sections: 27.51
Equipment authorization, 27.52 RF
safety, 27.54 Frequency stability, 27.56
Antennas structures; air navigation
safety, and 27.63 Disturbance of AM
broadcast station antenna patterns. The
Commission reasoned that because
AWS–3 will be a part 27 service, these
rules should apply to all AWS–3
licensees, including those who acquire
licenses through partitioning or
disaggregation. No commenters opposed
this proposal. Accordingly, because
these rules generally apply to all part 27
services, and because, as we explain
below, we find it appropriate to license
the AWS–3 spectrum under our part 27
regulatory framework, we conclude that
the potential benefits of our proposal
would outweigh any potential costs and
adopt the proposal to apply these
additional part 27 rules to AWS–3
licensees. The Commission recently
deleted § 27.63. Rules governing
disturbance of AM broadcast station
antenna patterns are now contained in
subpart BB of part 1, 47 CFR 1.30000–
1.30004.
C. Licensing and Operating Rules;
Regulatory Issues
106. The licensing and operating rules
we adopt below provide AWS–3
licensees with the flexibility to provide
any fixed or mobile service that is
consistent with the allocations for this
spectrum. In the AWS–3 NPRM, the
Commission sought comment on the
appropriate license term, criteria for
renewal, and other licensing and
operating rules pertaining to the AWS–
3 band. In addition, the Commission
sought comment on the potential impact
of all of our proposals on competition.
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Herein, we adopt a set of service rules
that set forth the license term,
performance requirements, and license
renewal criteria and establish secondary
market transaction and permanent
discontinuance rules for all AWS–3
wireless licenses. We also affirm that
other rule parts that pertain generally to
wireless communication services will
similarly apply to AWS–3 licensees.
107. Assignment of Licenses. The
Spectrum Act states that the
Commission shall grant new initial
licenses for the 1695–1710 MHz and
2155–2180 MHz bands, and 15
additional megahertz of contiguous
spectrum to be identified by the
Commission, through a system of
competitive bidding pursuant to section
309(j) of the Communications Act. In
the AWS–3 NPRM, the Commission
proposed for all AWS–3 bands,
including 1755–1780 MHz and 2020–
2025 MHz, to license on a geographic
area basis, which would permit the
acceptance of mutually exclusive
applications. As such, the Commission
proposed to resolve all AWS–3
applications and assign licenses through
competitive bidding consistent with our
statutory mandate.
108. We adopt the Commission’s
proposal to assign initial licenses for the
AWS–3 bands through a system of
competitive bidding. Further, we adopt
the Commission’s proposal to license
AWS–3 spectrum bands on a geographic
area basis and permit the acceptance of
mutually exclusive applications. AT&T,
for example, agrees that the ‘‘initial
assignments, in accordance with
Congress’ mandate, should be through a
system of competitive bidding.’’ Thus,
as detailed below, we adopt rules to
govern the use of a competitive bidding
process for licensing all AWS–3 bands,
including 1755–1780 MHz and 2020–
2025 MHz.
109. Flexible Use. In the AWS–3
NPRM, consistent with the Spectrum
Act’s mandate to license according to
flexible use service rules, the
Commission proposed and sought
comment on service rules that permit a
licensee to employ the spectrum for any
non-Federal use permitted by the
United States Table of Frequency
Allocations, subject to the Commission’s
part 27 flexible use and other applicable
rules (including service rules to avoid
harmful interference). Part 27 licensees
must also comply with other
Commission rules of general
applicability. See 47 CFR 27.3. In
addition, flexible use in international
border areas is subject to any existing or
future international agreements. Thus,
the Commission proposed that the
spectrum may be used for any fixed or
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mobile service that is consistent with
the allocations for the band. The
Commission sought comment on
whether any restrictions are warranted
and how such restrictions would
comport with the statutory mandates of
section 6401 of the Spectrum Act.
110. In accordance with the Spectrum
Act’s direction to license according to
flexible use service rules, we will
license the AWS–3 spectrum under part
27. We received no comments on this
specific proposal but found general
support in the record for permitting
flexible use. The part 27 rules provide
a broad and flexible regulatory
framework for licensing spectrum,
enabling the spectrum to be used for a
wide variety of broadband services,
thereby promoting innovation and
efficient use of the spectrum.
111. Regulatory Framework. In the
AWS–3 NPRM, we proposed licensing
AWS–3 spectrum in accordance with
the flexible regulatory framework of part
27 of our rules. We sought comment on
our proposal to license the AWS–3 band
under part 27’s service and licensing
rules, and any associated costs or
benefits of doing so. We believe that our
part 27 rules are consistent with the
Spectrum Act’s requirement for
‘‘flexible-use service rules.’’
112. We adopt the Commission’s
proposal to license AWS–3 spectrum in
accordance with the flexible regulatory
framework of part 27 of our rules. We
received no comments on this issue. We
note that unlike other rule parts
applicable to specific services, part 27
does not prescribe a comprehensive set
of licensing and operating rules for the
spectrum to which it applies. Rather, for
each frequency band under its umbrella,
part 27 defines permissible uses and any
limitations thereon, and specifies basic
licensing requirements.
113. Regulatory Status. In the AWS–
3 NPRM, the Commission proposed to
apply the regulatory status provisions of
§ 27.10 of the Commission’s rules to
licensees in the AWS–3 band.
Specifically, § 27.10 requires license
applicants to identify the regulatory
status of the services they intend to
provide, and permits applicants and
licensees to request common carrier
status, non-common carrier status,
private internal communications status,
or a combination of these options, for
authorization in a single license (or to
switch between them). The Commission
also proposed that if a licensee changes
the service or services it offers such that
its regulatory status would change, it
must notify the Commission within 30
days of the change.
114. We adopt the proposal to apply
§ 27.10 of our rules, 47 CFR 27.10, to
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AWS–3 licensees. Under this flexible
regulatory approach, AWS–3 licensees
may provide common carrier, noncommon carrier, private internal
communications or any combination of
these services, so long as the provision
of service otherwise complies with
applicable service rules. We find that
this broad licensing framework is likely
to achieve efficiencies in the licensing
and administrative process and will
provide flexibility to the marketplace,
thus encouraging licensees to develop
new and innovative services. Moreover,
by applying this requirement to AWS–
3 licensees, we will treat them the same
as other part 27 licensees, all of whom
are subject to this rule. Although no
commenters directly address this issue,
commenters do support increased
regulatory flexibility generally. We
conclude that this approach is in the
public interest and that its benefits
likely outweigh any potential costs.
115. We remind potential applicants
that an election to provide service on a
common carrier basis requires that the
elements of common carriage be
present; otherwise the applicant must
choose non-common carrier status. See
47 U.S.C. 153(44) (‘‘A
telecommunications carrier shall be
treated as a common carrier under this
Act’’); see also 47 U.S.C. 332(C)(1)(A)
(‘‘A person engaged in the provision of
a service that is a commercial mobile
service shall, insofar as such person is
so engaged, be treated as a common
carrier for purposes of this Act’’). If a
potential licensee is unsure of the
nature of its services and whether
classification as common carrier is
appropriate, it may submit a petition
with its application, or at any time,
requesting clarification and including
service descriptions for that purpose.
116. Consistent with the
Commission’s proposal in the AWS–3
NPRM, we extend to the AWS–3 band
our part 27 requirement that if a
licensee elects to change the service or
services it offers such that its regulatory
status would change; it must notify the
Commission and must do so within 30
days of making the change. See 47 CFR
27.10(d). See also 47 CFR 27.66
(directing a licensee to notify the
Commission if it elects to change its
services such that its regulatory status
would change). A change in the
licensee’s regulatory status will not
require prior Commission authorization,
provided the licensee is in compliance
with the foreign ownership
requirements of section 310(b) of the
Communications Act that apply as a
result of the change. We note, however,
that a different time period (other than
30 days) may apply, as determined by
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the Commission, where the change
results in the discontinuance, reduction,
or impairment of the existing service.
117. Foreign Ownership Reporting. In
the AWS–3 NPRM, the Commission
observed that sections 310(a) and 310(b)
of the Communications Act impose
foreign ownership and citizenship
requirements that restrict the issuance
of licenses to certain applicants. The
Commission proposed to apply § 27.12
of the Commission’s rules, which
implements section 310, to applicants
for AWS–3 licenses. With respect to
filing applications, the Commission
proposed that all applicants provide the
same foreign ownership information,
which covers both sections 310(a) and
310(b), regardless of whether they
propose to provide common carrier or
non-common carrier service in the band.
The Commission sought comment on
this proposal, including the associated
costs and benefits.
118. In order to fulfill our statutory
obligations under section 310 of the
Communications Act, we determine that
all AWS–3 applicants and licensees
shall be subject to the provisions of 47
CFR 27.12; see also Review of Foreign
Ownership Policies for Common Carrier
and Aeronautical Radio Licensees under
section 310(b)(4) of the Communications
Act of 1934, as amended, IB Docket No.
11–133, Second Report and Order, 28
FCC Rcd 5741, App. B (2013) (adopting
47 CFR 1.990–1.994, which establish the
requirements and conditions for
obtaining the Commission’s prior
approval of foreign ownership in
common carrier, aeronautical en route,
and aeronautical fixed radio station
licensees and common carrier spectrum
lessees). All such entities are subject to
section 310(a), which prohibits licenses
from being ‘‘granted to or held by any
foreign government or the representative
thereof.’’ In addition, any applicant or
licensee that would provide a common
carrier, aeronautical en route, or
aeronautical fixed service would also be
subject to the foreign ownership and
citizenship requirements of section
310(b).
119. No commenters opposed (or
commented on) the Commission’s
proposal to require all AWS–3
applicants and licensees to provide the
same foreign ownership information in
their filings, regardless of the type of
service the licensee would provide
using its authorization. We believe that
applicants for this band should not be
subject to different obligations in
reporting their foreign ownership based
on the type of service authorization
requested in the application and that the
benefits of a uniform approach outweigh
any potential costs. Therefore, we will
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require all AWS–3 applicants and
licensees to provide the same foreign
ownership information, which covers
both sections 310(a) and 310(b),
regardless of which service they propose
to provide in the band. We expect,
however, that we would be unlikely to
deny a license to an applicant
requesting to provide services
exclusively that are not subject to
section 310(b), solely because its foreign
ownership would disqualify it from
receiving a license if the applicant had
applied for authority to provide section
310(b) services. However, if any such
licensee later desires to provide any
services that are subject to the
restrictions in section 310(b), we would
require that licensee to apply to the
Commission for an amended license,
and we would consider issues related to
foreign ownership at that time.
120. Eligibility. In the AWS–3 NPRM,
the Commission proposed to adopt an
open eligibility standard for the AWS–
3 band. The Commission explained that
opening the AWS–3 band to as wide a
range of licensees as possible would
encourage efforts to develop new
technologies, products, and services,
while helping to ensure efficient use of
this spectrum.
121. The Commission also explained
that section 6004 of the Spectrum Act
restricts participation in auctions
required under the Spectrum Act by
‘‘person[s] who [have] been, for reasons
of national security, barred by any
agency of the Federal Government from
bidding on a contract, participating in
an auction, or receiving a grant.’’ The
Commission noted that, in the Incentive
Auctions NPRM and in the H Block
NPRM, it had sought comment on
whether section 6004 permits or
requires the Commission to restrict
eligibility of persons acquiring licenses
on the secondary market, whether and
to what extent such a restriction is
consistent with other provisions of the
Communications Act, and what
procedures and rules, if any, should
apply to persons acquiring licenses on
the secondary market. In the H Block
R&O, the Commission adopted an
eligibility rule providing that ‘‘[a]
person described in 47 U.S.C. 1404(c) is
ineligible to hold a license that is
required by 47 U.S.C. Chapter 13
(Middle Class Tax Relief and Job
Creation Act of 2012, Pub. L. 112–96,
125 Stat. 156 (2012)) to be assigned by
a system of competitive bidding under
section 309(j) of the Communications
Act, 47 U.S.C. 309(j).’’ AWS–3 NPRM,
28 FCC Rcd at 11527 para. 121 n.285
citing H Block R&O at App. A; see also
47 CFR 27.12(b). In the H Block R&O,
the Commission also adopted an
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amendment to its rules to implement
section 6004 by adding a national
security certification to the application
to participate in competitive bidding.
See 47 CFR 1.2105(a)(2)(xii). The
Commission noted that this revised
restriction will govern most of the
AWS–3 spectrum and that, until
appropriate application forms are
revised, applicants for spectrum subject
to section 6004 will be required to
include a certification as an attachment
to the application and for applicants
that are not individuals, the same
attribution standards that were adopted
for short-form applications will apply.
One commenter, Mobile Future,
addressed the larger issue of the open
eligibility proposal by commenting that
it supports such an approach.
122. We find that nothing in the
record demonstrates that we should
adopt restrictions on open eligibility.
Therefore, we find that open eligibility
for the AWS–3 band is consistent with
our statutory mandate to promote the
development and rapid deployment of
new technologies, products, and
services; economic opportunity and
competition; and the efficient and
intensive use of the electromagnetic
spectrum. See 47 U.S.C. 309(j)(3)(A),
(B), & (D). We note, however, that
applicants for AWS–3 licenses must
comply with any licensing
qualifications required by statute or
rule. We conclude, based on the record
before us, that the potential benefits of
open eligibility for the AWS–3 band
outweigh any potential costs.
123. Section 27.12(b) of the
Commission’s rules provides that ‘‘[a]
person described in 47 U.S.C. 1404(c) is
ineligible to hold a license that is
required by 47 U.S.C. Chapter 13
(Middle Class Tax Relief and Job
Creation Act of 2012, Public Law 112–
96, 125 Stat. 156 (2012)) to be assigned
by a system of competitive bidding
under section 309(j) of the
Communications Act, 47 U.S.C. 309(j).’’
We conclude that this provision governs
the 1695–1710 MHz band, the 1755–
1780 MHz band and the 2155–2180
MHz band as explained in the AWS–3
NPRM. Because we are pairing 1755–
1780 MHz (15 megahertz of which we
have identified as the ‘‘additional fifteen
megahertz of contiguous spectrum’’
under the Spectrum Act) with 2155–
2180 MHz (all of which is subject to the
Spectrum Act), we will treat all 50
megahertz as subject to the statutory
restriction.
124. Mobile Spectrum Holding
Policies. Spectrum is an essential input
for the provision of mobile wireless
services, and ensuring access to and the
availability of sufficient spectrum is
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crucial to promoting the competition
that drives innovation and investment.
Section 309(j)(3)(B) of the
Communications Act provides that, in
designing systems of competitive
bidding, the Commission shall
‘‘promot[e] economic opportunity and
competition and ensur[e] that new and
innovative technologies are readily
accessible to the American people by
avoiding excessive concentration of
licenses.’’ Section 6404 of the Spectrum
Act amends section 309(j) to bar the
Commission from ‘‘prevent[ing] a
person from participating in a system of
competitive bidding’’ thereunder if such
person satisfies specified qualifications
criteria. However, that provision does
not affect any authority the Commission
has ‘‘to adopt and enforce rules of
general applicability, including rules
concerning spectrum aggregation that
promote competition.’’ In September
2012, the Commission initiated a
proceeding to review the mobile
spectrum holdings policies that
currently apply to both secondary
market transactions and competitive
bidding. The Commission indicated
that, during the pendency of this
proceeding, the Commission will
continue to apply its current case-bycase approach to evaluate mobile
spectrum holdings during its
consideration of secondary market
transactions and initial spectrum
licensing after auctions.
125. In the AWS–3 NPRM, the
Commission sought comment on
whether and how to address mobile
spectrum holding issues to meet our
statutory requirements pursuant to
section 309(j)(3)(B) and Section 6404 of
the Spectrum Act and our goals for the
AWS–3 band. The Commission also
asked whether the acquisition of each of
the AWS–3 spectrum bands should be
subject to the same general mobile
spectrum holding policies applicable to
frequency bands that the Commission
has found to be suitable and available
for the provision of mobile telephony/
broadband services. Alternatively, it
sought comment on whether there were
any reasons to distinguish AWS–3
spectrum for purposes of evaluating
mobile spectrum holdings. It asked
commenters to discuss and quantify any
costs and benefits associated with any
proposals.
126. USCC supports adopting a 25
percent limit on the amount of AWS–3
spectrum any one auction participant
may acquire in a single market to
promote competition and diversity of
license holders in the band, which
USCC asserts would encourage
interoperability and roaming
opportunities. Mobile Future and
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Verizon Wireless oppose any auctionspecific limits for the AWS–3 band. In
particular, Verizon Wireless opposes
USCC’s proposal, claiming that USCC’s
proposed spectrum limit is unnecessary
to prevent a lack of interoperability.
CCA, RWA, Mobile Future, T-Mobile,
Sprint, and Verizon Wireless encourage
the Commission to conclude its Mobile
Spectrum Holdings rulemaking prior to
making a determination on mobile
spectrum holdings policies with regard
to the AWS–3 bands.
127. We observe that parties
commenting on spectrum holdings
issues in the AWS–3 rulemaking have
raised issues with broader applicability
to the Mobile Spectrum Holdings
rulemaking, in addition to issues that
relate to the characteristics of the AWS–
3 bands. Given that we anticipate taking
action in the Mobile Spectrum Holdings
rulemaking well in advance of the
AWS–3 auction, we find that
rulemaking to be the most appropriate
context in which to resolve whether any
mobile spectrum holdings policies
should apply to the upcoming AWS–3
auction and whether the AWS–3 bands
should be included in the input market
for spectrum used in the Commission’s
competitive review of transactions.
128. License Term, Performance
Requirements, Renewal Criteria,
Permanent Discontinuance of
Operations. License Term: In the AWS–
3 NPRM, the Commission proposed to
establish a 10-year term for licenses for
the AWS–3 band. The Commission
noted that the Communications Act
does not specify a term limit for AWS
band licenses and that it has adopted
10-year license terms for most wireless
radio services licenses. To maintain this
consistency among wireless services, in
the H Block R&O and the AWS–4
Service Rules R&O, the Commission
adopted 10-year license terms. In
addition, the Commission proposed
that, if an AWS–3 license is partitioned
or disaggregated, any partitionee or
disaggregatee would be authorized to
hold its license for the remainder of the
partitioner’s or disaggregator’s original
license term. ‘‘Partitioning’’ is the
assignment of geographic portions of a
license along geopolitical or other
boundaries. ‘‘Disaggregation’’ is the
assignment of discrete portions of
‘‘blocks’’ of spectrum licensed to a
geographic licensee or qualifying entity.
Disaggregation allows for multiple
transmitters in the same geographic area
operated by different companies on
adjacent frequencies (thus increasing
the possibility of harmful interference).
The Commission sought comment on
these proposals, including the
associated costs and benefits.
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129. We adopt an initial license term
for AWS–3 spectrum rights of 12 years
and subsequent renewal terms of 10
years and we modify § 27.13 of the
Commission’s rules to reflect these
determinations. The Communications
Act does not require a specific term for
non-broadcast spectrum licenses. The
Commission has typically adopted 10year license terms for part 27 services,
but has also found, as in the case of
AWS–1 licenses, a longer initial term to
be in the public interest. We find that
this approach is in the public interest
and find that its benefits outweigh any
potential costs. Further, commenters
generally support at least a 10-year
license term. Given the complexities
and timing of clearing government
operations in the AWS–3 bands, we
agree with AT&T and USCC that a
longer initial license term is
appropriate.
130. We decline, however, to adopt
proposals by AT&T and USCC that the
Commission consider 15-year initial
license term. We believe instead that a
12-year initial term adequately
compensates for the transition of
government operations, and a 15-year
initial term would be unnecessarily
long. Further, wireless licensees receive
their licenses not at auction completion,
but after a period of time following the
close of the auction to allow for license
applications to be filed, processed, and
reviewed to ensure the applicant meets
the applicable qualifications to hold a
wireless license. Nevertheless, we direct
the Wireless Telecommunications
Bureau to solicit comment in the third
year following the initial licensing of
AWS–3 spectrum for the purpose of
making a recommendation to the
Commission about whether an
extension of the initial license term (and
associated build-out deadlines) by up to
3 years is warranted in light of the status
of government relocation. We agree with
AT&T that the initial license term
should match any adjustments
extending the final build-out
benchmarks.
131. We adopt the Commission’s
proposal that, if an AWS–3 license is
partitioned or disaggregated, any
partitionee or disaggregatee would be
authorized to hold its license for the
remainder of the partitioner’s or
disaggregator’s original license term. No
commenter addressed this proposal. We
note, however, that this approach is
similar to the partitioning and
disaggregation provisions that the
Commission adopted for BRS, for
broadband PCS, for the 700 MHz band,
and for AWS–1 licenses at 1710–1755
MHz and 2110–2155 MHz, and AWS–4.
We emphasize that nothing in our
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action is intended to enable a licensee,
by partitioning or disaggregating the
license, to confer greater rights than it
was awarded under the terms of its
license grant. Similarly, nothing in this
action is intended to enable any
partitionee or disaggregatee to obtain
rights in excess of those previously
possessed by the underlying licensee.
132. Performance Requirements: In
the AWS–3 NPRM, the Commission
proposed to adopt specific, quantifiable
performance requirements for AWS–3
licensees to ensure that licensees begin
providing service to consumers in a
timely manner. In the AWS–3 NPRM,
the Commission proposed to measure
build-out progress using a populationbased benchmark within each license
area, and sought comment on whether it
should adopt an interim benchmark, an
end-of-term benchmark, or other
requirements. In addition, in the AWS–
3 NPRM, the Commission sought
comment on appropriate performance
benchmarks for any AWS–3 uplink
spectrum paired with downlink
spectrum in a band other than AWS–3
and for areas where Federal use limits
or prohibits AWS–3 use. Further, the
Commission sought comment on
whether performance requirements are
necessary for service areas within the
Gulf of Mexico. Along with performance
benchmarks, the Commission noted that
there must be meaningful and
enforceable consequences, or penalties,
for failing to meet construction
requirements. Toward that end, the
Commission also sought comment on a
number of different penalties, seeking
input on which set of incentives would
most effectively ensure timely build-out
in this band.
133. We establish performance
requirements to promote the productive
use of spectrum, to encourage licensees
to provide service to customers in a
timely manner, and to promote the
provision of innovative services in
unserved areas, particularly rural ones.
Over the years, the Commission has
tailored performance and construction
requirements with an eye to the unique
characteristics of individual frequency
bands and the types of services
expected, among other factors. Our goal
is to ensure that timely and robust
build-out occurs in these bands and, for
the reasons discussed below, we believe
that concrete interim and final build-out
benchmarks will best facilitate meeting
this goal. The performance requirements
we establish for the AWS–3 band are
consistent with those the Commission
has adopted in recent items for other
spectrum bands, while taking into
account certain exceptional
circumstances related to the timing for
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the transition of this spectrum from
government use to wireless use. As
noted below in the Partitioning and
Disaggregation section, the performance
requirements we adopt also apply to
disaggregated spectrum or partitioned
geographic service areas. These
requirements will ensure that the AWS–
3 spectrum is put to use expeditiously
while providing licensees with
flexibility to deploy services according
to their business plans. Specifically, we
require:
• AWS–3 Interim Build-out
Requirement: Within six (6) years of an
initial grant, licensee shall provide
reliable signal coverage and offer service
to at least forty (40) percent of the
population in each of its license areas.
• AWS–3 Final Build-out
Requirement: By the end of the initial
license term, i.e., within twelve (12)
years, a licensee shall provide reliable
signal coverage and offer service to at
least seventy-five (75) percent of the
population in each of its license areas.
134. Additionally, we adopt the
following penalties for failing to meet
the build-out benchmarks:
• Failure to meet AWS–3 band
interim build-out requirement: In the
event a licensee fails to meet the AWS–
3 Interim Build-out Requirement in its
license area, the final build-out
requirement and initial license term
shall be accelerated by 2 years (from 12
to 10).
• Failure to meet AWS–3 band final
build-out requirement: In the event a
licensee fails to meet the AWS–3 Final
Build-out Requirement for any licensed
area, the license for each licensed area
in which it fails to meet the build-out
requirement shall terminate
automatically without Commission
action.
135. Based on the record before us, we
find that these performance
requirements are in the public interest
and that the benefits of these
requirements outweigh any potential
costs. We explain below the rationale
for these performance requirements, and
the attendant penalties for failure to
comply. We also discuss below how we
will measure build-out in the Gulf of
Mexico.
136. Population-based benchmark,
[per license area]. Supported by a
number of comments in the record, we
adopt the proposal to use objective,
population-based interim and final
construction benchmarks, which will be
measured per license area. Requiring
AWS–3 licensees to meet these
performance benchmarks will promote
rapid deployment of new broadband
services to the American public, and at
the same time provide licensees with
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certainty regarding their construction
obligations. We agree with Verizon that,
for this spectrum band, measuring
build-out by percentage of population
served ‘‘will ensure that licensees
provide wireless broadband services
where customers actually will use them
and need them.’’ Further, Blooston
Rural Carriers argues that populationbased AWS–3 construction
requirements are appropriate for CMA
license areas.
137. We are not persuaded by
arguments that our build-out
requirements must be geography-based,
or include a geographic component, in
order to ensure that less densely
populated, often rural, communities
have timely access to the most advanced
mobile broadband services. We agree
that it is important to promote rapid
broadband deployment in rural areas. In
fact, section 309(j)(4)(B) of the Act
requires that the Commission ‘‘include
performance requirements, such as
appropriate deadlines and penalties for
performance failures, to ensure prompt
delivery of service to rural areas.’’ We
find that adopting relatively small, CMA
and EA-based license areas, and
requiring licensees to meet challenging
population-based benchmarks in each
individual license area separately,
strikes an appropriate balance between
providing flexibility to AWS–3 band
licensees to deploy their networks in a
cost-effective manner and assertively
promoting deployment of service to less
densely populated areas. We note that
nothing about our decision to require
population-based benchmarks in this
band would foreclose our ability to
impose geographic-based benchmarks in
other spectrum bands that may warrant
different considerations. For example,
we observe that the Commission
established geographic-based
performance requirements for the 700
MHz B Block in light of technical
characteristics and the CMA geographic
license area size specific to that band.
138. Further, we reject Verizon’s
request that we measure compliance
with the interim benchmark in the
aggregate, i.e., by summing the
population of all of a licensees’
authorizations for AWS–3 spectrum.
Creating benchmarks on a per-license
basis, rather than in the aggregate, is
consistent with our build-out
requirements in other, similar spectrum
bands. Further, this approach allows for
more flexibility and certainty in
licensing. In addition, measuring
benchmarks on a per-license basis is
consistent with our determination to
license service on a geographic basis
and hold a licensee accountable for
meeting performance obligations for all
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of the licenses (including partitioned
licenses) that it holds. For example,
should a licensee partition some of its
AWS–3 spectrum, a percentage-based
approach would apply to each
partitioned license. In contrast, it is not
clear how the responsibility for meeting
benchmarks for partitioned and
disaggregated licenses would be
handled under Verizon’s proposal.
139. Areas unavailable due to Federal
relocation and coordination
requirements. A number of commenters
argue that the population of an area in
which AWS–3 operations are prohibited
to protect government operations should
be excluded when determining whether
a licensee has met its build-out
requirements. We find that this scenario
is best addressed by the extended
interim and final construction
benchmarks because we believe that
applying the same performance
requirements to all AWS–3 licensees
will help ensure that licensees build out
their entire licensed service areas. We
also generally agree that if a licensee
demonstrates that it is unable to meet a
coverage requirement due to
circumstances beyond its control, an
extension of the coverage period might
be warranted.
140. Interim Benchmark. We find that
requiring an interim milestone is
supported by the record, serves the
public interest, and is similar to our
approach in other, similar spectrum
bands. A 40 percent build-out per
license area benchmark is consistent
with the interim benchmarks
established in other bands and with
various proposals suggested by
commenters. For instance, Verizon
proposes adopting a build-out
requirement of 40 percent of the
population within 4 years. Blooston
Rural Carriers also supports the
Commission’s proposed interim
benchmark, but only if the Commission
licenses the AWS–3 spectrum according
to CMAs.
141. Several commenters argue that
the FCC should start the build-out
period on a date certain that is after the
final transition date for government
operations. We decline to do so. Instead,
we set the interim build-out benchmark
6 years from the grant of the license,
which should adequately account for
the period of time it will take for
Federal users to relocate out of the
bands being reallocated for commercial
use. Further, setting a date certain that
is tied to initial grant of the AWS–3
band license will provide greater
certainty to AWS–3 band licensees,
their investors, and other interested
parties. This does not mean, however,
that an AWS–3 band licensee must wait
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for the all Federal users to relocate; an
AWS–3 licensee can begin operating in
a specific license area after successful
coordination and as soon as it is
confirmed that the Federal users have
fully relocated out of that particular
license area based on their projected
transition timelines.
142. We reject the proposal of
commenters who advocate a
‘‘substantial service’’ standard as the
only gauge of performance. Our purpose
is to ensure that timely and robust
build-out occurs in this band and for the
reasons enumerated above, we believe
that concrete interim and final build-out
benchmarks best advance this goal.
Further, we note that in recent
Commission decisions, the Commission
has replaced the substantial service
standard with specific interim and final
build-out requirements.
143. Evaluation of reliable signal
coverage and service offering for
unpaired, uplink only licenses at 1695–
1710 MHz. As discussed above, the
1695–1710 MHz band is low-power,
uplink-only spectrum and must be
paired with base stations. For the
Commission to determine whether the
1695–1710 MHz band licensee is
meeting its performance benchmarks,
the 1695–1710 MHz band licensee must
pair this uplink spectrum with
downlink spectrum. Once the licensee’s
base stations are built or modified to
control and receive 1695–1710 MHz
uplinks, the reliable signal coverage of
such base stations (in bands paired with
1695–1710 MHz) will determine the
percentage of the population served in
the licensed area of the 1695–1710 MHz
uplinks, assuming that the licensee is
offering service that includes UE that
transmits in the 1695–1710 MHz band.
Any base station to be built or modified
that is located in a Protection Zone must
be successfully coordinated with
Federal incumbents prior to enabling/
serving uplink devices that transmit in
the 1695–1710 MHz. The 1695–1710
MHz licensee must show that it is
complying with the build-out
requirements applicable to all AWS–3
licensees, in addition to separately
meeting the performance obligations for
any spectrum bands paired with the
1695–1710 MHz spectrum. If the 1695–
1700 MHz licensee fails to meet a
benchmark, it will be subject to
penalties discussed herein. However,
failure to meet an AWS–3 band
benchmark would not affect the
downlink side of the pair, assuming that
the licensee was complying with the
performance obligations for that
downlink spectrum.
144. Penalty for failure to meet the
interim benchmark. Commenters
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generally support the Commission’s
proposal to assess a penalty on licensees
that fail to meet the interim construction
benchmark. Therefore, like similar
spectrum bands, we accelerate by 2
years the time frame to complete buildout and the length of the license term.
Because the initial license term is 12
years, if a licensee fails to meet the
interim benchmark, it must complete its
final build-out requirement within 10
years, when its license term also
expires.
145. Final Benchmark. Within 12
years of the initial grant (or 10 years if
the interim benchmark is not met), a
licensee shall provide reliable coverage
and offer wireless service to at least 75
percent of the population in each of its
license areas. Commenters generally
support the Commission’s approach.
Establishing a final build-out
benchmark that coincides with the end
of the initial license term is consistent
with how the Commission has
formulated performance requirements in
other spectrum bands. Because we have
set the interim benchmark at 6 years and
we have created a 12-year initial license
term, we find Verizon’s suggestion that
we establish a 7-year final build-out
requirement to be unduly accelerated
and we therefore decline to adopt it.
Under the circumstances, a 12-year
construction milestone provides a
reasonable timeframe for a licensee to
deploy its network and offer widespread
service, provided it meets its interim
benchmark. Licensees that do not meet
the 6-year interim benchmark must
accelerate their final build out by 2
years to meet the final benchmark by the
end of their shortened, 10-year license
term.
146. Penalty for failure to meet the
final benchmark. Where a licensee fails
to meet the final build-out requirement
in any EA or CMA, its authorization for
each EA or CMA in which it fails to
meet the requirement shall terminate
automatically without further
Commission action. Automatic
termination is a common remedy for
failure to build part 27 flexible use
licenses and is the approach adopted by
the Commission in the AWS–4 Report
and Order and the H Block Report and
Order. By terminating only the specific
licenses where a licensee fails to meet
the final benchmark, we will not
directly affect a licensee’s customers in
other license areas. We decline to adopt
‘‘keep-what-you-use’’ as a penalty for
failure to meet construction
requirements as some commenters
suggest, because these proposals may
encourage less robust build-out by a
licensee that decides not to fully build
out to the final benchmark.
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147. As a general matter, we expect
that AWS–3 band licensees will meet
the performance requirements because
of the serious consequences associated
with non-compliance, including
automatic license cancellation. Further,
we expect that licensees’ deployment
will generally exceed the levels set forth
in the benchmarks, and that these buildout requirements generally represent a
floor—not a ceiling. As for USCC’s
assertion that automatic termination is
too punitive, the Commission has
explained in the past that we do not
consider automatic termination to be
overly punitive or unfair, particularly
given that the Commission has applied
this approach to nearly all
geographically-licensed wireless
services. Further, the Commission has
rejected the argument, and we do so
again here, that an automatic
termination penalty would deter capital
investment, observing that the wireless
industry has invested billions of dollars
and has flourished under this paradigm
in other spectrum bands. For the same
reason, we believe that an automatic
termination penalty will have little
effect on auction participation, as
suggested by USCC. Finally, we do not
agree with USCC that automatic
termination harms the public because,
even if a customer loses service from a
provider when it loses spectrum rights
for a particular EA or CMA, alternative
providers may be available. We also
expect that a future licensee for that EA
or CMA may ultimately be able to serve
more customers.
148. In the event a licensee’s authority
to operate terminates, the licensee’s
spectrum rights would become available
for reassignment pursuant to the
competitive bidding provisions of
section 309(j). Further, consistent with
the Commission’s rules for other part 27
spectrum bands, including AWS–1,
AWS–4, and H Block, any AWS–3
licensee who forfeits its license for
failure to meet its performance
requirements would be precluded from
regaining the license. Therefore, we
reject Verizon’s ‘‘new applicant’’
proposal that would effectively provide
a mechanism for a licensee who failed
to meet the final build-out requirement
to continue to hold onto its fallow
spectrum unless a competing bidder
emerged.
149. Gulf of Mexico. Having received
no comments on the Gulf of Mexico
performance requirements, and
recognizing that we are licensing
wireless service in the Gulf (as EA 176),
we adopt the same coverage
requirements as set forth above. We note
one exception, however: we will
calculate ‘‘population’’ pursuant to the
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approach taken in Small Ventures
Memorandum Opinion and Order. In
that order, the Wireless Bureau
recognized that using the conventional
Census tract methodology for
determining population in the Gulf of
Mexico would be infeasible because the
EAs in the Gulf consist of a body of
water with non-permanent, mobile
residents. Consistent with that order, we
allow a Gulf of Mexico licensee to use
all off-shore platforms, including
production, manifold, compression,
pumping and valving platforms as a
proxy for population in the Gulf of
Mexico for purposes of meeting buildout obligations. Thus, in lieu of
measuring its build-out obligations
based on population, a licensee serving
the Gulf of Mexico shall within six (6)
years provide reliable coverage and offer
wireless service to at least forty (40)
percent of all off-shore platforms in its
license areas and within 12 years (or at
the end of the license term), provide
reliable coverage and offer wireless
service to at least 75 percent of all offshore platforms in its license area in the
Gulf of Mexico. If a licensee fails to
meet the interim benchmark, the final
benchmark and initial license term are
accelerated by 2 years—from 12 to 10
years. All penalties and other
compliance procedures adopted herein,
excluding those in paragraph 152 below
discussing the methodology for meeting
population-based build-out
requirements shall apply to a Gulf of
Mexico licensee.
150. Compliance Procedures. Finding
the proposed compliance procedures to
be in the public interest and having
received no comments on the issue, we
adopt the proposal in the AWS–3 NPRM
to require AWS–3 licensees to comply
with § 1.946(d) of our rules.
Specifically, this rule requires that
licensees must demonstrate compliance
with their performance requirements by
filing a construction notification within
15 days of the relevant milestone
certifying that they have met the
applicable performance benchmark.
Additionally, consistent with the AWS–
4 Report & Order and the H Block R&O,
we require that each construction
notification include electronic coverage
maps and supporting documentation,
which must be truthful and accurate
and must not omit material information
that is necessary for the Commission to
determine compliance with its
performance requirements.
151. Electronic coverage maps must
accurately depict the boundaries of each
license area in the licensee’s service
territory. If a licensee does not provide
reliable signal coverage to an entire
CMA or EA, as applicable, its map must
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accurately depict the boundaries of the
area or areas within each CMA or EA,
as applicable, not being served. Each
licensee also must file supporting
documentation certifying the type of
service it is providing for each licensed
area within its service territory and the
type of technology used to provide such
service. Supporting documentation
must include the assumptions used to
create the coverage maps, including the
propagation model and the signal
strength necessary to provide reliable
service with the licensee’s technology.
152. The licensee must use the most
recently available decennial U.S. Census
Data at the time of measurement to meet
the population-based build out
requirements. Specifically, a licensee
must base its claims of population
served on areas no larger than the
Census Tract level. The Census Bureau
defines Census Tracts as ‘‘small,
relatively permanent statistical
subdivisions of a county delineated by
local participants as part of the U.S.
Census Bureau’s Participant Statistical
Areas Program . . . [T]he entire United
States is covered by census tracts.’’ This
requirement tracks the Commission’s
action requiring broadband service
providers to report ‘‘snapshots’’ of
broadband service at the Census Tract
level twice each year by completing FCC
Form 477.
153. Renewal Criteria: Section 308(b)
of the Communications Act authorizes
the Commission to require renewal
applicants to ‘‘set forth such facts as the
Commission by regulation may
prescribe as to the citizenship,
character, and financial, technical, and
other qualifications of the applicant to
operate the station[,]’’ as well as ‘‘such
other information as it may require.’’ In
the AWS–3 NPRM, the Commission
proposed to adopt license renewal
requirements consistent with those
adopted in the 700 MHz First Report
and Order, the AWS–4 Report and
Order, and the H Block R&O. Under
those requirements, renewal applicants
must file a ‘‘renewal showing,’’ in
which they demonstrate that they have
been and are continuing to provide
service to the public, and are compliant
with the Communications Act and with
the Commission’s rules and policies. In
the AWS–3 NPRM, we proposed to
apply to AWS–3 licensees the same
renewal showing requirement recently
adopted in the H Block R&O.
154. In the AWS–3 NPRM, the
Commission sought comment on
whether AWS–3 band licensees should
be awarded renewal expectancies if they
meet their performance obligations and
otherwise comply with the
Commission’s rules and policies and the
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Communications Act throughout their
license term. The Commission also
inquired whether licensees should
receive a renewal expectancy for
subsequent license terms if they
continue to provide at least the level of
service demonstrated at the final
performance benchmark through the
end of any subsequent license terms.
Finally, the Commission proposed that,
consistent with its 700 MHz licensing
paradigm, it would prohibit the filing of
competing license renewal applications,
and that if a license is not renewed, the
associated spectrum would be returned
to the Commission for assignment.
155. Pursuant to section 308(b) of the
Communications Act, we will require
AWS–3 band licensees seeking license
renewal to file renewal applications;
below, we specify the information that
renewal applicants must provide to
enable the Commission to assess
whether renewal is warranted and in the
public interest. Where a license is not
renewed, the associated spectrum will
be returned to the Commission and
made available for assignment. We will
not permit the filing of competing
applications against license renewal
applications.
156. We apply to AWS–3 band
licensees the same renewal showing
requirements we recently adopted for
the H Block. Specifically, an AWS–3
band licensee’s renewal showing must
provide a detailed description of its
provision of service during the entire
license period and discuss: (1) The level
and quality of service provided
(including the population served, the
area served, the number of subscribers,
and the services offered); (2) the date
service commenced, whether service
was ever interrupted, and the duration
of any interruption or outage; (3) the
extent to which service is provided to
rural areas; (4) the extent to which
service is provided to qualifying tribal
land as defined in § 1.2110(e)(3)(i) of the
Commission’s rules; and (5) any other
factors associated with the level of
service to the public. Accordingly, we
hereby modify § 27.14 of the
Commission’s rules to apply these
renewal showing criteria to the AWS–3
bands. Nothing in our decision today
prejudges or forecloses the
Commission’s future consideration of
the policies and proposed rules, and
related record, for the WRS Renewals
NPRM, which remains pending. In
addition, we emphasize that licensees
seeking renewal bear the risk of future
changes to our rules that may alter this
renewal expectancy.
157. Based on the record before us
and our analysis below, we find that the
renewal requirements we establish for
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AWS–3 band licensees are in the public
interest and that their benefits outweigh
any likely costs. In recent years, the
Commission has refined its license
renewal policies—beginning with the
700 MHz First Report and Order in
2007, later in the AWS–4 Report and
Order, and more recently in the H Block
Report and Order. Through these
actions, we have established that
licensees must demonstrate that they are
providing adequate levels of service
over the course of their license terms,
and here we act consistently with that
policy. Consequently, we adopt renewal
criteria for the AWS–3 band that are
based on those criteria adopted in the
700 MHz First Report and Order and
that were similarly followed in the
AWS–4 Report and Order and the H
Block Report and Order. We believe
these renewal requirements will provide
licensees certainty regarding the factors
that the Commission will consider
during the renewal process, thereby
facilitating investment decisions
regarding broadband rollout. We also
find that these requirements address
commenters’ concerns that the renewal
process not unnecessarily burden
licensees or deter investment.
158. In adopting these criteria, we
decline to adopt at this time AT&T’s
proposal to categorically provide a
renewal expectancy to all licensees that
meet their performance requirements
and comply with the Communications
Act and the Commission’s rules. USCC
claims that renewal expectancies, based
solely on performance requirements,
would provide certainty to licensees
and investors. As the Commission has
consistently stated, performance and
renewal showings are distinct; they
serve different purposes and, if not met,
the Commission may apply different
penalties. A performance showing
provides a snapshot in time of the level
of a licensee’s service, whereas a
renewal showing provides information
regarding the level and types of service
provided over the course of a license
term. We disagree, therefore, with
AT&T’s contention that there is ‘‘no
identifiable benefit’’ to requiring
licensees to make a renewal showing.
We emphasize that where a licensee
meets the applicable performance
requirements, but fails to provide
continuity of service (by, for example,
repeatedly discontinuing operations
between required performance showings
for periods of less than 180 days), the
Commission could find that renewal
would be contrary to the public interest.
We note that, in addressing broadcast
license renewal proceedings, Congress
has specifically established a standard
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that takes into consideration not only
compliance with Commission rules but
also whether ‘‘the station has served the
public interest, convenience, and
necessity.’’ Where a licensee fails to
meet its interim performance
requirement and becomes subject to a
2-year acceleration of both its final
performance requirement and its license
term, its final performance showing
might merely reflect a snapshot in time
of compliance with the performance
requirement. By contrast, its renewal
application must provide a timeline of
its provision of service, the percentage
of the license-area population covered,
and types of service provided over the
course of the license term, including
any efforts to meet the interim
performance requirement.
159. For subsequent license terms,
licensees are likely—absent
extraordinary circumstances—to obtain
license renewal if they submit
satisfactory showings demonstrating
that they have maintained or exceeded
the level of coverage and service
required at the final performance
benchmark (during the initial license
term), and otherwise comply with the
Commission’s rules and policies and the
Communications Act. We decline,
however, to ‘‘codify’’ a renewal
expectancy as USCC proposes, at this
time.
160. Finally, we reject USCC’s
proposal that we permit competing
renewal applications or, in their
absence, process unopposed
applications in the same manner as
renewals in the cellular and PCS
services. We find that the public interest
would be ill-served by permitting the
filing of potentially time-consuming and
costly competing applications. As the
Commission explained in the 700 MHz
First Report and Order, prohibiting
competing applications ‘‘protects the
public interest without creating
incentives for speculators to file ‘strike’
applications.’’ 700 MHz First Report and
Order, 22 FCC Rcd at 8093 para. 76; see
also AWS–4 Report and Order, 27 FCC
Rcd at 16202 para. 272; H Block R&O,
28 FCC Rcd at 9568 para. 224. The
renewal requirements we adopt today
will provide Commission staff with
ample information to determine
whether license renewal would serve
the public interest.
161. Permanent Discontinuance of
Operations: In the AWS–3 NPRM, the
Commission asked whether it should
apply to AWS–3 band wireless licensees
the rules governing the permanent
discontinuance of operations. According
to § 1.955(a)(3), an authorization will
automatically terminate, without
specific Commission action, if service is
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‘‘permanently discontinued.’’ Consistent
with the definition that the Commission
adopted for the H Block and the AWS–
4 band, the Commission proposed to
define for the AWS–3 band
‘‘permanently discontinued’’ as a period
of 180 consecutive days during which
the licensee does not provide service in
each of its licensed areas to at least one
subscriber that is not affiliated with,
controlled by, or related to, the
provider. For licensees that use their
licenses for private, internal
communications, the Commission
proposed in the AWS–3 NPRM to define
‘‘permanent discontinuance’’ as a period
of 180 consecutive days during which
the licensee does not operate. The
Commission proposed that licensees
would not be subject to these
requirements until the date of the first
performance requirement benchmark.
162. In addition, the Commission
proposed that a licensee must notify the
Commission within 10 days if it
permanently discontinues service, by
filing FCC Form 601 or 605 and
requesting license cancellation,
consistent with § 1.955(a)(3) of the
Commission’s rules. The Commission
emphasized that even if a licensee fails
to file the required form, however, an
authorization will automatically
terminate without specific Commission
action if service is permanently
discontinued. The Commission sought
comment on these proposals, including
their associated costs and benefits.
163. We adopt the Commission’s
proposal and determine that
§ 1.955(a)(3) of the Commission’s rules
will apply to all AWS–3 band licensees,
including holders of both EAs and
CMAs, and find that the benefits of
applying this rule outweigh any
potential costs of doing so. Thus, a
licensee’s authorization will
automatically terminate, without
specific Commission action, if service is
‘‘permanently discontinued.’’ As the
Commission has previously explained,
the operation of so-called channel
keepers, e.g., devices that transmit test
signals, tones, and/or color bars, do not
constitute ‘‘operation’’ under
§ 1.955(a)(3) or the Commission’s other
permanent discontinuance rules. AT&T
does not object to the discontinuance
proposal but asks for clarification of
§ 1.9030(d)(5) of the Commission’s rules
on long-term de facto transfer leasing
arrangements to count a lessee’s
continuous service toward the
underlying licensee’s service obligation
in order to avoid triggering the
permanent discontinuance rule. Any
performance or build-out requirement
applicable under a license authorization
always remains a condition of the
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license, and the legal responsibility for
meeting such obligation is not delegable
to the spectrum lessee(s). An AWS–3
licensee is also accountable for any
discontinuance of operation and the
rules will be enforced against the
licensee regardless of whether the
licensee was relying on the activities of
a lessee to meet particular performance
requirements. However, the licensee
may attribute to itself the build-out or
performance activities of its spectrum
lessee(s) for purposes of complying with
any applicable build-out or performance
requirement.
164. In accordance with our proposal,
for providers that identify their
regulatory status as common carrier or
non-common carrier, we define
‘‘permanently discontinued’’ as a period
of 180 consecutive days during which
the licensee does not provide service in
the individual license area (or smaller
service area in the case of a partitioned
license) to at least one subscriber that is
not affiliated with, controlled by, or
related to, the provider. We adopt a
different approach for wireless licensees
that use their licenses for private,
internal communications, however,
because such licensees generally do not
provide service to unaffiliated
subscribers. For such private, internal
communications, we define ‘‘permanent
discontinuance’’ as a period of 180
consecutive days during which the
licensee does not operate. In other
words, the rule that we adopt for
private, internal communications does
not include a requirement that the
licensee provide service to an
unaffiliated subscriber in order to avoid
triggering the permanent discontinuance
rule. A licensee will not be subject to
the discontinuance rules until the date
it must meet its first performance
requirement benchmark, a rule which
will avoid penalizing licensees that
construct early, but then may shut down
for 180 days before their first
performance benchmark date.
165. Secondary Markets: Partitioning
and Disaggregation. In the AWS–3
NPRM, the Commission proposed to
permit AWS–3 band licensees to
partition geographic markets and
disaggregate spectrum under existing
part 27 partitioning and disaggregation
rules. See 47 CFR 27.15. A partitionee
or disaggregatee is authorized to hold its
license for the remainder of the
partitioner’s or disaggregator’s license
term. See 47 CFR 27.15(c). Specifically,
it proposed that any entity holding an
AWS–3 band license, including parties
to any partitioning or disaggregation
arrangement pertaining to an AWS–3
band license, must independently meet
the applicable technical rules and
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regulatory requirements, including
performance and renewal requirements.
The Commission proposed this
approach to facilitate efficient spectrum
use, while enabling service providers to
configure geographic area licenses and
spectrum blocks to meet their
operational needs.
166. We adopt the part 27 partitioning
and disaggregation rules for the AWS–
3 band. Very few commenters discuss
partitioning and disaggregation, but
those who do support this approach.
Verizon agrees that the Commission
‘‘should apply its existing part 27
geographic partitioning, disaggregation,
and spectrum leasing rules to AWS–3
licensees.’’ Further, permitting
disaggregation and partitioning will
help facilitate investment and rapid
deployment in the AWS–3 band, while
giving licensees flexibility to use the
spectrum to meet changing market
demand. As the Commission noted
when it first adopted partitioning and
disaggregation rules, allowing this type
of flexibility can facilitate the efficient
use of spectrum, and expedite provision
of services in areas that might not
otherwise receive service in the near
term. We conclude, based on the record
before us, that permitting partitioning
and disaggregation is in the public
interest, and the associated benefits
would outweigh any potential costs.
167. As proposed in the AWS–3
NPRM, we require any AWS–3 band
licensee that is a party to any
partitioning or disaggregation
arrangement (or combination of both) to
independently meet the applicable
technical rules and regulatory
requirements, including performance
and renewal requirements. As the
Commission has previously observed,
this approach should facilitate efficient
spectrum usage and prevent the
avoidance of timely construction as a
result of the vagaries of the secondary
market, while still providing operators
with the flexibility to design their
networks according to their operational
and business needs. Commenters
support this approach, which is
consistent with our treatment of other
part 27 services. For example, Verizon
states that allowing licensees ‘‘the
ability to partition and/or disaggregate
portions of their spectrum holdings,
and/or to lease such holdings, promotes
a robust secondary market in spectrum.’’
We agree with Verizon that these rules
have been effective and should be
applied to the AWS–3 band.
168. Spectrum Leasing. In the AWS–
3 NPRM, the Commission proposed to
apply to AWS–3 band licensees the
spectrum leasing policies established in
various Secondary Market proceedings
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in the same manner that those policies
and rules apply to other part 27
services. Since 2003, these secondary
market policies and rules have enabled
licensees to lease some or all of their
spectrum usage rights to third party
spectrum lessees, who are permitted to
provide wireless services consistent
with the underlying license
authorization.
169. We adopt the same spectrum
leasing policies and rules that apply to
other part 27 services. Wireless Radio
Services do not include satellite
services. 47 CFR 1.907. Under these
secondary market policies and rules, the
service rules and policies applicable to
the licensee under its license
authorization—including all technical,
interference, and operational rules—
apply to the spectrum lessee as well.
The rules and procedures for spectrum
leasing arrangements are set forth in
part 1, subpart X. 47 CFR 1.9001 et seq.
Commenters that discuss spectrum
leasing support the proposals made in
the AWS–3 NPRM and agree that
adopting spectrum leasing rules will
promote the public interest. For
example, TIA notes that ‘‘[c]onsistency
with leasing rules that apply to other
terrestrial spectrum is a virtue, and
helps ensure that future transactions can
proceed with greater predictability and
transparency.’’ Our secondary markets
policies are designed to promote more
efficient, innovative, and dynamic use
of the spectrum, expand the scope of
available wireless services and devices,
enhance economic opportunities for
accessing spectrum, and promote
competition among providers. Likewise,
allowing spectrum leasing in the AWS–
3 band will serve these same purposes.
We also observe that ‘‘[f]or a particular
spectrum band, spectrum leasing
policies generally follow the same
approach as the partitioning and
disaggregation policies for the band.’’
Thus, our decision to permit spectrum
leasing in the AWS–3 band is consistent
with our determination above to permit
partitioning and disaggregation of
AWS–3 band spectrum.
170. Other Operating Requirements.
In the AWS–3 NPRM, the Commission
explained that even though we issue
licenses in the AWS–3 band pursuant to
one rule part (part 27), we may require
licensees in this band to comply with
rules contained in other parts of the
Commission’s rules, depending on the
particular services they provide. The
Commission sought comment on
whether we need to modify any
provisions in existing, service-specific
rules to ensure that we cover AWS–3
band licensees under the necessary
Commission rules. In addition, the
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Commission sought comment on any
rules that would be affected by the
proposal to apply elements of the
framework of these rule parts, whether
separately or in conjunction with other
requirements.
171. Although we primarily adopt
rules for the AWS–3 band in part 27, in
order to maintain general consistency
among various wireless communication
services, we also require AWS–3
licensees to comply with certain other
rule parts that pertain generally to
wireless communication services. No
commenter opposes this approach.
Section 27.3 of the Commission’s rules
lists some of the rule parts applicable to
wireless communications service
licensees. In addition, other FCC rules
may apply to wireless licensees,
including those that apply only to
certain wireless licensees, depending on
the specific type of service or services
that a particular licensee provides. See,
e.g., 47 CFR part 9 (wireless licensees
providing interconnected VoIP services
are subject to E911 service
requirements); see generally, parts 20,
22, 24, 27 and 101 for other wireless
licensee obligations. We thus find it
appropriate to apply § 27.3 and the rules
referenced therein, as well as similar
rules applicable to wireless
communications service licensees, to
AWS–3 band licensees. In so doing, we
will maintain consistency among
various wireless communications
services which we find will best serve
the public interest. For these same
reasons, we also find that the benefits of
this approach outweigh any potential
costs.
172. Facilitating Access to Spectrum
and the Provision of Service to Tribal
Lands. The AWS–3 NPRM explained
that the Commission is currently
considering various provisions and
policies intended to promote greater use
of spectrum over Tribal lands. The
Commission proposed to extend any
rules and policies adopted in that
proceeding to any licenses that may be
issued through competitive bidding in
this proceeding. The Commission
sought comment on this proposal and
any costs and benefits associated with
it.
173. We will extend any rules and
policies adopted in the Tribal Lands
proceeding to any AWS–3 license that
may be issued through competitive
bidding. Because that proceeding is
specifically focused on promoting
greater use of spectrum over Tribal
lands, we find that it is better suited
than the instant proceeding to reach
conclusions on that issue.
174. Competitive Bidding Procedures.
As discussed above, the Spectrum Act
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requires the Commission to grant new
initial licenses for the use of spectrum
in certain specified frequency bands
through a system of competitive
bidding. See 47 U.S.C. 1451(b)(1), (2).
The spectrum, as specified in the
Spectrum Act, is as follows (in addition
to the spectrum previously addressed in
the H Block R&O): 2155–2180 MHz, 15
megahertz of spectrum identified by
NTIA between 1675 and 1710 MHz, and
15 megahertz of contiguous spectrum to
be identified by the Commission. See 47
U.S.C. 1451(b)(2). As noted above, NTIA
identified the 1695–1710 MHz band for
reallocation from Federal use to nonFederal use, and the Commission has
identified the 1755–1780 MHz band in
satisfaction of the Spectrum Act’s
requirement that it identify 15
megahertz of contiguous spectrum in
addition to the bands specifically
identified in the Act. We will therefore
assign licenses in the 1695–1710 MHz,
1755–1780 MHz, and 2155–2180 MHz
bands by auction. We will conduct any
auction for licenses in these bands
pursuant to our standard competitive
bidding rules found in part 1, subpart Q
of the Commission’s rules and will
provide bidding credits for qualifying
small businesses, as proposed in the
AWS–3 NPRM. Below we discuss our
reasons for adopting the relevant
proposals.
175. Application of part 1 Competitive
Bidding Rules. The Commission
proposed in the AWS–3 NPRM to
conduct any auction for licenses in the
1695–1710 MHz, 1755–1780 MHz, and
2155–2180 MHz bands in conformity
with the general competitive bidding
rules set forth in part 1, subpart Q, of
the Commission’s rules, and
substantially consistent with the
competitive bidding procedures that
have been employed in previous
auctions. The AWS–3 NPRM also made
proposals and solicited comment on
applying the part 1 competitive bidding
rules to the 2020–2025 MHz band.
However, we will defer further
consideration of this band until the
downlink/uplink status of the adjacent
2000–2020 MHz band is resolved.
Accordingly, we limit herein our
discussion of the proposals and our
decisions concerning competitive
bidding procedures to the 1695–1710
MHz, 1755–1780 MHz, and 2155–2180
MHz bands. Additionally, the
Commission proposed to employ the
part 1 rules governing competitive
bidding design, designated entity
preferences, unjust enrichment,
application and payment procedures,
reporting requirements, and the
prohibition on certain communications
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between auction applicants. Under this
proposal, such rules would be subject to
any modifications that the Commission
may adopt for its part 1 general
competitive bidding rules in the future.
The AWS–3 NPRM also sought comment
on whether any part 1 rules would be
inappropriate or should be modified for
an auction of licenses in the 1695–1710
MHz, 1755–1780 MHz, and 2155–2180
MHz bands.
176. The limited comment we
received generally supports the
Commission’s proposed use of its
standard competitive bidding rules for
an auction of AWS–3 band licenses.
Verizon Wireless asks the Commission
to narrow the scope of § 1.2105(c)’s
prohibition on certain communications
by (1) confirming that the rule does not
apply to unrelated routine business
discussions and agreements; (2)
confirming that discussions regarding
generic technical handset and network
issues that occur, for example, in
industry standard-setting meetings or
with equipment manufacturers, are not
prohibited; (3) narrowing the definition
of who is an ‘‘applicant’’ to exclude
owners of 10% or more of the applicant
entity; and (4) shortening the period
during which the rule is in effect to end
at the close of bidding, rather than that
the down payment deadline. T-Mobile
supports Verizon Wireless’s request,
and submits that the requested changes
will not interfere with the primary
purposes of the Commission’s rule and
will enhance competition. Sprint
opposes Verizon Wireless’s requested
changes to the rule, and cautions against
adopting any wide-reaching revisions or
alterations that have the potential
consequence of undermining
competition. Sprint supports the
Commission’s consideration of the
particular circumstances and
competitive dynamics surrounding any
particular auction in formulating
appropriate competitive bidding rules,
but submits that a blanket revision to
the Commission’s competitive bidding
rules, or revisions not attuned to the
particular competitive dynamics of a
specific auction such as the AWS–3
auction, would not promote the public
interest. While Sprint notes that the
extraordinary complexity of the
broadcast incentive auction might
warrant revisions to facilitate
participation by smaller bidders, it urges
the Commission to carefully scrutinize
Verizon Wireless’s proposal to relax the
rule for an AWS–3 auction. Other
commenters express views on topics
that are generally considered after the
adoption of service rules, during the
pre-auction process for establishing
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procedures for conducting an AWS–3
auction. For example, some parties state
their positions on auction design and
the use of package bidding for any
auction of AWS–3 spectrum, with some
in favor and others opposed. See
Verizon Wireless Comments at 16–17;
TIA Comments at 14; Cellular One
Comments at 1–3; USCC Comments at
36–49; USCC Reply Comments at 43–47;
Smith Bagley, MTPCS, and Cellular
Network Partnership Joint Reply at 4–5.
See also AT&T Comments at 13.
Likewise, T-Mobile recommends that
the Commission make certain changes
to its auction procedures concerning
how reserve prices, minimum opening
bids, and additional bid amounts are
calculated. T-Mobile Reply Comments
at 25–26. Because those issues are
properly considered in the context of
the separate, future proceeding to
establish procedures for conducting an
AWS–3 auction, we will not address
those comments here. See AT&T Reply
at 13 (package bidding and other
auction procedures are traditionally
considered after the adoption of service
rules).
177. Based on our review of the
record and our prior experience with
conducting auctions, we conclude that
the Commission’s Part 1 bidding rules
should govern the conduct of any AWS–
3 auction. We decline to modify the part
1 rules as Verizon Wireless requests. We
disagree with Verizon Wireless’s claim
that the Commission has extended the
restrictions in § 1.2105(c) to routine
business discussions, and that such an
extension has resulted in uncertainty for
auction applicants as to whether
discussions that are unrelated to bids or
bidding strategies or to post-auction
market structure could violate the rule.
The plain text of the rule makes clear
that business discussions and
negotiations that are unrelated to bids or
bidding strategies or to post-auction
market structure are not prohibited by
the rule. The rule’s prohibition has
always been aimed at the specific
content of an applicant’s
communication to a competing
applicant regardless of the context or
situation in which such content is
communicated. Conversely, if the
content of an applicant’s
communication does not fall within the
prohibition, the particular situation in
which the communication occurs will
not alone make it a violation. Thus,
contrary to Verizon Wireless’s assertion,
the Commission has not extended the
prohibition in § 1.2105(c), because the
types of prohibited content have
remained unchanged, while the
potential contexts and situations in
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which an applicant is prohibited from
communicating that content have
always been undefined. Moreover, the
Wireless Telecommunications Bureau
(‘‘Bureau’’) has previously issued
guidance explaining that, although
auction applicants competing for
licenses in the same geographic areas, or
competing for licenses in the same areas
in competing services, must
affirmatively avoid all communications
with each other that affect, or have the
potential to affect, their bids or bidding
strategy, this does not mean that all
business negotiations between such
applicants are prohibited. See Wireless
Telecommunications Bureau Responds
to Questions About the Local Multipoint
Distribution Service Auction, Public
Notice, DA 98–37, 13 FCC Rcd 341, 347
(1998). The public notices issued by the
Bureau establishing the procedures for
each auction also provide detailed
guidance to auction applicants and
bidders regarding section 1.2105(c),
including its application to particular
types of communications. We think the
Bureau’s guidance regarding the
applicability of § 1.2105(c) provided to
date is sufficiently clear and find the
clarification requested by Verizon
Wireless to be unnecessary.
178. Given the clarity of our rule, we
likewise find it unnecessary to confirm
in advance that particular types of
discussions or negotiations by particular
applicants are in compliance with our
rule, or to establish a safe harbor for
otherwise prohibited communications
made by personnel that an applicant has
‘‘walled off’’ from certain other
personnel. We emphasize that the
specific types of communications with
which Verizon Wireless expresses
concern would not fall within the
prohibition in § 1.2105(c) unless they
divulge bids or bidding strategies or
discuss or negotiate settlement
agreements, arrangements or
understandings of any kind relating to
the licenses being auctioned, including
agreements relating to the post-auction
market structure. We conclude that the
Bureau’s past guidance regarding the
applicability of § 1.2105(c) provides
sufficient information to allow auction
applicants to structure their routine
business activities accordingly so that
they do not run afoul of the rule.
179. We also decline Verizon
Wireless’s request to amend the
prohibited communications rule in the
context of this AWS–3 service rules
proceeding to narrow the definition of
an ‘‘applicant’’ for purposes of the rule
to include only the filing entity and its
controlling equity interest holders, or to
shorten the period during which the
rule prohibiting certain communications
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is in effect to end at the close of bidding.
As noted above, the AWS–3 NPRM
sought comment on whether any of our
part 1 rules would be inappropriate or
should be modified specifically for an
auction of AWS–3 spectrum. None of
the commenters who advocated
revisions to the part 1 rules explained
whether or how their suggestions relate
specifically to, or would be particularly
necessary or appropriate for, an auction
of licenses in the AWS–3 bands. Given
the limited record received on this
topic, without more comment, we are
not inclined to adopt amendments to
our general competitive bidding rules in
the context of adopting service-specific
rules for AWS–3 spectrum.
180. Revision to part 1 Certification
Procedures. Section 6004 of the
Spectrum Act prohibits ‘‘a person who
has been, for reasons of national
security, barred by any agency of the
Federal Government from bidding on a
contract, participating in an auction, or
receiving a grant’’ from participating in
a system of competitive bidding under
section 309(j) required to be conducted
under Title VI of the Spectrum Act. In
2013, the Commission amended its rules
to implement this Spectrum Act
mandate by adding a national security
certification to the application to
participate in competitive bidding. The
Commission noted in the AWS–3 NPRM
that it would require this additional
certification from all applicants in any
short-form application to participate in
competitive bidding for licenses in the
AWS–3 bands that are subject to the
Spectrum Act. Accordingly, an AWS–3
auction applicant must certify, under
penalty of perjury, that it and all of the
related individuals and entities required
to be disclosed on the short-form
application are not persons who have
‘‘been, for reasons of national security,
barred by any agency of the Federal
Government from bidding on a contract,
participating in an auction, or receiving
a grant.’’ As with the other certifications
on the short-form application, failure to
include the required certification by the
applicable filing deadline would render
the short-form application unacceptable
for filing, and the applicant would be
ineligible to participate in the auction.
181. Small Business Provisions for
Geographic Area Licenses. As discussed
in the AWS–3 NPRM, in authorizing the
Commission to use competitive bidding,
Congress mandated that the
Commission ‘‘ensure that small
businesses, rural telephone companies,
and businesses owned by members of
minority groups and women are given
the opportunity to participate in the
provision of spectrum-based services.’’
In addition, section 309(j)(3)(B) of the
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Communications Act provides that, in
establishing eligibility criteria and
bidding methodologies, the Commission
shall seek to promote a number of
objectives, including ‘‘economic
opportunity and competition . . . by
avoiding excessive concentration of
licenses and by disseminating licenses
among a wide variety of applicants,
including small businesses, rural
telephone companies, and businesses
owned by members of minority groups
and women.’’ One of the principal
means by which the Commission fulfills
this mandate is through the award of
bidding credits to small businesses.
182. In the Competitive Bidding
Second Memorandum Opinion and
Order, the Commission stated that it
would define eligibility requirements
for small businesses on a servicespecific basis, taking into account the
capital requirements and other
characteristics of each particular service
in establishing the appropriate
threshold. Further, in the Part 1 Third
Report and Order, the Commission,
while standardizing many auction rules,
determined that it would continue a
service-by-service approach to defining
the eligibility requirements for small
businesses.
183. The Commission proposed in the
AWS–3 NPRM to define a small
business as an entity with average gross
revenues for the preceding 3 years not
exceeding $40 million, and a very small
business as an entity with average gross
revenues for the preceding 3 years not
exceeding $15 million. Under this
proposal, small businesses would be
provided with a bidding credit of 15
percent and very small businesses with
a bidding credit of 25 percent,
consistent with the standardized
schedule in part 1 of our rules. This
proposal was modeled on the small
business size standards and associated
bidding credits that the Commission
adopted for the AWS–1 band, based on
the belief that the AWS–3 bands would
be employed for purposes similar to
those for which the AWS–1 band is
used. The AWS–3 NPRM noted that
these small business size standards and
associated bidding credits were adopted
for the AWS–1 band because of the
similarities between the AWS–1 service
and the broadband PCS service, and that
the Commission had followed this
approach when proposing small
business size standards and associated
bidding credits in the 2004 NPRM and
when adopting them in the AWS–4
Service Rules R&O and the H Block
R&O.
184. The Commission sought
comment on these proposals, including
the costs or benefits of these standards
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and associated bidding credits,
particularly as they may relate to the
size of the geographic areas to be served
and the spectrum allocated to each
license. The Commission also
specifically sought comment on whether
the small business provisions it
proposed are sufficient to promote
participation by businesses owned by
minorities and women, as well as rural
telephone companies. The limited
comment we received on the
Commission’s proposal to offer small
business bidding credits in an auction
for the AWS–3 bands is generally
supportive. The AWS–3 NPRM also
proposed to extend any rules and
policies adopted in the Commission’s
Tribal lands proceeding to any
assignment of licenses in the AWS–3
bands through competitive bidding; see
also Tribal Lands NPRM, 26 FCC Rcd at
2630–31 paras. 19–20 (2011). No
commenter addressed this proposal, and
we see no reason to depart from our
proposed approach here.
185. Blooston Rural Carriers support
the Commission’s proposed small
business bidding credits, but ask the
Commission to consider offering
additional support to incumbent rural
carriers in the AWS–3 auction through
an additional (cumulative) bidding
credit of 15 percent for entities that
qualify as a ‘‘rural telephone company’’
or that are a subsidiary or affiliate of a
qualified rural telephone company
under the Commission’s rules. This
bidding credit would be available in
addition to any other bidding credit for
which an applicant may be eligible, but
the credit would be limited to licenses
that cover all or part of the rural
carrier’s certificated wireline service
area. Blooston Rural Carriers submit that
such an additional bidding credit would
effectively help companies compete
with large regional and wireless carriers
in their local service territory and with
carriers bidding more densely populated
areas. The Commission has previously
considered proposals to create an
additional rural telephone company
bidding credit. In declining to adopt
such past proposals, the Commission
observed that proponents of this type of
credit had been unable ‘‘to demonstrate
a historical lack of access to capital that
was the basis for according bidding
credits to small businesses, minorities
and women,’’ and that ‘‘[i]n subsequent
decisions, large rural telcos have failed
to demonstrate any barriers to capital
formation similar to those faced by other
designated entities.’’ While the
Commission has not intended to apply
the part 1 bidding credit schedule
uniformly to all services without any
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32391
opportunity for the consideration of
alternative bidding credits, the schedule
of size standards and bidding credits
described in our part 1 rules provides
small businesses with consistency and
predictability and we are not persuaded
that we should deviate from that
schedule here. As discussed above, the
Commission took the characteristics of
the AWS–3 service into consideration
when proposing the two size standards
and associated bidding credits in the
AWS–3 NPRM. Based on the record in
this proceeding, we decline to adopt a
bidding credit for incumbent rural
carriers in addition to the small
business bidding credits that we adopt
for the AWS–3 bands.
186. CCA also supports the
Commission’s proposal to offer small
business bidding credits, but asks the
Commission to amend its bidding credit
provisions to better fulfill the purposes
of section 309 of the Communications
Act. CCA asserts that the Commission’s
thresholds for defining small and very
small business are decades old and have
not kept pace with the realities of
today’s marketplace, and that the
current definitions have the effect of
excluding carriers that have no ability,
or limited ability, to participate absent
a bidding credit. CCA notes, by way of
example, that the generally acceptable
small business size standard for cellular
or other wireless telecommunications
entities as defined by the Small
Business Administration (‘‘SBA’’) is
firms with 1,500 or fewer employees
(including affiliates). CCA urges the
Commission to reevaluate its standards
when determining eligibility for bidding
credits in the AWS–3 auction, rather
than using the same small business size
standards that were used in prior AWS
auctions, but offers no suggestions
regarding what alternative size
standards could potentially be used for
AWS–3.
187. Based on the Commission’s prior
experience with the use of bidding
credits in spectrum auctions, we believe
that the use of bidding credits is an
effective tool in achieving the statutory
objective of promoting participation by
designated entities in the provision of
spectrum-based services. In the absence
of small business size standards and
bidding credits, designated entities
might have less of an opportunity to
obtain spectrum in this band. We
believe that continuing to extend such
benefits to the AWS–3 bands would be
consistent with our statutory mandate.
We are not persuaded by the record
before us that we should adopt small
business size standards for AWS–3 that
differ from those used in prior AWS
auctions. To the contrary, in light of the
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similarities between AWS–3 and the
other AWS services, we adopt for AWS–
3 the size standards and associated
bidding credits for small businesses
used in prior AWS auctions. On March
20, 2014, we requested the U.S. Small
Business Administration’s approval of
our final rule adopting these small
business size standards. Moreover, we
continue to believe that use of the small
business size standards and credits set
forth in the part 1 schedule provides
consistency and predictability for small
businesses, and conclude that we would
be ill-advised in the absence of any
alternative size standards proposals
from commenters to adopt changes to
our part 1 bidding credit schedule in the
context of a proceeding establishing
service-specific rules for the AWS–3
bands. We also note that in first
adopting small business size standards
for eligibility for designated entity
benefits, the Commission rejected the
SBA’s 1,500 employee standard as a
means to qualify as a designated entity.
The Commission concluded that such a
definition would be too inclusive and
would allow many large
telecommunications firms to take
advantage of preferences not intended
for them. Accordingly, for the AWS–3
bands, we will define a small business
as an entity with average gross revenues
for the preceding 3 years not exceeding
$40 million, and a very small business
as an entity with average gross revenues
for the preceding 3 years not exceeding
$15 million. Under these definitions,
small businesses would be provided
with a bidding credit of 15 percent and
very small businesses with a bidding
credit of 25 percent, consistent with the
standardized schedule in part 1 of our
rules. Given the record before us and the
benefits discussed above, we conclude
that the potential benefits of our
proposals would likely outweigh any
potential costs.
188. Commercial Spectrum
Enhancement Act Requirements. The
Commission noted in the AWS–3 NPRM
that the CSEA established SRF to
reimburse Federal agencies operating on
certain frequencies that have been
reallocated from Federal to non-Federal
use for the cost of relocating their
operations. The SRF is funded from
cash proceeds attributable to ‘‘eligible
frequencies’’ in an auction involving
such frequencies. 47 U.S.C. 928(b).
‘‘Eligible frequencies’’ are defined as
those in the 216–220 MHz band, the
1432–1435 MHz band, the 1710–1755
MHz band, the 2385–2390 MHz band,
and any other band of frequencies
reallocated from Federal use to nonFederal use or to shared use after
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January 1, 2003 that is assigned by
competitive bidding pursuant to section
309(j) of the Communications Act.
CSEA requires NTIA to notify the
Commission of estimated relocation
costs and timelines for relocation from
eligible frequencies by eligible Federal
entities at least 6 months in advance of
a scheduled auction of eligible
frequencies. On March 20, 2013, the
Commission notified NTIA that it
‘‘plans to commence the auction of
licenses in the 1695–1710 MHz band
and the 1755–1780 MHz band as early
as September 2014.’’ CSEA further
requires that the total cash proceeds
from any auction of ‘‘eligible
frequencies’’ must equal at least 110
percent of estimated relocation costs of
eligible Federal entities, and prohibits
the Commission from concluding any
auction of eligible frequencies that falls
short of this revenue requirement.
Section 309(j)(16)(A) of the
Communications Act, which was added
by section 203(b) of CSEA, required the
Commission to revise its existing
regulations to prescribe methods by
which the total cash proceeds from any
auction of licenses authorizing use of
‘‘eligible frequencies’’ shall equal at
least 110 percent of the total estimated
relocation costs provided to the
Commission by NTIA. In implementing
rules and procedures necessary to
comply with CSEA, the Commission
amended its reserve price rule to
provide that, for any auction of ‘‘eligible
frequencies’’ requiring recovery of
estimated relocation costs, the
Commission will establish a reserve
price or prices pursuant to which the
total cash proceeds from any auction of
eligible frequencies shall equal at least
110 percent of the total estimated
relocation costs of provided to the
Commission by NTIA. The Commission
also modified its Tribal land bidding
credit rule to enable the Commission, in
auctions subject to CSEA, to award all
eligible applicants tribal land bidding
credits on a pro rata basis in the event
that the net winning bids at the close of
bidding (exclusive of tribal land bidding
credits) are not sufficient both to meet
the reserve price(s) and to award all
eligible applicants full tribal land
bidding credits. The reserve price and
Tribal land bidding credit rules adopted
by the Commission in the CSEA
Implementation Report and Order
remain in effect today.
189. The Commission invited
comment on the applicability of the 110
percent requirement in the CSEA to the
various relocation and sharing scenarios
discussed in the AWS–3 NPRM. The
Commission also noted in the AWS–3
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NPRM that the proceeds of certain
spectrum required to be auctioned
under section 6401 of the Spectrum Act
are to be deposited in the Public Safety
Trust Fund established under section
6413 of the Spectrum Act, and invited
comment on the potential interplay
between these Spectrum Act provisions
and the CSEA. We received no comment
on either of these issues. But see Public
Knowledge Ex Parte, dated March 13,
2014, at 4 (revenue not required for
federal relocation should be distributed
in accordance with the Spectrum Act);
Public Interest Spectrum Coalition Ex
Parte, dated February 20, 2014, at 2 and
New America Foundation Ex Parte,
dated March 24, 2014, at 3 (suggesting
attribution of a larger share of the
proceeds to the 2155–2180 MHz band).
Accordingly, the 110 percent
requirement will be addressed in the
context of determining whether and
how to establish the reserve price as the
final procedures are developed—
through a series of public notices with
opportunities for comment—that will
govern the auction of licenses in the
AWS–3 bands.
190. Multi-Stage Auction and
Licensing Alternatives for 1.7 GHz. The
Commission acknowledged in the AWS–
3 NPRM that the Federal/non-Federal
sharing scenarios then under
consideration by CSMAC are very
complex and workable rules may prove
difficult to implement prior to the
licensing deadlines imposed by the
Spectrum Act. The Commission
therefore sought comment on alternative
licensing constructs that could facilitate
ongoing ‘‘operator-to-operator’’
negotiations between licensees in
commercial bands (e.g., 2155 MHz) and
Federal agencies occupying
complementary Federal bands (e.g., 1.7
GHz), should sharing or relocation for
exclusive use not be possible. The
Commission asked whether, for
example, the license for the commercial
bands could be paired with an
‘‘overlay’’ license in Federal bands
providing that commercial use of such
bands would be entirely contingent
upon successful coordination with
incumbent Federal users, or
alternatively, whether the commercial
licenses could grant to the licensee
exclusive eligibility status with respect
to a future assignment of rights in such
Federal bands. The Commission also
asked whether an auction could proceed
in two stages, to enable the initial
assignment of a ‘‘negotiation right’’ and
subsequent payments into the Spectrum
Relocation Fund to facilitate relocation
or upgrades pursuant to the CSEA.
Under this scenario, for example, the
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first stage could assign commercial
licenses and any concomitant rights to
negotiate with incumbent Federal users
for the use of Federal spectrum, with the
second stage consisting of a
supplementary round with participation
limited to eligible commercial licensees,
and a reserve price set based on the 110
percent funding requirement established
by the CSEA. The Commission invited
comment on what approaches would
generate the most certainty, and
therefore expected value, in the use of
the spectrum.
191. T-Mobile, the only commenter
that addressed this issue, opposed the
issuance of overlay licenses. While TMobile supports operator-to-operator
negotiations post-auction in order to
maximize commercial licensees’ access
to Federal spectrum, it maintains that an
overlay license approach would be
inconsistent with the Spectrum Act’s
preference to relocate federal users to
the maximum extent feasible, and with
the CSEA, because activities provided
for in the statute such as studying
relocation options and updating
equipment to facilitate clearing or
shared use of the spectrum would not be
undertaken if overlay licenses are
issued. T-Mobile also notes that an
overlay auction would create
uncertainty about exactly what rights a
licensee would be granted, which would
potentially reduce auction participation
and revenues. No commenter proposed
any alternative licensing constructs or
other approaches. Accordingly, based
on the record before us, we do not adopt
licensing alternatives for 1.7 GHz.
192. Non-Federal Relocation and Cost
Sharing (2155–2180 MHz). There are
two non-Federal incumbent services
still authorized in portions of the 2155–
2180 MHz band: There are
approximately 250 Fixed Microwave
Service (FS) licenses in the 2160–2180
MHz band and approximately five BRS
licensees in the 2150–2160/62 MHz
band. The FS operations in the 2160–
2180 MHz band are typically configured
to provide two-way microwave
communications using paired links in
the 2110–2130 MHz band. While few
BRS systems remain, in the past BRS
systems were deployed via three types
of system configurations: High-power
video stations, high-power fixed twoway systems, and low-power,
cellularized two-way systems. Under
the Commission’s rules, AWS licensees
in these bands must protect incumbent
operations or relocate the incumbent
licensees to comparable facilities, until
the applicable ‘‘sunset date,’’ after
which the incumbents must cease
operating if the AWS licensee intends to
operate a station in the relevant area.
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The Commission’s rules also address
cost-sharing reimbursement to cover the
scenario where relocation of an
incumbent system benefits more than
one AWS licensee.
193. In the AWS–3 NPRM, we
proposed to extend to the AWS–3 band
the current relocation and cost sharing
rules for both the FS in the 2160–2180
MHz band and the BRS in the 2150–
2160/62 MHz band and sought comment
on our proposal. Comsearch agrees with
the Commission’s proposal to extend
the current relocation and cost sharing
rules for both FS in the 2160–2180 MHz
band and BRS in the 2150–2160/62
MHz. Because the 2160–2180 MHz band
is paired with the 2110–2130 MHz
band, which is subject to relocation and
cost sharing under the AWS–1 rules,
Comsearch believes that new AWS–3
licensees will face practically the same
relocation issues faced by current AWS–
1 licensees given that there are still over
120 FS microwave links and 4 BRS
systems remaining in the bands, so it
seems reasonable that the incumbent
protection and relocation rules set forth
in §§ 27.1111–1132 of the rules should
be applicable to AWS–3.
194. We conclude that extending the
current relocation and cost sharing rules
for both FS in the 2160–2180 MHz band
and BRS in the 2150–2160/62 MHz
serves the public interest because it will
continue to accelerate the relocation
process and will distribute relocation
costs more equitably among the
beneficiaries of the relocation.
D. Allocation Matters
195. For the frequency bands
considered for AWS–3 service, the
AWS–3 NPRM identified several
amendments to § 2.106 of our rules
(Allocation Table) that would be
necessary to accommodate the proposed
changes to the use of the bands.
Although these proposed amendments
drew little specific comment, parties
generally supported policies that would
necessitate allocation changes to
provide for efficient use of the AWS–3
spectrum for mobile broadband services.
Accordingly, we modify the Allocation
Table for the bands we are designating
for AWS–3 use, as discussed below.
196. 1695–1710 MHz. The 1695–1710
MHz band is allocated for primary
Federal and non-Federal meteorological
satellite (MetSat) (space-to-Earth) use. In
addition, the 1695–1700 MHz portion of
the band is allocated for primary
Federal and non-Federal meteorological
aids (radiosonde) use, and the 1700–
1710 MHz portion of the band is
allocated for primary Federal fixed use
and secondary non-Federal fixed use.
We are adopting the amendments
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proposed in the AWS–3 NPRM relating
to the 1695–1710 MHz band, which
were unopposed by commenters and
supported by a recent NTIA Report. To
facilitate the Spectrum Act’s
requirement that the Commission
allocate this segment of the 1675–1710
MHz band to support wireless
broadband use, we are amending the
Allocation Table by allocating the 1695–
1710 MHz band to fixed and mobile
except aeronautical mobile services on a
primary basis for non-Federal use. The
service rules that we are adopting today
do not authorize fixed use in this band.
Nonetheless, a fixed service allocation
will harmonize the non-Federal
allocations with the adjacent 1710–1755
MHz AWS–1 band and allow for future
consideration of low-power fixed use of
the band, such as by customer premises
equipment, thereby providing maximum
flexibility for service providers to better
respond to market demand, consistent
with past Commission actions. In the
1700–1710 MHz band, the primary nonFederal fixed service allocation replaces
an existing unused secondary
allocation. We decline to allocate the
1695–1710 MHz band to the
aeronautical mobile services in order to
better protect Federal MetSat earth
stations in this band from harmful
interference.
197. We are maintaining the primary
Federal MetSat (space-to-Earth)
allocation in the 1695–1710 MHz band,
but are limiting this allocation to 27
Protection Zones within which one or
more Federal earth stations will
continue to operate. Specifically, we are
adopting footnote US88 to provide for
the protection of certain Federal earth
stations that receive in the 1695–1710
MHz band as well as a few sites below
1695 MHz to ensure there is no impact
due to adjacent band emissions. NTIA
has endorsed the recommendations
contained in a July 2013 Final Report
authored by Working Group 1 of the
Commerce Spectrum Management
Advisory Committee (CSMAC WG–1).
CSMAC WG–1 made recommendations
regarding Federal/non-Federal sharing
of the 1695–1710 MHz band, including
protection zones (i.e., coordination
areas) for Federal earth stations in this
band. In addition, we are deleting the
primary non-Federal MetSat (space-toEarth) allocation from the 1695–1710
MHz band, and are permitting nonFederal earth stations to continue to
receive MetSat data from primary
Federal MetSat space stations on an
unprotected basis. It appears that more
than 160 registered U.S. users of nonFederal direct readout earth stations
receive in the 1695–1710 MHz band.
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See NOAA’s 2011 presentation titled
‘‘The President’s Broadband Initiative:
Impacts Upon NOAA Satellite and
User’’ at 4, 9, (available at https://
directreadout.noaa.gov/Miami11/2011_
presentations.html. See also Fast Track
Report, note 11 (stating that ‘‘Given that
the satellite will continue to transmit
their signals, receive-only station
operators would need to convert to
another access mechanism only if and
when wireless broadband systems builtout in their area. Since high density
metropolitan areas will be the first
priority for wireless services, the
operators of meteorological-satellite
earth stations may find that they can
continue to directly access the satellite
date unimpeded for some time.’’). See
the final rules section for the text of
footnote US88. The protection zones
listed in footnote US88 were extracted
from Table 2 of the CSMAC WG–1 Final
Report. The complete list of earth
station locations, protected center
frequencies, and maximum protection
radii for channel bandwidths of 5, 10,
and 15 megahertz are specified in Table
1 of the CSMAC WG–1 Final Report.
198. We also remove from the
Allocation Table three unused
allocations that apply to the 1695–1710
MHz band. First, we delete the primary
Federal fixed service allocation from the
1700–1710 MHz band and associated
footnote G118 from the Allocation
Table. Second, we delete the primary
meteorological aids (radiosonde)
allocation from the 1695–1700 MHz
band. Third, we delete the footnote
allocation that allows all other
applications in the Earth explorationsatellite service (EESS) (space-to-Earth)
besides MetSat applications to operate
in the 1695–1710 MHz band.
Previously, the Commission added a
reference to international footnote 5.289
(‘‘Earth exploration-satellite service
applications, other than the
meteorological-satellite service, may
also be used in the bands 460–470 MHz
and 1690–1710 MHz for space-to-Earth
transmissions subject to not causing
harmful interference to stations
operating in accordance with the
Table.’’) to the United States Table of
Frequency Allocations in § 2.106. In this
action, we move this text to new
footnote US289, except that the ‘‘band
1690–1695 MHz’’ is specified. We note
that footnotes 5.289 and US201 both
provide for the same applications using
different wording. Therefore, we
simplify the U.S. Table by adding the
text of footnote US201 to new footnote
US289.
199. 2155–2180 MHz. The 2155–2180
MHz band is presently allocated on a
primary basis to fixed and mobile
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services in the non-Federal Table as part
of the larger 2120–2180 MHz band. The
AWS–3 NPRM noted the benefits of
allowing Federal users to access the
AWS–3 bands, including spectrum not
presently allocated for Federal use (e.g.,
2155–2180 MHz) on Federal lands or
properties that are generally unserved
by commercial wireless networks. It
sought comment on specific locations
where such shared use might be
appropriate, a suitable regulatory
framework for that use, and
amendments to the Commission’s rules
required to facilitate that use.
200. Oceus Networks strongly
supports sharing both the 1755–1780
MHz and 2155–2180 MHz bands ‘‘on
U.S. military bases and ranges for
mission-oriented tactical LTE . . . [and
for] capabilities [that] would be able to
evolve alongside a commercial
technology roadmap.’’ NTIA generally
states that it agrees that expanding
opportunities for preserving Federal
users’ access to the AWS–3 bands on
Federal lands and military training
ranges in areas generally served by
commercial networks may allow Federal
agencies greater flexibility to meet
tactical, training, and other
requirements. T-Mobile states that it
does not object to Federal use of nonFederal spectrum in areas where
commercial providers are not generally
providing service, because shared use of
AWS–3 spectrum could produce
economies of scale and scope in for
equipment for both Federal and nonFederal users, thereby lowering costs
and speeding implementation. However,
T-Mobile cautions that it is premature to
adopt Federal sharing rules in
commercial bands at present because of
the urgency in bringing additional
spectrum to market for mobile
broadband services. T-Mobile therefore
recommends that the Commission reevaluate Federal sharing of commercial
spectrum at a later date, when Federal
requirements for additional spectrum
versus more efficient use of existing
spectrum are better understood.
201. AT&T states that Oceus has not
shown a specific need to provide
sharing in the 2155–2180 MHz band,
and that allowing Oceus to construct
and manage a secondary wireless
network in a licensed market would
effectively foreclose the ability of the
licensee to expand its coverage into that
area at a later time. Verizon states that
the Commission should promote sharing
in bands explicitly identified for shared
use, such as the BAS band, 1780–1850
MHz, and the 3.5 GHz band, and not
require sharing in bands licensed for
exclusive, flexible use. Responding to
Oceus’s statement that that military
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bases are underserved by CMRS
operators because carriers do not deploy
in those areas, Verizon asserts that
access to military bases and processes to
gain approval to construct and operate
wireless facilities on bases make siting
there more difficult. Similarly, noting
that it has cell sites on more than 130
bases nationwide (and that the number
grows as siting negotiations conclude),
AT&T also disagrees that there are
barriers to DoD using commercial
wireless technology, and notes that
network buildout on military facilities
can be achieved through existing
procurement arrangements. Oceus
responds that it has sought a
geographically limited approach for
specific military operations but that
even broader sharing opportunities will
have to be addressed in the future in
non-Federal bands, that existing
contract vehicles such as AT&T
describes are inadequate, and that
secondary user would be required to
cease interfering by rule if an AWS
licensee were to expand coverage into
the area of the secondary license.
202. On March 21, 2014, NTIA, on
behalf of DoD, requested that the
Commission defer action on the specific
text of a new US footnote in the Table
of Allocations until requirements for a
more flexible approach, beyond tactical
or training applications in remote areas,
can be developed in consultation with
military and industry stakeholders. In
accordance with NTIA’s request, on
behalf of DoD, we are deferring action
on this matter. See Letter from Karl B.
Nebbia, Associate Administrator, Office
of Spectrum Management, NTIA, to
Julius P. Knapp, Chief, Office of
Engineering and Technology, FCC
(March 21, 2014) at 2.
203. We are adopting the other
amendments proposed in the AWS–3
NPRM relating to the 2155–2180 MHz
band, which were unopposed by
commenters, by updating and
combining footnotes NG153 and NG178,
and numbering the resultant footnote as
NG41. Specifically, we: (1) Remove the
first two sentences from footnote
NG153; (2) revise the last sentence in
footnote NG153; (3) add language
highlighting that all initial non-AWS
authorizations in the 2160–2180 MHz
band applied for after January 16, 1992
were issued on a secondary basis; and
(4) add language highlighting the sunset
provisions that apply to part 101 fixed
stations that were authorized on a
primary basis. Part 101 use of the 2160–
2180 MHz band is restricted to Common
Carrier Fixed Point-to-Point Microwave
Service; see 47 CFR 101.101.
Applications for new facilities
submitted after the adoption date of the
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Notice of Proposed Rulemaking in ET
Docket No. 92–9 (Jan. 16, 1992) ‘‘will be
granted on a secondary basis only.’’ 47
CFR 101.79(a)(1), 101.101. We therefore
remove footnotes NG153 and NG178,
and add footnote NG41 to read as shown
in the final rules section.
204. 1755–1780 MHz. The 1755–1780
MHz band is presently allocated on a
primary basis for Federal fixed, mobile,
and space operations (Earth-to-space),
but contains no non-Federal allocations.
However, the AWS–3 NPRM observed
that this band is allocated
internationally on a primary basis to the
fixed and mobile services in all three
International Telecommunication Union
(ITU) Regions. The AWS–3 NPRM also
observed that the 1755–1780 MHz band
has several characteristics that make it
especially appealing for commercial
wireless use, and proposed that it be
used for mobile uplinks, with fixed
stations not authorized in the band. The
AWS–3 NPRM also inquired as to the
changes necessary to the Allocation
Table to permit commercial wireless use
of the 1755–1780 MHz band.
Commenters strongly supported using
the 1755–1780 MHz band for
commercial wireless services. As noted
above, Verizon Wireless supported the
proposal to prohibit fixed station use of
the band, stating that the authorization
of fixed high-gain antennas could cause
interference to government operations
in that band.
205. We concur with commenting
parties that a commercial wireless
service in the 1755–1780 MHz band is
desirable, and establishment of that
service requires that we add primary
fixed and mobile service allocations to
the non-Federal Table in that band. That
addition will facilitate both Federal/
non-Federal sharing, and a near-term
spectrum auction, of that band. While
that addition was not the focus of
commenting parties, it finds implicit
support in the record, including support
from Federal users of the 1755–1780
MHz band. A fixed service allocation
will permit future consideration of low
power fixed use of the 1755–1780 MHz
band, such as by customer premises
equipment, thereby providing maximum
flexibility for service providers to better
respond to market demand.
Additionally, we are deleting the
existing fixed and mobile allocations
from the Federal Table in that band, but
are adding new footnote US91 to govern
shared Federal/non-Federal use of the
1755–1780 MHz band, as shown in the
final rules section. See NTIA November
2013 Letter, at the enclosures titled
‘‘Commerce Spectrum Management
Advisory Committee (CSMA) Working
Group 3 (WG 3) Report on 1755–1850
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MHz Satellite Control and Electronic
Warfare;’’ ‘‘Commerce Spectrum
Management Advisory Committee
(CSMA) Working Group 4: 1755–1850
MHz Point-to-Point Microwave[,]
Tactical Radio Relay (TRR)[, and] Joint
Tactical Radio System/Software Defined
Radio (JTRS/SDR),’’ Final Report, dated
July 24, 2013; and Commerce Spectrum
Management Advisory Committee
(CSMAC) Working Group 5 (WG–5)[:]
1755–1850 MHz Airborne Operations
(Air Combat Training System, Small
Unmanned Aircraft Systems, PrecisionGuided Munitions, Aeronautical Mobile
Telemetry), Final Report (Sept. 16,
2013).’’
206. In addition, we are adopting a
non-substantive update to the nonFederal Table by expanding the cross
reference to part 27 of the Commission’s
rules, which is shown as ‘‘Wireless
Communications (27)’’ in the 1710–1755
MHz band, by displaying this cross
reference in the 1695–1780 MHz band.
We are also adding missing cross
references to part 27 of our rules in the
1850–2000 MHz band (for 1915–1920
and 1995–2000 MHz bands) and the
2000–2020 MHz band. 47 CFR 2.105(e),
27.5(j)–(k).
207. 2020–2025 MHz. As proposed in
the AWS–3 NPRM, we are removing
footnote NG177 from the Allocation
Table. Footnote NG177 related to the
Broadcast Auxiliary Service in the
1990–2110 MHz band transitioning to
the 2025–2110 MHz band, and that
transition has now been completed.
Because we are deferring consideration
of rules that would apply to the 2020–
2025 MHz band, we make no other
allocation changes that relate to that
band at this time.
208. 2025–2110 MHz. The 2025–2110
MHz band is allocated on a primary
basis to fixed and mobile services in the
non-Federal Table; and on a primary
basis to the space operation, Earth
exploration-satellite, and space research
services in the Federal Table. In the
AWS–3 NPRM, the Commission noted
and sought comment on the DoD
Proposal, under which DoD proposes to
relocate key operations from the 1755–
1780 MHz band and to obtain increased
Federal access to the shared 2025–2110
MHz band. Comments were initially
mixed on this proposal, but most
wireless industry commenters
subsequently supported the DoD
Proposal. Others also support it or
believe it to be preferable to commercial
use of the 2025–2110 MHz band,
maintaining that 2025–2110 MHz—and
especially the 2095–2110 MHz
portion—is not a viable candidate band
for commercial use, as it would impinge
on existing uses. Recently, NTIA
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endorsed the DoD Proposal and
recommended amendments to the
Allocation Table for the 2025–2110
MHz band to implement military use of
that band under specific conditions that
protect non-Federal operations.
209. We find the DoD Proposal to be
constructive, and consistent with
efficient use of both the 1755–1780 MHz
and 2025–2110 MHz bands. Commercial
use of the former band can occur in a
timely manner under the DoD Proposal.
Accordingly, we adopt NTIA’s
recommended amendments in our final
rules section. Specifically, we are
adding primary Federal fixed and
mobile service allocations to the 2025–
2110 MHz band, limiting Federal use of
these allocations to military use,
specifying coordination requirements
for such operations in accordance with
a Memorandum of Understanding
between Federal and non-Federal fixed
and mobile operations, and providing
interference protection and priority to
the specified non-Federal fixed and
mobile operations in this band; delete
footnote US393 and add footnote US92.
These amendments will take effect only
after the auction of the1755–1780MHz
band concludes. See 47 U.S.C.
309(j)(16)(B) (‘‘The Commission shall
not conclude any auction of eligible
frequencies described in section
923(g)(2) of this title if the total cash
proceeds attributable to such spectrum
are less than 110 percent of the total
estimated relocation or sharing costs
provided to the Commission pursuant to
section 923(g)(4) of this title.’’).
210. Statutory Requirements. In
discussing any changes to the
Allocation Table, the Commission
sought specific comment on any special
statutory conditions that may apply,
noting two particular statutory
provisions of special relevance here.
211. First, Congress recognized the
potential benefits of flexible spectrum
allocations and in 1997 amended the
Communications Act to add section
303(y), which grants the Commission
the authority to adopt flexible
allocations if certain factors are met.
Section 303(y) provides the Commission
with authority to allocate spectrum for
flexible use if ‘‘such use is consistent
with international agreements to which
the United States is a party; and the
Commission finds, after notice and an
opportunity for public comment, that
such an allocation would be in the
public interest; such use would not
deter investment in communications
services and systems, or technology
development; and such use would not
result in harmful interference among
users.’’ The Commission sought
comment on how best to read section
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303(y) in light of the subsequent
mandate of section 6401 to ‘‘allocate the
spectrum described [therein] for
commercial use.’’ The Commission also
sought comment on whether any
allocation changes, together with the
proposed service rules, proposed or
identified in the AWS–3 NPRM or by
commenters would satisfy the four
elements of section 303(y) of the Act.
Commenters did not address these
issues. For the reasons and in light of
the specific rules set forth in this order,
we conclude that the allocations and
service rules adopted herein satisfy
these section 303(y) statutory
requirements, to the extent they are not
superseded by section 6401.
212. Section 1062(b) of the National
Defense Authorization Act for Fiscal
Year 2000 requires that, if ‘‘in order to
make available for other use a band of
frequencies of which it is a primary
user, the Department of Defense is
required to surrender use of such band
of frequencies, the Department shall not
surrender use of such band of
frequencies until. . .the [NTIA], in
consultation with the [FCC], identifies
and makes available to the Department
for its primary use, if necessary, an
alternative band or bands of frequencies
as a replacement for the band to be so
surrendered.’’ Furthermore, current law
requires that ‘‘the Secretary of
Commerce, the Secretary of Defense,
and the Chairman of the Joint Chiefs of
Staff jointly certify. . .that such
alternative band or bands provides
comparable technical characteristics to
restore essential military capability that
will be lost as a result of the band of
frequencies to be so surrendered.’’
213. NTIA states that the amendments
to the Allocation Table for the 2025–
2110 MHz band that it recommends—
and that we are adopting herein—
‘‘would provide DoD additional
spectrum access to a band with
comparable technical characteristics to
restore essential military capabilities
that will be lost as a result of relocating
systems out of 1755–1780 MHz, a
statutory requirement under the
Secretary of Commerce’s, DoD’s, and the
Chairman of the Joint Chiefs of Staff’s
joint certification to Congress under the
National Defense Authorization Act for
Fiscal Year 2000.’’ Section 1062(b) of
the National Defense Authorization Act
for Fiscal Year 2000 (Public Law 106–
65; 113 Stat. 768); see also provisions
(Surrender of Department of Defense
Spectrum) set out as a note under 47
U.S.C. 921. Based on NTIA’s
representation, we view this statutory
provision as satisfied. This rule change
will take effect only after the auction for
1755–1780 MHz concludes, see 47
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U.S.C. 309(j)(16)(B), and the joint
certification is submitted to Congress.
E. Federal/Non-Federal Coordination
214. In the AWS–3 NPRM, the
Commission sought comment on
coordination procedures including
whether coordination models or
elements thereof used in different
wireless and satellite services would be
applicable. In particular, the
Commission sought comment on
whether the coordination procedures
established for non-Federal licensees to
gain early access to adjacent AWS–1
uplink band (1710–1755 MHz) could
serve as a model for coordination. The
Commission explained that, in AWS–1,
the Commission worked closely with
NTIA to craft a coordination procedure
before the full band transition was
completed. ‘‘Prior to operating, the
AWS–1 licensee was required to contact
the appropriate Federal agency to get
information necessary to perform an
interference analysis. The AWS–1
licensee would first perform the
interference analysis and then send it to
the appropriate designated agency
contact for review. At the end of 60
days, if the Federal agency raised no
objection, the AWS–1 licensee was
permitted to commence operations.
NTIA required Federal agencies to
cooperate with AWS–1 licensees and
provide, within 30 days of a request
from an AWS–1 licensee wishing to
operate within a coordination zone, sitespecific technical information that
would allow the licensee to complete
the interference analysis. NTIA also
required agencies that disapprove of an
interference analysis submitted by an
AWS–1 licensee to provide the licensee
with a detailed rationale for its
disapproval. Finally, Federal agencies
were required to work in good faith to
identify the source of the harmful
interference and work with AWS–1
licensees to eliminate or mitigate the
interference.’’ AWS–3 NPRM, 28 FCC
Rcd at 11510 para. 67 citing The Federal
Communications Commission and the
National Telecommunications and
Information Administration—
Coordination Procedures in the 1710–
1755 MHz Band, Public Notice, 21 FCC
Rcd 4730 (2006) (AWS–1 Coordination
Procedures PN).
215. T-Mobile recommends that the
Commission pattern the AWS–3
coordination process after the process
used by non-Federal licensees to gain
early access to AWS–1 spectrum.
Raytheon disagrees and argues that
AWS–1 coordination procedures would
not offer sufficient protection to the
1695–1710 MHz band. Motorola
recommends that if the Commission
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does not apply AWS–1 coordination
procedures to the AWS–3 spectrum,
then it should apply part 27
coordination procedures. Mobile Future
argues that the Commission should
work with NTIA to develop an
interference protection model, inputs to
the model, and the coordination
procedure. Such efforts, Mobile Future
continues, should address issues that
should be resolved before an auction
commences.
216. The Commission recognizes that
bidders need as much certainty as
possible regarding the scope of Federal
incumbency, relocation timelines, and
the potential for temporary or indefinite
sharing through geographic or temporal
access to spectrum. Accord, Annex O
section O.4.2 (‘‘NTIA expects that the
transition plans’ content will provide
valuable information to prospective
bidders preparing for an auction and to
winning bidders planning for their
system deployments or leasing
strategies.’’) and section O.5.1 (‘‘With
regard to spectrum sharing in eligible
frequencies, the statute contemplates a
range of potential arrangements
including: (1) Short-term or temporary
sharing in anticipation of the ultimate
relocation of federal entities’ spectrumrelated operations; (2) long-term or
indefinite sharing between federal
entities and non-federal users; and (3)
sharing among relocated federal entities
and incumbents to make spectrum
available for non-federal use.’’). Indeed,
such certainty is central to meeting the
goals of the Spectrum Act to fund the
Public Safety Broadband Network and
to improve the CSEA to facilitate better
transparency, coordination, and
predictability for bidders and licensees.
See Relocation of and Spectrum Sharing
by Federal Government Stations—
Technical Panels and Dispute
Resolution Boards, 78 FR 5310, 5311
(NTIA, Jan. 25, 2013) (the Spectrum Act
improved the CSEA provisions to
‘‘facilitate better transparency,
coordination, and predictability for
bidders in FCC spectrum auctions and
the ultimate winners of those auctions
through, for example, a new
requirement that NTIA publish the
agencies transition plans on NTIA’s
Web site at least 120 days before
commencement of the corresponding
FCC auction, with the exception of
classified and other sensitive
information.’’).
217. Post-auction: Federal/NonFederal Coordination Requirement.
Section 309(j)(16)(C) Condition: There
are two Federal/non-Federal
coordination scenarios: (1) ‘‘early
access’’ prior to Federal relocation and
(2) permanent sharing. Under the first
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scenario, the Commission is required to
condition non-Federal licenses on not
causing harmful interference to
relocating Federal operations. The
Spectrum Act did not amend this
provision of the original CSEA (2004),
which contemplated Federal relocations
but not the Federal non-Federal sharing
scenario added by the Spectrum Act.
Accordingly, we conclude that this
statutory provision governs the scenario
for which it was adopted—Federal
relocations—and that it is inapplicable
to the sharing scenario under which
termination of the eligible Federal
entity’s authorization is unrestricted.
We will apply the condition to each
AWS–3 license by rule. Thus, licenses
to operate in the 1695–1710 MHz or
1755–1780 MHz bands are subject to the
condition that the licensee must not
cause harmful interference to an
incumbent Federal entity relocating
from these bands under an approved
Transition Plan. This condition remains
in effect until NTIA terminates the
applicable authorization of the
incumbent Federal entity. Although this
statutory license condition does not
apply to the permanent sharing scenario
added by the Spectrum Act, the rules
we adopt today require successful
coordination to avoid causing harmful
interference to these Federal
incumbents.
218. General Coordination
Requirement. For both coordination
scenarios (early access prior to Federal
relocation and permanent sharing)
successful coordination with Federal
incumbents is required prior to
operation as follows:
• 1695–1710 MHz: 27 Protection Zones
with distances depending on uplink
EIRP
• 1755–1780 MHz: unless stated
otherwise in a Joint FCC/NTIA
public notice (or in a written
agreement among all relevant
parties) the coordination
requirement is as follows
depending on the type of Federal
authorization(s) involved:
• US&P Federal assignments: Each
AWS licensee must contact each
Federal agency that has U.S. and
Possessions (US&P) authority prior
to its first operations in its licensed
area to reach a coordination
arrangement on an operator-tooperator basis.
• Other Federal assignments: Each
AWS licensee must successfully
coordinate a proposed operation
with each non-US&P Federal
incumbent. The default requirement
is a nationwide coordination zone
with possible revisions and details
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to be announced in a Joint FCC/
NTIA public notice.
219. Joint FCC/NTIA Public Notice on
Coordination Details. Federal use of the
radio spectrum is generally governed by
the NTIA while non-Federal use is
governed by the Commission. As such,
consistent with the approach used for
AWS–1, we believe that any guidance or
details concerning Federal/non-Federal
coordination should be issued jointly by
NTIA and the Commission. In this
regard, we authorize and direct the
Wireless Telecommunications Bureau to
work with NTIA staff, in collaboration
with affected Federal agencies or
CSMAC members, to develop a joint
FCC and NTIA public notice with
information on coordination procedures
in the 1695–1710 MHz and 1755–1780
MHz bands. We understand that one or
more Federal incumbents are proposing
to develop one or more online portals,
similar to the portal that DoD developed
for AWS–1, that would permit AWS
licensees to submit coordination data
online in a standard format for
distribution to the relevant Federal
incumbents. Until such online
capability exists, the Spectrum Act
requires each incumbent agency to
include contact information in its
Transition Plan. Until a coordination
portal is operational, licensees will have
to rely on the point of contact provided
in each agency’s transition plan.
220. The successful implementation
of commercial services in the AWS–3
bands depends upon successful
coordination and sharing with Federal
users, whether on a temporary basis as
Federal systems relocate their
operations or on an ongoing, permanent
shared basis for those systems that
remain in the band. The Federal
incumbents in the 1695–1710 MHz and
1755–1780 MHz bands must be able to
continue operations free from harmful
interference and without being held
accountable for interference into new
commercial operations while the
agencies are operating within their
authorized operational parameters.
Similarly, federal incumbents remaining
in the band must be able to have the
flexibility to coordinate with
commercial licensees if reasonable
modification of existing, grandfathered
operations are required in the future.
We expect a good faith effort from both
the AWS–3 licensees and the Federal
incumbents to share information about
their systems, agree to appropriate
interference methodologies, and
communicate results so as to facilitate
commercial use of the band. This
extends to AWS licensees sharing
information with Federal incumbents
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and cooperating in testing once Federal
incumbents develop and implement
real-time spectrum monitoring systems
around existing Federal operations
protected in the 1695–1710 MHz and
adjacent bands.
221. Pre-auction Information on
Federal Incumbents for Bidders. NTIA
must post the public version of each
approved transition plan on its Web site
no later than 120 days before the start
date of the auction. The transition plans
must generally describe an agency’s
plan for ‘‘the implementation by such
entity of the relocation or sharing
arrangement.’’ The plans the agencies
submitted to NTIA and the Technical
Panel contain information about the
frequencies used, emission bandwidth,
system use, geographic service area,
timeline for sharing, timeline for
transition, and estimated cost of
relocation or sharing. Agencies that will
not be able to release the entire plan
will need to make a determination
regarding what information can be
released to reasonably help inform
potential bidders about the incumbent
Federal uses and the timelines for
sharing and relocation.
222. Supplemental Information
Access: Affected agencies are permitted
to redact from the publicly-released
transition plans classified national
security information and ‘‘other
information for which there is a legal
basis for nondisclosure and the public
disclosure of which would be
detrimental to national security,
homeland security, or public safety or
would jeopardize a law enforcement
investigation’’ from the publiclyreleased transition plans. In the event
that publicly-released transition plans
contain incomplete information or lack
key information necessary for potential
bidders to accurately value the
spectrum, the FCC, NTIA, and the
affected Federal agencies will
collaborate with industry stakeholders
on possible supplemental information
disclosure processes. See, e.g., Letter
from Scott K. Bergman, Vice President,
Regulatory Affairs, CTIA, to FCC
Chairman Wheeler and Commissioners
Clyburn, Rosenworcel, Pai, and
O’Reilly, and Assistant Secretary
Strickling, NTIA, dated Feb. 25, 2014
(proposing a three-stage timeline for
release of Federal agencies’ transition
plans and technical data under which
Federal agencies would open a window
for executing non-disclosure agreements
to receive information under the second
and third stages). We recognize that any
supplemental information disclosure
must appropriately protect national
security considerations and law
enforcement equities in accordance with
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the statutory requirement. If it is
determined that a supplemental
information release process will be
necessary and can be finalized, a Public
Notice will announce the process.
F. Interoperability Requirement
223. In the AWS–3 NPRM, the
Commission asked commenters to
address any specific technical rules for
the AWS–3 bands. USCC, T-Mobile, and
several other commenters seek an
interoperability requirement among
AWS–1 and AWS–3 devices, or at least
among AWS–3 devices in the 1755–
1780 MHz band (paired with 2155–2180
MHz band), asserting that
interoperability creates significant
benefits. USCC urges the Commission to
adopt a clear, ex ante interoperability
requirement, stating that access to
interoperable devices by all AWS–3
licensees also would enhance
economies of scale, expand roaming
opportunities, and promote
competition, which would lead to
greater investment and innovation and
lower costs for consumers. Specifically,
USCC would require that: (1) All
AWS–3 mobile devices be capable of
transmitting across the entire 1710–1780
MHz uplink band and receiving across
the entire 2110–2180 MHz downlink
band; and (2) all AWS–3 networks
support and permit the use of such
mobile devices. USCC stresses that it is
particularly important for the AWS–3
interoperability requirement to obligate
licensees to include all of the paired
1755–1780/2155–2180 MHz bands.
USCC states that a failure to adopt this
requirement would significantly reduce
the value of the AWS–3 spectrum blocks
located outside of the current 3GPP
Band 10 frequency range (1710–1770
MHz/2110–2170 MHz band). USCC
contends that this could encourage the
large national carriers to focus on, and
thus monopolize, the other AWS–3
blocks, leaving only the ‘‘orphaned’’
uppermost 10 megahertz of AWS–3
spectrum potentially available to small
and regional carriers, who even
collectively lack sufficient market
power to drive device development.
T-Mobile supports interoperability
between AWS–3 and AWS–1 and states
that the Commission should require
interoperability for future AWS–3
devices. T-Mobile also asserts that
interoperability will promote a global
market, not hinder availability,
affordability, and portability of user
equipment as ‘‘boutique’’ band classes
will; as well as delaying deployment of
services.
224. DISH proposes an
interoperability requirement similar to
USCC’s proposal, except DISH would
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include the AWS–4 downlink band at
2180–2200 MHz. Verizon opposes any
equipment interoperability mandate and
Verizon and AT&T state that the
AWS–3 NPRM did not propose or seek
comment on an interoperability
requirement between AWS–3 and
AWS–4. Verizon also notes that that
DISH filed its AWS 1/3/4
interoperability proposal very recently
and that there is inadequate time for
parties to evaluate it in this proceeding
from a technical or other perspective.
DISH acknowledges the timing of its
specific interoperability proposal but
states that the Commission discussed in
detail the efficiencies of combining
adjacent AWS–1 spectrum with AWS–3
and that the general concept of
interoperability has been discussed in
the record at length as it relates to
combining the AWS–1 and AWS–3
bands. Because the Commission
tentatively found that having additional
spectrum that is adjacent to that used
for like services would promote
efficiency in broadband deployment.
DISH asserts that rules that promote
efficiency based on the principle of
spectrum adjacency would be a logical
outgrowth of the AWS–3 NPRM’s
tentative finding, no matter which side
of the AWS–3 downlinks the adjacent
spectrum is on. DISH also dismisses as
misguided Verizon’s suggestion that
there may be ‘‘technical limitations’’
that would prevent or delay the addition
of 2180–2200 MHz to the AWS
downlink ecosystem as follows: ‘‘DISH’s
proposal for interoperability between
the AWS–1, AWS–3, and AWS–4
downlink bands impacts only devices,
which are operating in receive mode
and are not subject to any transmit
restrictions. Furthermore, nothing in
DISH’s proposal requires any changes to
base stations operating in transmit mode
in the downlink band for AWS
operators. Therefore, Verizon’s
introduction of the possible impact of
‘‘federal AMT operations at 2200–2290
MHz’’ on ‘‘AWS–3 equipment that also
includes the AWS–4 downlink band’’ is
irrelevant. Such federal operations are
only relevant to DISH’s base stations in
2180–2200 MHz.’’ DISH Ex Parte dated
March 20, 2014.
225. The Commission historically has
been interested in promoting
interoperability. Beginning with the
licensing of cellular spectrum, the
Commission maintained that consumer
equipment should be capable of
operating over the entire range of
cellular spectrum as a means to ‘‘insure
full coverage in all markets and
compatibility on a nationwide basis.’’
Although the Commission did not adopt
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a rule to require band-wide
interoperability for PCS, it again
stressed the importance of
interoperability by acknowledging
industry efforts to establish voluntary
interoperability standards and asserted
that ‘‘[t]he availability of
interoperability standards will deliver
important benefits to consumers and
help achieve our objectives of
universality, competitive delivery of
PCS, that includes the ability of
consumers to switch between PCS
systems at low cost, and competitive
markets for PCS equipment.’’ The
Commission also stated that if PCS
technology did not develop in a manner
to accommodate roaming and
interoperability, it might consider ‘‘what
actions the Commission may take to
facilitate the more rapid development of
appropriate standards.’’ In 1997, we
established a rule requiring receiver
interoperability for satellite digital
audio radio services, and in
implementing authority over public
safety broadband systems prior to the
Spectrum Act, the Commission
determined in 2007 that it was
‘‘imperative’’ to establish a nationwide
broadband interoperability standard.
More recently, in WT Docket No. 12–69,
the Commission took certain steps to
implement an industry solution to
provide interoperable Long Term
Evolution (LTE) service in the Lower
700 MHz band in an efficient and
effective manner to improve choice and
quality for consumers of mobile
services. A number of the principal
wireless providers licensed in the 700
MHz band, along with the Competitive
Carriers Association, had developed a
voluntary industry solution that would
resolve the lack of interoperability in
this band while allowing flexibility in
responding to evolving consumer needs
and dynamic and fast-paced
technological developments. In
reviewing the voluntary solution, the
Commission determined that
amendments to the rules and
modifications to licenses serve the
public interest by enabling consumers,
especially in rural areas, to enjoy the
benefits of greater competition and more
choices, and by encouraging efficient
use of spectrum, investment, job
creation, and the development of
innovative mobile broadband services
and equipment. Although no party
requested that we impose an
interoperability requirement with
respect to the 10 megahertz of H Block
spectrum, as they have for the larger
AWS–3 band in this proceeding, we
stressed again in that context that
‘‘interoperability is an important aspect
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of future deployment of mobile
broadband services and generally serves
the public interest.’’
226. In the AWS–3 NPRM, the
Commission noted that, where possible,
it was proposing to adopt for AWS–3
the same technical rules that apply to
AWS–1 and wireless industry
commenters overwhelmingly supported
this approach—with strong objections to
the Commission’s proposal to depart
from the AWS–1 power limit for
mobiles and portables. The Commission
also asked whether to pair any of the
proposed AWS–3 band segments, and
whether there are likely to be any
competitive effects of the pairing choice
that it should consider. Wireless
industry commenters overwhelmingly
urge us to designate 1755–1780 MHz for
AWS paired with 2155–2180 MHz due
to its adjacency to AWS–1. Indeed, for
well over the past decade, the wireless
industry has sought commercial use of
the 1710–1780 MHz Federal band to
pair with the 2110–2180 MHz nonFederal band. In 2006, the Commission
issued licenses for AWS–1 at 1710–
1755/2110–2155 MHz. In 2008, the
Commission proposed AWS service
rules for 2155–2180 MHz unpaired, and
most wireless industry commenters in
that proceeding urged the Commission
to defer action until 2155–2180 MHz
could be licensed paired with 1755–
1780 MHz. As discussed above, the
record now before us overwhelmingly
indicates that licensing 1755–1780 MHz
paired with 2155–2180 MHz is ideal
precisely because it is contiguous to and
can be used as an extension of the
AWS–1 bands. AT&T, in supporting the
pairing of 1755–1780 MHz and 2155–
2180 MHz, states that ‘‘[t]he ability to
combine the AWS–3 and AWS–1 bands
in a single band class would result in
more efficient spectrum utilization and
more efficient LTE networks.’’ The
existence of Band Class 10 supports this
conclusion but, as USCC and other
commenters have noted, it could also
result in outcomes inimical to the
public interest—operations in the
United States limited to Band 10, e.g.,
if large carriers focused on blocks
within Band 10 leaving 1770–1780/
2170–2180 MHz ‘‘orphaned.’’
227. To the extent that smaller
operators favor smaller license sizes, we
note that the AWS–3 paired block that
we are designating for the smallest
geographic licensing area (CMAs) and
all of the smallest, 5 megahertz paired
blocks, are within existing Band Class
10. Additionally, based on the record
before us, we conclude that the public
interest is best served by requiring
AWS–3 mobile and portable stations
that operate on any frequencies in the
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1755–1780 MHz band (paired with the
2155–2180 MHz band) to be capable of
operating on all frequencies in the
1710–1780 MHz band (paired with the
2110–2180 MHz band) using all air
interfaces that the equipment utilizes on
any frequencies in the 1710–1780 MHz
band (paired with frequencies in the
2110–2180 MHz band). Although
Section 6401 of the Spectrum Act would
require us to auction and license these
bands by February 2015 pursuant to
flexible use service rules whether or not
we adopt an additional interoperability
requirement, we conclude that adopting
such a requirement prior to licensing
best serves the public interest by
removing uncertainty, e.g., for potential
applicants that intend to follow 3GPP
standards if licensed in the 1755–1780
MHz and 2155–2180 MHz bands. As
several commenters note, voluntary
industry band classes for commercial
systems can significantly benefit or
harm consumers. ‘‘Adopting an
interoperability requirement will help to
‘promote timely access to a variety of
mobile devices by all AWS–3 licensees,
including small and regional carriers’
while preventing a situation, like that in
the 700 MHz band, where
manufacturers focused on the needs of
the larger carriers, which significantly
delayed ‘the deployment of advanced
services to many rural and underserved
areas.’ ’’ Smith Bagley, MTPCS, and
Cellular Network Partnership Joint
Reply at 4 quoting USCC Comments at
18. With an assurance of basic
interoperability across 1755–80 MHz
(paired with 2155–2180 MHz) and
AWS–1, potential licensees, particularly
smaller ones, will face less uncertainty
over the development of a healthy
device ecosystem. ‘‘Interoperability will
also ‘facilitate roaming arrangements
and allow smaller regional carriers to
compete with the larger carriers—a
result that is in the public interest.’ ’’
Smith Bagley, MTPCS, and Cellular
Network Partnership Joint Reply at 4
quoting USCC Comments at 24. We note
that at this time this rule applies to
AWS–3 licensees and AWS–3 bands as
described herein. We adopt this basic
interoperability requirement pursuant to
our separate authority under Title III of
the Communications Act. See 47 U.S.C.
301, 303(b), 303(g), 303(r). See also id.
sections 153(28) (defining ‘‘mobile
stations’’), (42) (defining station license
by reference to ‘‘use or operation of
apparatus’’), 153(57) (defining
transmission to include ‘‘all
instrumentalities, facilities, and services
incidental’’ thereto), 154(i). See
generally Lower 700 MHz
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32399
Interoperability R&O, 28 FCC Rcd at
15155–56 paras. 69–70 (2013).
228. Consistent with precedent, we
stress the importance of promoting
interoperability throughout the 1710–
1780 MHz/2110–2180 MHz band—as
reflected in the industry efforts to
establish voluntary interoperability
standards covering most of this
spectrum and the overwhelming
industry representations herein, and for
well over the past decade before
Congress, the Executive Branch,
internationally, and the Commission, as
to the suitability of the 1710–1780 MHz
band (paired with 2110–2180 MHz) for
AWS operations. Indeed, a failure to
achieve basic interoperability of devices
using the same air interface(s) in the
1710–1780 MHz band (paired with the
2110–2180 MHz band) would be
completely at odds with longstanding
commercial wireless industry-wide
efforts for access to additional spectrum.
With this in mind, we emphasize that
the availability of voluntary
interoperability standards will deliver
important benefits to consumers and
help achieve our objectives of
universality, competitive delivery of
devices that utilize the 1710–1780 MHz
band (paired with the 2155–2180 MHz
band) because devices that operate in
the 1755–1780 MHz band (paired with
2155–2180 MHz) will include the
AWS–1 bands, thereby promoting the
ability of consumers to switch between
AWS systems that use the same air
interface(s) at low cost, and competitive
markets for equipment.’’
229. Finally, we recognize that USCC
initially sought an interoperability
requirement that extends to 1695–1710
MHz and that DISH recently proposed
including the 2180–2200 MHz AWS–4
band. Given that 1695–1710 MHz will
be auctioned and licensed unpaired, we
conclude that extending an
interoperability requirement to this
band at this time would be
inappropriate because the downlink
band(s) is undetermined. At this time,
we also decline DISH’s suggestion to
add the AWS–4 downlink band (2180–
2200 MHz) into the basic
interoperability rule for AWS–3
licensees. The record is not developed
on this issue and relevant technical
issues have not been fully explored by
commenters. Apart from longstanding,
wireless industry-wide advocacy for
1710–1780 MHz paired with 2110–2180
MHz, the record before us reflects
among AWS–1/3 interoperability
proponents a reciprocal understanding
of sorts among potential, future AWS–
3 licensees: If licensed in 1755–1780/
2155–2180 MHz, each proponent is
willing to accept any burden arising
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from the interoperability requirement
that it seeks. On the other hand, DISH’s
proposed AWS–1/3/4 interoperability
requirement would not apply to any
AWS–4 devices. While this lack of
reciprocity does not disqualify the
proposal, the distinction is a
consideration that cannot be ignored.
Nonetheless, we appreciate the potential
public interest benefits of an expansive,
interoperable, band extending across
most, or possibly all, of the 1.7 GHz
uplink band and the 2.1 GHz downlink
band. Accordingly, at this juncture, we
encourage interested parties to work
towards voluntary, standards-based
solutions to facilitate interoperability, to
the extent technically practical, across
all of these AWS–1/3/4 bands. Once
AWS–3 is licensed, we expect AWS–3
licensees to participate in good faith in
standard setting processes to extend
interoperability across AWS–1/3/4
(1710–1780 MHz and 2110–2200 MHz),
unless there are technical impediments
to doing so. If technical concerns arise,
we expect parties to work to find
reasonable measures to remedy those
concerns. In the absence of technical
impediments to interoperability, if the
Commission determines that progress
on interoperability has stalled in the
standards process, future AWS–3
licensees are hereby on notice that the
Commission will consider initiating a
rulemaking regarding the extension of
an interoperability mandate that
includes AWS–4 (2180–2200 MHz) at
that time. Should we undertake such a
rulemaking, relevant considerations
may include considerations of harmful
interference, technical cost and
difficulty of implementation, and the
extent to which licensees are common
to both the AWS–3 and AWS–4 bands.
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III. Procedural Matters
A. Ex Parte Presentations
230. We remind interested parties that
this proceeding is ‘‘permit-but-disclose’’
proceeding in accordance with the
Commission’s ex parte rules. Persons
making ex parte presentations must file
a copy of any written presentation or a
memorandum summarizing any oral
presentation within two business days
after the presentation (unless a different
deadline applicable to the Sunshine
period applies). Persons making oral ex
parte presentations are reminded that
memoranda summarizing the
presentation must (1) list all persons
attending or otherwise participating in
the meeting at which the ex parte
presentation was made, and (2)
summarize all data presented and
arguments made during the
presentation. If the presentation
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consisted in whole or in part of the
presentation of data or arguments
already reflected in the presenter’s
written comments, memoranda or other
filings in the proceeding, the presenter
may provide citations to such data or
arguments in his or her prior comments,
memoranda, or other filings (specifying
the relevant page and/or paragraph
numbers where such data or arguments
can be found) in lieu of summarizing
them in the memorandum. Documents
shown or given to Commission staff
during ex parte meetings are deemed to
be written ex parte presentations and
must be filed consistent with
§ 1.1206(b). In proceedings governed by
§ 1.49(f) or for which the Commission
has made available a method of
electronic filing, written ex parte
presentations and memoranda
summarizing oral ex parte
presentations, and all attachments
thereto, must be filed through the
electronic comment filing system
available for that proceeding, and must
be filed in their native format (e.g., .doc,
.xml, .ppt, searchable .pdf). Participants
in this proceeding should familiarize
themselves with the Commission’s ex
parte rules.
231. As discussed in section II.E
(Federal/Non-Federal Coordination)
above, in the process of developing one
or more joint public notices regarding
Federal/non-Federal coordination, NTIA
may seek recommendations from the
Commerce Spectrum Management
Advisory Committee (CSMAC). CSMAC
is an advisory committee created for the
purpose of advising NTIA on spectrum
policy issues. CSMAC consists of
private-sector ‘‘Special Government
Employees’’ appointed by NTIA to
provide advice and recommendations
on U.S. spectrum management policy.
Commission staff has been present at
meetings of the full CSMAC and has
participated in CSMAC’s working
groups. See, e.g., Wireless
Telecommunications Bureau and Office
of Engineering and Technology Exempt
Certain Ex Parte Presentations in GN
Docket No. 13–185, Public Notice, 28
FCC Rcd 12268 (WTB,OET 2013).
Commission staff’s participation in
these meetings, and the free flow of
information during the meetings, is
essential to gaining an understanding of
the issues implicated in making 1695–
1710 MHz and 1755–1780 MHz
available for commercial wireless use.
While the CSMAC’s meetings are open
to the public, the FCC’s ex parte
requirements could, depending on the
particular factual circumstances, be
triggered if FCC decision makers are
present, and oral or written
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presentations are made. Similarly,
meetings of the CSMAC’s working
groups could, depending on the
particular factual circumstances, be
subject to the Commission’s ex parte
rules when FCC decision makers are
present, if oral or written ex parte
presentations are made.
232. Therefore, pursuant to our
authority under § 1.1200 of the
Commission’s rules, we continue the
limited exemption in the AWS–3
proceeding (GN Docket No. 13–185)
from the ex parte disclosure
requirements of § 1.1206 presentations
made in formally organized meetings of
the CSMAC at which FCC staff is
present, and meetings held in
connection with CSMAC, including
working groups in which FCC staff is a
participant. Such presentations will be
exempt to the same extent as
presentations are exempt under the
shared jurisdiction exemption of
§ 1.1204(a)(5). Specifically, the ex parte
requirements do not apply provided that
‘‘any new factual information obtained
through such a presentation that is
relied on by the Commission in its
decision-making process will, if not
otherwise submitted for the record, be
disclosed by the Commission no later
than at the time of the release of the
Commission’s decision.’’ We note that
this exemption does not change the
nature of public CSMAC proceedings; it
simply allows FCC staff to participate
without triggering disclosure
requirements under the Commission’s
ex parte rules.
233. The AWS–3 Report and Order
discusses matters concerning relocating
federal users in 1695–1710 MHz and
1755–1780 MHz, spectrum sharing
between commercial and federal users
in 1695–1710 MHz and 1755–1780
MHz, and implementation matters
related to the Spectrum Relocation Fund
and the Public Safety Trust Fund.
Discussions regarding these matters,
may not be open to the public, and will
occur between or among several
agencies or branches of the Federal
Government. Commission staff is
regularly engaged with staff from NTIA,
the Department of Defense (DoD), the
Office of Management and Budget
(OMB), the Office of Science and
Technology Policy (OSTP), the
Department of Justice (DoJ), the National
Oceanic and Atmospheric
Administration (NOAA), and other
federal agencies and offices for the
purpose of coordinating these matters,
including but not limited to facilitating
commercial use of the 1695–1710 MHz
and 1755–1780 MHz bands. In addition,
relevant Congressional committees have
sought to further facilitate discussion
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among Federal Government
stakeholders. Some of these discussions
may already be subject to the
§ 1.1204(a)(5) ex parte exemption in the
Commission’s rules, to the extent that
they involve a matter over which that
agency or branch and the Commission
share jurisdiction, while others may not.
We believe that these discussions
among Federal Government personnel
will benefit from an uninhibited flow of
information between and among all
participants, including potentially
sensitive information regarding strategic
federal use of these bands.
234. Therefore, pursuant to our
authority under § 1.1200 of the
Commission’s rules, we exempt from
the ex parte disclosure requirements of
§ 1.1206 presentations regarding the
AWS–3 proceeding (GN Docket No. 13–
185) made between representatives from
the FCC and NTIA, OMB, OSTP, DoD,
DoJ, NOAA, other federal offices and
agencies, or Congressional committee
members and committee staff, to the
same extent as presentations are exempt
under the shared jurisdiction exemption
of § 1.1204(a)(5).
235. To the extent that any of the
participants in the above-described
meetings intends the Commission, with
respect to any decision it makes in the
AWS–3 proceeding, to rely on an ex
parte presentation to which we have
extended an exemption herein, we
encourage that party to file the
presentation (or, if oral, summary of it)
in the record with ample time for other
interested parties to the proceeding to
review and respond, as appropriate, and
for Commission staff to fully analyze
and incorporate as necessary into any
subsequent Commission decision. In
this regard, we advise these participants
that, consistent with the limitations of
the exemption that we have established
herein for the AWS–3 proceeding, in
rendering a decision in this proceeding
the Commission will not rely on an ex
parte presentation covered by this
exemption unless it is added to the
record, at the latest, prior to the release
of the decision.
B. Final Regulatory Flexibility Analysis
236. As required by the Regulatory
Flexibility Act of 1980, as amended
(RFA), the Commission incorporated an
Initial Regulatory Flexibility Analysis
(IRFA) of the possible significant
economic impact on a substantial
number of small entities by the policies
and rules proposed in the Notice of
Proposed Rulemaking (NPRM). No
comments were filed addressing the
IRFA. Because we amend the rules in
the Report and Order, we have included
this Final Regulatory Flexibility
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Analysis (FRFA) which conforms to the
RFA. See 5 U.S.C. 601–612. The RFA
has been amended by the Small
Business Regulatory Enforcement
Fairness Act of 1996 (SBREFA), Public
Law 104–121, Title II, 110 Stat. 857
(1996).
237. Need for, and Objectives of, the
Report and Order. Wireless broadband
is a critical component of economic
growth, job creation, and global
competitiveness and consumers are
increasingly using wireless broadband
services to assist them in their everyday
lives. The rapid adoption of
smartphones and tablet computers,
combined with deployment of highspeed 3G and 4G technologies, is
driving more intensive use of mobile
networks, so much so that the total
number of mobile wireless connections
now exceeds the total U.S. population.
As of the second quarter of 2013, 64
percent of U.S. mobile subscribers
owned smartphones. It is predicted that
by 2019, almost all handsets in North
America will be smartphones and that
total smartphone traffic over mobile
networks will increase 10 times between
2013 and 2019. As of June 2013, 34
percent of American adults owned a
tablet computer device, an increase from
only 18 percent in September 2010.
Tablets generated on average
approximately 2.6 times the amount of
mobile traffic as the average smartphone
in 2013. All of these trends are resulting
in more demand for network capacity
and for capital to invest in the
infrastructure, technology, and
spectrum to support this capacity. The
demand for spectrum, moreover, is
expected to continue increasing. In
response, both Congress and the
President have issued directives to make
available additional spectrum for
flexible uses, including mobile
broadband. The Commission continues
to work to make available additional
licensed and unlicensed spectrum to
meet this growing demand.
238. In the Report and Order, we
increase the Nation’s supply of
spectrum for mobile broadband by
adopting rules for fixed and mobile
services, including Advanced Wireless
Services (‘‘AWS’’) in the 1695–1710
MHz, 1755–1780 MHz and 2155–2180
MHz bands, some of which were
previously allocated exclusively for
Federal government use. We refer to
these bands collectively as ‘‘AWS–3.’’
These service rules will make available
65 megahertz of spectrum for flexible
use in accordance with the Spectrum
Act. Specifically, we adopt service,
technical, and licensing rules that will
encourage innovation and investment in
mobile broadband and provide certainty
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and a stable regulatory regime in which
broadband deployment can rapidly
occur. For example, we find the
spectrum is properly allocated for
commercial use as the Spectrum Act
requires, and authorize mobile
operations in the 1695–1710 MHz and
1755–1780 MHz bands and base and
fixed operations in the 2155–2180 MHz
band. We also adopt service, technical,
assignment, and licensing rules for this
spectrum that generally follow the
Commission’s part 27 rules that govern
flexible use terrestrial wireless service—
except that in order to protect
incumbents that remain in these bands,
our rules are more stringent in certain
respects. For example, to protect certain
Federal operations in the 1695–1710
MHz and 1755–1780 MHz bands from
harmful interference, we adopt
technical rules that require AWS–3
licensees using these frequencies to
coordinate their proposed operations
with NTIA prior to commencing
operations. The market-oriented
licensing framework for these bands
will ensure efficient spectrum
utilization and will foster the
development of new and innovative
technologies and services, as well as
encourage the growth and development
of broadband services, ultimately
leading to greater benefits to consumers.
239. A portion of the proceeds from
the auction of Federal spectrum will be
used to cover the relocation and sharing
costs of Federal incumbents associated
with relocating their spectrumdependent systems from spectrum
bands authorized to be auctioned under
the Commission’s competitive bidding
authority. A portion will also be made
available for use by the First Responder
Network Authority (FirstNet) to carry
out its duties and responsibilities,
among other things, to deploy and
operate a nationwide public safety
broadband network.
240. Legal Basis. The actions taken are
authorized pursuant to 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 Title VI of the Middle
Class Tax Relief and Job Creation Act of
2012, Public Law 112–96, 126 Stat. 156,
47 U.S.C. 151, 152, 154(i), 201, 301,
302a, 303, 307, 308, 309, 310, 316, 319,
324, 332, 333, 1403, 1404, and 1451.
241. Description and Estimate of the
Number of Small Entities to Which the
Rules 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 proposed rules and
policies, if adopted. The RFA generally
defines the term ‘‘small entity’’ as
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having the same meaning as the terms
‘‘small business,’’ ‘‘small organization,’’
and ‘‘small governmental jurisdiction.’’
In addition, the term ‘‘small business’’
has the same meaning as the term
‘‘small business concern’’ under the
Small Business Act. 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.
242. Small Businesses, Small
Organizations, and Small Governmental
Jurisdictions. Our action may, over time,
affect small entities that are not easily
categorized at present. We therefore
describe here, at the outset, three
comprehensive, statutory small entity
size standards that encompass entities
that could be directly affected by the
proposals under consideration. As of
2010, there were 27.9 million small
businesses in the United States,
according to the SBA. Additionally, a
‘‘small organization’’ is generally ‘‘any
not-for-profit enterprise which is
independently owned and operated and
is not dominant in its field.’’
Nationwide, as of 2007, there were
approximately 1,621,315 small
organizations. Finally, the term ‘‘small
governmental jurisdiction’’ is defined
generally as ‘‘governments of cities,
counties, towns, townships, villages,
school districts, or special districts, with
a population of less than fifty
thousand.’’ Census Bureau data for 2007
indicate that there were 89,527
governmental jurisdictions in the
United States. We estimate that, of this
total, as many as 88,761 entities may
qualify as ‘‘small governmental
jurisdictions.’’ Thus, we estimate that
most governmental jurisdictions are
small.
243. Wireless Telecommunications
Carriers (except satellite). This industry
comprises establishments engaged in
operating and maintaining switching
and transmission facilities to provide
communications via the airwaves.
Establishments in this industry have
spectrum licenses and provide services
using that spectrum, such as cellular
phone services, paging services,
wireless Internet access, and wireless
video services. The appropriate size
standard under SBA rules is for the
category Wireless Telecommunications
Carriers. The size standard for that
category is that a business is small if it
has 1,500 or fewer employees. For this
category, census data for 2007 show that
there were 11,163 establishments that
operated for the entire year. Of this
total, 10,791 establishments had
employment of 999 or fewer employees
and 372 had employment of 1000
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employees or more. Thus under this
category and the associated small
business size standard, the Commission
estimates that the majority of wireless
telecommunications carriers (except
satellite) are small entities that may be
affected by our proposed action.
Similarly, according to Commission
data, 413 carriers reported that they
were engaged in the provision of
wireless telephony, including cellular
service, PCS, and Specialized Mobile
Radio (SMR) Telephony services. Of
these, an estimated 261 have 1,500 or
fewer employees and 152 have more
than 1,500 employees. Consequently,
the Commission estimates that
approximately half or more of these
firms can be considered small. Thus,
using available data, we estimate that
the majority of wireless firms can be
considered small.
244. Description of Projected
Reporting, Recordkeeping, and Other
Compliance Requirements. The
projected reporting, recordkeeping, and
other compliance requirements resulting
from the Report and Order will apply to
all entities in the same manner. The
Commission believes that applying the
same rules equally to all entities in this
context promotes fairness. The
Commission does not believe that the
costs and/or administrative burdens
associated with the rules will unduly
burden small entities, as discussed
below. The revisions the Commission
adopts should benefit small entities by
giving them more information, more
flexibility, and more options for gaining
access to valuable wireless spectrum.
245. Any applicants for AWS–3
licenses will be required to file license
applications using the Commission’s
automated Universal Licensing System
(ULS). ULS is an online electronic filing
system that also serves as a powerful
information tool, one that enables
potential licensees to research
applications, licenses, and antenna
structures. It also keeps the public
informed with weekly public notices,
FCC rulemakings, processing utilities,
and a telecommunications glossary.
AWS–3 licensees that must submit longform license applications must do so
through ULS using Form 601, FCC
Ownership Disclosure Information for
the Wireless Telecommunications
Services using FCC Form 602, and other
appropriate forms.
246. Steps taken to Minimize
Significant Economic Impact on Small
Entities, and Significant Alternatives
Considered. The RFA requires an
agency to describe any significant
alternatives that it has considered in
reaching its approach, which may
include the following four alternatives
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(among others): (1) The establishment of
differing compliance or reporting
requirements or timetables that take into
account the resources available to small
entities; (2) the clarification,
consolidation, or simplification of
compliance or reporting requirements
under the rule for small entities; (3) the
use of performance, rather than design,
standards; and (4) an exemption from
coverage of the rule, or any part thereof,
for small entities.
247. As set forth in the Report and
Order, we will license the AWS–3 bands
under a hybrid of Economic Area (EA)
and Cellular Market Area (CMA)
geographic licenses. Licensing some
spectrum blocks on an EA basis best
balances the Commission’s goals of
encouraging the offering of broadband
service both to broad geographic areas
and to sizeable populations, while
licensing one block by CMA will enable
smaller carriers to serve smaller, less
dense population areas that more
closely fit their smaller footprints.
Licensees may also adjust their
geographic coverage through secondary
markets. These rules should enable
licensees of AWS–3 spectrum, or any
entities providing service in other AWS
bands, whether large or small, to more
easily adjust their spectrum holdings to
build their networks pursuant to
individual business plans. As a result,
we believe the ability of licensees to
adjust spectrum holdings will provide
an economic benefit by making it easier
for small entities to acquire spectrum or
access spectrum in these bands.
248. The Report and Order adopts
rules to protect licensees operating in
nearby spectrum bands from harmful
interference, which may include small
entities. The technical rules adopted in
the Report and Order are based on the
rules for AWS–1 spectrum, with specific
additions or modifications designed,
among other things, to protect Federal
incumbents and Broadband Radio
Service licensees that will share some of
the AWS–3 spectrum. The technical
rules in the Report and Order will
therefore allow licensees of the AWS–3
spectrum to operate while also
protecting licensees in nearby spectrum
from harmful interference, some of
whom may be small entities, and meet
the statutory requirements of the
Spectrum Act. In response to comments
to the AWS–3 NPRM urging that an
interoperability requirement is
necessary to prevent the large national
carriers from leaving certain AWS–3
spectrum blocks ‘‘orphaned’’ (not
included in voluntary industry
standards) for small and regional
carriers that lack sufficient market
power to drive device development, the
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Report and Order also adopts a
requirement that mobile and portable
stations that operate on any portion of
frequencies in the paired 1755–1780
MHz and 2155–2180 MHz band must be
capable of operating on all frequencies
in the paired 1710–1780 MHz and
2110–2180 MHz band, using the same
air interfaces that the equipment utilizes
on any frequencies in the paired 1710–
1780 MHz and 2110–2180 MHz band. In
response to comments seeking smaller
spectrum block sizes and license areas
(including from commenters that may
be or may represent small entities), the
Commission is licensing adopted
several 5 megahertz spectrum blocks
and one 5 megahertz paired block will
be licensed by CMAs.
249. The Report and Order provides
AWS–3 licensees with the flexibility to
provide any fixed or mobile service that
is consistent with the allocations for this
spectrum, which is consistent with
other spectrum allocated or designated
for licensed fixed and mobile services,
e.g., AWS–1. The Report and Order
further provides for licensing of this
spectrum under the Commission’s
market-oriented part 27 rules. This
includes applying the Commission’s
secondary market policies and rules to
all transactions involving the use of
AWS–3 bands, which will provide
greater predictability and regulatory
parity with bands licensed for mobile
broadband service. These rules should
make it easier for AWS–3 providers to
enter secondary market arrangements
involving use of their spectrum. The
secondary market rules apply equally to
all entities, whether small or large. As
a result, we believe that this will
provide an economic benefit to small
entities by making it easier for entities,
whether large or small, to enter into
secondary market arrangements for
AWS–3 spectrum.
250. The Report and Order adopts
rules pertaining to how the AWS–3
licenses will be assigned, including
rules to assist small entities in
competitive bidding. Specifically, small
businesses will have available a bidding
credit of 15 percent and very small
businesses a bidding credit of 25
percent. Providing small businesses and
very small businesses with bidding
credits will provide an economic benefit
to small entities by making it easier for
small entities to acquire spectrum or
access to spectrum in these bands.
251. Federal Rules that May
Duplicate, Overlap, or Conflict with the
Rules None.
C. Paperwork Reduction Act Analysis
252. This document contains
modified information collection
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requirements subject to the Paperwork
Reduction Act of 1995 (PRA), Public
Law 104–13. It will be submitted to the
Office of Management and Budget
(OMB) for review under section 3507(d)
of the PRA. OMB, the general public,
and other Federal agencies are invited to
comment on the new or modified
information collection requirements
contained in this proceeding. In
addition, we note that pursuant to the
Small Business Paperwork Relief Act of
2002, Public Law 107–198, see 44 U.S.C.
3506(c)(4), we previously sought
specific comment on how the
Commission might further reduce the
information collection burden for small
business concerns with fewer than 25
employees.
253. In this present document, we
have assessed the effects of the policies
adopted in the Report and Order with
regard to information collection burdens
on small business concerns, and find
that these policies will benefit many
companies with fewer than 25
employees because the revisions we
adopt should provide small entities
with more information, more flexibility,
and more options for gaining access to
valuable spectrum. In addition, we have
described impacts that might affect
small businesses, which includes most
businesses with fewer than 25
employees, in the FRFA.
IV. Ordering Clauses
254. Accordingly, it is ordered,
pursuant to 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, Public Law 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,
that the Report and Order is hereby
adopted.
255. It is further ordered that parts 1,
2 and 27 of the Commission’s rules, 47
CFR parts 1, 2 and 27, are amended,
effective July 7, 2014 except as
otherwise provided herein. It is our
intention in adopting these rule changes
that, if any provision of the rules, or the
application thereof to any person or
circumstance, are held to be unlawful,
the remaining portions of the rules not
deemed unlawful, and the application
of such rules to other persons or
circumstances, shall remain in effect to
the fullest extent permitted by law. The
Final Rules that we are adopting also
include several non-substantive
revisions to the rules as follows: We are
moving from 47 CFR 1.949(c) to 47 CFR
27.14(q) the criteria for renewal for
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AWS–4 with one revision (changing
‘‘e.g.’’ to ‘‘including’’ to conform the
language to the same rule that we are
adopting today for AWS–3. We also
make this same, one-word revision to
§ 27.14(r)(6)(i) for 1915–1920 MHz and
1995–2000 MHz. We delete ‘‘total’’ in
§ 27.14(r)(1) and correct ‘‘areas’’ to
‘‘area’’ in § 27.14(r)(4). Finally, in 47
CFR 27.53, we redesignate paragraphs
(d) through (m) as paragraphs (e)
through (n) and reserve paragraph (d).
This revision restores certain technical
provisions to longstanding letter
assignments that are often cited in
equipment certification exhibits.
Because of the non-substantive nature of
these revisions, notice and comment are
unnecessary. 5 U.S.C. 553(b)(B).
256. It is further ordered that the
amendments, adopted above and
specified in the final rules section, to
§§ 2.1033(c)(19)(i)–(ii); 27.14(k), (s);
27.17(c); 27.50(d)(3); 27.1131; 27.1132;
27.1134(c), (f) of the Commission’s
rules, 47 CFR 2.1033(c)(19)(i)–(ii);
27.14(k), (s); 27.17(c); 27.50(d)(3);
27.1131; 27.1132; 27.1134(c), (f), which
contain new or modified information
collection requirements that are not
effective until approved by the Office of
Management and Budget. The
Commission will publish a document in
the Federal Register announcing the
effective date for those sections.
257. The effective date of the
amendment to 47 CFR 2.106 adding
Fixed and Mobile allocations for the
2025–2110 MHz band to the Federal
Table of Frequency Allocations will
become effective after the Commission
publishes a document in the Federal
Register announcing the relevant
effective date.
258. It is further ordered that the Final
Regulatory Flexibility Analysis hereto is
adopted.
259. It is further ordered that,
pursuant to section 801(a)(1)(A) of the
Congressional Review Act, 5 U.S.C.
801(a)(1)(A), the Commission shall send
a copy of the Report and Order to
Congress and to the Government
Accountability Office.
260. It is further ordered that the
Commission’s Consumer and
Governmental Affairs Bureau, Reference
Information Center, shall send a copy of
the Report and Order, including the
Final Regulatory Flexibility Analysis, to
the Chief Counsel for Advocacy of the
Small Business Administration.
List of Subjects
47 CFR Parts 1 and 2
Administrative practice and
procedure, Reporting and recordkeeping
requirements, Telecommunications.
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Authority: 15 U.S.C. 79 et seq.; 47 U.S.C.
151, 154(i), 154(j), 155, 157, 225, 227, 303(r),
309, 1403, 1404, and 1451.
47 CFR Part 27
Communications common carriers,
Radio.
§ 1.949
Federal Communications Commission.
Marlene H. Dortch,
Secretary.
[Amended]
2. Section 1.949 is amended by
removing paragraph (c).
■
PART 2—FREQUENCY ALLOCATIONS
AND RADIO TREATY MATTERS;
GENERAL RULES AND REGULATIONS
For the reasons discussed in the
preamble, the Federal Communications
Commission amends 47 CFR parts 1, 2,
and 27 as follows:
■
PART 1—PRACTICE AND
PROCEDURE
Authority: 47 U.S.C. 154, 302a, 303, and
336, unless otherwise noted.
1. The authority citation for part 1
continues to read as follows:
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3. The authority citation for part 2
continues to read as follows:
4. Section 2.106 is amended by
revising the Table of Frequency
Allocations as follows:
■
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a. Revise pages 28, 35, and 36.
■ b. In the list of United States (US)
Footnotes, add footnotes US88, US91,
US92, and US289; and remove footnotes
US201 and US393.
■ c. In the list of Non-Federal
Government (NG) Footnotes, add
footnote NG41 and remove footnotes
NG153, NG177, and NG178.
■ d. In the list of Federal Government
(G) Footnotes, remove footnote G118.
The revisions and additions read as
follows:
■
§ 2.106
*
*
Table of Frequency Allocations.
*
*
BILLING CODE: 6712–01–P
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BILLING CODE 6712–01–C
*
*
*
*
*
United States (US) Footnotes
*
*
*
*
*
US88 In the bands 1675–1695 MHz
and 1695–1710 MHz, the following
provisions shall apply:
(a) Non-Federal use of the band 1695–
1710 MHz by the fixed and mobile
except aeronautical mobile services is
restricted to stations in the Advanced
Wireless Service (AWS). Base stations
that enable AWS mobile and portable
stations to operate in the band 1695–
1710 MHz must be successfully
coordinated prior to operation as
follows: (i) All base stations within the
27 protection zones listed in paragraph
(b) that enable mobiles to operate at a
maximum e.i.r.p. of 20 dBm, and (ii)
nationwide for base stations that enable
mobiles to operate with a maximum
e.i.r.p. greater than 20 dBm, up to a
maximum e.i.r.p. of 30 dBm, unless
otherwise specified by Commission
rule, order, or notice.
(b) Forty-seven Federal earth stations
located within the protection zones
listed below operate on a co-equal,
primary basis with AWS operations. All
other Federal earth stations operate on
a secondary basis.
(1) Protection zones for Federal earth
stations receiving in the band 1695–
1710 MHz:
Latitude
Longitude
Radius
(km)
State
Location
AK ..........
AK ..........
AK ..........
AZ ..........
CA ..........
CA ..........
FL ...........
HI ...........
MD .........
MS ..........
SD ..........
VA ..........
Barrow ...............................................................................................................
Elmendorf AFB ..................................................................................................
Fairbanks ...........................................................................................................
Yuma .................................................................................................................
Monterey ............................................................................................................
Twenty-Nine Palms ...........................................................................................
Miami .................................................................................................................
Hickam AFB ......................................................................................................
Suitland ..............................................................................................................
Stennis Space Center .......................................................................................
Sioux Falls .........................................................................................................
Wallops Island ...................................................................................................
71°19′22″
61°14′08″
64°58′22″
32°39′24″
36°35′34″
34°17′46″
25°44′05″
21°19′18″
38°51′07″
30°21′23″
43°44′09″
37°56′45″
156°36′41″
149°55′31″
147°30′02″
114°36′22″
121°51′20″
116°09′44″
080°09′45″
157°57′30″
076°56′12″
089°36′41″
096°37′33″
075°27′45″
35
98
20
95
76
80
51
28
98
57
42
30
GU ..........
Andersen AFB ...................................................................................................
13°34′52″
144°55′28″
42
(2) Protection zones for Federal earth
stations receiving in the band 1675–
1695 MHz:
Location
CA ..........
CO ..........
ID ...........
IL ............
MO .........
MO .........
MS ..........
MS ..........
NE ..........
OH ..........
OK ..........
TN ..........
WV .........
Sacramento .......................................................................................................
Boulder ..............................................................................................................
Boise ..................................................................................................................
Rock Island ........................................................................................................
Kansas City .......................................................................................................
St. Louis ............................................................................................................
Columbus Lake .................................................................................................
Vicksburg ...........................................................................................................
Omaha ...............................................................................................................
Cincinnati ...........................................................................................................
Norman ..............................................................................................................
Knoxville ............................................................................................................
Fairmont ............................................................................................................
38°35′50″
39°59′26″
43°35′42″
41°31′04″
39°16′40″
38°35′26″
33°32′04″
32°20′47″
41°20′56″
39°06′10″
35°10′52″
35°57′58″
39°26′02″
121°32′34″
105°15′51″
116°13′49″
090°33′46″
094°39′44″
090°12′25″
088°30′06″
090°50′10″
095°57′34″
084°30′35″
097°26′21″
083°55′13″
080°11′33″
55
02
39
19
40
34
03
16
30
32
03
50
04
PR ..........
Guaynabo ..........................................................................................................
18°25′26″
066°06′50″
48
Note: The coordinates are specified in the
conventional manner (North latitude, West
longitude), except that the Guam (GU) entry
is specified in terms of East longitude.
tkelley on DSK3SPTVN1PROD with RULES2
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*
US91 In the band 1755–1780 MHz,
the following provisions shall apply:
(a) Non-Federal use of the band 1755–
1780 MHz by the fixed and mobile
Latitude
services is restricted to stations in the
Advanced Wireless Service (AWS). Base
stations that enable AWS mobile and
portable stations to operate in the band
1755–1780 MHz must be successfully
coordinated on a nationwide basis prior
to operation, unless otherwise specified
by Commission rule, order, or notice.
(b) In the band 1755–1780 MHz, the
Federal systems listed below operate on
Longitude
Radius
(km)
State
a co-equal, primary basis with AWS
stations. All other Federal stations in
the fixed and mobile services identified
in an approved Transition Plan will
operate on a primary basis until
reaccommodated in accordance with 47
CFR part 301.
(1) Joint Tactical Radio Systems
(JTRS) may operate indefinitely at the
following locations:
State
Training area
AZ ..........
CA ..........
LA ...........
Yuma Proving Ground ...................................................................................................................
Fort Irwin .......................................................................................................................................
Fort Polk ........................................................................................................................................
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Latitude
Sfmt 4700
E:\FR\FM\04JNR2.SGM
33°12′14″
35°23′19″
31°08′38″
04JNR2
Longitude
114°13′47″
116°37′43″
093°06′52″
Federal Register / Vol. 79, No. 107 / Wednesday, June 4, 2014 / Rules and Regulations
State
Training area
NC ..........
NM .........
TX ..........
Fort Bragg (including Camp MacKall) ...........................................................................................
White Sands Missile Range ..........................................................................................................
Fort Hood ......................................................................................................................................
(2) Air combat training system (ACTS)
stations may operate on two frequencies
within two geographic zones that are
defined by the following coordinates:
Geographic
zone
Latitude
Polygon 1 ...
41°52′00″
42°00′00″
43°31′13″
Geographic
zone
Polygon 2 ...
Longitude
117°49′00″
115°05′00″
115°47′18″
Latitude
Latitude
47°29′00″
48°13′00″
47°30′00″
44°11′00″
Longitude
111°22′00″
110°00′00″
107°00′00″
103°06′00″
Note: ACTS transmitters may cause
interference to AWS base stations between
35°09′04″
32°52′50″
31°13′50″
32409
Longitude
078°59′13″
106°23′10″
097°45′23″
separation distances of 285 km (minimum)
and 415 km (maximum).
(3) In the sub-band 1761–1780 MHz,
Federal earth stations in the space
operation service (Earth-to-space) may
transmit at the following 25 sites and
non-Federal base stations must accept
harmful interference caused by the
operation of these earth stations:
State
Site
AK ..........
CA ..........
CA ..........
CA ..........
CA ..........
CA ..........
CA ..........
CO ..........
CO ..........
FL ...........
FL ...........
FL ...........
HI ...........
MD .........
MD .........
MD .........
ME ..........
NC ..........
NH ..........
NM .........
TX ..........
VA ..........
WA .........
Fairbanks .......................................................................................................................................
Camp Parks ...................................................................................................................................
Huntington Beach ..........................................................................................................................
Laguna Peak .................................................................................................................................
Monterey ........................................................................................................................................
Sacramento ...................................................................................................................................
Vandenberg AFB ...........................................................................................................................
Buckley ..........................................................................................................................................
Schriever AFB ...............................................................................................................................
Cape Canaveral AFS ....................................................................................................................
Cape GA, CCAFB .........................................................................................................................
JIATF–S Key West ........................................................................................................................
Kaena Point, Oahu ........................................................................................................................
Annapolis .......................................................................................................................................
Blossom Point ...............................................................................................................................
Patuxent River NAS ......................................................................................................................
Prospect Harbor ............................................................................................................................
Ft Bragg ........................................................................................................................................
New Boston AFS ...........................................................................................................................
Kirtland AFB ..................................................................................................................................
Ft Hood .........................................................................................................................................
Fort Belvoir ....................................................................................................................................
Joint Base Lewis-McChord ...........................................................................................................
64°58′20″
37°43′51″
33°44′50″
34°06′31″
36°35′42″
38°39′59″
34°49′23″
39°42′55″
38°48′22″
28°29′09″
28°29′03″
24°32′36″
21°33′43″
38°59′27″
38°25′53″
38°16′28″
44°24′16″
35°09′04″
42°56′46″
34°59′06″
31°08′57″
38°44′04″
47°06′11″
147°30′59″
121°52′50″
118°02′04″
119°03′53″
121°52′28″
121°23′33″
120°30′07″
104°46′29″
104°31′41″
080°34′33″
080°34′21″
081°48′17″
158°14′31″
076°29′25″
077°05′06″
076°24′45″
068°00′46″
078°59′13″
071°37′44″
106°30′28″
097°46′12″
077°09′12″
122°33′11″
GU ..........
GU ..........
Andersen AFB ...............................................................................................................................
NAVSOC Det. Charlie ...................................................................................................................
13°36′54″
13°34′58″
144°51′22″
144°50′32″
tkelley on DSK3SPTVN1PROD with RULES2
Note: The coordinates are specified in the
conventional manner (North latitude, West
longitude), except that the Guam (GU) entries
are specified in terms of East longitude. Use
at Cape Canaveral AFS is restricted to launch
support only. If required, successfully
coordinated with all affected AWS licensees,
and authorized by NTIA, reasonable
modifications of these grandfathered Federal
systems beyond their current authorizations
or the addition of new earth station locations
may be permitted. The details of the
coordination must be filed with NTIA and
FCC.
(c) In the band 1755–1780 MHz, the
military services may conduct
Electronic Warfare (EW) operations on
Federal ranges and within associated
airspace on a non-interference basis
with respect to non-Federal AWS
operations and shall not constrain
implementation of non-Federal AWS
operations. This use is restricted to
Research, Development, Test and
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Latitude
Evaluation (RDT&E), training, and Large
Force Exercise (LFE) operations.
US92 In the band 2025–2110 MHz,
Federal use of the co-primary fixed and
mobile services is restricted to the
military services and the following
provisions apply:
(a) Federal use shall not cause
harmful interference to, nor constrain
the deployment and use of the band by,
the Television Broadcast Auxiliary
Service, the Cable Television Relay
Service, or the Local Television
Transmission Service. To facilitate
compatible operations, coordination is
required in accordance with a
Memorandum of Understanding
between Federal and non-Federal fixed
and mobile operations. Non-Federal
licensees shall make all reasonable
efforts to accommodate military mobile
and fixed operations; however, the use
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Longitude
of the band 2025–2110 MHz by the nonFederal fixed and mobile services has
priority over military fixed and mobile
operations.
(b) Military stations should, to the
extent practicable, employ frequency
agile technologies and techniques,
including the capability to tune to other
frequencies and the use of a modular
retrofit capability, to facilitate sharing of
this band with incumbent Federal and
non-Federal operations.
*
*
*
*
*
US289 In the bands 460–470 MHz
and 1690–1695 MHz, the following
provisions shall apply:
(a) In the band 460–470 MHz, space
stations in the Earth explorationsatellite service (EESS) may be
authorized for space-to-Earth
transmissions on a secondary basis with
respect to the fixed and mobile services.
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04JNR2
32410
Federal Register / Vol. 79, No. 107 / Wednesday, June 4, 2014 / Rules and Regulations
When operating in the meteorologicalsatellite service, such stations shall be
protected from harmful interference
from other EESS applications. The
power flux density produced at the
Earth’s surface by any space station in
this band shall not exceed ¥152 dBW/
m2/4 kHz.
(b) In the band 1690–1695 MHz, EESS
applications, other than the
meteorological-satellite service, may
also be used for space-to-Earth
transmissions subject to not causing
harmful interference to stations
operating in accordance with the Table
of Frequency Allocations.
*
*
*
*
*
Non-Federal Government (NG)
Footnotes
*
*
*
*
*
NG41 In the band 2120–2180 MHz,
the following provisions shall apply to
grandfathered stations in the fixed
service:
(a) In the sub-band 2160–2162 MHz,
authorizations in the Broadband Radio
Service (BRS) applied for after January
16, 1992 shall be granted on a secondary
basis to Advanced Wireless Services
(AWS). In the band 2150–2162 MHz, all
other BRS stations shall operate on a
primary basis until December 9, 2021,
and may continue to operate on a
secondary basis thereafter, unless said
facility is relocated in accordance with
47 CFR 27.1250 through 27.1255.
(b) In the sub-band 2160–2180 MHz,
fixed stations authorized pursuant to 47
CFR part 101 may continue to operate
on a secondary basis to AWS.
*
*
*
*
*
■ 5. Section 2.1033 is amended by
adding paragraph (c)(19) to read as
follows:
§ 2.1033
Application for certification.
tkelley on DSK3SPTVN1PROD with RULES2
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*
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*
(c) * * *
(19) Applications for certification of
equipment operating under part 27 of
this chapter, that a manufacturer is
seeking to certify for operation in the:
(i) 1755–1780 MHz, 2155–2180 MHz,
or both bands shall include a statement
indicating compliance with the pairing
of 1710–1780 and 2110–2180 MHz
specified in §§ 27.5(h) and 27.75 of this
chapter.
(ii) 1695–1710 MHz, 1755–1780 MHz,
or both bands shall include a statement
indicating compliance with § 27.77 of
this chapter.
*
*
*
*
*
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PART 27—MISCELLANEOUS
WIRELESS COMMUNICATIONS
SERVICES
6. The authority citation for part 27
continues to read as follows:
■
Authority: 47 U.S.C. 154, 301, 302a, 303,
307, 309, 332, 336, 337, 1403, 1404, and 1451
unless otherwise noted.
7. Section 27.1 is amended by adding
paragraphs (b)(11) through (13) to read
as follows:
■
§ 27.1
Basis and purpose.
*
*
*
*
*
(b) * * *
(11) 1695–1710 MHz.
(12) 1755–1780 MHz.
(13) 2155–2180 MHz.
*
*
*
*
*
■ 8. Section 27.5 is amended by revising
paragraph (h) to read as follows:
§ 27.5
Frequencies
*
*
*
*
*
(h) 1710–1755 MHz, 2110–2155 MHz,
1695–1710 MHz, 1755–1780 MHz, and
2155–2180 MHz bands. The following
frequencies are available for licensing
pursuant to this part in the 1710–1755
MHz, 2110–2155 MHz, 1695–1710 MHz,
1755–1780 MHz, and 2155–2180 MHz
bands:
(1) Four paired channel blocks of 10
megahertz each are available for
assignment as follows:
Block A: 1710–1720 MHz and 2110–
2120 MHz;
Block B: 1720–1730 MHz and 2120–
2130 MHz;
Block F: 1745–1755 MHz and 2145–
2155 MHz; and
Block J: 1770–1780 MHz and 2170–
2180 MHz.
(2) Six paired channel blocks of 5
megahertz each are available for
assignment as follows:
Block C: 1730–1735 MHz and 2130–
2135 MHz;
Block D: 1735–1740 MHz and 2135–
2140 MHz;
Block E: 1740–1745 MHz and 2140–
2145 MHz;
Block G: 1755–1760 MHz and 2155–
2160 MHz;
Block H: 1760–1765 MHz and 2160–
2165 MHz; and
Block I: 1765–1770 MHz and 2165–
2170 MHz.
(3) One unpaired block of 5 megahertz
and one unpaired block of 10 megahertz
each are available for assignment as
follows:
Block A1: 1695–1700 MHz
Block B1: 1700–1710 MHz
Note to paragraph (h). Licenses to operate
in the 1695–1710 MHz and 1755–1780 MHz
bands are subject to the condition that the
licensee must not cause harmful interference
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Fmt 4701
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to an incumbent Federal entity relocating
from these bands under an approved
Transition Plan. This condition remains in
effect until NTIA terminates the applicable
authorization of the incumbent Federal
entity.
*
*
*
*
*
9. Section 27.6 is amended by adding
paragraph (k) to read as follows:
■
§ 27.6
Service areas.
*
*
*
*
*
(k) 1695–1710 MHz, 1755–1780 MHz,
and 2155–2180 MHz bands. AWS
service areas for the 1695–1710 MHz,
1755–1780 MHz, and 2155–2180 MHz
bands are as follows:
(1) Service areas for Block G (1755–
1760 MHz and 2155–2160 MHz) are
based on cellular markets comprising
Metropolitan Statistical Areas (MSAs)
and Rural Service Areas (RSAs) as
defined by Public Notice Report No.
CL–92–40 ‘‘Common Carrier Public
Mobile Services Information, Cellular
MSA/RSA Markets and Counties,’’
dated January 24, 1992, DA 92–109, 7
FCC Rcd 742 (1992), with the following
modifications:
(i) The service areas of cellular
markets that border the U.S. coastline of
the Gulf of Mexico extend 12 nautical
miles from the U.S. Gulf coastline.
(ii) The service area of cellular market
306 that comprises the water area of the
Gulf of Mexico extends from 12 nautical
miles off the U.S. Gulf coast outward
into the Gulf.
(2) Service areas for Blocks H (1760–
1765 MHz and 2160–2165 MHz), I
(1765–1770 MHz and 2165–2170 MHz),
J (1770–1780 MHz and 2170–2180
MHz), A1 (1695–1700 MHz) and B1
(1700–1710 MHz) are based on
Economic Areas (EAs) as defined in
paragraph (a) of this section.
■ 10. Section 27.11is amended by
adding paragraph (j) to read as follows:
§ 27.11
Initial authorization.
*
*
*
*
*
(j) 1695–1710 MHz, 1755–1780 MHz
and 2155–2180 MHz bands. (1) Initial
authorizations for the 1695–1710 MHz
band shall be based on the frequency
blocks specified in § 27.5(h)(3) and the
corresponding service area specified in
§ 27.6(k)(2).
(2) Initial authorizations for the 1755–
1780 MHz and 2155–2180 MHz shall be
based on the paired frequency blocks
specified in § 27.5(h)(1) and (2) and the
corresponding service areas specified in
§ 27.6(k)(1) and (2).
■ 11. Section 27.13(k) is added to read
as follows:
§ 27.13
*
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License period.
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Federal Register / Vol. 79, No. 107 / Wednesday, June 4, 2014 / Rules and Regulations
(k) 1695–1710 MHz, 1755–1780 MHz,
and 2155–2180 MHz bands.
Authorizations for the 1695–1710 MHz,
1755–1780 MHz, and 2155–2180 MHz
bands will have a term not to exceed
twelve (12) years from the date of
issuance and ten (10) years from the
date of any subsequent license renewal.
■ 12. Section 27.14 is amended by
revising paragraphs (a), (f), and (k),
adding paragraph (q)(7), revising
paragraphs (r)(1) and (4) and (r)(6)(i),
and adding paragraph (s) to read as
follows:
tkelley on DSK3SPTVN1PROD with RULES2
§ 27.14 Construction requirements;
Criteria for renewal.
(a) AWS and WCS licensees, with the
exception of WCS licensees holding
authorizations for Block A in the 698–
704 MHz and 728–734 MHz bands,
Block B in the 704–710 MHz and 734–
740 MHz bands, Block E in the 722–728
MHz band, Block C, C1 or C2 in the
746–757 MHz and 776–787 MHz bands,
Block A in the 2305–2310 MHz and
2350–2355 MHz bands, Block B in the
2310–2315 MHz and 2355–2360 MHz
bands, Block C in the 2315–2320 MHz
band, and Block D in the 2345–2350
MHz band, and with the exception of
licensees holding AWS authorizations
in the 1915–1920 MHz and 1995–2000
MHz bands, the 2000–2020 MHz and
2180–2200 MHz bands, or 1695–1710
MHz, 1755–1780 MHz and 2155–2180
MHz bands, must, as a performance
requirement, make a showing of
‘‘substantial service’’ in their license
area within the prescribed license term
set forth in § 27.13. ‘‘Substantial
service’’ is defined as service which is
sound, favorable and substantially
above a level of mediocre service which
just might minimally warrant renewal.
Failure by any licensee to meet this
requirement will result in forfeiture of
the license and the licensee will be
ineligible to regain it.
*
*
*
*
*
(f) Comparative renewal proceedings
do not apply to WCS licensees holding
authorizations for the 698–746 MHz,
747–762 MHz, and 777–792 MHz bands
or licensees holding AWS
authorizations for the 1915–1920 MHz
and 1995–2000 MHz bands or the 2000–
2020 MHz and 2180–2200 MHz bands,
or the 1695–1710 MHz, or the 1755–
1780 MHz and 2155–2180 MHz bands.
These licensees must file a renewal
application in accordance with the
provisions set forth in § 1.949 of this
chapter.
*
*
*
*
*
(k) Licensees holding WCS or AWS
authorizations in the spectrum blocks
enumerated in paragraphs (g), (h), (i),
(q), (r) or (s) of this section, including
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any licensee that obtained its license
pursuant to the procedures set forth in
paragraph (j) of this section, shall
demonstrate compliance with
performance requirements by filing a
construction notification with the
Commission, within 15 days of the
expiration of the applicable benchmark,
in accordance with the provisions set
forth in § 1.946(d) of this chapter. The
licensee must certify whether it has met
the applicable performance
requirements. The licensee must file a
description and certification of the areas
for which it is providing service. The
construction notifications must include
electronic coverage maps, supporting
technical documentation and any other
information as the Wireless
Telecommunications Bureau may
prescribe by public notice.
*
*
*
*
*
(q) * * *
(7) Renewal showing. An applicant for
renewal of a geographic-area
authorization in the 2000–2020 MHz
and 2180–2200 MHz service bands must
make a renewal showing, independent
of its performance requirements, as a
condition of renewal. The showing must
include a detailed description of the
applicant’s provision of service during
the entire license period and address:
(i) The level and quality of service
provided by the applicant (including the
population served, the area served, the
number of subscribers, the services
offered);
(ii) The date service commenced,
whether service was ever interrupted,
and the duration of any interruption or
outage;
(iii) The extent to which service is
provided to rural areas;
(iv) The extent to which service is
provided to qualifying tribal land as
defined in § 1.2110(f)(3)(i) of this
chapter; and
(v) Any other factors associated with
the level of service to the public.
(r) * * *
(1) A licensee shall provide signal
coverage and offer service within four
(4) years from the date of the initial
license to at least forty (40) percent of
the population in each of its licensed
areas (‘‘Interim Buildout Requirement’’).
*
*
*
*
*
(4) If a licensee fails to establish that
it meets the Final Buildout Requirement
for a particular licensed area, its
authorization for each license area in
which it fails to meet the Final Buildout
Requirement shall terminate
automatically without Commission
action and the licensee will be ineligible
to regain it if the Commission makes the
license available at a later date.
*
*
*
*
*
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32411
(6) * * *
(i) The level and quality of service
provided by the applicant (including the
population served, the area served, the
number of subscribers, the services
offered);
*
*
*
*
*
(s) The following provisions apply to
any licensee holding an AWS
authorization in the 1695–1710 MHz,
1755–1780 MHz, and 2155–2180 MHz
bands:
(1) A licensee shall provide reliable
signal coverage and offer service within
six (6) years from the date of the initial
license to at least forty (40) percent of
the population in each of its licensed
areas (‘‘Interim Buildout Requirement’’).
(2) A licensee shall provide reliable
signal coverage and offer service within
twelve (12) years from the date of the
initial license to at least seventy-five
(75) percent of the population in each of
its licensed areas (‘‘Final Buildout
Requirement’’).
(3) If a licensee fails to establish that
it meets the Interim Buildout
Requirement for a particular licensed
area, then the Final Buildout
Requirement (in this paragraph (s)) and
the AWS license term (as set forth in
§ 27.13(k)) for each license area in
which it fails to meet the Interim
Buildout Requirement shall be
accelerated by two (2) years (from
twelve (12) to ten (10) years).
(4) If a licensee fails to establish that
it meets the Final Buildout Requirement
for a particular licensed area, its
authorization for each license area in
which it fails to meet the Final Buildout
Requirement shall terminate
automatically without Commission
action and the licensee will be ineligible
to regain it if the Commission makes the
license available at a later date.
(5) To demonstrate compliance with
these performance requirements,
licensees shall use the most recently
available U.S. Census Data at the time
of measurement and shall base their
measurements of population served on
areas no larger than the Census Tract
level. The population within a specific
Census Tract (or other acceptable
identifier) will be deemed served by the
licensee only if it provides signal
coverage to and offers service within the
specific Census Tract (or other
acceptable identifier). To the extent the
Census Tract (or other acceptable
identifier) extends beyond the
boundaries of a license area, a licensee
with authorizations for such areas may
include only the population within the
Census Tract (or other acceptable
identifier) towards meeting the
performance requirement of a single,
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individual license. For the Gulf of
Mexico license area, the licensee shall
demonstrate compliance with these
performance requirements, using offshore platforms, including production,
manifold, compression, pumping and
valving platforms as a proxy for
population in the Gulf of Mexico.
(6) An applicant for renewal of a
license covered by paragraph (s) of this
section must make a renewal showing,
independent of its performance
requirements, as a condition of each
renewal. The showing must include a
detailed description of the applicant’s
provision of service during the entire
license period and address:
(i) The level and quality of service
provided by the applicant (including the
population served, the area served, the
number of subscribers, the services
offered);
(ii) The date service commenced,
whether service was ever interrupted,
and the duration of any interruption or
outage;
(iii) The extent to which service is
provided to rural areas;
(iv) The extent to which service is
provided to qualifying tribal land as
defined in § 1.2110(f)(3)(i) of this
chapter; and
(v) Any other factors associated with
the level of service to the public.
■ 13. Section 27.15 is amended by
revising the first sentence of paragraph
(d)(1)(i), paragraph (d)(1)(iii), the first
sentence of paragraph (d)(2)(i), and
paragraph (d)(2)(iii) to read as follows:
§ 27.15 Geographic partitioning and
spectrum disaggregation.
tkelley on DSK3SPTVN1PROD with RULES2
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*
*
*
*
(d) * * *
(1) * * *
(i) Except for WCS licensees holding
authorizations for Block A in the 698–
704 MHz and 728–734 MHz bands,
Block B in the 704–710 MHz and 734–
740 MHz bands, Block E in the 722–728
MHz band, or Blocks C, C1, and C2 in
the 746–757 MHz and 776–787 MHz
bands; and for licensees holding AWS
authorizations in the 1915–1920 MHz
and 1995–2000 MHz bands, the 2000–
2020 MHz and 2180–2200 MHz bands;
or the 1695–1710 MHz, 1755–1780 MHz
and 2155–2180 MHz bands, the
following rules apply to WCS and AWS
licensees holding authorizations for
purposes of implementing the
construction requirements set forth in
§ 27.14. * * *
*
*
*
*
*
(iii) For licensees holding AWS
authorizations in the 1915–1920 MHz
and 1995–2000 MHz bands, or the
2000–2020 MHz and 2180–2200 MHz
bands, or the 1695–1710 MHz, 1755–
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1780 MHz and 2155–2180 MHz bands,
the following rules apply for purposes
of implementing the construction
requirements set forth in § 27.14. Each
party to a geographic partitioning must
individually meet any service-specific
performance requirements (i.e.,
construction and operation
requirements). If a partitioner or
partitionee fails to meet any servicespecific performance requirements on or
before the required date, then the
consequences for this failure shall be
those enumerated in § 27.14(q) for
2000–2020 MHz and 2180–2200 MHz
licenses, those enumerated in § 27.14(r)
for 1915–1920 MHz and 1995–2000
MHz licenses, and those enumerated in
§ 27.14(s) for 1695–1710 MHz, 1755–
1780 MHz and 2155–2180 MHz
licenses.
(2) * * *
(i) Except for WCS licensees holding
authorizations for Block A in the 698–
704 MHz and 728–734 MHz bands,
Block B in the 704–710 MHz and 734–
740 MHz bands, Block E in the 722–728
MHz band, or Blocks C, C1, and C2 in
the 746–757 MHz and 776–787 MHz
bands; and for licensees holding AWS
authorizations in the 1915–1920 MHz
and 1995–2000 MHz bands, the 2000–
2020 MHz and 2180–2200 MHz bands
or the 1695–1710 MHz, 1755–1780 MHz
and 2155–2180 MHz bands; the
following rules apply to WCS and AWS
licensees holding authorizations for
purposes of implementing the
construction requirements set forth in
§ 27.14. * * *
*
*
*
*
*
(iii) For licensees holding AWS
authorizations in the 1915–1920 MHz
and 1995–2000 MHz bands, or the
2000–2020 MHz and 2180–2200 MHz
bands, or the 1695–1710 MHz, 1755–
1780 MHz and 2155–2180 MHz bands,
the following rules apply for purposes
of implementing the construction
requirements set forth in § 27.14. Each
party to a spectrum disaggregation must
individually meet any service-specific
performance requirements (i.e.,
construction and operation
requirements). If a disaggregator or a
disaggregatee fails to meet any servicespecific performance requirements on or
before the required date, then the
consequences for this failure shall be
those enumerated in § 27.14(q) for
2000–2020 MHz and 2180–2200 MHz
licenses, those enumerated in § 27.14(r)
for 1915–1920 MHz and 1995–2000
MHz licenses, and those enumerated in
§ 27.14(s) for 1695–1710 MHz, 1755–
1780 MHz and 2155–2180 MHz.
■ 14. Section 27.17 is revised to read as
follows:
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§ 27.17 Discontinuance of service in the
1695–1710 MHz, 1755–1780 MHz, 1915–1920
MHz, 1995–2000 MHz, 2000–2020 MHz,
2155–2180 MHz, and 2180–2200 MHz bands.
(a) Termination of authorization. An
AWS authorization in the 1695–1710
MHz, 1755–1780 MHz, 1915–1920 MHz,
1995–2000 MHz, 2000–2020 MHz,
2155–2180 MHz, and 2180–2200 MHz
bands will automatically terminate,
without specific Commission action, if
the licensee permanently discontinues
service either during the initial license
term or during any subsequent license
term, as follows:
(1) After the interim buildout
deadline as specified in § 27.14(r) or (s),
as applicable (where the licensee meets
the interim buildout requirement), or
after the accelerated final buildout
deadline (where the licensee failed to
meet the interim buildout requirement).
(2) After the AWS–4 final buildout
deadline as specified in § 27.14(q)(1)
(where the licensee meets the AWS–4
interim buildout requirement), or after
the accelerated final buildout deadline
specified in § 27.14(q)(3) (where the
licensee failed to meet its AWS–4
interim buildout requirement).
(b) For licensees with common carrier
or non-common carrier regulatory status
that hold AWS authorizations in the
1695–1710 MHz, 1755–1780 MHz,
1915–1920 MHz, 1995–2000 MHz,
2000–2020 MHz, 2155–2180 MHz, and
2180–2200 MHz bands, permanent
discontinuance of service is defined as
180 consecutive days during which a
licensee does not provide service to at
least one subscriber that is not affiliated
with, controlled by, or related to the
licensee. For licensees with private,
internal regulatory status that hold AWS
authorizations in the 1695–1710 MHz,
1755–1780 MHz, 1915–1920 MHz,
1995–2000 MHz, 2000–2020 MHz,
2155–2180 MHz, and 2180–2200 MHz
bands, permanent discontinuance of
service is defined as 180 consecutive
days during which a licensee does not
operate.
(c) Filing Requirements. A licensee
that holds an AWS authorization in the
1695–1710 MHz, 1755–1780 MHz,
1915–1920 MHz, 1995–2000 MHz,
2000–2020 MHz, 2155–2180 MHz, and
2180–2200 MHz bands that permanently
discontinues service as defined in this
section must notify the Commission of
the discontinuance within 10 days by
filing FCC Form 601 or 605 requesting
license cancellation. An authorization
will automatically terminate, without
specific Commission action, if service is
permanently discontinued as defined in
this section, even if a licensee fails to
file the required form requesting license
cancellation.
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15. Section 27.50 is amended by
revising paragraph (d) to read as
follows:
■
§ 27.50
Power limits and duty cycle.
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*
*
(d) The following power and antenna
height requirements apply to stations
transmitting in the 1695–1710 MHz,
1710–1755 MHz, 1755–1780 MHz,
1915–1920 MHz, 1995–2000 MHz,
2000–2020 MHz, 2110–2155 MHz,
2155–2180 MHz and 2180–2200 MHz
bands:
(1) The power of each fixed or base
station transmitting in the 1995–2000
MHz, 2110–2155 MHz, 2155–2180 MHz
or 2180–2200 MHz band and located in
any county with population density of
100 or fewer persons per square mile,
based upon the most recently available
population statistics from the Bureau of
the Census, is limited to:
(i) An equivalent isotropically
radiated power (EIRP) of 3280 watts
when transmitting with an emission
bandwidth of 1 MHz or less;
(ii) An EIRP of 3280 watts/MHz when
transmitting with an emission
bandwidth greater than 1 MHz.
(2) The power of each fixed or base
station transmitting in the 1995–2000
MHz, the 2110–2155 MHz 2155–2180
MHz band, or 2180–2200 MHz band and
situated in any geographic location
other than that described in paragraph
(d)(1) of this section is limited to:
(i) An equivalent isotropically
radiated power (EIRP) of 1640 watts
when transmitting with an emission
bandwidth of 1 MHz or less;
(ii) An EIRP of 1640 watts/MHz when
transmitting with an emission
bandwidth greater than 1 MHz.
(3) A licensee operating a base or
fixed station in the 2110–2155 MHz
band utilizing a power greater than 1640
watts EIRP and greater than 1640 watts/
MHz EIRP must coordinate such
operations in advance with all
Government and non-Government
satellite entities in the 2025–2110 MHz
band. A licensee operating a base or
fixed station in the 2110–2180 MHz
band utilizing power greater than 1640
watts EIRP and greater than 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 operating in this band: All
Broadband Radio Service (BRS)
licensees authorized under this part in
the 2155–2160 MHz band and all
advanced wireless services (AWS)
licensees authorized to operate on
adjacent frequency blocks in the 2110–
2180 MHz band.
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(4) Fixed, mobile, and portable (handheld) stations operating in the 1710–
1755 MHz band and mobile and
portable stations operating in the 1695–
1710 MHz and 1755–1780 MHz bands
are limited to 1 watt EIRP. Fixed
stations operating in the 1710–1755
MHz band are limited to a maximum
antenna height of 10 meters above
ground. Mobile and portable stations
operating in these bands must employ a
means for limiting power to the
minimum necessary for successful
communications.
*
*
*
*
*
■ 16. Section 27.53 is amended by
redesignating paragraphs (d) through
(m) as paragraphs (e) through (n),
adding and reserving new paragraph (d),
and revising newly redesignated
paragraph (h)(1) to read as follows:
§ 27.53
Emission limits.
*
*
*
*
*
(h) * * *
(1) General protection levels. Except
as otherwise specified below, for
operations in the 1695–1710 MHz,
1710–1755 MHz, 1755–1780 MHz,
1915–1920 MHz, 1995–2000 MHz,
2000–2020 MHz, 2110–2155 MHz,
2155–2180 MHz, and 2180–2200 bands,
the power of any emission outside a
licensee’s frequency block shall be
attenuated below the transmitter power
(P) in watts by at least 43 + 10 log10 (P)
dB.
*
*
*
*
*
■ 17. Section 27.55 is amended by
revising paragraph (a)(1) to read as
follows:
§ 27.55
Power strength limits.
(a) * * *
(1) 1995–2000 MHz, 2110–2155,
2155–2180, 2180–2200, 2305–2320, and
2345–2360 MHz bands: 47 dBmV/m.
*
*
*
*
*
■ 18. Section 27.57 is amended by
revising paragraph (c) to read as follows:
§ 27.57
International coordination.
*
*
*
*
*
(c) Operation in the 1695–1710 MHz,
1710–1755 MHz, 1755–1780 MHz,
1915–1920 MHz, 1995–2000 MHz,
2000–2020 MHz, 2110–2155 MHz,
2155–2180 MHz, and 2180–2200 MHz
bands is subject to international
agreements with Mexico and Canada.
■ 19. Section 27.75 is added to read as
follows:
§ 27.75
Basic interoperability requirement.
(a)(1) Mobile and portable stations
that operate on any portion of
frequencies in the paired 1755–1780
MHz and 2155–2180 MHz band must be
capable of operating on all frequencies
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32413
in the paired 1710–1780 MHz and
2110–2180 MHz band, using the same
air interfaces that the equipment utilizes
on any frequencies in the paired 1710–
1780 MHz and 2110–2180 MHz band.
(2) [Reserved]
(b) The basic interoperability
requirement in paragraph (a) of this
section does not require a licensee to
use any particular industry standard.
Devices may also contain functions that
are not operational in U.S. Territories.
■ 20. Section 27.77 is added to read as
follows:
§ 27.77 Restriction on mobile and portable
equipment in the 1695–1710 MHz and 1755–
1780 MHz bands.
Mobile and portable stations in the
1695–1710 MHz and 1755–1780 MHz
bands may operate only when under the
control of a base station. Base stations
that enable mobile or portable
equipment to operate in the 1695–1710
MHz and 1755–1780 MHz band are
subject to prior coordination
requirements. See § 27.1134 (Protection
of Federal Government operations).
■ 21. Part 27 is amended by revising the
heading for subpart L to read as follows:
Subpart L—1695–1710 MHz, 1710–1755
MHz, 1755–1780 MHz, 2110–2155 MHz,
2155–2180 MHz, 2180–2200 MHz Bands
22. Section 27.1105 is added to read
as follows:
■
§ 27.1105 1695–1710 MHz, 1755–1780 MHz
and 2155–2180 MHz bands subject to
competitive bidding.
Mutually exclusive initial
applications for 1695–1710 MHz, 1755–
1780 MHz, and 2155–2180 MHz band
licenses are subject to competitive
bidding. The general competitive
bidding procedures set forth in 47 CFR
part 1, subpart Q will apply unless
otherwise provided in this subpart.
■ 23. Section 27.1106 is added to read
as follows:
§ 27.1106 Designated Entities in the 1695–
1710 MHz, 1755–1780 MHz, and 2155–2180
MHz bands.
Eligibility for small business
provisions:
(a) Small business. (1) A small
business is an entity that, together with
its affiliates, its controlling interests, the
affiliates of its controlling interests, and
the entities with which it has an
attributable material relationship, has
average gross revenues not exceeding
$40 million for the preceding three (3)
years.
(2) A very small business is an entity
that, together with its affiliates, its
controlling interests, the affiliates of its
controlling interests, and the entities
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with which it has an attributable
material relationship, has average gross
revenues not exceeding $15 million for
the preceding three (3) years.
(b) Bidding credits. A winning bidder
that qualifies as a small business as
defined in this section or a consortium
of small businesses may use the bidding
credit specified in § 1.2110(f)(2)(iii) of
this chapter. A winning bidder that
qualifies as a very small business as
defined in this section or a consortium
of very small businesses may use the
bidding credit specified in
§ 1.2110(f)(2)(ii) of this chapter.
■ 24. Section 27.1111 is revised to read
as follows:
§ 27.1111 Relocation of fixed microwave
service licensees in the 2110–2150 and
2160–2200 MHz bands.
Part 22, subpart E and part 101,
subpart B of this chapter contain
provisions governing the relocation of
incumbent fixed microwave service
licensees in the 2110–2150 MHz and
2160–2200 MHz bands.
■ 25. Section 27.1131 is revised to read
as follows:
§ 27.1131 Protection of Part 101
operations.
All AWS licensees, prior to initiating
operations from any base or fixed
station, must coordinate their frequency
usage with co-channel and adjacentchannel incumbent, 47 CFR part 101
fixed-point-to-point microwave
licensees operating in the 2110–2150
MHz and 2160–2200 MHz bands.
Coordination shall be conducted in
accordance with the provisions of
§ 24.237 of this chapter.
■ 26. Section 27.1132 is amended to
read as follows:
§ 27.1132 Protection of incumbent
operations in the 2150–2160/62 MHz band.
All AWS licensees, prior to initiating
operations from any base or fixed
station in the 2110–2180 MHz band,
shall follow the provisions of § 27.1255.
■ 27. Section 27.1134 is amended by
revising paragraph (c) and adding
paragraph (f) to read as follows:
§ 27.1134 Protection of Federal
Government operations.
tkelley on DSK3SPTVN1PROD with RULES2
*
*
*
*
*
(c) Protection of Federal operations in
the 1675–1710 MHz band. (1) 27
Protection Zones. Within 27 Protection
Zones, prior to operating a base station
that enables mobile or portable stations
to transmit in the 1695–1710 MHz band,
licensees must successfully coordinate
such base station operations with
Federal Government entities operating
meteorological satellite Earth-station
receivers in the 1675–1710 MHz band.
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See 47 CFR 2.106, footnote US 88, for
the 27 Protection Zones and other
details.
(2) Operation outside of 27 Protection
Zones. Non-Federal operations, for
mobile and portable stations operating
at a maximum EIRP of 20 dBm, are
permitted outside of the protection
zones without coordination. All nonFederal operations for mobile and
portables operating at a maximum EIRP
of greater than 20 dBm and up to 30
dBm must be coordinated nationwide.
All such operations may not cause
harmful interference to the Federal
operations protected in 47 CFR 2.106,
footnote US 88.
(3) Interference. If protected Federal
operations receive harmful interference
from AWS operations in the 1695–1710
MHz band, an AWS licensee must, upon
notification, modify its operations and/
or technical parameters as necessary to
eliminate the interference.
(4) Point of contact. AWS licensees in
the 1695–1710 MHz band must provide
and maintain a point of contact at all
times so that immediate contact can be
made should interference against
protected Federal sites occur.
(5) Coordination procedures. Federal
use of the radio spectrum is generally
governed by the National
Telecommunications and Information
Administration (NTIA) while nonFederal use is governed by the
Commission. As such, any guidance or
details concerning Federal/non-Federal
coordination must be issued jointly by
NTIA and the Commission. The
Commission may jointly issue with
NTIA one or more public notices with
guidance or details concerning the
coordination procedures for the 1695–
1710 MHz band.
(6) Requirements for licensees
operating in the 1710–1755 MHz band.
AWS licensees operating fixed stations
in the 1710–1755 MHz band, if notified
that such stations are causing
interference to radiosonde receivers
operating in the Meteorological Aids
Service in the 1675–1700 MHz band or
a meteorological-satellite earth receiver
operating in the Meteorological-Satellite
Service in the 1675–1710 MHz band,
shall be required to modify the stations’
location and/or technical parameters as
necessary to eliminate the interference.
*
*
*
*
*
(f) Protection of Federal operations in
the 1755–1780 MHz band. The Federal
Government operates communications
systems in the 1755–1780 MHz band.
Certain systems are expected to
continue to operate in the band
indefinitely. All other operations will be
relocating to other frequencies or
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otherwise cease operations in the 1755–
1780 MHz band in accordance with 47
CFR part 301. Until such a time as
Federal operations in the 1755–1780
MHz bands vacate this spectrum, AWS
licensees shall protect such systems and
must accept any interference received
from these Federal operations. See 47
CFR 2.106, footnote US 91, for details.
AWS licensees must successfully
coordinate proposed operations with all
Federal incumbents prior to operation
as follows:
(1) Protection Zone(s). A protection
zone is established for each Federal
operation pursuant to 47 CFR 2.106,
footnote US 91. Unless otherwise
specified in later Commission actions,
the default protection zone is
nationwide. A base station which
enables mobile or portable stations to
transmit in the 1755–1780 MHz band
may not operate within the Protection
Zone(s) of a Federal operation until the
licensee successfully coordinates such
base station operations with Federal
Government entities as follows
depending on the type of Federal
incumbent authorization:
(i) Federal US&P Assignments. Each
AWS licensee must coordinate with
each Federal agency that has U.S. and
Possessions (US&P) authority prior to its
first operations in its licensed area to
reach a coordination arrangement with
each US&P agency on an operator-tooperator basis. (Agencies with U.S. and
Possessions (US&P) authority do not
operate nationwide and may be able to
share, prior to relocation, in some
areas.)
(ii) Other Federal Assignments. Each
AWS licensee must successfully
coordinate all base station operations
within a Protection Zone with the
Federal incumbents. The default
requirement is a nationwide
coordination zone with possible
revisions to the Protection Zone and
other details to be announced in a Joint
FCC/NTIA public notice.
(2) Interference. If protected Federal
operations receive harmful interference
from AWS operations in the 1755–1780
MHz band, an AWS licensee must, upon
notification, modify its operations and/
or technical parameters as necessary to
eliminate the interference.
(3) Point of contact. AWS licensees in
the 1755–1780 MHz band must provide
and maintain a point of contact at all
times so that immediate contact can be
made should interference against
protected Federal operations occur.
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(4) Coordination procedures. Federal
use of the radio spectrum is generally
governed by the National
Telecommunications and Information
Administration (NTIA) while nonFederal use is governed by the
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Commission. As such, any guidance or
details concerning Federal/non-Federal
coordination must be issued jointly by
NTIA and the Commission. The
Commission may jointly issue with
NTIA one or more public notices with
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guidance or details concerning the
coordination procedures for the 1755–
1780 MHz band.
[FR Doc. 2014–11235 Filed 6–3–14; 8:45 am]
BILLING CODE 6712–01–P
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Agencies
[Federal Register Volume 79, Number 107 (Wednesday, June 4, 2014)]
[Rules and Regulations]
[Pages 32365-32415]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2014-11235]
[[Page 32365]]
Vol. 79
Wednesday,
No. 107
June 4, 2014
Part II
Federal Communications Commission
-----------------------------------------------------------------------
47 CFR Parts 1, 2, and 27
Commercial Operations in the 1695-1710 MHz, 1755-1780 MHz, and 2155-
2180 MHz Bands; Final Rule
Federal Register / Vol. 79 , No. 107 / Wednesday, June 4, 2014 /
Rules and Regulations
[[Page 32366]]
-----------------------------------------------------------------------
FEDERAL COMMUNICATIONS COMMISSION
47 CFR Parts 1, 2, and 27
[GN Docket No. 13-185; FCC 14-31]
Commercial Operations in the 1695-1710 MHz, 1755-1780 MHz, and
2155-2180 MHz Bands
AGENCY: Federal Communications Commission.
ACTION: Final rule.
-----------------------------------------------------------------------
SUMMARY: In this document, the Federal Communications Commission
(Commission) adopts rules governing use of spectrum in the 1695-1710
MHz, 1755-1780 MHz, and 2155-2180 MHz bands that will make available
significantly more commercial spectrum for Advanced Wireless Services.
This additional 65 megahertz of spectrum for commercial use will help
ensure that the speed, capacity, and ubiquity of the nation's wireless
networks keeps pace with industry demands for wireless service. This is
another step in implementing the Congressional directive in Title VI of
the Middle Class Tax Relief and Job Creation Act of 2012 to make more
spectrum available for flexible uses.
DATES: Effective July 7, 2014 except for the amendment to 47 CFR 2.106
adding Fixed and Mobile allocations for the 2025-2110 MHz band to the
Federal Table of Frequency Allocations, which will become effective
after the Commission publishes a document in the Federal Register
announcing the relevant effective date, and except for 47 CFR
2.1033(c)(19)(i)-(ii); 27.14(k), (s); 27.17(c); 27.50(d)(3); 27.1131;
27.1132; 27.1134(c), (f), which contain new or modified information
collection requirements that are not effective until approved by the
Office of Management and Budget. The Commission will publish a document
in the Federal Register announcing the effective date for those
sections.
ADDRESSES: Federal Communications Commission, 445 12th Street SW.,
Washington, DC 20554. A copy of any comments on the Paperwork Reduction
Act information collection requirements contained herein should be
submitted to the Federal Communications Commission via email to
PRA@fcc.gov and to Cathy Williams, Federal Communications Commission,
Room 1-C823, 445 12th Street SW., Washington, DC 20554 or via the
Internet at Cathy.Williams@fcc.gov.
FOR FURTHER INFORMATION CONTACT: Ronald Repasi, Office of Engineering
and Technology, at (202) 418-0768 or Ronald.Repasi@fcc.gov or Peter
Daronco, Broadband Division, Wireless Telecommunications Bureau, at
(202) 418-7235 or Peter.Daronco@fcc.gov. For additional information
concerning the Paperwork Reduction Act information collection
requirements contained in this document, contact Cathy Williams at
(202) 418-2918, or via the Internet at PRA@fcc.gov.
SUPPLEMENTARY INFORMATION: This is a summary of the Commission's AWS-3
Report and Order, FCC 14-31, adopted and released on March 31, 2014
(corrected by Erratum, released on May 6, 2014. The full text of this
document is available for inspection and copying during normal business
hours in the FCC Reference Information Center, Room CY-A257, 445 12th
Street SW., Washington, DC 20554. The complete text may be purchased
from the Commission's duplicating contractor, Best Copy and Printing,
Inc. (BCPI), Portals II, 445 12th Street SW., Room CY-B402, Washington,
DC 20554, (202) 488-5300, facsimile (202) 488-5563, or via email at
fcc@bcpiweb.com. The complete text is also available on the
Commission's Web site at https://fjallfoss.fcc.gov/edocs_public/attachmatch/FCC-14-31A1.docx. Alternative formats (computer diskette,
large print, audio cassette, and Braille) are available by contacting
Brian Millin at (202) 418-7426, TTY (202) 418-7365, or via email to
bmillin@fcc.gov.
Summary
1. With the Report and Order, we adopt rules governing use of
spectrum in the 1695-1710 MHz, 1755-1780 MHz, and 2155-2180 MHz bands
that will make available significantly more commercial spectrum for
Advanced Wireless Services (AWS). We refer to these bands as AWS-3.
This action is another step in implementing the Congressional directive
in Title VI of the Middle Class Tax Relief and Job Creation Act of
2012, Public Law 112-96, 126 Stat. 156 (2012) (Spectrum Act) to make
more spectrum available for flexible uses. It also represents a
milestone in speeding commercial access to bands through spectrum-
sharing arrangements with incumbent Federal users. In particular, 40
megahertz in the band is being made available for commercial use
pursuant to collaboration among the wireless industry and Federal
agencies facilitated by the Commerce Spectrum Management Advisory
Committee (CSMAC) chartered to advise the National Telecommunications
and Information Administration (NTIA).
2. We will license the AWS-3 spectrum in two sub-bands. We will
pair the 2155-2180 MHz band for downlink/base station operations with
the 1755-1780 MHz band for uplink/mobile operations. The 2155-2180 MHz
band is already currently allocated for non-Federal, commercial use.
The 1755-1780 MHz band is being made available on a shared basis with a
limited number of Federal incumbents indefinitely, while many of the
Federal systems will over time relocate out of the band. We also adopt
rules to allocate and license the 1695-1710 MHz band for uplink/mobile
operations on an unpaired shared basis with incumbent Federal
meteorological-satellite (MetSat) data users. We will assign AWS-3
licenses by competitive bidding, offering 5 megahertz and 10 megahertz
blocks that can be aggregated using Economic Areas (EAs) as the area
for geographic licensing, except for 1755-1760/2155-2160 MHz, which
will be licensed by Cellular Market Areas (CMAs).
I. Background
3. Section 6401 of the Spectrum Act. In February 2012, Congress
enacted the Spectrum Act. That Act includes several provisions designed
to make more spectrum available for commercial use. It established,
among other things, deadlines applicable to both the Secretary of
Commerce and the Commission to identify, reallocate, auction, and
license, subject to flexible use service rules, spectrum for commercial
use. Specifically, the Spectrum Act requires the allocation of spectrum
in the following bands for services that support commercial use: 25
megahertz at 2155-2180 MHz; an additional contiguous 15 megahertz to be
identified by the Commission; 15 megahertz between 1675-1710 MHz, to be
identified by NTIA by February 2013; and 10 megahertz at 1915-1920 MHz
and 1995-2000 MHz, if the Commission finds no harmful interference to
the neighboring Personal Communications Service (PCS) band. The
Spectrum Act states that the Commission shall grant new initial
licenses for all of these bands by February 2015. In June 2013 the FCC
adopted service rules for the last of these four bands listed above
(1915-1920 and 1995-2000 MHz, or the H Block) in a separate FCC
proceeding and the Commission completed the H Block auction on February
27, 2014.
4. The Spectrum Act also amended the Commercial Spectrum
Enhancement Act, Public Law 108-494, 118 Stat. 3986, 3991 (2004),
codified at 47 U.S.C. 309(j), 923(g), 928 (CSEA). In 2004, the CSEA
created the Spectrum Relocation
[[Page 32367]]
Fund (SRF) to streamline the process by which Federal incumbents can
recover the costs associated with relocating their spectrum-dependent
systems from spectrum bands authorized to be licensed under the
Commission's competitive bidding authority. See 47 U.S.C. 309(j), 928.
The Spectrum Act extended the CSEA cost reimbursement mechanism for
Federal incumbents to include sharing as well as relocation costs, and
to facilitate Federal incumbents sharing of spectrum with commercial
users by expanding the types of expenditures that can be funded or
reimbursed from the SRF. These changes are intended to permit agencies
to receive funds associated with planning for Commission auctions and
relocations, spectrum sharing, the use of alternative technologies, the
replacement of existing government-owned equipment with state-of-the-
art systems, and the research, engineering studies, and economic
analyses conducted in connection with spectrum sharing arrangements,
including coordination with auction winners. The Spectrum Act also
created a new category of allowable pre-auction costs that may, in
certain circumstances, be funded before the start of a Commission
auction of licenses for applicable eligible frequencies.
5. The conclusion of any auction of eligible frequencies
reallocated from Federal use to non-Federal use or to shared use is
contingent on obtaining from such auction cash proceeds amounting to at
least 110 percent of the total estimated relocation or sharing costs
provided to the Commission by NTIA. Proceeds attributable to the 2155-
2180 MHz, 1915-1920 MHz, and 1995-2000 MHz non-Federal bands must also
be deposited in the PSTF. The Spectrum Act establishes the priority for
making payments or deposits from the PSTF as amounts are deposited into
the Fund. Spectrum Act section 6413(b), codified at 47 U.S.C. 1457(b).
Once the relocation and sharing costs of the Federal incumbents are
covered, however, the remainder of the proceeds attributable to
eligible Federal frequencies required to be auction under the Spectrum
Act must be deposited in the Public Safety Trust Fund (PSTF) rather
than the SRF.
6. CSEA Transition Planning Process. The CSEA also requires the
Commission to notify NTIA at least 18 months before the start of an
auction of eligible frequencies and for NTIA to notify the Commission
of estimated relocation and sharing costs associated therewith, and
timelines for such relocation or sharing, at least 6 months before the
start of the auction. On March 20, 2013, the Commission notified NTIA
that it ``plans to commence the auction of licenses in the 1695-1710
MHz band and the 1755-1780 MHz band as early as September 2014'' in
order to satisfy the Spectrum Act licensing deadline of February 2015.
NTIA subsequently notified the affected agencies of their requirement
to prepare transition plans.
7. As noted above, the Spectrum Act amended the CSEA to expand the
types of costs for which Federal agencies can be reimbursed from the
Spectrum Relocation Fund. It also required the Department of Commerce
to adopt a common format for Transition Plans, create an expert
Technical Panel to review the sufficiency of these transition plans,
and adopt a process to resolve disputes regarding the execution,
timing, or cost of transition plans. The Technical Panel consists of
three members, one appointed by the Director of the Office of
Management and Budget (OMB), one appointed by the Assistant Secretary
of Commerce for Communications and Information, and one appointed by
the Chairman of the Federal Communications Commission. Each member must
be a radio engineer or a technical expert. 47 U.S.C. 923(h)(3)(B); see
47 CFR 301.100. The Technical Panel reviews each Federal entity's
transition plan and reports on its sufficiency. 47 U.S.C. 923(h)(4);
see 47 CFR 301.120.
8. The Spectrum Act amendments to the CSEA require Federal agencies
authorized to use eligible frequencies to submit a Transition Plan to
NTIA and the Technical Panel no later than 240 days (i.e., 8 months)
before the auction start date. The amendments further require the
Technical Panel to submit to NTIA and the applying Federal agency a
report on the sufficiency of the Transition Plan no later than 30 days
after the submission of the plan (i.e., 7 months, or 210 days, before
the auction start date). NTIA must make the Transition Plans available
on its Web site with the exception of classified and other sensitive
information, no later than 120 days (i.e., 4 months) before the auction
start date. 47 U.S.C. 923(h)(5). See also Common Format for Federal
Entity Transition Plans, Notice of Inquiry in Doc No. 130809701-3701-
01, 78 FR 50396, Aug. 19, 2013.
9. CSMAC Working Groups. As discussed in the AWS-3 NPRM, NTIA
established five joint government/industry working groups within its
CSMAC to facilitate the implementation of services that support
commercial use in the 1695-1710 MHz and 1755-1850 MHz bands. Working
Group 1 (WG1) was charged with addressing sharing issues related to the
1675-1710 MHz band, while Working Groups 2-5 were charged with
addressing sharing issues related to Federal operations in the 1755-
1850 MHz band. WG1's final report, adopted by CSMAC on February 21,
2013, recommended that the Commission adopt a framework for
reallocating the 1695-1710 MHz band for commercial use with
``Protection Zones.'' Under this framework, commercial operations could
be freely deployed outside of these ``Protection Zones.'' Operations
inside these ``Protection Zones,'' however, would require prior
successful Federal coordination. With respect to the 1755-1850 MHz
band, only WG2's final report was completed before the AWS-3 NPRM was
released. The Commission noted that the record of the instant
proceeding would be informed by NTIA's subsequent recommendations
regarding CSMAC's then ongoing study of the potential for Federal/non-
Federal spectrum sharing. If NTIA endorsed these reports, the
Commission would add them to the record for commenters to discuss in
comments, reply comments, or ex parte presentations, as appropriate,
depending on the timing. AWS-3 NPRM, 28 FCC Rcd at 11491 para. 19. See
also Wireless Telecommunications Bureau and Office of Engineering and
Technology Exempt Certain Ex Parte Presentations in GN Docket No. 13-
185, Public Notice, 28 FCC Rcd 12268 (2013).
10. DoD Proposal. The AWS-3 NPRM also sought comment on two
specific proposals for facilitating wireless industry access to the
1755-1780 MHz portion of the 1755-1850 MHz band, including the
Department of Defense Alternative Proposal (DoD Proposal). Letter from
Karl B. Nebbia, Associate Administrator, Office of Spectrum Management,
NTIA, to Julius P. Knapp, Chief, Office of Engineering and Technology,
FCC, at 1 (July 22, 2013) (GN Docket No. 09-51, ET Docket 10-123) (NTIA
July 2013 Letter). See also id., Enclosure 1 (Letter from Teresa M.
Takai, Chief Information Officer, DoD, to Lawrence E. Strickling,
Assistant Secretary for Communications and Information, NTIA, U.S.
Dept. of Commerce (July 17 2013). The other proposal was the ``Industry
Roadmap.'' See AWS-3 NPRM, 28 FCC Rcd at 11514 para. 78. Under the DoD
Proposal, the Commission would be able to auction licenses in the 1755-
1780 MHz band in the near term, while protecting DoD's critical
capabilities and preserving the flexibility necessary to address the
long-term status of the remaining (1780-1850 MHz) portion of this band.
DoD proposed to relocate most of its
[[Page 32368]]
operations out of the 1755-1780 MHz band by shifting and compressing
some operations now at 1755-1850 MHz into the 1780-1850 MHz band and by
relocating other operations on a shared basis to the 2025-2110 MHz
band. DoD estimated the cost of implementing its proposal at $3.5
billion. NTIA July 2013 Letter, Enclosure 1. Under the DoD Proposal,
DoD would not seek access to the 5150-5250 MHz band for telemetry. NTIA
July 2013 Letter, Enclosure 1.
11. NTIA Endorsement of CSMAC Reports and DoD Proposal. In a letter
filed with the Commission on November 25, 2013, NTIA endorsed the
remaining CSMAC reports and transmitted final versions of all five
reports to the Commission, which we added to the record of this
proceeding. Letter from Letter from Karl B. Nebbia, Associate
Administrator, NTIA Office of Spectrum Management to Julius Knapp,
Federal Communications Commission at 1 (dated Nov. 25, 2013) (NTIA
November 2013 Letter). NTIA also fully endorsed the DoD Proposal to
relocate most of its operations out of the 1755-1780 MHz band and to
gain additional access to the 2025-2110 MHz band by adding primary
fixed and mobile allocations to the Federal Table of Frequency
Allocations limited to certain military operations with protection and
priority for non-Federal fixed and mobile operators in the Television
Broadcast Auxiliary Service (BAS), the Cable Television Relay Service
(CARS), or the Local Television Transmission Service (LTTS). NTIA
clarified that coordination between military and these non-Federal
operations should occur via a memorandum of understanding between the
Federal and non-Federal fixed and mobile operators. Under this
framework DoD operations would share the 2025-2110 MHz band with BAS,
CARS, and LTTS, thus enabling DoD to relocate some military operations
from the 1755-1780 MHz band to the 2025-2110 MHz band for those
operations that could not compress into the 1780-1850 MHz band or could
not relocate to other bands allocated for Federal use.
II. Discussion
A. Bands for AWS-3
12. In the AWS-3 NPRM, the Commission proposed AWS-3 service rules
for the 1695-1710 MHz, 1755-1780 MHz, 2020-2025 MHz, and 2155-2180 MHz
bands. We discuss each band below.
13. 1695-1710-MHz. As discussed in the AWS-3 NPRM, in accordance
with the Spectrum Act's mandate to identify new commercial spectrum for
auction, NTIA identified 1695-1710 MHz for commercial services. The
1695-1710 MHz band is immediately below the AWS-1 uplink band at 1710-
1755 MHz. The 1675-1700 MHz band segment is allocated to the
meteorological aids service and restricted to radiosonde operation.
This portion of the band is also allocated to the MetSat service and is
restricted to space-to-Earth operation on a primary basis for Federal
and non-Federal use. The 1700-1710 MHz segment is allocated to the
fixed and MetSat service on a primary basis for Federal and on a
secondary basis for non-Federal use, and restricted to space-to-Earth
operation.
14. Uplink Designation, Block Size and Service Area Size. In the
AWS-3 NPRM, to implement NTIA's endorsement of the CSMAC WG1 Final
Report, the Commission proposed to limit use of the 1695-1710 MHz band
to mobile/uplink operations subject to successful coordination with
Federal incumbents prior to operation within 27 Protection Zones. To
implement this coordination requirement, the Commission proposed to
require all uplink operations in this band to transmit only when
controlled by an associated base station. Such base stations located
within the 27 Protection Zones would be subject to successful
coordination prior to operation of the 1695-1710 MHz uplinks.
Additionally, the Commission proposed to license the band in 5
megahertz blocks, noting that a minimum bandwidth of 5 megahertz was
necessary to implement the technologies contemplated for the band, and
proposed geographic area licensing utilizing 176 Economic Areas (EAs)
as the service area size.
15. Commenters generally agree that we should allow only uplink
operations in 1695-1710 MHz. Raytheon points out that the record is
supportive of the Commission's proposal to limit operations in the band
to uplink only while prohibiting fixed operations in these frequencies.
T-Mobile does not oppose a requirement that uplink/mobile devices be
under the control of, or associated with, a base station as a means to
facilitate shared use of the band and prevent interference to Federal
operations.
16. Regarding block and area sizes, most commenters agree with the
Commission's proposal to license AWS-3 spectrum in 5 megahertz blocks
and to implement geographical area licensing utilizing EAs for the
1695-1710 MHz band. Verizon supports auctioning the AWS-3 spectrum in a
combination of 5 and 10 megahertz blocks as these offerings will
facilitate the deployment of multiple technologies. DISH favors
auctioning 1695-1710 MHz as a single, unpaired 15 megahertz band.
17. We conclude that operations in the 1695-1710 MHz should be
limited to mobile/uplink operations for commercial operators, and that
the band will not be available for fixed uses or air-to-ground
operations. We note that the Commission's proposal in this regard was
based on NTIA's endorsement of the CSMAC report, which assumed mobile
operations up to 20 dBm EIRP, recommending that commercial use of this
band be limited to low-power mobile (uplink) transmission. Furthermore,
as Verizon notes, in determining the Protection Zones for these bands,
the CSMAC did not consider the impact of high gain or tall antennas on
government operations. Additionally, operations in the band will be
subject to successful coordination with Federal incumbents in the 27
Protection Zones that we are adopting based on NTIA's endorsement of
the CSMAC WG1 Final Report. We believe that the combination of low
power, mobile uses along with the designation of the protection zones
with coordination requirements will allow commercial and Federal users
to co-exist successfully in the band protecting in-band and adjacent
band meteorological-satellite receive stations. We also understand that
Federal incumbents plan to develop and deploy real-time spectrum
monitoring systems for the 1695-1710 MHz band. We will also require
that uplink/mobile devices be under the control of, or associated with,
a base station as a means to facilitate shared use of the band and
prevent interference to Federal operations. The Protection Zones for
the 1695-1710 MHz band are premised on the distance between the
incumbent Federal operations and non-Federal base station(s) that will
enable the AWS-3 uplink/mobile operations. Thus, even though the base
station is receiving rather than transmitting in the 1695-1710 MHz
band, its location inside a Protection Zone triggers the coordination
requirement. As discussed in the CSMAC WG1 Final Report the 27
Protection Zones actually protect 47 individual federal MetSat receive
stations. See WG 1 Final Report at Appendix 1.1 Table 1 for a complete
list of MetSat receive stations that are protected. We discuss this
requirement further below.
18. We will authorize and license the 1695-1710 MHz band by
Economic Areas (EAs) in one 5 megahertz and one 10 megahertz block,
which may be aggregated. Economic Areas are geographic areas
established by the Bureau of Economic Analysis of the
[[Page 32369]]
Department of Commerce and used by the Federal Communications
Commission to define the coverage of spectrum licenses for certain
services. There are 172 EAs, plus 4 EA-like areas, which have been
assigned Commission-created EA numbers: 173 (Guam and the Northern
Mariana Islands), 174 (Puerto Rico and the United States Virgin
Islands), 175 (American Samoa), and 176 (the Gulf of Mexico). See 47
CFR 27.6(a). Specifically, we will offer a 5 megahertz block at 1695-
1700 MHz and a 10 megahertz block at 1700-1710 MHz. Offering the
spectrum in 5 and 10 megahertz blocks will support the wide range of
technologies contemplated for the band, and will match the
configuration of other AWS-3 spectrum. The small 5 megahertz block will
also facilitate the opportunity for new entrants and smaller businesses
to acquire the right to use this spectrum. Because the blocks can be
aggregated, potential bidders and future licensees also have the option
to acquire the rights to use both blocks within an EA, i.e., a 15
megahertz band as DISH suggests.
19. Pairing. In the AWS-3 NPRM, the Commission noted that the new
AWS-3 band segments could be configured in any number of pairings or
even auctioned on an unpaired basis and sought comment on a range of
options. Commenters were asked to address whether and how the AWS-3
band segments should be paired, and were also asked to discuss the
competitive effects of the available options. The Commission
specifically noted CTIA's earlier proposal to designate 2095-2110 MHz
for AWS downlink operations paired with 1695-1710 MHz and sought
comment on CTIA's recommendation. In this regard, the Commission also
noted prior opposition to CTIA's proposal including a feasibility study
that NASA had prepared (NASA Study) and NTIA's statement that the NASA
Study showed that high-density terrestrial base stations or user
equipment operating co-frequency in the 2025-2110 MHz band would exceed
established protection criteria for the Tracking and Data Relay
Satellite System (TDRSS) spaceborne receivers by an average of 16.4 dB
to 40.7 dB and that analysis of sharing with satellite systems of other
administrations will likely show similar results.
20. Commenters strongly favor pairing the 1695-1710 MHz band.
Moreover, commenters note that pairing the spectrum would allow
aggregation of AWS-3 spectrum with AWS-1 spectrum, which would create
significantly larger blocks of contiguous paired spectrum that would
accommodate higher bandwidths offered by technologies. USCC points out
that access to paired spectrum is particularly critical for small and
regional carriers, who typically lack sufficient spectrum holdings to
pair with newly-acquired spectrum blocks on an asymmetric basis. Thus,
commenters state that offering 1695-1710 MHz on a paired basis would
boost auction participation, provide for the creation of a single band
class, internationally harmonize the spectrum, and result in
significant economies of scale. Put differently, Verizon and other
commenters state that auctioning the 1695-1710 MHz band as stand-alone
uplink spectrum would render it ``virtually useless, as it is the
downlink spectrum that carriers, both new and incumbent, most require
to meet the skyrocketing demand for mobile broadband bandwidth.'' They
note that auctioning 1695-1710 MHz as stand-alone supplemental uplink
would significantly decrease the value of the spectrum, relative to
auctioning it paired with downlink spectrum, and would limit both its
uses and interested bidders. T-Mobile opines that seeking a brief delay
of the statutory deadline would be preferable to auctioning and
licensing the band unpaired. In contrast, Raytheon notes that there is
no requirement in the Spectrum Act to pair this band.
21. Many commenters strongly preferred pairing 1695-1710 MHz with
2095-2110 MHz, which CTIA previously advocated due to the pair's
important ability to use the same duplex spacing as the existing and
adjacent AWS-1 band. Verizon likewise notes that because 2095-2110 MHz
is directly adjacent to AWS-1, adopting this pairing configuration will
provide a solid foundation for the next generation of wireless networks
and services, including those that will utilize LTE-Advanced technology
and ``could ultimately lead to a unified band plan for the 2 GHz
spectrum: 1695-1920 MHz for uplink operations and 1930-2200 MHz for
downlink operations.'' For this reason, T-Mobile and other commenters
initially urged limited relocation of DoD's systems to 2095-2110 MHz.
22. In contrast, Raytheon and Boeing state that 2095-2110 MHz is
not an acceptable pairing option for 1695-1710 MHz because the former
band supports critical TDRSS communication, which may become critical
for manned spaceflight programs, and is currently occupied by Federal
users for satellite and non-Federal BAS operations. Raytheon notes that
the NASA Study is a comprehensive analysis showing that shared use of
2095-2110 MHz with AWS operations is infeasible. In addition, Raytheon
notes that DoD has proposed to relocate some operations in the 1755-
1780 MHz band to the 2025-2110 MHz band. Verizon and others contend
that the NASA Study is incomplete and that more information is needed
from NASA to properly evaluate any technical challenges with additional
uses of that band. Verizon states that while the study raises concerns
that co-channel mobile services could cause satellite-to-satellite
interference in the forward-link transmissions from NASA geostationary
Tracking and Data Relay Satellite System (TDRSS) to Low Earth Orbit
(LEO) satellites, it is impossible to assess the validity of modeling
of propagation, antenna performance, LTE system characteristics, and
satellite system characteristics without additional information from
NASA. NASA subsequently provided additional information and updated its
study to address the most current internationally-agreed parameters of
commercial broadband mobile (LTE) systems. See NTIA November 21013
Letter Enclosure 6 ``NASA's reply to comments filed with the FCC in
response to its AWS-3 NPRM regarding NASA's feasibility assessment for
accommodation of mobile broadband long term evolution (LTE) systems in
the 2025-2110 MHz band.'' Boeing states that the Updated NASA Study
addresses the concerns raised about the initial NASA Study with respect
to assuming unrealistically high numbers of transmitting handsets, and
correspondingly high aggregate per city handset transmitter power
levels. Specifically, Boeing explains that the initial NASA Study
relied on the number of handsets specified by CSMAC Working Group 1,
prior to the release of updated specifications by Working Party 5D of
the International Telecommunications Union Radiocommunication Sector.
Because CTIA and other wireless commenters are no longer pursuing the
proposal to pair 2095-2110 MHz as the downlink band to be auctioned and
licensed paired with 1695-1710 MHz, we reach no conclusions today
regarding the initial or updated NASA Studies.
23. Notwithstanding the fact that the 2095-2110 MHz band initially
received the most support as the pairing match for the 1695-1710 MHz
band, the wireless industry subsequently recognized difficulties with
pairing the 2095-2110 MHz band with the 1695-1710 MHz band.
Specifically, the industry acknowledged that the challenges associated
with Federal and
[[Page 32370]]
BAS incumbents in the band would lead to extreme difficulties with
allocating, auctioning and licensing 2095-2110 MHz in time to meet the
February 2015 deadline for licensing the 1695-1710 MHz band.
Additionally, CTIA, the original proponent of this pairing now asserts
that the Commission's highest priority is the clearing of the DoD
services at 1755-1780 MHz, and points out that the DoD is actively
working with the FCC, broadcasters and other Federal agencies to
relocate from the 1755-1780 MHz band into a portion of the Broadcast
Auxiliary Services at 2025-2110 MHz.
24. Commenters provided other suggestions on possible candidate
bands for pairing with 1695-1710 MHz, but also identified serious or
insurmountable obstacles with each suggested match. For example, citing
a recent NTIA spectrum-monitoring report that, according to T-Mobile,
suggests that the 1370-1390 MHz sub-band is lightly used, T-Mobile
identified the 1370-1390 MHz band as a possible candidate for pairing
with 1695-1710 MHz. But T-Mobile acknowledges technical limitations
that weigh against this pairing, in that the 1370-1390 MHz band suffers
from a lack of synergy with existing bands, which in turn would require
the use of additional base station amplifiers and antennas.
25. In the AWS-3 NPRM, the Commission noted SBE's opposition to
CTIA's proposal to use 2095-2110 MHz and its ensuing suggestion to
instead consider 2360-2390 MHz as an option for pairing with 1695-1710
MHz. In response to this suggestion, AFTRCC responds that this is a
principal band used for flight test telemetry and that an LTE
allocation at 2360-2390 MHz would create threats to the continued
effective operation of safety-of-life Aeronautical Mobile Telemetry
(AMT) operations in the band, and would also jeopardize the successful
deployment of Medical Body Area Network (MBAN) devices in hospitals and
clinics throughout the country. Raytheon agrees that the 2360-2395 MHz
band is not suitable for pairing with 1695-1710 MHz, not only because
of its designation for primary flight testing, but also because it is
designated for secondary medical telemetry uses. Moreover, Raytheon
notes that the flight test operations occurring in 2360-2395 MHz are
incompatible with both the fixed and mobile high density terrestrial
operations that are contemplated for 1695-1710 MHz.
26. Finally, as another possible alternative, TIA suggests pairing
1695-1710 MHz with 2000-2020 MHz for downlink. However, TIA
acknowledges that this pairing option is challenging in that it would
require the adjustment of incumbents licensed for 2000-2020 MHz as well
as the utilization of different duplex spacing and filters.
27. The comments do not identify any particular 15 megahertz of
spectrum that can readily pair with 1695-1710 MHz. In the absence of
any substantial record support for any such workable pairing at this
time, we conclude that the 1695-1710 MHz band should be licensed in an
unpaired configuration. We note that no regulation would prohibit
licensees from pairing this uplink band with another present or future
licensed downlink band. Indeed, our secondary markets and flexible use
policies are designed to facilitate the configuration of licenses in
their most productive economic use.
28. 1755-1780 MHz. Requirement to Identify 15 Megahertz of
Contiguous Spectrum for Commercial Use. As noted above, the Spectrum
Act requires the Commission to identify 15 megahertz of contiguous
spectrum for commercial allocation and licensing by auction. In the
AWS-3 NPRM, the Commission sought comment on appropriate candidates to
identify an additional 15 megahertz of contiguous spectrum for
commercial use. The Commission proposed, as an example, the
identification of the 25 megahertz of contiguous spectrum comprising
the 1755-1780 MHz band. The Commission also sought general comment on
the allocation of other frequencies in order to meet or surpass this
requirement of the Spectrum Act, including CTIA's recommendation of
2095-2110 MHz as the additional 15 megahertz to be paired with 1695-
1710 MHz. While several commenters supported CTIA's recommendation, as
noted above the record developed on this issue reflects that neither
the band identified by CTIA nor any other spectrum is readily available
to auction and license paired with 1695-1710 MHz by the statutory
deadline of February 2015.
29. Several commenters claim that the Commission cannot identify
1755-1780 MHz to meet the statutory requirement and/or that the statute
requires us to identify a band that can be used for downlink operations
paired with 1695-1710 MHz. According to CTIA, the legislative history
of the Spectrum Act makes clear that Congress intended for the
Commission to identify 15 megahertz in addition to the 1755-1780 MHz
band. CTIA notes that an earlier version of the House bill would have
required the Commission to identify 15 megahertz of contiguous spectrum
as well as the 1755-1780 MHz band if technically feasible. This version
of the bill also stipulated that the 15 megahertz identified by NTIA
and the 15 megahertz identified by the FCC were to be paired together
and, according to CTIA, ``this is a logical interpretation of the
Spectrum Act, as an alternative reading would cause the 1695-1710 MHz
band to be orphaned.'' T-Mobile agrees with CTIA that, based upon the
Spectrum Act's parallel mandates that NTIA and the FCC each identify 15
megahertz of spectrum to be made available for commercial use, ``it
seems `apparent that Congress intended for these two 15 megahertz
spectrum bands to complement one another through ready pairing for base
and mobile station communications.' '' Mobile Future contends that,
with the exception of the 2095-2110 MHz band, other spectrum bands
considered in the AWS-3 NPRM should not be found to satisfy Spectrum
Act's directive that the Commission identify another 15 megahertz of
spectrum for commercial use.
30. Raytheon and NAB disagree with this statutory interpretation.
According to Raytheon, ``Section 6401 of the Spectrum Act simply
requires [that 15 MHz of contiguous spectrum] be allocated by the
Commission and auctioned in 2015. There is no guidance as to where that
spectrum is to be located or indication that it be paired with 1695-
1710 MHz band or any other band. (Nothing precludes such a pairing,
either.) Similarly, Section 6401 does not provide any direction that
the 15 MHz to be auctioned from the 1675-1710 MHz band is to be
auctioned on a paired basis. Were the Commission to allocate 1755-1780
MHz, for example, to AWS-3, that action would fully satisfy the
unambiguous letter of the statute that an ``additional 15 MHz'' of
spectrum be allocated for commercial broadband use, regardless of which
band, if any, 1755-1780 MHz is paired. CTIA's argument that the
legislative history supports a paired allocation for 1695-1710 MHz is
unavailing [cite omitted]. Indeed, the fact the final House bill
included a provision for 15 MHz in addition to 1755-1780 MHz, whereas
the final legislation was silent on allocating 1755-1780 MHz and where
the additional 15 MHz is to come from actually leads to the opposite
conclusion, namely that 1755-1780 MHz can be the source of the
``additional 15 MHz'' that Congress requires be auctioned in addition
to the specific spectrum bands identified in the Spectrum Act for
auction.'' Raytheon Reply Comments at 7-8, n.18. NAB avers that if the
Commission were to allocate 1755-1780 MHz, for
[[Page 32371]]
example, to AWS-3, that action would fully satisfy the unambiguous
letter of the statute that an ``additional 15 MHz'' of spectrum be
allocated for commercial broadband use.
31. We agree for the reasons set forth above by Raytheon and NAB
that the language of the Spectrum Act permits the Commission to
``identif[y]'' any ``[f]ifteen megahertz of contiguous spectrum,''
without regard to its current use or whether it is paired or unpaired.
The legislative history is not inconsistent with this plain language,
as it shows that Congress did not adopt the House bill reflecting the
contrary view. See H.R. 3630, 112th Cong. sections 4101(a)(2)(A),
(b)(2) (2011) (as passed by the House, December 13, 2011). We note that
where Congress intended to signal the pairing of bands (as some
commenters suggest is the case for 1695-1710 MHz and the 15 megahertz
to be identified by the Commission), it used explicit language. See,
e.g., H.R. 3630, 112th Cong. sections 4101(a)(2)(A), (b)(2) (2011) (as
passed by the House, December 13, 2011); S. 911, 112th Cong. 2d Sess.,
section 302(c) (authorizing the Commission to combine 1755-1780 MHz and
2155-2180 MHz ``in an auction of licenses for paired spectrum
blocks''). Tellingly, the bill as enacted did not include any
requirement to auction ``paired'' spectrum. Accordingly, we are today
adopting rules to allocate and license the 1755-1780 MHz band for
commercial use, in satisfaction of the Spectrum Act's requirement for
us to identify 15 megahertz of contiguous spectrum in addition to the
bands specifically identified in the Act. To the extent this entire 25
megahertz band exceeds the requirement of the Spectrum Act to identify
15 megahertz, our action in coordination with NTIA to identify the
entire band for commercial use is warranted as integrally related and
reasonably ancillary to our mandate under the Spectrum Act (given its
pairing with the 2155-2180 MHz band specified in that Act) as well as
pursuant to our broad spectrum management authority under Title III of
the Communications Act, as amended. The Spectrum Act grants the
Commission authority to implement and enforce that Act ``as if . . . a
part of the Communications Act of 1934.'' 47 U.S.C. 1403(a). See also
id. sections 154(i), 303.
32. Designation for AWS. In the AWS-3 NPRM, the Commission, noting
NTIA's report on Federal government use of the 1755-1780 MHz band (as
part of the larger 1755-1850 MHz band) and the band's potential as an
extension to existing AWS spectrum, proposed uplink mobile use of the
band under technical rules similar to AWS-1 uplinks in the adjacent
1710-1755 MHz band. Such use would be subject to Federal requirements,
including coordination with incumbent Federal users, emerging from the
CSMAC process, if transmitted by NTIA. The Commission sought comment on
various methods of sharing the 1755-1780 MHz portion of the 1755-1850
MHz band, including the use of Protection Zones, Exclusion Zones, and
other measures. In case the CSMAC and NTIA were unable to recommend
clearly defined sharing parameters, the Commission also sought comment
on whether to issue ``overlay'' licenses that would permit new
licensees to gain access to the 1755-1780 MHz band only if they are
able to reach coordination agreements with affected Federal users,
i.e., ``operator-to-operator'' coordination. The Commission also sought
comment on two additional proposals that addressed commercial use of
the 1755-1780 MHz band: The ``Industry Roadmap'' submitted by members
of the wireless industry and the ``DoD Proposal'' submitted by DoD. In
the ``Industry Roadmap'' the wireless industry assessed Federal
operations in the band and proposed to provide industry early access to
the 1755-1780 MHz portion of the band. In the ``DoD Proposal,'' DoD
also proposed to make the 1755-1780 MHz band available for auction in
the near term, while protecting critical military capabilities.
Specifically, DoD proposed to modify selected systems operating in the
1755-1780 MHz portion of the band to operate at both 1780-1850 MHz and
2025-2110 MHz, including Small Unmanned Aerial Systems, Tactical
Targeting Network Technology, Tactical Radio Relay, and High Resolution
Video Systems. DoD also proposed that its Precision Guided Munitions
systems would be modified to operate at 1435-1525 MHz; that its Point-
to-Point Microwave Links would be modified to operate at 7125-8500 MHz;
and that its DoD Video Surveillance/Robotics systems would be modified
to operate at 4400-4940 MHz. DoD further proposed that specific
systems, namely Satellite Operations (SATOPS), Electronic Warfare (EW),
Air Combat Training System (ACTS) (where required), and Joint Tactical
Radio System (JTRS) at six sites, would continue to operate in the
1755-1780 MHz portion of the band, but would share that spectrum with
commercial users. Finally, DoD proposed to compress its remaining
operations into the 1780-1850 MHz portion of the band.
33. Apart from the statutory issue described above concerning the
``additional 15 megahertz of spectrum to be identified by the
Commission,'' most commenters strongly favored the Commission's
proposal to designate the 1755-1780 MHz band for commercial use.
Commenters oppose the use of an overlay license approach to licensing
the 1755-1780 MHz band, arguing that the use of such a licensing regime
is premature until it is determined that clearing the spectrum for
commercial users by relocation is not feasible and that mutual sharing
mechanisms cannot be adopted. Issuing overlay licenses, the commenters
further argued, would amount to consigning commercial mobile operations
to secondary status, would create uncertainty about the nature of
rights the licensee would obtain, and would be inconsistent with the
Spectrum Act's preference to relocate Federal users to the maximum
extent feasible. On the other hand, commenters were generally
supportive of the Industry Roadmap and DoD's Proposal and urged the
Commission to coordinate with NTIA to clear Federal operations from the
1755-1780 MHz portion of the 1755-1850 MHz band. CTIA argues, however,
that DoD has not adequately explained or justified the need for the use
of the 2025-2110 MHz band and asks why DoD needs to replace access to
25 megahertz of spectrum with access to 85 megahertz of spectrum.
34. On November 25, 2013, NTIA filed a letter enclosing and
endorsing CSMAC's final reports and stating that it fully supports the
DoD Proposal submitted to the Commission in July 2013, including DoD's
proposal to modify certain military systems to operate at both 1780-
1850 MHz, which is currently allocated for Federal use, and at 2025-
2110 MHz, which is currently allocated for non-Federal fixed and mobile
use and used by operators in the Broadcast Auxiliary Service (BAS), the
Cable Television Relay Service (CARS), and the Local Television
Transmission Service (LTTS).
35. We note at the outset that some of CSMAC's recommendations
regarding sharing are overtaken by the DoD Proposal, under which DoD
will relocate most of its operations out of the 1755-1780 MHz band.
NTIA has fully endorsed the DoD Proposal and submitted additional
details into the record. In light of these actions, we authorize the
use of the 1755-1780 MHz band for commercial services in conformance
with NTIA's endorsements, the DoD Proposal, and the Spectrum Act.
[[Page 32372]]
36. Regarding non-DoD Federal incumbents, NTIA endorsed the
findings of WG2 that the two primary video surveillance systems
operating in the 1755-1850 MHz band operate in all portions of the band
at any time and at any location and thus cannot share the band with
commercial operators. NTIA also endorsed WG2's recommendation that EAs
to be transitioned should be ranked according to industry
implementation priorities, but then clarified that the industry's
prioritized list would serve as an input for consideration as agencies
develop their transition plans.
37. NTIA responded to CTIA's claims that DoD has not explained the
need for access to the 2025-2110 MHz band or why it needs to replace 25
megahertz of spectrum with access to 85 megahertz of spectrum. NTIA
explained that because the military systems that are relocating from
the 1755-1780 MHz band to the 2025-2110 MHz band must share the latter
band with operators in the BAS, CARS, and LTTS services and must comply
with the conditions in two new proposed footnotes to the Table of
Frequency Allocations, DoD needs the additional spectrum to ensure that
it can maintain comparable capability of current activities.
Furthermore, according to NTIA, by having access to 85 megahertz of
spectrum, the Federal operations will have the flexibility they need
without limiting the existing non-Federal users. Under the two new
footnotes that NTIA has proposed to the U.S. Table of Frequency
Allocations, Federal operations would be limited to the military, and
new military operations would be required to be coordinated, via a
memorandum of understanding between the Federal and non-Federal fixed
and mobile operators in the BAS, CARS, and LTTS.
38. 2155-2180 MHz. In the AWS-3 NPRM, the Commission proposed
downlink/base station use of the 2155-2180 MHz band. Because the 2155-
2180 MHz band is immediately above the AWS-1 downlink band (2110-2155
MHz) and immediately below the AWS-4 downlink band (2180-2200 MHz), the
Commission proposed to license the 2155-2180 MHz band under rules
similar to those it adopted for AWS-1 and AWS-4. Commenters agreed with
the Commission's proposal.
39. We adopt the proposal in the AWS-3 NPRM to authorize downlink/
base station use of the 2155-2180 MHz band. Licensing the 2155-2180 MHz
band under technical rules similar to those for the adjacent AWS-1 and
AWS-4 spectrum efficiently manages the spectrum, will improve economies
of scale for mobile device equipment manufacturing, and is consistent
with global standards activity in this frequency range. Moreover,
downlink operations in the 2155-2180 MHz band would be compatible with
similar operations in the adjacent AWS-1 band (2110-2155 MHz) and AWS-4
band (2180-2200 MHz), thus avoiding the need for guard bands. It would
also harmonize the rules applicable to 2155-2180 MHz with AWS-1 and
AWS-4 downlink spectrum, thus efficiently managing the spectrum and
improving economies of scale for mobile device equipment manufacturing.
It would also permit stations already designed for AWS-1 to be easily
modified to operate at 2155-2180 MHz band, thus allowing operators to
quickly deploy this spectrum for consumer use.
40. Band-Plan for 1755-1780 MHz and 2155-2180 MHz. Uplink/downlink
designations and pairing. In the AWS-3 NPRM, the Commission proposed to
allow base and fixed, but not mobile, operations in the 2155-2180 MHz
band and to allow mobile transmit operations (but to prohibit high-
power fixed and base station operations) in the 1755-1780 MHz band. The
Commission sought comment on a range of options that included
configuring any of the AWS-3 bands in any number of pairings or
auctioning any of the AWS-3 bands on an unpaired basis. Commenters
favored allowing base and fixed, but not mobile, operations in the
2155-2180 MHz band and to allow mobile transmit operation (but to
prohibit high-power fixed and base stations operations) in the 1755-
1780 MHz band. Commenters overwhelmingly favored pairing the 1755-1780
MHz band with the 2155-2180 MHz band. According to Verizon, 43
countries are using this spectrum for commercial purposes and 17 of the
G-20 countries have allocated this spectrum for commercial use.
International harmonization will enhance international roaming, create
economies of scale that lowers device costs, speed deployment, and
reduce interference potential near international borders.
41. We agree with commenters that we should allow base and fixed,
but not mobile, operations in the 2155-2180 MHz band and to allow
mobile transmit operations in the 1755-1780 MHz band. We will also
prohibit higher-power fixed and base station operations in the 1755-
1780 MHz band. Designating the 1755-1780 MHz band for uplink/mobile
transmit operations under service rules similar to AWS-1 is consistent
with international standards in this frequency range, while designating
the 2155-2180 MHz band for downlink operations is compatible with
similar downlink operations in the adjacent AWS-1 band at 2110-2155 MHz
and the AWS-4 band at 2180-2200 MHz. Moreover, by designating new
downlink spectrum adjacent to existing downlink, the industry avoids
having to add guard bands or impose significant technical limits
between adjacent services, thereby increasing the amount and utility of
usable spectrum. As discussed more fully below, we conclude that to
facilitate coordination, uplink/mobile devices in the 1755-1780 MHz
band must be under the control of, or associated with, a base station
as a means to facilitate shared use of the band and prevent
interference to Federal operations.
42. We also agree with commenters that there are many advantages to
pairing these two bands. Pairing the 1755-1780 MHz band with the 2155-
2180 MHz band adds 50 megahertz of AWS-3 spectrum to the existing 90
megahertz of AWS-1 spectrum. Thus pairing would allow carriers to
combine AWS-1 and the 1755-1780/2155-2180 MHz band in a single 140
megahertz band. The 1755-1780/2155-2180 MHz pair would use the same
duplex spacing as the existing AWS-1 band, thus facilitating the
availability of new devices that can use this band. Allocation of the
1755-1780 MHz band for commercial use with 2155-2180 MHz also
harmonizes the U.S. spectrum allocation of this band with international
spectrum allocations. In summary, the record reflects that ``[t]he
adjacency of these bands . . . will create efficiencies by allowing the
same equipment to be used for AWS-1 and AWS-3. These benefits apply not
only to network infrastructure, but also to end user equipment. This,
in turn, will lower deployment costs and speed LTE buildout in this
spectrum. As Motorola Mobility explained, `[t]here would be significant
device design benefits to pursuing this pairing. Because the 1755-1780/
2155-2180 MHz pairing is symmetrical to the AWS-1 band and has the same
duplex spacing, this band could be supported by existing duplexers. . .
[t]hese efficiencies mean that 1755-1780/2155-2180 MHz capabilities
likely could be built into devices with minimal additional cost and
without a significant impact on battery life, heat production, or other
performance characteristics.''' CTIA Reply Comments at 5 quoting
Motorola Mobility Comments at 11.
43. Despite these advantages, we note that the Commission is
statutorily barred from concluding an auction for ``eligible spectrum''
such as the 1755-1780 MHz band if the total cash proceeds attributable
to such spectrum
[[Page 32373]]
are less than 110 percent of total estimated relocation or sharing
costs. See 47 U.S.C. 309(j)(16)(B), 1451(b)(3) (FCC shall not conclude
any auction of eligible frequencies if the total cash proceeds
attributable to such spectrum are less than 110 percent of total
estimated relocation or sharing cost).
44. Geographic Area Licensing; Service-area size(s). In the AWS-3
NPRM, the Commission proposed to license all AWS-3 spectrum blocks by
EAs and sought comment on alternative approaches. The Commission also
sought comment on whether there are costs and benefits to adopting an
EA licensing approach for bands to be shared with Federal users.
45. Commenters supported one of three different geographic
licensing plans: The EA licensing approach proposed by the Commission;
a licensing plan based on CMAs; and a hybrid licensing approach where
some licenses are based on CMAs and some are based on EAs.
46. We find that there are benefits to adopting a hybrid licensing
approach for this spectrum. We note that the Commission adopted a
hybrid approach in licensing AWS-1 spectrum based on EAs, Regional
Economic Area Groupings (REAGs), and CMAs. In this case, we adopt a
hybrid approach and license the 1755-1780 MHz and 2155-2180 MHz bands
on an EA and a CMA basis.
47. Adopting a hybrid licensing plan for this spectrum will enable
us to achieve several statutory objectives and policy goals. Licensing
some areas by CMA will encourage the dissemination of licenses among a
variety of applicants, including small businesses, rural telephone
companies, and businesses owned by members of minority groups and
women, as required by section 309(j) of the Act. Licensing the 1755-
1780 and 2155-2180 MHz bands by EA and CMA we have struck the
appropriate balance between the needs of large and small carriers.
Licensing some areas by EAs will enable large carriers to minimize
post-licensing aggregation costs. Also, because EAs are nested within
MEAs and REAGs, large carriers will be able to aggregate their spectrum
into even larger areas, with minimal aggregation costs. We also note
that EA license areas are a useful and appropriate geographic unit that
the Commission has used for similar bands. Notably, AWS-1 Blocks B and
C are licensed on an EA basis. Licensing three spectrum blocks on an EA
basis best balances the Commission's goals of encouraging the offering
of broadband service both to broad geographic areas and to sizeable
populations while licensing one block by CMAs will enable smaller
carriers to serve smaller less dense population areas that more closely
fit their smaller footprints. Thus, we further find that adopting this
hybrid licensing plan will help us to meet other statutory goals,
including providing for the efficient use of spectrum; encouraging
deployment of wireless broadband services to consumers; and promoting
investment in and rapid deployment of new technologies and services. We
designate the spectral blocks for CMAs and EAs in the next section on
Block size(s).
48. Block size(s). In the AWS-3 NPRM, the Commission proposed to
license the 1755-1780 and 2155-2180 MHz bands on a geographical area
basis in 5 megahertz blocks and sought comment on whether it should
adopt a plan using different size blocks. Commenters favored one of two
approaches: Licensing the band by 5 megahertz blocks or licensing the
band using a combination of 5 and 10 megahertz blocks. Commenters
favoring the first approach argue that 5 megahertz blocks align well
with a variety of wireless broadband technologies (such as Long-Term
Evolution (LTE), Wideband Code Division Multiple Access (W-CDMA), and
High-Speed Packet Access (HSPA)), would increase wireless providers'
flexibility in auction bidding, and can be aggregated to enable better
performance for LTE service and greater bandwidth capacity through
wider channels. Commenters that supported a combination of 5x5
megahertz and 10x10 megahertz blocks argue that a combination of
license sizes maximizes both utility and efficiency.
49. We conclude that licensing the 1755-1780 and 2155-2180 MHz
bands in a combination of 5 and 10 megahertz blocks will promote rapid
deployment of new technologies and services for the reasons stated
below. Thus we adopt the following licensing plan: Block G at 1755-
1760/2155-2160; Block H at 1760-1765/2160-2165; Block I at 1765-1770/
2165-2170 MHz; and Block J at 1770-1780/2170-2180 MHz. We further
determine to license the 1755-1760/2155-2160 MHz bands by CMA, and to
license the remaining paired blocks by EA.
50. Using a combination of 5 and 10 megahertz blocks and a
combination of CMAs and EAs will permit licensees maximum flexibility.
Such a combination enables both larger and smaller carriers to
participate in an auction of licenses to use this spectrum. Moreover,
as commenters note, 5 megahertz blocks align well with a variety of
wireless broadband technologies, including LTE, W-CDMA, and HSPA. The
larger 10 megahertz block will afford larger carriers the ability to
offer higher-bandwidth services, as is common in the 10 megahertz AWS-1
blocks. Such a combination may also facilitate coordination with
incumbent Federal agencies. For example, designating the 1755-1760 MHz/
2155-2160 MHz as the first channel block avoids frequency overlaps and
minimizes potential co-channel interference issues with the Space
Ground Link System (SGLS), which operates from 1761-1842 MHz.
51. 2020-2025 MHz. The 2020-2025 MHz band is already allocated for
the non-Federal fixed and mobile services and is part of the 35
megahertz (1990-2025 MHz) that the Commission repurposed in 2000 from
BAS to emerging technologies such as Personal Communications Services
(PCS), AWS, and Mobile Satellite Service (MSS). This repurposing was
possible because BAS converted nationwide from seven analog channels
(each 17-18 megahertz wide) to seven digital channels (each 12
megahertz wide). In 2004, the Commission proposed to license 2020-2025
MHz for uplink/mobile use paired with 2175-2180 MHz. The Commission did
not adopt this proposal and, in 2008 it proposed instead to combine
2175-2180 MHz and 2155-2175 MHz, to make a larger unpaired block at
2155-2180 MHz. The Commission did not make a further proposal for the
2020-2025 MHz band immediately above the AWS-4 uplink band (2000-2020
MHz).
52. In the AWS-3 NPRM, the Commission proposed uplink/mobile use of
2020-2025 MHz under rules similar to the AWS-4 rules. Although the
Commission did not propose to modify the allocation for this band in
the AWS-3 NPRM, we proposed changes to several related footnotes in the
Table of Frequency Allocations.
53. T-Mobile agrees that 2020-2025 MHz should be cleared to the
maximum extent possible and auctioned on a paired basis. T-Mobile
states that one option would be for the Commission to consider
providing DoD with access to the 2020-2025 MHz band if doing so would
allow the 15 megahertz at 2095-2110 MHz to be paired with 1695-1710
MHz. However, T-Mobile states that the most appropriate use of the
2020-2025 MHz band is contingent on the outcome of the then-pending
waiver request sought by DISH for flexibility to use 2000-2020 MHz for
terrestrial downlink. USCC strongly urges the Commission to focus on
maximizing the amount of paired spectrum in deciding which bands to
license under the AWS-3 service rules. It argues that
[[Page 32374]]
access to paired spectrum is particularly critical for small and
regional carriers that typically lack sufficient spectrum holdings to
pair with newly-acquired spectrum blocks on an asymmetric basis.
54. The 2020-2025 MHz band is adjacent to the AWS-4 uplink band at
2000-2020 MHz and BAS/CARS/NASA uses at 2025-2110 MHz band. These
adjacent uses create challenges with respect to the allocation of this
spectrum. EIBASS notes that the band may be at risk of interference
from higher-power Electronic News Gathering (ENG) transmitters
operating in the 2025-2110 MHz TV BAS band (up to 65 dBm EIRP for ENG
platforms vs. 33 dBm EIRP for AWS handsets). This interference would
come and go on a seemingly random basis as a mobile ENG transmitter is
used near an AWS base station location. This could be a challenge to
the AWS user as it appears cellular/AWS use is higher at or near
locations of newsworthy events, the same events that ENG trucks would
be transmitting from. EIBASS notes that DISH has raised the same
concern but notes that broadcasters have dealt with high-power PCS/AWS,
specialized filters have been developed, and TV BAS into AWS
interference should be a manageable problem.
55. DISH states that designating mobile operation in the 2020-2025
MHz band would make this band vulnerable to significant interference
from adjacent Federal government and BAS users above 2025 MHz. DISH
states that EIBASS agrees that BAS operations would cause interference
to 2020-2025 MHz uplink operations. Regarding EIBASS's view that such
interference would be manageable based on PCS/AWS filtering solutions,
DISH responds that the existing PCS/AWS to BAS scenario is not
representative of the more problematic scenario of interference from
BAS into base stations receiving low-power, mobile uplink transmissions
in the 2020-2025 MHz band. On the other hand, if 2020-2025 MHz is used
for downlinks, DISH agrees with EIBASS that coordination and filtering
similar to that used for AWS-1 could be used to protect BAS.
Referencing its then-pending waiver request to be able to elect to
utilize the 2000-2020 MHz band for downlink operations,'' DISH suggests
that the Commission designate 2020-2025 MHz for downlink use if the
adjacent AWS-4 band is also used for downlink. If adjacent AWS-4 band
is used for uplink operations, DISH states that 2020-2025 MHz also
should be designated for uplinks because downlink operations would
cause interference to AWS-4 uplink operations, absent severe power and
OOBE restrictions to protect AWS-4 uplink operations.
56. T-Mobile and other commenters believe that the Commission may
wish to evaluate how best to use the 2020-2025 MHz band but the future
use of the 2020-2025 MHz band is uncertain until DISH decides whether
it will be using the adjacent AWS-4 spectrum at 2000-2020 MHz for
uplink or downlink operations. Sprint supports the auction of 2020-2025
MHz, and recommends that the Commission postpone making a determination
on whether the band should be uplink or downlink until after it
resolves DISH's waiver petition and Dish makes its election. T-Mobile
states that until that time, it is premature to consider whether it may
be used to support commercial wireless operations.
57. On December 20, 2013, the Wireless Telecommunications Bureau
granted DISH's request, subject to certain conditions, for flexibility
to elect to use 2000-2020 MHz for either uplink or downlink operations.
One of the conditions requires DISH to file its uplink or downlink
election, which shall apply to all AWS-4 licenses, as soon as
commercially practicable but no later than 30 months after the December
20, 2013, release date of the Bureau's order. Auctioning and licensing
of the 2020-2025 MHz band is not governed by the February 2015 deadline
in the Spectrum Act. We agree with some commenters that the public
interest is best served by deferring action on the 2020-2025 MHz band,
without prejudice to the ultimate disposition of service rules for that
band.
B. Technical Rules
58. In addition to protecting other operations that will remain in
the AWS-3 bands, as discussed above, we noted in the AWS-3 NPRM that
our AWS-3 rules must take into account the potential for AWS-3
operations to cause harmful interference to operations in other service
areas, in other AWS-3 blocks and in adjacent frequency bands, including
both Federal and non-Federal operations. The AWS-3 NPRM therefore
sought comment on what technical and operational rules were needed to
protect these various services from harmful interference. Where
possible, we proposed to adopt for AWS-3 the same technical
requirements as apply to AWS-1, where our experience indicates that the
requirements have facilitated good service while minimizing undesirable
interference, and to AWS-4. However, we recognized that specific AWS-3
spectrum considerations may warrant different requirements, and we
asked commenters to address any specific technical rules that they
believe necessary for specific AWS-3 bands.
59. With respect to adjacent bands, two predominant types of
interference can occur. The first is caused by out-of-band emissions
(OOBE) that fall directly within the passband of an adjacent-band
receiver. Such emissions cannot be ``filtered out,'' and can only be
mitigated through appropriate operation of the transmitter. The second
type of interference is caused by ``receiver overload.'' Receiver
overload interference occurs when a strong signal from an adjacent band
transmission falls just outside the passband of a receiver, where the
front-end filter of the receiver can provide only limited attenuation
of the unwanted signal. Our rules generally limit the potential for
both kinds of interference by specifying OOBE and power limits.
1. OOBE Limits
60. For situations where adjacent spectrum blocks are put to
similar uses, our rules commonly require that out-of-band emissions be
attenuated below the transmitter power in watts (P) by a factor of not
less than 43 + 10 log10 (P) dB outside of the licensee's
frequency block. Where stricter OOBE limits apply, it is typically
because adjacent spectrum blocks are put to different uses--high-power
downlink in one block and low-power uplink in the other, for example--
or because other special protection requirements exist. Section
27.53(h)(1) of our rules applies this standard limit to AWS-1, and
Sec. 27.53(h)(3) specifies the measurement procedure required to
determine compliance with the OOBE standard. The AWS-3 NPRM sought
comment on extending these requirements to the AWS-3 bands.
61. Interference Protection between Adjacent Block AWS-3 Licensees.
As the AWS-3 NPRM noted, we anticipate that the characteristics of the
future AWS-3 band systems will be essentially identical to those of
AWS-1. For this reason, the AWS-3 NPRM proposed that the typical OOBE
attenuation factor of 43 + 10 log10 (P) dB is appropriate to
protect AWS-3 services operating in adjacent spectrum blocks. No
commenter objected to this proposal, and the record does not suggest
the presence of any circumstances requiring special OOBE protection for
adjacent AWS-3 spectrum blocks. We therefore adopt an attenuation
factor of 43 + 10 log10 (P) dB for emissions outside of AWS-
3 licensees' frequency blocks into other AWS-3 frequency blocks.
[[Page 32375]]
a. Interference Protection to Services in Other Bands--Uplink Stations
Operating in 1695-1710 MHz and 1755-1780 MHz
62. Interference protection to operations below 1695 MHz.
Meteorological operations: The 1695-1710 MHz AWS-3 uplink band is
adjacent to satellite downlink spectrum at 1675-1695 MHz, which is
allocated for Federal and non-Federal satellite use. The rules for the
AWS-1 uplink band at 1710-1755 MHz include an OOBE attenuation factor
of our standard 43 + 10 log10 (P) dB in order to protect
satellite downlink spectrum currently below 1710 MHz. In addition,
Sec. 27.1134(c) of the rules provides that should AWS-1 operations in
the 1710-1755 MHz band cause interference to Federal Government
operations below 1710 MHz, the AWS-1 licensee must take steps to
eliminate the interference. The AWS-3 NPRM stated that the services
used in this AWS-3 band will be similar to those in the AWS-1 band, and
that the repurposing of 1695-1710 MHz essentially just shifts the
boundary between AWS uplink and satellite downlink services down from
1710 to 1695 MHz. Accordingly, the AWS-3 NPRM proposed to specify the
same OOBE attenuation factor for this AWS-3 uplink band as applies to
the adjacent AWS-1 uplink band, the standard 43 + 10 log10
(P) dB, and to extend the obligations of Sec. 27.1134(c) to AWS-3
operations in the 1695-1710 MHz band.
63. One commenter expressed concern that the standard OOBE limit
may not provide adequate protection for adjacent-band Meteorological
Satellite operations. Raytheon argued that, ``[b]efore the Commission
adopts an OOBE limit applicable at the 1695 MHz band edge for AWS-3
systems, sufficient testing and/or analysis should be completed to
support the Commission's determination in light of the [Emergency
Managers Weather Information Network] and other operations below 1695
MHz.'' Raytheon errs in focusing on just one part of the regime we are
establishing to protect the 1675-1695 MHz band. The OOBE attenuation
factor functions together with the interference-resolution provisions
of Sec. 27.1134(c). This combination has worked satisfactorily for the
AWS-1 service, and we believe it will serve equally well for AWS-3.
64. Global Positioning System operations: GPS operates in the 1559-
1610 MHz Radionavigation-Satellite band, (47 CFR 2.106) with a center
frequency of 1575.42 MHz and a maximum bandwidth of 20.46 MHz, thus
occupying the frequencies 1565.19-1585.65 MHz. The GPS Innovation
Alliance (GPSIA) argued that the proposed OOBE limit for the 1695-1710
MHz band ``is no longer effective [in preventing interference to the
Global Positioning System (GPS)] given the dramatic increase in RF
devices and the [RF] noise floor.'' It recommended that the Commission
defer adopting an OOBE limit, and instead participate in a multi-
stakeholder task group to develop new GPS spectrum interference
standards. CTIA countered that ``these issues are best addressed in
other fora, and [that] the Commission should not allow these
speculative interference concerns to delay this critical spectrum
auction.''
65. The Commission has long recognized the importance of GPS and
our responsibility to ensure that it receives appropriate interference
protection from other radiocommunication services. However, GPSIA's
arguments that the proposed OOBE limit may present some risk of
interference do not warrant deferring action on the proposed OOBE
limit. GPSIA does not support its claims with technical studies and
apparently makes worst-case assumptions regarding emissions from AWS-3
mobiles; i.e., ``if appropriate standards are not adopted,
manufacturers could begin to produce devices designed with degraded
OOBE performance. . . .'' In fact, as GPSIA implicitly concedes,
industry standards developed for each radio interface meet or exceed
the Commission's OOBE limits, often by significant amounts, and thereby
provide an additional margin of interference protection. In addition,
parties are free to negotiate private agreements for additional
protection, as was the case with the AWS-4 spectrum. See AWS-4 Report
and Order, 27 FCC Rcd at 16152-53 paras. 121-22. These standards are
developed through open working groups, which GPSIA would be free to
participate in. Most significantly, however, there is no evidence--in
either the record here or our experience generally--that operations in
the AWS-1 band have resulted in harmful interference to GPS. AWS-1
handsets and GPS receivers coexist satisfactorily, even when they
reside on the same device. The technical operation in the AWS-1 band is
virtually identical to what was proposed for this AWS-3 band: Both
bands would be populated by low-power mobile devices, both would be
governed by the standard 43 + 10 log10 (P) dB OOBE
attenuation factor, and both are similarly separated in frequency from
the GPS band. In short, for all these reasons, we believe the
possibility of harmful interference to GPS is extremely unlikely.
66. Further, suspending this proceeding to reexamine interference
standards would likely make it impossible to meet the statutory
requirement that this spectrum be licensed by February 2015. In light
of our findings above, we believe that the better course is to proceed
based on the record herein. Of course we will continue to explore new
ways to maximize spectrum efficiency. For example, in ET Docket No. 13-
101 we are considering recommendations of the Commission's
Technological Advisory Council regarding the use of harm claim
thresholds to improve the interference tolerance of wireless systems.
Such proceedings provide a more appropriate vehicle to consider
evolution of regulatory requirements, including how to transition
incumbents to new standards, if that should be necessary.
67. We therefore adopt for the 1695-1710 MHz band an OOBE
attenuation factor of 43 + 10 log10 (P) dB below 1695 MHz.
b. Interference Protection to Operations Above 1710 MHz
68. The 1695-1710 MHz AWS-3 uplink band is adjacent to AWS-1 uplink
spectrum at 1710-1755 MHz. Because we anticipate that the services used
in these adjacent bands will be similar, the AWS-3 NPRM proposed to
specify the same OOBE attenuation factor for this AWS-3 band as applies
to the adjacent AWS-1 band, the standard 43 + 10 log10 (P)
dB. No commenter objected to this proposal, and the record does not
suggest the presence of any circumstances requiring special OOBE
protection for the adjacent AWS-1 band. We therefore adopt for this
band an OOBE attenuation factor of 43 + 10 log10 (P) dB
above 1710 MHz.
69. Interference protection to operations below 1755 MHz. Likewise,
the 1755-1780 MHz AWS-3 uplink band is adjacent to AWS-1 uplink
spectrum at 1710-1755 MHz, where we anticipate similar use. Thus the
AWS-3 NPRM again proposed the same OOBE attenuation factor for this
AWS-3 uplink band as applies to the adjacent AWS uplink band, 43 + 10
log10 (P) dB. Again, no commenter objected to this proposal,
and the record does not suggest the presence of any circumstances
requiring special OOBE protection for the adjacent AWS-1 band. We
therefore adopt for this band an OOBE attenuation factor of 43 + 10
log10 (P) dB below 1755 MHz.
70. Interference protection to operations above 1780 MHz. The 1755-
1780 MHz AWS-3 uplink band is
[[Page 32376]]
adjacent to Federal operations at 1780-1850 MHz. The AWS-3 NPRM
observed that the proposal to designate this band for AWS-3 use would
merely shift the boundary between AWS and adjacent-band services, with
no significant change in the uses on either side of the boundary. The
AWS-3 NPRM therefore proposed to maintain the OOBE attenuation factor
for the present boundary (i.e., the AWS-1 limit) for this AWS-3 band,
again the standard 43 + 10 log10 (P) dB. No commenters
dissented from this proposal, and the record does not suggest the
presence of any circumstances requiring special OOBE protection for the
adjacent Federal operations. We therefore adopt for this band an OOBE
attenuation factor of 43 + 10 log10 (P) dB above 1780 MHz.
c. Interference Protection to Services in Other Bands--Base Stations
Operating in 2155-2180 MHz
71. The 2155-2180 MHz AWS-3 downlink band lies between AWS-1
downlink spectrum at 2110-2155 MHz and AWS-4/MSS downlink spectrum at
2180-2200 MHz. Because we anticipate that operations in 2155-2180 MHz
and in the adjacent downlink bands will be similar, the AWS-3 NPRM
proposed that our standard OOBE attenuation factor of 43 + 10
log10 (P) dB would be sufficient to protect AWS-1 and AWS-4/
MSS receivers operating in the adjacent bands. No commenters objected
to this proposal, and the record does not suggest the presence of any
circumstances requiring special OOBE protection for the adjacent AWS-1
and AWS-4/MSS bands. Therefore, we adopt for this band an OOBE
attenuation factor of 43 + 10 log10 (P) dB both below 2155
MHz and above 2180 MHz.
d. Measurement of OOBE
72. The Commission's rules generally specify how to measure the
power of the emissions, such as the measurement bandwidth. For AWS-1,
AWS-4 and PCS, the measurement bandwidth used to determine compliance
with this limit for fixed, mobile, and base stations is generally 1
megahertz, with some modification within the first megahertz
immediately outside and adjacent to the licensee's frequency block. The
AWS-3 NPRM proposed to apply this same method to all transmissions in
the AWS-3 bands, and sought comment on this proposal. The only party
commenting on this proposal supported it. Since there is no opposition
to our proposal, and in order to treat the AWS-3 bands in an equivalent
manner to other similar bands, we therefore adopt the same requirement
for AWS-3 emission limits.
2. Antenna Height Restrictions
73. The AWS-3 NPRM proposed that the flexible antenna height rules
applicable to AWS-1 base stations should also govern AWS-3 base
stations. In addition, since the AWS-3 NPRM proposed not to authorize
fixed operations in the 1695-1710 MHz and 1755-1780 MHz bands, it
tentatively concluded that no special antenna height restrictions are
needed for those bands.
74. Base Stations (2155-2180 MHz). Part 27 of the Commission's
rules does not set out specific antenna height restrictions for AWS-1
base stations. However, pursuant to Sec. 27.56, all services operating
under part 27 are required to limit base station antenna heights to
elevations that do not present a hazard to air navigation.
Additionally, the limitations of field strength at the geographical
boundary of the license discussed below effectively limit antenna
heights. As a result, because of these inherent height limitations, the
AWS-3 NPRM proposed that unique antenna height limits were not needed
for AWS-3 facilities, and that the general height restrictions of part
27 would be sufficient.
75. The only comments addressing the issue supported this proposal.
As the AWS-3 NPRM noted, two rules effectively limit base station
antenna heights: Sec. 27.56 regarding safety of air navigation and
Sec. 22.55(a) limiting the field strength of base station signals at
the edge of a licensee's geographic service area. In addition, Motorola
commented that ``the need for spectral reuse'' provides a third
inhibitor of base station antenna height. For all these reasons, we
find no need for a special restriction on the antenna height of AWS-3
base stations operating in the 2155-2180 MHz band.
76. Fixed Stations (1695-1710 MHz and 1755-1780 MHz). The AWS-3
NPRM proposed to prohibit fixed stations in the 1695-1710 MHz and 1755-
1780 MHz bands, because in defining Protection Zones, CSMAC's
assumptions did not consider the possibility of commercial fixed
uplinks. A fixed station is ``a station in the fixed service,'' which
consists of stations at specified fixed points that communicate with
each other. 47 CFR 27.4. The AWS-3 NPRM therefore tentatively concluded
that no antenna height limit would be necessary for these bands. Only
one party specifically addressed this issue: Verizon stated that ``the
authorization of fixed high gain antennas in these bands could cause
interference to government operations and thus the FCC should prohibit
their use in these bands.'' We believe that permitting fixed stations
in these uplink bands would unduly complicate sharing with Government
incumbents, and that the lack of comments asking us to provide for
fixed station use in these bands indicates there is no significant
demand for it. We therefore adopt the AWS-3 NPRM's proposal to prohibit
fixed stations from operating in the 1695-1710 MHz and 1755-1780 MHz
bands. And with no fixed stations in these bands, there is no need for
an antenna height limit, so we will not adopt antenna height
restrictions for the 1695-1710 MHz and 1755-1780 MHz bands at this
time.
3. Power Limits
77. We will apply the existing AWS-1 EIRP limits to the AWS-3
downlink band at 2155-2180 MHz, as proposed in the AWS-3 NPRM. The AWS-
3 NPRM proposed to depart from the AWS-1 EIRP limits for the AWS-3
uplink bands at 1695-1710 MHz and 1755-1780 MHz, because CSMAC and NTIA
recommendations for sharing these bands with Federal incumbents were
based on assumed baseline LTE uplink characteristics, which specify
that lower EIRP levels would be used. These assumptions were set out in
Appendix 3 of the WG1 Final Report. WG1 Final Report, App. 3 (Baseline
LTE Uplink Characteristics). This document reflects the consensus of
the LTE Technical Characteristics group of the CSMAC Working Groups.
Participants included numerous Federal and non-Federal representatives.
Consistent with our policy supporting flexible use where possible, we
are not adopting technical rules requiring AWS-3 licensees to comply
with LTE or any other particular industry standard. Nonetheless, we are
adopting Protection Zones for Federal incumbents based on the power
levels used for the CSMAC studies, while also requiring larger
Protection Zones that would apply should AWS-3 licensees propose to
operate uplink stations above 20 dBm EIRP.
78. Base Stations (2155-2180 MHz). The current AWS-1 rules limit
base station power in non-rural areas to 1640 watts EIRP for emission
bandwidths less than 1 megahertz and to 1640 watts per megahertz EIRP
for emission bandwidths greater than 1 megahertz, and double these
limits (3280 watts EIRP or 3280 watts/MHz) in rural areas. The AWS-1
rules also require that licensees with base stations employing transmit
power above 1640 watts EIRP and 1640 watts/MHz EIRP coordinate with
affected licensees authorized to operate within 120 kilometers (75
miles)
[[Page 32377]]
and with certain satellite entities. Parallel provisions apply to
broadband PCS and AWS-4 stations.
79. The AWS-3 NPRM proposed to apply similar requirements to AWS-3
base stations operating in the 2155-2180 MHz band because these rules
have provided good service while avoiding harmful interference.
Specifically, the AWS-3 NPRM proposed to limit base station power in
non-rural areas to 1640 watts EIRP for emission bandwidths less than 1
megahertz and to 1640 watts per megahertz EIRP for emission bandwidths
greater than 1 megahertz, and double these limits (3280 watts EIRP or
3280 watts/MHz) in rural areas. For AWS-3 base stations with transmit
power above 1640 watts EIRP and 1640 watts/MHz EIRP, the AWS-3 NPRM
proposed to require coordination with the following licensees
authorized to operate within 120 kilometers (75 miles) of the AWS-3
base or fixed station: All BRS licensees authorized in the 2150-2162
MHz band and all AWS licensees authorized to operate on adjacent
frequency blocks in the AWS-3 band, the 2110-2155 MHz band or the 2180-
2200 MHz band. Because of the spectral separation between the 2155-2180
MHz band and the 2025-2110 MHz satellite band, however, the AWS-3 NPRM
did not propose to require coordination with these operators.
80. Commenters generally supported the Commission's proposed
technical rules, specifically advocating adoption of regulations
consistent with those applicable to the AWS-1 spectrum; no commenter
opposed the proposals for base station power limits. The Commission
typically adopts the same rules for similar adjacent band services, and
we see no compelling reason to do otherwise here. Accordingly we adopt
the AWS-3 base station power limits proposed in the AWS-3 NPRM and
described in the preceding paragraph.
81. Mobile and Portable Stations (1695-1710 MHz and 1755-1780 MHz).
For AWS uplink bands, our rules specify different power limits for
different bands, depending on each band's particular circumstances.
AWS-4 uplinks are generally limited to 2 watts EIRP, while AWS-1
uplinks are limited to 1 watt EIRP in order to simplify coordination
with Government operations that remain in the AWS-1 uplink band, a
situation that the AWS-4 band did not present. In this respect the two
AWS-3 uplink bands under consideration here are similar to the AWS-1
uplink band in that they all contain Government operations, and this
circumstance requires careful consideration of the power limit in order
to assure satisfactory sharing of the bands with Government incumbents.
82. As described above, in conducting studies for coexistence of
commercial and Federal systems in the AWS-3 uplink bands, CSMAC made
assumptions about the power output of typical commercial user equipment
for the purpose of defining Protection Zones. Specifically, CSMAC
assumed that typical commercial user equipment will be LTE devices. The
LTE standard sets a maximum transmitter power output (TPO) of 23 dBm.
CSMAC's analysis indicates that such devices will have an actual EIRP
varying between -40 dBm and 20 dBm, however, due to power control and
typical antenna gains/losses. CSMAC used these EIRP values to assume a
maximum power of 20 dBm EIRP (100 mW) for the purpose of defining the
Protection Zones. For this reason, the Commission proposed to limit
power to the 20 dBm EIRP for mobiles and portables operating in the
1695-1710 MHz and 1755-1780 MHz bands.
83. The Commission also noted its intent to adopt flexible-use
service rules for the AWS-3 band supporting terrestrial wireless
service and that it was not proposing to mandate the use of any
industry standard. In this regard, the Commission observed that similar
commercial mobile services such as PCS, AWS-1, and the 700 MHz band
deploy handsets using a variety of technologies, including CDMA and
UMTS, as well as LTE, whose devices most commonly operate at a maximum
EIRP of 23 dBm (200 mW) regardless of higher FCC power limits such as
the maximum EIRP limit of 1 watt (30 dBm) for the AWS-1 uplink band.
Recognizing that the Commission's technical rules will govern all
devices nationwide, rather than typical devices operating near Federal
incumbents, the Commission sought comment on whether the benefits of a
higher power limit would outweigh the increased burden of having to
coordinate more commercial operations with Federal incumbents. The AWS-
3 NPRM further proposed that mobile and portable stations operating in
these bands must employ a means for limiting power to the minimum
necessary for successful communications.
84. While the 20 dBm EIRP figure is a reasonable assumption from
which to determine the area where the potential for interference
requires coordination with incumbents, a power limit higher than
proposed is feasible, so long as the size of the Protection Zones
reflects whatever limit we adopt so that, if a licensee proposes to
operate above 20 dBm EIRP, this higher power factors into the
coordination analysis.
85. Wireless industry commenters nearly unanimously supported the
benefits of a higher power limit over the increased burden of
coordination. AT&T suggested that a 20 dBm EIRP limit ``would
effectively require the adoption of a separate 3GPP standard for AWS-
3.'' Motorola argued that the proposed 20 dBm limit is inherently
flawed because it was based on the 23 dBm total power output limit set
by the LTE standard, less 3 dB in assumed losses from issues such as
negative antenna gain. Actual losses, it said, will be greater, which
justifies a higher power limit in the Commission's rules. Further,
Motorola notes the important role of automatic power control in mobile
networks, citing a 3GPP simulation showing that ``the average transmit
power across all devices in a mobile network is below 1 dBm and that 95
percent of all devices transmit with a power below 7 dBm.'' DISH makes
a similar argument regarding automatic power control, and also notes
that the Interference Power Spectral Density level can be controlled by
limiting the number of simultaneously transmitting mobiles around
Protection Zones, rather than restricting the mobile maximum power to
20 dBm, thus preserving the current Protection Zone boundaries. DISH
adds that limiting the number of simultaneous mobile transmissions has
an added advantage of providing protection while preserving wireless
coverage footprints typical LTE devices can support. These commenters
suggest a range of alternatives for the AWS-3 uplink power limit,
including 23 dBm, 23 dBm +/-2 dB or 25 dBm (all based on the LTE
standard), and 30 dBm (the AWS-1 limit).
86. On the other hand, Raytheon argued that ``[f]ailure to mandate
an LTE standard could impact directly the validity, already qualified,
of the analysis determining the proposed contours of the Protection
Zones. . . . [I]f the Commission chooses to forego mandating use of the
LTE standard by auction winners, the Commission should establish larger
Protection Zones to create an umbrella allowing for the use of other
standards.''
87. Based on the record before us, we are persuaded that the
benefits of a higher EIRP limit outweigh the burden of additional
coordination. Therefore, for the sake of uniformity among AWS-1 and
AWS-3 equipment requirements and to facilitate industry standard
setting in accordance with the basic interoperability requirement that
we adopt herein for 1710-1780 MHz stations, we adopt an AWS-3 uplink
[[Page 32378]]
power limit of 30 dBm EIRP. We emphasize that this EIRP limit is
largely a matter of equipment certification and that AWS-3 licensees
are not authorized, as a matter of right, prior to successful
coordination, to operate mobile and portable stations up to this EIRP
limit. Additionally, we agree with Raytheon that the Protection Zones
must be properly calibrated to account for any operations above 20 dBm
EIRP. We also adopt the AWS-3 NPRM's uncontested proposal to require
that mobile and portable stations operating in these bands employ a
means for limiting power to the minimum necessary for successful
communications.
88. Accordingly, the 27 Protection Zones for 1695-1710 MHz will be
defined at two maximum protection distance scenarios: operations up to
20 dBm EIRP, as proposed in the AWS-3 NPRM, and operations above 20 dBm
EIRP up to 30 dBm EIRP. The Protection Zones are the product of
consultations between the Commission and NTIA. For base stations that
enable mobiles to operate with a maximum EIRP greater than 20 dBm, up
to a maximum EIRP of 30 dBm, nationwide coordination will be required.
These requirements reflect the optimum scenarios for AWS-3/Federal
sharing of these bands, and provide ample opportunity to ensure that
incumbent Federal operations are fully protected. The real-time
spectrum monitoring systems that Federal incumbents are planning will
also, once deployed, help to maximize commercial use of the band while
protecting Federal meteorological-satellite receive stations.
89. For the 1755-1780 MHz band, the default Protection Zone is
nationwide. Therefore, all AWS-3 operations in this band, including
proposals to operate above 20 dBm EIRP, will have to be successfully
coordinated with all relevant Federal incumbents. In the coming months,
the Commission and NTIA intend to jointly issue one or more public
notices establishing coordination procedures and, if possible, more
refined Protection Zones for operations up to 20 dBm EIRP. This
forthcoming action will not affect operations above 20 dBm EIRP (and up
to the 30 dBm EIRP limit) for which the nationwide Protection Zone will
remain applicable.
90. We also recognize CSMAC's suggestion that the aggregate signal
level from all licensees measured as a power flux density at the
geostationary orbit (GSO) arc should not exceed -179 dBW/Hz/m\2\. CSMAC
concluded that it is unlikely that the aggregate power flux density
from user devices at the GSO arc will reach -179 dBW/Hz/m\2\ and that
AWS operations are unlikely to impact Federal Space Operations
reception in the GSO arc, assuming user devices operate with a maximum
EIRP of 20 dBm. Further, the WG3 Final Report indicated that there is a
positive 7.6 dB margin at the -179 dBW/Hz/m\2\ power flux density
level, and AWS-3 mobile devices will typically operate with
significantly lower EIRP levels than assumed in the WG3 Final Report.
We nonetheless recognize the legitimate issue of aggregate power flux
density possibly affecting incumbent operations and that Federal
satellite operators will routinely monitor the aggregate power flux
density level at the satellites. AWS-3 licensees are on notice that the
Commission will revisit the matter and take appropriate action if it is
demonstrated that the aggregate power flux density level from all
mobile devices in a 10 megahertz bandwidth in the 1761-1780 MHz band
could impact Federal Space Operations reception in the GSO arc, i.e.,
is approaching -179 dBW/Hz/m\2\.
4. Co-Channel Interference Between AWS-3 Systems
91. As discussed above, we determine to license AWS-3 on an EA and
CMA geographic license area basis. The Commission observed in the AWS-3
NPRM that should this spectrum be licensed on a less than nationwide
basis, it would be necessary to ensure that licensees do not cause
harmful interference to co-channel systems operating along their common
geographic boundaries. To resolve any such interference, the AWS-3 NPRM
proposed to adopt a boundary limit approach, with a boundary field
strength limit of 47 dB[mu]V/m, the same as applies to other services
similar to AWS-3, including AWS-1 and AWS-4. The alternative would be
to require prior coordination of base stations located near geographic
boundaries. The AWS-3 NPRM noted that some commenters in other
proceedings have suggested that the boundary limit be adjusted to
accommodate varying channel bandwidths, and sought comment on these
options. The AWS-3 NPRM also sought comment on its proposal that
licensees operating in adjoining areas should be permitted to employ
alternative, agreed-upon signal limits at their common borders. Except
for T-Mobile, which argued that the field strength limit be adjusted to
accommodate for varying channel bandwidths, commenters did not oppose
the Commission's proposals to protect adjacent licensees from co-
channel interference.
92. We adopt the proposed boundary limit approach for co-channel
interference. As discussed above, the Commission will license AWS-3 on
a geographic area basis that is less than nationwide, i.e., an EA and
CMA basis. To prevent licensees that operate systems along common
geographic borders from causing harmful interference to one another,
the Commission must provide operating limits to ensure such licensees
do not cause interference to co-channel systems. Adopting a boundary
limit approach establishes a default standard, which will enable
licensees to deploy facilities in boundary areas without the need for
prior coordination. (Licensees may use this operating limit as a
starting point for negotiations to exceed the limits with agreement of
adjacent area licensees.) Moreover, in other bands where spectrum has
been allocated for fixed and mobile services, similar to AWS-3, the
Commission has uniformly adopted the boundary limit method to minimize
harmful co-channel interference. For instance, the PCS, AWS-1, AWS-4
and H-Block bands all use a boundary limit approach. In response to the
Commission's proposal, no commenter supported a coordination
requirement rather than the boundary limit approach. Consequently, we
find that a boundary limit approach is the best method to address
potential harmful co-channel interference between licensees operating
in adjacent geographic regions.
93. We set the field strength limit at the boundary at 47 dB[mu]V/
m. As the Commission observed in the AWS-3 NPRM, in other bands where
spectrum has been allocated for fixed and mobile services and licensed
for flexible use, similar to AWS-3, the Commission has generally
adopted a boundary field strength limit of 47 dB[mu]V/m. For example,
in the PCS, AWS-1, AWS-4 and H-Block bands, the Commission adopted a
field strength limit of 47 dB[mu]V/m at the boundary of licensed
geographic areas. Because this limit has worked well in limiting co-
channel interference in other bands, we find it appropriate to adopt it
here for the similarly situated AWS-3.
94. In adopting this boundary limit, we decline to adopt the
alternative limit proposed by T-Mobile. While supporting the boundary
limit approach used in other bands, T-Mobile asserted that we should
modify the boundary limit to set a reference measurement bandwidth, as
proposed by Sprint in WT Docket No. 12-357. In making this
recommendation, T-Mobile claimed that because today's LTE transmissions
operate on wider channels than earlier legacy technologies, a 47
dB[mu]V/m limit will effectively result in a comparatively
[[Page 32379]]
lower field strength limit. Specifically, T-Mobile proposed to adjust
the field strength limit from 47 dB[mu]V/m to 54 dB[mu]V/m per
megahertz ``which is based on GSM technology and provides a 7 dB
increase over today's rules.''
95. Although we agree with T-Mobile that a boundary limit that
adjusts for large differences in channel bandwidths may be appropriate,
we are not persuaded that either Sprint or T-Mobile's proposed limit
represents the most appropriate solution. Sprint derived the value for
the field strength based on a comparison against a 30 kHz Digital Amps
signal, and T-Mobile did not explain how it derived its proposed limit.
Other technologies may be a more appropriate reference upon which to
base the value for the field strength. Also, there are other metrics
that may be used to limit the signal at the boundary, such as power
flux density. We observe that the Commission has already adopted a
bandwidth-independent approach when setting boundary limits with Canada
and Mexico. For example, certain international limits are expressed as
a power flux density (i.e., dBW/m\2\/MHz), a measure of power, whereas
field strength is a measurement of voltage. As Sprint noted, other
parties have proposed to set boundary limits in a bandwidth neutral
manner, but there is no established consensus on what the value of the
limit should be. With no consensus regarding an alternative boundary
limit approach, we are not prepared to adopt any particular approach at
this time. We intend to explore the issue of whether to apply a
measurement bandwidth to co-channel boundary limits in future service
rules proceedings, and we encourage all interested parties to explore
this issue in such proceedings to develop a full record of the
technical concerns and ramifications of such an approach.
96. Finally, we adopt the Commission's proposal that adjacent
affected area licensees may voluntarily agree upon higher field
strength boundary levels than the 47 dB[mu]V/m we adopt above. This
concept is already codified in the field strength rules for both PCS
and AWS services. No party opposed extending this approach to AWS-3.
Accordingly, to maintain consistency with the PCS and other AWS bands,
we permit adjacent area licensees to agree to a higher field strength
limit.
5. Co-Channel Interference to BRS Channels 1 and 2
97. The AWS-1 rules include provisions that protect BRS Channel 1
(2150-2156 MHz) and Channel 2/2A (2156-2160/62 MHz) while the band
transitions from BRS to AWS use. 47 CFR 27.1132, 27.1250-27.1255. These
BRS provisions will expire in 2021, 15 years after the first AWS
license was issued in the band, at which time any remaining BRS
licensees in the band will lose primary status. Id. Sec. 27.1253(a).
The Commission's licensing records reflect that there are fewer than
five BRS incumbents licensed on these channels and that most of the
stations use Channels 1 and/or 2/2A for fixed broadband uplink. Because
these BRS channels will be co-channel to some licenses in the AWS-3
downlink band at 2155-2180 MHz, the AWS-3 NPRM proposed that the same
AWS-1 provisions in Sec. Sec. 27.1132 and 27.1255 be applied to future
AWS-3 licensees operating in the 2155-2180 MHz band. No parties
commented on this proposal. Therefore, and in the absence of any
compelling reason to do otherwise, we adopt the same provisions in
Sec. Sec. 27.1132 and 27.1255 for AWS-3 licensees operating in the
2155-2180 MHz band.
6. Base Station Control of Mobile or Portable Devices in 1695-1710 MHz
and 1755-1780 MHz Bands
98. In the AWS-3 NPRM, we proposed to require mobile or portable
devices operating in bands shared with Federal incumbents to be under
the control of a base station. T-Mobile did not oppose this
requirement, but suggested allowing an exception ``to allow devices to
operate that are not under the control of a base station if that can be
accomplished in a manner consistent with protection requirements to
Federal operations.'' Raytheon opposed codifying T-Mobile's proposed
exception, stating that such flexibility might be considered pursuant
to a specific coordination scenario as long as Federal agencies are not
obligated to consent to such use.
99. T-Mobile also noted that any control requirement should be
consistent with LTE mobile operations, which it described as follows:
Prior to transmitting, LTE user devices listen for system
information being broadcast by the base station. Based on the system
information, the user device will transmit a RACH (Random Access
Channel), in order to get the cell to grant downlink/uplink radio
resources. Because the mobile device does not transmit until
receiving system information from the base station, the mobile
device is clearly under the control of the base station. . . .
100. As discussed above, in order to facilitate Federal
coordination, uplink/mobile devices in the 1695-1710 MHz and 1755-1780
MHz bands must be under the control of, or associated with, a base
station as a means to facilitate shared use of the band and prevent
interference to Federal operations. We agree with T-Mobile that LTE
user devices operating as T-Mobile describes would meet this control
requirement. However, we are not persuaded to codify the general
exception that T-Mobile suggests, because the proposal lacks the
specificity necessary to assure us that it would prevent interference
to Federal incumbents.
7. Receiver Performance
101. The AWS-3 NPRM sought comment on the potential for AWS-3
operations to cause receiver overload or other interference to non-AWS
operations below 1695 MHz, above 1780 MHz, above 2025 MHz, and above
2180 MHz. No commenter addressed this issue directly, and the only
comments suggesting the possibility of interference to adjacent non-AWS
services were those urging special OOBE protection below 1695 MHz. We
have addressed these comments in connection with finalizing the AWS-3
OOBE limits, and no interference issues remain to be considered.
8. Compliance With Industry Standard
102. In response to the Commission's request for comment on any
other technical rules that may be required, some commenters encouraged
us to mandate use of the LTE air interface standard in the AWS-3
spectrum, while some urged us to adopt an equipment interoperability
requirement. In the AWS-3 NPRM, the Commission acknowledged that CSMAC
made technical assumptions about commercial operations that assumed
baseline LTE uplink characteristics and that some technical rules must
accommodate CSMAC's assumptions or the Protection Zones might have to
be redrawn. But the Commission emphasized that it was not proposing
rules to require AWS-3 licensees to comply with any particular industry
standard such as LTE. Rather, in accordance with the Spectrum Act, the
Commission intended to propose flexible use service rules for the AWS-3
band. The Commission also observed that similar commercial mobile
services such as PCS, AWS-1, and the 700 MHz band deploy handsets using
a variety of technologies, including CDMA and UMTS, as well as LTE. AIA
expressed concern ``[w]hether spectrum sharing and coordination rules
can be established when there is currently no proposed requirement for
AWS-3 licensees to comply with any particular industry standard such as
LTE.'' And as noted above, Raytheon argued that if the Commission did
not
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mandate use of the LTE standard, it should ``establish larger
Protection Zones to create an umbrella allowing for the use of other
standards.'' T-Mobile disagreed, stating that ``While LTE is currently
the favored standard, it may be supplanted in the future. An LTE
mandate would hamstring innovation and development and be contrary to
the Commission's policy to preserve technical flexibility and refrain
from imposing technical standards.''
103. We agree with T-Mobile that locking licensees into a
particular technology indefinitely is not warranted. Mandating a
particular industry standard such as LTE would hamstring innovation and
development and be contrary to the Commission's policy to preserve
technical flexibility and refrain from imposing unnecessary technical
standards. Instead, we seek to adopt those minimum requirements
necessary to protect against interference or effectuate other
compelling public interest objectives. As discussed above, the LTE
standard was used to determine Protection Zones for the 1695-1710 MHz
band, but that does not require its adoption for all purposes. Where
the rules that we adopt today differ from proposed rules that reflected
CSMAC's assumptions, we also adopt corresponding changes to the
coordination zones. As discussed below, for the 1755-1780 MHz band, the
coordination requirement applies nationwide, and not just to designated
Protection Zones. If in the future a licensee decides to use a
technology other than LTE, the licensee will still be subject to our
technical rules. If the technology complies with our rules but
nonetheless poses a greater risk of interference to incumbent Federal
operations, this development can be addressed as part of the required
coordination process. Accordingly, we see no reason to mandate use of
LTE in the AWS-3 bands.
9. Canadian and Mexican Coordination
104. In the AWS-3 NPRM, the Commission observed that Sec. 27.57(c)
of the rules provides that AWS-1 and AWS-4 operations are subject to
international agreements with Mexico and Canada, and proposed to apply
the same limitation to the AWS-3 bands. No comments were submitted on
this proposal. In order to ensure efficient use of the spectrum and
interference-free operations in the border areas near Canada and
Mexico, the Commission routinely works with the United States
Department of State and Canadian and Mexican government officials.
Until such time as any adjusted agreements, as needed, between the
United States, Mexico and/or Canada can be agreed to, AWS-3 operations
must not cause harmful interference across the border, consistent with
the terms of the agreements currently in force. The list of agreements
includes the ``Protocol Concerning the Transmission and Reception of
Signals from Satellites for the Provisions of Mobile-Satellite Services
and Associated Feeder links in the United States of America and the
United Mexican States.'' We note that further modifications of the
rules might be necessary in order to comply with any future agreements
with Canada and Mexico regarding the use of these bands.
10. Other Technical Issues
105. In addition to the specific technical issues addressed above,
the Commission also noted several rules that apply to part 27 services
generally, and proposed applying them to the AWS-3 bands as well.
Specifically, the Commission proposed applying the following rule
sections: 27.51 Equipment authorization, 27.52 RF safety, 27.54
Frequency stability, 27.56 Antennas structures; air navigation safety,
and 27.63 Disturbance of AM broadcast station antenna patterns. The
Commission reasoned that because AWS-3 will be a part 27 service, these
rules should apply to all AWS-3 licensees, including those who acquire
licenses through partitioning or disaggregation. No commenters opposed
this proposal. Accordingly, because these rules generally apply to all
part 27 services, and because, as we explain below, we find it
appropriate to license the AWS-3 spectrum under our part 27 regulatory
framework, we conclude that the potential benefits of our proposal
would outweigh any potential costs and adopt the proposal to apply
these additional part 27 rules to AWS-3 licensees. The Commission
recently deleted Sec. 27.63. Rules governing disturbance of AM
broadcast station antenna patterns are now contained in subpart BB of
part 1, 47 CFR 1.30000-1.30004.
C. Licensing and Operating Rules; Regulatory Issues
106. The licensing and operating rules we adopt below provide AWS-3
licensees with the flexibility to provide any fixed or mobile service
that is consistent with the allocations for this spectrum. In the AWS-3
NPRM, the Commission sought comment on the appropriate license term,
criteria for renewal, and other licensing and operating rules
pertaining to the AWS-3 band. In addition, the Commission sought
comment on the potential impact of all of our proposals on competition.
Herein, we adopt a set of service rules that set forth the license
term, performance requirements, and license renewal criteria and
establish secondary market transaction and permanent discontinuance
rules for all AWS-3 wireless licenses. We also affirm that other rule
parts that pertain generally to wireless communication services will
similarly apply to AWS-3 licensees.
107. Assignment of Licenses. The Spectrum Act states that the
Commission shall grant new initial licenses for the 1695-1710 MHz and
2155-2180 MHz bands, and 15 additional megahertz of contiguous spectrum
to be identified by the Commission, through a system of competitive
bidding pursuant to section 309(j) of the Communications Act. In the
AWS-3 NPRM, the Commission proposed for all AWS-3 bands, including
1755-1780 MHz and 2020-2025 MHz, to license on a geographic area basis,
which would permit the acceptance of mutually exclusive applications.
As such, the Commission proposed to resolve all AWS-3 applications and
assign licenses through competitive bidding consistent with our
statutory mandate.
108. We adopt the Commission's proposal to assign initial licenses
for the AWS-3 bands through a system of competitive bidding. Further,
we adopt the Commission's proposal to license AWS-3 spectrum bands on a
geographic area basis and permit the acceptance of mutually exclusive
applications. AT&T, for example, agrees that the ``initial assignments,
in accordance with Congress' mandate, should be through a system of
competitive bidding.'' Thus, as detailed below, we adopt rules to
govern the use of a competitive bidding process for licensing all AWS-3
bands, including 1755-1780 MHz and 2020-2025 MHz.
109. Flexible Use. In the AWS-3 NPRM, consistent with the Spectrum
Act's mandate to license according to flexible use service rules, the
Commission proposed and sought comment on service rules that permit a
licensee to employ the spectrum for any non-Federal use permitted by
the United States Table of Frequency Allocations, subject to the
Commission's part 27 flexible use and other applicable rules (including
service rules to avoid harmful interference). Part 27 licensees must
also comply with other Commission rules of general applicability. See
47 CFR 27.3. In addition, flexible use in international border areas is
subject to any existing or future international agreements. Thus, the
Commission proposed that the spectrum may be used for any fixed or
[[Page 32381]]
mobile service that is consistent with the allocations for the band.
The Commission sought comment on whether any restrictions are warranted
and how such restrictions would comport with the statutory mandates of
section 6401 of the Spectrum Act.
110. In accordance with the Spectrum Act's direction to license
according to flexible use service rules, we will license the AWS-3
spectrum under part 27. We received no comments on this specific
proposal but found general support in the record for permitting
flexible use. The part 27 rules provide a broad and flexible regulatory
framework for licensing spectrum, enabling the spectrum to be used for
a wide variety of broadband services, thereby promoting innovation and
efficient use of the spectrum.
111. Regulatory Framework. In the AWS-3 NPRM, we proposed licensing
AWS-3 spectrum in accordance with the flexible regulatory framework of
part 27 of our rules. We sought comment on our proposal to license the
AWS-3 band under part 27's service and licensing rules, and any
associated costs or benefits of doing so. We believe that our part 27
rules are consistent with the Spectrum Act's requirement for
``flexible-use service rules.''
112. We adopt the Commission's proposal to license AWS-3 spectrum
in accordance with the flexible regulatory framework of part 27 of our
rules. We received no comments on this issue. We note that unlike other
rule parts applicable to specific services, part 27 does not prescribe
a comprehensive set of licensing and operating rules for the spectrum
to which it applies. Rather, for each frequency band under its
umbrella, part 27 defines permissible uses and any limitations thereon,
and specifies basic licensing requirements.
113. Regulatory Status. In the AWS-3 NPRM, the Commission proposed
to apply the regulatory status provisions of Sec. 27.10 of the
Commission's rules to licensees in the AWS-3 band. Specifically, Sec.
27.10 requires license applicants to identify the regulatory status of
the services they intend to provide, and permits applicants and
licensees to request common carrier status, non-common carrier status,
private internal communications status, or a combination of these
options, for authorization in a single license (or to switch between
them). The Commission also proposed that if a licensee changes the
service or services it offers such that its regulatory status would
change, it must notify the Commission within 30 days of the change.
114. We adopt the proposal to apply Sec. 27.10 of our rules, 47
CFR 27.10, to AWS-3 licensees. Under this flexible regulatory approach,
AWS-3 licensees may provide common carrier, non-common carrier, private
internal communications or any combination of these services, so long
as the provision of service otherwise complies with applicable service
rules. We find that this broad licensing framework is likely to achieve
efficiencies in the licensing and administrative process and will
provide flexibility to the marketplace, thus encouraging licensees to
develop new and innovative services. Moreover, by applying this
requirement to AWS-3 licensees, we will treat them the same as other
part 27 licensees, all of whom are subject to this rule. Although no
commenters directly address this issue, commenters do support increased
regulatory flexibility generally. We conclude that this approach is in
the public interest and that its benefits likely outweigh any potential
costs.
115. We remind potential applicants that an election to provide
service on a common carrier basis requires that the elements of common
carriage be present; otherwise the applicant must choose non-common
carrier status. See 47 U.S.C. 153(44) (``A telecommunications carrier
shall be treated as a common carrier under this Act''); see also 47
U.S.C. 332(C)(1)(A) (``A person engaged in the provision of a service
that is a commercial mobile service shall, insofar as such person is so
engaged, be treated as a common carrier for purposes of this Act''). If
a potential licensee is unsure of the nature of its services and
whether classification as common carrier is appropriate, it may submit
a petition with its application, or at any time, requesting
clarification and including service descriptions for that purpose.
116. Consistent with the Commission's proposal in the AWS-3 NPRM,
we extend to the AWS-3 band our part 27 requirement that if a licensee
elects to change the service or services it offers such that its
regulatory status would change; it must notify the Commission and must
do so within 30 days of making the change. See 47 CFR 27.10(d). See
also 47 CFR 27.66 (directing a licensee to notify the Commission if it
elects to change its services such that its regulatory status would
change). A change in the licensee's regulatory status will not require
prior Commission authorization, provided the licensee is in compliance
with the foreign ownership requirements of section 310(b) of the
Communications Act that apply as a result of the change. We note,
however, that a different time period (other than 30 days) may apply,
as determined by the Commission, where the change results in the
discontinuance, reduction, or impairment of the existing service.
117. Foreign Ownership Reporting. In the AWS-3 NPRM, the Commission
observed that sections 310(a) and 310(b) of the Communications Act
impose foreign ownership and citizenship requirements that restrict the
issuance of licenses to certain applicants. The Commission proposed to
apply Sec. 27.12 of the Commission's rules, which implements section
310, to applicants for AWS-3 licenses. With respect to filing
applications, the Commission proposed that all applicants provide the
same foreign ownership information, which covers both sections 310(a)
and 310(b), regardless of whether they propose to provide common
carrier or non-common carrier service in the band. The Commission
sought comment on this proposal, including the associated costs and
benefits.
118. In order to fulfill our statutory obligations under section
310 of the Communications Act, we determine that all AWS-3 applicants
and licensees shall be subject to the provisions of 47 CFR 27.12; see
also Review of Foreign Ownership Policies for Common Carrier and
Aeronautical Radio Licensees under section 310(b)(4) of the
Communications Act of 1934, as amended, IB Docket No. 11-133, Second
Report and Order, 28 FCC Rcd 5741, App. B (2013) (adopting 47 CFR
1.990-1.994, which establish the requirements and conditions for
obtaining the Commission's prior approval of foreign ownership in
common carrier, aeronautical en route, and aeronautical fixed radio
station licensees and common carrier spectrum lessees). All such
entities are subject to section 310(a), which prohibits licenses from
being ``granted to or held by any foreign government or the
representative thereof.'' In addition, any applicant or licensee that
would provide a common carrier, aeronautical en route, or aeronautical
fixed service would also be subject to the foreign ownership and
citizenship requirements of section 310(b).
119. No commenters opposed (or commented on) the Commission's
proposal to require all AWS-3 applicants and licensees to provide the
same foreign ownership information in their filings, regardless of the
type of service the licensee would provide using its authorization. We
believe that applicants for this band should not be subject to
different obligations in reporting their foreign ownership based on the
type of service authorization requested in the application and that the
benefits of a uniform approach outweigh any potential costs. Therefore,
we will
[[Page 32382]]
require all AWS-3 applicants and licensees to provide the same foreign
ownership information, which covers both sections 310(a) and 310(b),
regardless of which service they propose to provide in the band. We
expect, however, that we would be unlikely to deny a license to an
applicant requesting to provide services exclusively that are not
subject to section 310(b), solely because its foreign ownership would
disqualify it from receiving a license if the applicant had applied for
authority to provide section 310(b) services. However, if any such
licensee later desires to provide any services that are subject to the
restrictions in section 310(b), we would require that licensee to apply
to the Commission for an amended license, and we would consider issues
related to foreign ownership at that time.
120. Eligibility. In the AWS-3 NPRM, the Commission proposed to
adopt an open eligibility standard for the AWS-3 band. The Commission
explained that opening the AWS-3 band to as wide a range of licensees
as possible would encourage efforts to develop new technologies,
products, and services, while helping to ensure efficient use of this
spectrum.
121. The Commission also explained that section 6004 of the
Spectrum Act restricts participation in auctions required under the
Spectrum Act by ``person[s] who [have] been, for reasons of national
security, barred by any agency of the Federal Government from bidding
on a contract, participating in an auction, or receiving a grant.'' The
Commission noted that, in the Incentive Auctions NPRM and in the H
Block NPRM, it had sought comment on whether section 6004 permits or
requires the Commission to restrict eligibility of persons acquiring
licenses on the secondary market, whether and to what extent such a
restriction is consistent with other provisions of the Communications
Act, and what procedures and rules, if any, should apply to persons
acquiring licenses on the secondary market. In the H Block R&O, the
Commission adopted an eligibility rule providing that ``[a] person
described in 47 U.S.C. 1404(c) is ineligible to hold a license that is
required by 47 U.S.C. Chapter 13 (Middle Class Tax Relief and Job
Creation Act of 2012, Pub. L. 112-96, 125 Stat. 156 (2012)) to be
assigned by a system of competitive bidding under section 309(j) of the
Communications Act, 47 U.S.C. 309(j).'' AWS-3 NPRM, 28 FCC Rcd at 11527
para. 121 n.285 citing H Block R&O at App. A; see also 47 CFR 27.12(b).
In the H Block R&O, the Commission also adopted an amendment to its
rules to implement section 6004 by adding a national security
certification to the application to participate in competitive bidding.
See 47 CFR 1.2105(a)(2)(xii). The Commission noted that this revised
restriction will govern most of the AWS-3 spectrum and that, until
appropriate application forms are revised, applicants for spectrum
subject to section 6004 will be required to include a certification as
an attachment to the application and for applicants that are not
individuals, the same attribution standards that were adopted for
short-form applications will apply. One commenter, Mobile Future,
addressed the larger issue of the open eligibility proposal by
commenting that it supports such an approach.
122. We find that nothing in the record demonstrates that we should
adopt restrictions on open eligibility. Therefore, we find that open
eligibility for the AWS-3 band is consistent with our statutory mandate
to promote the development and rapid deployment of new technologies,
products, and services; economic opportunity and competition; and the
efficient and intensive use of the electromagnetic spectrum. See 47
U.S.C. 309(j)(3)(A), (B), & (D). We note, however, that applicants for
AWS-3 licenses must comply with any licensing qualifications required
by statute or rule. We conclude, based on the record before us, that
the potential benefits of open eligibility for the AWS-3 band outweigh
any potential costs.
123. Section 27.12(b) of the Commission's rules provides that ``[a]
person described in 47 U.S.C. 1404(c) is ineligible to hold a license
that is required by 47 U.S.C. Chapter 13 (Middle Class Tax Relief and
Job Creation Act of 2012, Public Law 112-96, 125 Stat. 156 (2012)) to
be assigned by a system of competitive bidding under section 309(j) of
the Communications Act, 47 U.S.C. 309(j).'' We conclude that this
provision governs the 1695-1710 MHz band, the 1755-1780 MHz band and
the 2155-2180 MHz band as explained in the AWS-3 NPRM. Because we are
pairing 1755-1780 MHz (15 megahertz of which we have identified as the
``additional fifteen megahertz of contiguous spectrum'' under the
Spectrum Act) with 2155-2180 MHz (all of which is subject to the
Spectrum Act), we will treat all 50 megahertz as subject to the
statutory restriction.
124. Mobile Spectrum Holding Policies. Spectrum is an essential
input for the provision of mobile wireless services, and ensuring
access to and the availability of sufficient spectrum is crucial to
promoting the competition that drives innovation and investment.
Section 309(j)(3)(B) of the Communications Act provides that, in
designing systems of competitive bidding, the Commission shall
``promot[e] economic opportunity and competition and ensur[e] that new
and innovative technologies are readily accessible to the American
people by avoiding excessive concentration of licenses.'' Section 6404
of the Spectrum Act amends section 309(j) to bar the Commission from
``prevent[ing] a person from participating in a system of competitive
bidding'' thereunder if such person satisfies specified qualifications
criteria. However, that provision does not affect any authority the
Commission has ``to adopt and enforce rules of general applicability,
including rules concerning spectrum aggregation that promote
competition.'' In September 2012, the Commission initiated a proceeding
to review the mobile spectrum holdings policies that currently apply to
both secondary market transactions and competitive bidding. The
Commission indicated that, during the pendency of this proceeding, the
Commission will continue to apply its current case-by-case approach to
evaluate mobile spectrum holdings during its consideration of secondary
market transactions and initial spectrum licensing after auctions.
125. In the AWS-3 NPRM, the Commission sought comment on whether
and how to address mobile spectrum holding issues to meet our statutory
requirements pursuant to section 309(j)(3)(B) and Section 6404 of the
Spectrum Act and our goals for the AWS-3 band. The Commission also
asked whether the acquisition of each of the AWS-3 spectrum bands
should be subject to the same general mobile spectrum holding policies
applicable to frequency bands that the Commission has found to be
suitable and available for the provision of mobile telephony/broadband
services. Alternatively, it sought comment on whether there were any
reasons to distinguish AWS-3 spectrum for purposes of evaluating mobile
spectrum holdings. It asked commenters to discuss and quantify any
costs and benefits associated with any proposals.
126. USCC supports adopting a 25 percent limit on the amount of
AWS-3 spectrum any one auction participant may acquire in a single
market to promote competition and diversity of license holders in the
band, which USCC asserts would encourage interoperability and roaming
opportunities. Mobile Future and
[[Page 32383]]
Verizon Wireless oppose any auction-specific limits for the AWS-3 band.
In particular, Verizon Wireless opposes USCC's proposal, claiming that
USCC's proposed spectrum limit is unnecessary to prevent a lack of
interoperability. CCA, RWA, Mobile Future, T-Mobile, Sprint, and
Verizon Wireless encourage the Commission to conclude its Mobile
Spectrum Holdings rulemaking prior to making a determination on mobile
spectrum holdings policies with regard to the AWS-3 bands.
127. We observe that parties commenting on spectrum holdings issues
in the AWS-3 rulemaking have raised issues with broader applicability
to the Mobile Spectrum Holdings rulemaking, in addition to issues that
relate to the characteristics of the AWS-3 bands. Given that we
anticipate taking action in the Mobile Spectrum Holdings rulemaking
well in advance of the AWS-3 auction, we find that rulemaking to be the
most appropriate context in which to resolve whether any mobile
spectrum holdings policies should apply to the upcoming AWS-3 auction
and whether the AWS-3 bands should be included in the input market for
spectrum used in the Commission's competitive review of transactions.
128. License Term, Performance Requirements, Renewal Criteria,
Permanent Discontinuance of Operations. License Term: In the AWS-3
NPRM, the Commission proposed to establish a 10-year term for licenses
for the AWS-3 band. The Commission noted that the Communications Act
does not specify a term limit for AWS band licenses and that it has
adopted 10-year license terms for most wireless radio services
licenses. To maintain this consistency among wireless services, in the
H Block R&O and the AWS-4 Service Rules R&O, the Commission adopted 10-
year license terms. In addition, the Commission proposed that, if an
AWS-3 license is partitioned or disaggregated, any partitionee or
disaggregatee would be authorized to hold its license for the remainder
of the partitioner's or disaggregator's original license term.
``Partitioning'' is the assignment of geographic portions of a license
along geopolitical or other boundaries. ``Disaggregation'' is the
assignment of discrete portions of ``blocks'' of spectrum licensed to a
geographic licensee or qualifying entity. Disaggregation allows for
multiple transmitters in the same geographic area operated by different
companies on adjacent frequencies (thus increasing the possibility of
harmful interference). The Commission sought comment on these
proposals, including the associated costs and benefits.
129. We adopt an initial license term for AWS-3 spectrum rights of
12 years and subsequent renewal terms of 10 years and we modify Sec.
27.13 of the Commission's rules to reflect these determinations. The
Communications Act does not require a specific term for non-broadcast
spectrum licenses. The Commission has typically adopted 10-year license
terms for part 27 services, but has also found, as in the case of AWS-1
licenses, a longer initial term to be in the public interest. We find
that this approach is in the public interest and find that its benefits
outweigh any potential costs. Further, commenters generally support at
least a 10-year license term. Given the complexities and timing of
clearing government operations in the AWS-3 bands, we agree with AT&T
and USCC that a longer initial license term is appropriate.
130. We decline, however, to adopt proposals by AT&T and USCC that
the Commission consider 15-year initial license term. We believe
instead that a 12-year initial term adequately compensates for the
transition of government operations, and a 15-year initial term would
be unnecessarily long. Further, wireless licensees receive their
licenses not at auction completion, but after a period of time
following the close of the auction to allow for license applications to
be filed, processed, and reviewed to ensure the applicant meets the
applicable qualifications to hold a wireless license. Nevertheless, we
direct the Wireless Telecommunications Bureau to solicit comment in the
third year following the initial licensing of AWS-3 spectrum for the
purpose of making a recommendation to the Commission about whether an
extension of the initial license term (and associated build-out
deadlines) by up to 3 years is warranted in light of the status of
government relocation. We agree with AT&T that the initial license term
should match any adjustments extending the final build-out benchmarks.
131. We adopt the Commission's proposal that, if an AWS-3 license
is partitioned or disaggregated, any partitionee or disaggregatee would
be authorized to hold its license for the remainder of the
partitioner's or disaggregator's original license term. No commenter
addressed this proposal. We note, however, that this approach is
similar to the partitioning and disaggregation provisions that the
Commission adopted for BRS, for broadband PCS, for the 700 MHz band,
and for AWS-1 licenses at 1710-1755 MHz and 2110-2155 MHz, and AWS-4.
We emphasize that nothing in our action is intended to enable a
licensee, by partitioning or disaggregating the license, to confer
greater rights than it was awarded under the terms of its license
grant. Similarly, nothing in this action is intended to enable any
partitionee or disaggregatee to obtain rights in excess of those
previously possessed by the underlying licensee.
132. Performance Requirements: In the AWS-3 NPRM, the Commission
proposed to adopt specific, quantifiable performance requirements for
AWS-3 licensees to ensure that licensees begin providing service to
consumers in a timely manner. In the AWS-3 NPRM, the Commission
proposed to measure build-out progress using a population-based
benchmark within each license area, and sought comment on whether it
should adopt an interim benchmark, an end-of-term benchmark, or other
requirements. In addition, in the AWS-3 NPRM, the Commission sought
comment on appropriate performance benchmarks for any AWS-3 uplink
spectrum paired with downlink spectrum in a band other than AWS-3 and
for areas where Federal use limits or prohibits AWS-3 use. Further, the
Commission sought comment on whether performance requirements are
necessary for service areas within the Gulf of Mexico. Along with
performance benchmarks, the Commission noted that there must be
meaningful and enforceable consequences, or penalties, for failing to
meet construction requirements. Toward that end, the Commission also
sought comment on a number of different penalties, seeking input on
which set of incentives would most effectively ensure timely build-out
in this band.
133. We establish performance requirements to promote the
productive use of spectrum, to encourage licensees to provide service
to customers in a timely manner, and to promote the provision of
innovative services in unserved areas, particularly rural ones. Over
the years, the Commission has tailored performance and construction
requirements with an eye to the unique characteristics of individual
frequency bands and the types of services expected, among other
factors. Our goal is to ensure that timely and robust build-out occurs
in these bands and, for the reasons discussed below, we believe that
concrete interim and final build-out benchmarks will best facilitate
meeting this goal. The performance requirements we establish for the
AWS-3 band are consistent with those the Commission has adopted in
recent items for other spectrum bands, while taking into account
certain exceptional circumstances related to the timing for
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the transition of this spectrum from government use to wireless use. As
noted below in the Partitioning and Disaggregation section, the
performance requirements we adopt also apply to disaggregated spectrum
or partitioned geographic service areas. These requirements will ensure
that the AWS-3 spectrum is put to use expeditiously while providing
licensees with flexibility to deploy services according to their
business plans. Specifically, we require:
AWS-3 Interim Build-out Requirement: Within six (6) years
of an initial grant, licensee shall provide reliable signal coverage
and offer service to at least forty (40) percent of the population in
each of its license areas.
AWS-3 Final Build-out Requirement: By the end of the
initial license term, i.e., within twelve (12) years, a licensee shall
provide reliable signal coverage and offer service to at least seventy-
five (75) percent of the population in each of its license areas.
134. Additionally, we adopt the following penalties for failing to
meet the build-out benchmarks:
Failure to meet AWS-3 band interim build-out requirement:
In the event a licensee fails to meet the AWS-3 Interim Build-out
Requirement in its license area, the final build-out requirement and
initial license term shall be accelerated by 2 years (from 12 to 10).
Failure to meet AWS-3 band final build-out requirement: In
the event a licensee fails to meet the AWS-3 Final Build-out
Requirement for any licensed area, the license for each licensed area
in which it fails to meet the build-out requirement shall terminate
automatically without Commission action.
135. Based on the record before us, we find that these performance
requirements are in the public interest and that the benefits of these
requirements outweigh any potential costs. We explain below the
rationale for these performance requirements, and the attendant
penalties for failure to comply. We also discuss below how we will
measure build-out in the Gulf of Mexico.
136. Population-based benchmark, [per license area]. Supported by a
number of comments in the record, we adopt the proposal to use
objective, population-based interim and final construction benchmarks,
which will be measured per license area. Requiring AWS-3 licensees to
meet these performance benchmarks will promote rapid deployment of new
broadband services to the American public, and at the same time provide
licensees with certainty regarding their construction obligations. We
agree with Verizon that, for this spectrum band, measuring build-out by
percentage of population served ``will ensure that licensees provide
wireless broadband services where customers actually will use them and
need them.'' Further, Blooston Rural Carriers argues that population-
based AWS-3 construction requirements are appropriate for CMA license
areas.
137. We are not persuaded by arguments that our build-out
requirements must be geography-based, or include a geographic
component, in order to ensure that less densely populated, often rural,
communities have timely access to the most advanced mobile broadband
services. We agree that it is important to promote rapid broadband
deployment in rural areas. In fact, section 309(j)(4)(B) of the Act
requires that the Commission ``include performance requirements, such
as appropriate deadlines and penalties for performance failures, to
ensure prompt delivery of service to rural areas.'' We find that
adopting relatively small, CMA and EA-based license areas, and
requiring licensees to meet challenging population-based benchmarks in
each individual license area separately, strikes an appropriate balance
between providing flexibility to AWS-3 band licensees to deploy their
networks in a cost-effective manner and assertively promoting
deployment of service to less densely populated areas. We note that
nothing about our decision to require population-based benchmarks in
this band would foreclose our ability to impose geographic-based
benchmarks in other spectrum bands that may warrant different
considerations. For example, we observe that the Commission established
geographic-based performance requirements for the 700 MHz B Block in
light of technical characteristics and the CMA geographic license area
size specific to that band.
138. Further, we reject Verizon's request that we measure
compliance with the interim benchmark in the aggregate, i.e., by
summing the population of all of a licensees' authorizations for AWS-3
spectrum. Creating benchmarks on a per-license basis, rather than in
the aggregate, is consistent with our build-out requirements in other,
similar spectrum bands. Further, this approach allows for more
flexibility and certainty in licensing. In addition, measuring
benchmarks on a per-license basis is consistent with our determination
to license service on a geographic basis and hold a licensee
accountable for meeting performance obligations for all of the licenses
(including partitioned licenses) that it holds. For example, should a
licensee partition some of its AWS-3 spectrum, a percentage-based
approach would apply to each partitioned license. In contrast, it is
not clear how the responsibility for meeting benchmarks for partitioned
and disaggregated licenses would be handled under Verizon's proposal.
139. Areas unavailable due to Federal relocation and coordination
requirements. A number of commenters argue that the population of an
area in which AWS-3 operations are prohibited to protect government
operations should be excluded when determining whether a licensee has
met its build-out requirements. We find that this scenario is best
addressed by the extended interim and final construction benchmarks
because we believe that applying the same performance requirements to
all AWS-3 licensees will help ensure that licensees build out their
entire licensed service areas. We also generally agree that if a
licensee demonstrates that it is unable to meet a coverage requirement
due to circumstances beyond its control, an extension of the coverage
period might be warranted.
140. Interim Benchmark. We find that requiring an interim milestone
is supported by the record, serves the public interest, and is similar
to our approach in other, similar spectrum bands. A 40 percent build-
out per license area benchmark is consistent with the interim
benchmarks established in other bands and with various proposals
suggested by commenters. For instance, Verizon proposes adopting a
build-out requirement of 40 percent of the population within 4 years.
Blooston Rural Carriers also supports the Commission's proposed interim
benchmark, but only if the Commission licenses the AWS-3 spectrum
according to CMAs.
141. Several commenters argue that the FCC should start the build-
out period on a date certain that is after the final transition date
for government operations. We decline to do so. Instead, we set the
interim build-out benchmark 6 years from the grant of the license,
which should adequately account for the period of time it will take for
Federal users to relocate out of the bands being reallocated for
commercial use. Further, setting a date certain that is tied to initial
grant of the AWS-3 band license will provide greater certainty to AWS-3
band licensees, their investors, and other interested parties. This
does not mean, however, that an AWS-3 band licensee must wait
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for the all Federal users to relocate; an AWS-3 licensee can begin
operating in a specific license area after successful coordination and
as soon as it is confirmed that the Federal users have fully relocated
out of that particular license area based on their projected transition
timelines.
142. We reject the proposal of commenters who advocate a
``substantial service'' standard as the only gauge of performance. Our
purpose is to ensure that timely and robust build-out occurs in this
band and for the reasons enumerated above, we believe that concrete
interim and final build-out benchmarks best advance this goal. Further,
we note that in recent Commission decisions, the Commission has
replaced the substantial service standard with specific interim and
final build-out requirements.
143. Evaluation of reliable signal coverage and service offering
for unpaired, uplink only licenses at 1695-1710 MHz. As discussed
above, the 1695-1710 MHz band is low-power, uplink-only spectrum and
must be paired with base stations. For the Commission to determine
whether the 1695-1710 MHz band licensee is meeting its performance
benchmarks, the 1695-1710 MHz band licensee must pair this uplink
spectrum with downlink spectrum. Once the licensee's base stations are
built or modified to control and receive 1695-1710 MHz uplinks, the
reliable signal coverage of such base stations (in bands paired with
1695-1710 MHz) will determine the percentage of the population served
in the licensed area of the 1695-1710 MHz uplinks, assuming that the
licensee is offering service that includes UE that transmits in the
1695-1710 MHz band. Any base station to be built or modified that is
located in a Protection Zone must be successfully coordinated with
Federal incumbents prior to enabling/serving uplink devices that
transmit in the 1695-1710 MHz. The 1695-1710 MHz licensee must show
that it is complying with the build-out requirements applicable to all
AWS-3 licensees, in addition to separately meeting the performance
obligations for any spectrum bands paired with the 1695-1710 MHz
spectrum. If the 1695-1700 MHz licensee fails to meet a benchmark, it
will be subject to penalties discussed herein. However, failure to meet
an AWS-3 band benchmark would not affect the downlink side of the pair,
assuming that the licensee was complying with the performance
obligations for that downlink spectrum.
144. Penalty for failure to meet the interim benchmark. Commenters
generally support the Commission's proposal to assess a penalty on
licensees that fail to meet the interim construction benchmark.
Therefore, like similar spectrum bands, we accelerate by 2 years the
time frame to complete build-out and the length of the license term.
Because the initial license term is 12 years, if a licensee fails to
meet the interim benchmark, it must complete its final build-out
requirement within 10 years, when its license term also expires.
145. Final Benchmark. Within 12 years of the initial grant (or 10
years if the interim benchmark is not met), a licensee shall provide
reliable coverage and offer wireless service to at least 75 percent of
the population in each of its license areas. Commenters generally
support the Commission's approach. Establishing a final build-out
benchmark that coincides with the end of the initial license term is
consistent with how the Commission has formulated performance
requirements in other spectrum bands. Because we have set the interim
benchmark at 6 years and we have created a 12-year initial license
term, we find Verizon's suggestion that we establish a 7-year final
build-out requirement to be unduly accelerated and we therefore decline
to adopt it. Under the circumstances, a 12-year construction milestone
provides a reasonable timeframe for a licensee to deploy its network
and offer widespread service, provided it meets its interim benchmark.
Licensees that do not meet the 6-year interim benchmark must accelerate
their final build out by 2 years to meet the final benchmark by the end
of their shortened, 10-year license term.
146. Penalty for failure to meet the final benchmark. Where a
licensee fails to meet the final build-out requirement in any EA or
CMA, its authorization for each EA or CMA in which it fails to meet the
requirement shall terminate automatically without further Commission
action. Automatic termination is a common remedy for failure to build
part 27 flexible use licenses and is the approach adopted by the
Commission in the AWS-4 Report and Order and the H Block Report and
Order. By terminating only the specific licenses where a licensee fails
to meet the final benchmark, we will not directly affect a licensee's
customers in other license areas. We decline to adopt ``keep-what-you-
use'' as a penalty for failure to meet construction requirements as
some commenters suggest, because these proposals may encourage less
robust build-out by a licensee that decides not to fully build out to
the final benchmark.
147. As a general matter, we expect that AWS-3 band licensees will
meet the performance requirements because of the serious consequences
associated with non-compliance, including automatic license
cancellation. Further, we expect that licensees' deployment will
generally exceed the levels set forth in the benchmarks, and that these
build-out requirements generally represent a floor--not a ceiling. As
for USCC's assertion that automatic termination is too punitive, the
Commission has explained in the past that we do not consider automatic
termination to be overly punitive or unfair, particularly given that
the Commission has applied this approach to nearly all geographically-
licensed wireless services. Further, the Commission has rejected the
argument, and we do so again here, that an automatic termination
penalty would deter capital investment, observing that the wireless
industry has invested billions of dollars and has flourished under this
paradigm in other spectrum bands. For the same reason, we believe that
an automatic termination penalty will have little effect on auction
participation, as suggested by USCC. Finally, we do not agree with USCC
that automatic termination harms the public because, even if a customer
loses service from a provider when it loses spectrum rights for a
particular EA or CMA, alternative providers may be available. We also
expect that a future licensee for that EA or CMA may ultimately be able
to serve more customers.
148. In the event a licensee's authority to operate terminates, the
licensee's spectrum rights would become available for reassignment
pursuant to the competitive bidding provisions of section 309(j).
Further, consistent with the Commission's rules for other part 27
spectrum bands, including AWS-1, AWS-4, and H Block, any AWS-3 licensee
who forfeits its license for failure to meet its performance
requirements would be precluded from regaining the license. Therefore,
we reject Verizon's ``new applicant'' proposal that would effectively
provide a mechanism for a licensee who failed to meet the final build-
out requirement to continue to hold onto its fallow spectrum unless a
competing bidder emerged.
149. Gulf of Mexico. Having received no comments on the Gulf of
Mexico performance requirements, and recognizing that we are licensing
wireless service in the Gulf (as EA 176), we adopt the same coverage
requirements as set forth above. We note one exception, however: we
will calculate ``population'' pursuant to the
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approach taken in Small Ventures Memorandum Opinion and Order. In that
order, the Wireless Bureau recognized that using the conventional
Census tract methodology for determining population in the Gulf of
Mexico would be infeasible because the EAs in the Gulf consist of a
body of water with non-permanent, mobile residents. Consistent with
that order, we allow a Gulf of Mexico licensee to use all off-shore
platforms, including production, manifold, compression, pumping and
valving platforms as a proxy for population in the Gulf of Mexico for
purposes of meeting build-out obligations. Thus, in lieu of measuring
its build-out obligations based on population, a licensee serving the
Gulf of Mexico shall within six (6) years provide reliable coverage and
offer wireless service to at least forty (40) percent of all off-shore
platforms in its license areas and within 12 years (or at the end of
the license term), provide reliable coverage and offer wireless service
to at least 75 percent of all off-shore platforms in its license area
in the Gulf of Mexico. If a licensee fails to meet the interim
benchmark, the final benchmark and initial license term are accelerated
by 2 years--from 12 to 10 years. All penalties and other compliance
procedures adopted herein, excluding those in paragraph 152 below
discussing the methodology for meeting population-based build-out
requirements shall apply to a Gulf of Mexico licensee.
150. Compliance Procedures. Finding the proposed compliance
procedures to be in the public interest and having received no comments
on the issue, we adopt the proposal in the AWS-3 NPRM to require AWS-3
licensees to comply with Sec. 1.946(d) of our rules. Specifically,
this rule requires that licensees must demonstrate compliance with
their performance requirements by filing a construction notification
within 15 days of the relevant milestone certifying that they have met
the applicable performance benchmark. Additionally, consistent with the
AWS-4 Report & Order and the H Block R&O, we require that each
construction notification include electronic coverage maps and
supporting documentation, which must be truthful and accurate and must
not omit material information that is necessary for the Commission to
determine compliance with its performance requirements.
151. Electronic coverage maps must accurately depict the boundaries
of each license area in the licensee's service territory. If a licensee
does not provide reliable signal coverage to an entire CMA or EA, as
applicable, its map must accurately depict the boundaries of the area
or areas within each CMA or EA, as applicable, not being served. Each
licensee also must file supporting documentation certifying the type of
service it is providing for each licensed area within its service
territory and the type of technology used to provide such service.
Supporting documentation must include the assumptions used to create
the coverage maps, including the propagation model and the signal
strength necessary to provide reliable service with the licensee's
technology.
152. The licensee must use the most recently available decennial
U.S. Census Data at the time of measurement to meet the population-
based build out requirements. Specifically, a licensee must base its
claims of population served on areas no larger than the Census Tract
level. The Census Bureau defines Census Tracts as ``small, relatively
permanent statistical subdivisions of a county delineated by local
participants as part of the U.S. Census Bureau's Participant
Statistical Areas Program . . . [T]he entire United States is covered
by census tracts.'' This requirement tracks the Commission's action
requiring broadband service providers to report ``snapshots'' of
broadband service at the Census Tract level twice each year by
completing FCC Form 477.
153. Renewal Criteria: Section 308(b) of the Communications Act
authorizes the Commission to require renewal applicants to ``set forth
such facts as the Commission by regulation may prescribe as to the
citizenship, character, and financial, technical, and other
qualifications of the applicant to operate the station[,]'' as well as
``such other information as it may require.'' In the AWS-3 NPRM, the
Commission proposed to adopt license renewal requirements consistent
with those adopted in the 700 MHz First Report and Order, the AWS-4
Report and Order, and the H Block R&O. Under those requirements,
renewal applicants must file a ``renewal showing,'' in which they
demonstrate that they have been and are continuing to provide service
to the public, and are compliant with the Communications Act and with
the Commission's rules and policies. In the AWS-3 NPRM, we proposed to
apply to AWS-3 licensees the same renewal showing requirement recently
adopted in the H Block R&O.
154. In the AWS-3 NPRM, the Commission sought comment on whether
AWS-3 band licensees should be awarded renewal expectancies if they
meet their performance obligations and otherwise comply with the
Commission's rules and policies and the Communications Act throughout
their license term. The Commission also inquired whether licensees
should receive a renewal expectancy for subsequent license terms if
they continue to provide at least the level of service demonstrated at
the final performance benchmark through the end of any subsequent
license terms. Finally, the Commission proposed that, consistent with
its 700 MHz licensing paradigm, it would prohibit the filing of
competing license renewal applications, and that if a license is not
renewed, the associated spectrum would be returned to the Commission
for assignment.
155. Pursuant to section 308(b) of the Communications Act, we will
require AWS-3 band licensees seeking license renewal to file renewal
applications; below, we specify the information that renewal applicants
must provide to enable the Commission to assess whether renewal is
warranted and in the public interest. Where a license is not renewed,
the associated spectrum will be returned to the Commission and made
available for assignment. We will not permit the filing of competing
applications against license renewal applications.
156. We apply to AWS-3 band licensees the same renewal showing
requirements we recently adopted for the H Block. Specifically, an AWS-
3 band licensee's renewal showing must provide a detailed description
of its provision of service during the entire license period and
discuss: (1) The level and quality of service provided (including the
population served, the area served, the number of subscribers, and the
services offered); (2) the date service commenced, whether service was
ever interrupted, and the duration of any interruption or outage; (3)
the extent to which service is provided to rural areas; (4) the extent
to which service is provided to qualifying tribal land as defined in
Sec. 1.2110(e)(3)(i) of the Commission's rules; and (5) any other
factors associated with the level of service to the public.
Accordingly, we hereby modify Sec. 27.14 of the Commission's rules to
apply these renewal showing criteria to the AWS-3 bands. Nothing in our
decision today prejudges or forecloses the Commission's future
consideration of the policies and proposed rules, and related record,
for the WRS Renewals NPRM, which remains pending. In addition, we
emphasize that licensees seeking renewal bear the risk of future
changes to our rules that may alter this renewal expectancy.
157. Based on the record before us and our analysis below, we find
that the renewal requirements we establish for
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AWS-3 band licensees are in the public interest and that their benefits
outweigh any likely costs. In recent years, the Commission has refined
its license renewal policies--beginning with the 700 MHz First Report
and Order in 2007, later in the AWS-4 Report and Order, and more
recently in the H Block Report and Order. Through these actions, we
have established that licensees must demonstrate that they are
providing adequate levels of service over the course of their license
terms, and here we act consistently with that policy. Consequently, we
adopt renewal criteria for the AWS-3 band that are based on those
criteria adopted in the 700 MHz First Report and Order and that were
similarly followed in the AWS-4 Report and Order and the H Block Report
and Order. We believe these renewal requirements will provide licensees
certainty regarding the factors that the Commission will consider
during the renewal process, thereby facilitating investment decisions
regarding broadband rollout. We also find that these requirements
address commenters' concerns that the renewal process not unnecessarily
burden licensees or deter investment.
158. In adopting these criteria, we decline to adopt at this time
AT&T's proposal to categorically provide a renewal expectancy to all
licensees that meet their performance requirements and comply with the
Communications Act and the Commission's rules. USCC claims that renewal
expectancies, based solely on performance requirements, would provide
certainty to licensees and investors. As the Commission has
consistently stated, performance and renewal showings are distinct;
they serve different purposes and, if not met, the Commission may apply
different penalties. A performance showing provides a snapshot in time
of the level of a licensee's service, whereas a renewal showing
provides information regarding the level and types of service provided
over the course of a license term. We disagree, therefore, with AT&T's
contention that there is ``no identifiable benefit'' to requiring
licensees to make a renewal showing. We emphasize that where a licensee
meets the applicable performance requirements, but fails to provide
continuity of service (by, for example, repeatedly discontinuing
operations between required performance showings for periods of less
than 180 days), the Commission could find that renewal would be
contrary to the public interest. We note that, in addressing broadcast
license renewal proceedings, Congress has specifically established a
standard that takes into consideration not only compliance with
Commission rules but also whether ``the station has served the public
interest, convenience, and necessity.'' Where a licensee fails to meet
its interim performance requirement and becomes subject to a 2-year
acceleration of both its final performance requirement and its license
term, its final performance showing might merely reflect a snapshot in
time of compliance with the performance requirement. By contrast, its
renewal application must provide a timeline of its provision of
service, the percentage of the license-area population covered, and
types of service provided over the course of the license term,
including any efforts to meet the interim performance requirement.
159. For subsequent license terms, licensees are likely--absent
extraordinary circumstances--to obtain license renewal if they submit
satisfactory showings demonstrating that they have maintained or
exceeded the level of coverage and service required at the final
performance benchmark (during the initial license term), and otherwise
comply with the Commission's rules and policies and the Communications
Act. We decline, however, to ``codify'' a renewal expectancy as USCC
proposes, at this time.
160. Finally, we reject USCC's proposal that we permit competing
renewal applications or, in their absence, process unopposed
applications in the same manner as renewals in the cellular and PCS
services. We find that the public interest would be ill-served by
permitting the filing of potentially time-consuming and costly
competing applications. As the Commission explained in the 700 MHz
First Report and Order, prohibiting competing applications ``protects
the public interest without creating incentives for speculators to file
`strike' applications.'' 700 MHz First Report and Order, 22 FCC Rcd at
8093 para. 76; see also AWS-4 Report and Order, 27 FCC Rcd at 16202
para. 272; H Block R&O, 28 FCC Rcd at 9568 para. 224. The renewal
requirements we adopt today will provide Commission staff with ample
information to determine whether license renewal would serve the public
interest.
161. Permanent Discontinuance of Operations: In the AWS-3 NPRM, the
Commission asked whether it should apply to AWS-3 band wireless
licensees the rules governing the permanent discontinuance of
operations. According to Sec. 1.955(a)(3), an authorization will
automatically terminate, without specific Commission action, if service
is ``permanently discontinued.'' Consistent with the definition that
the Commission adopted for the H Block and the AWS-4 band, the
Commission proposed to define for the AWS-3 band ``permanently
discontinued'' as a period of 180 consecutive days during which the
licensee does not provide service in each of its licensed areas to at
least one subscriber that is not affiliated with, controlled by, or
related to, the provider. For licensees that use their licenses for
private, internal communications, the Commission proposed in the AWS-3
NPRM to define ``permanent discontinuance'' as a period of 180
consecutive days during which the licensee does not operate. The
Commission proposed that licensees would not be subject to these
requirements until the date of the first performance requirement
benchmark.
162. In addition, the Commission proposed that a licensee must
notify the Commission within 10 days if it permanently discontinues
service, by filing FCC Form 601 or 605 and requesting license
cancellation, consistent with Sec. 1.955(a)(3) of the Commission's
rules. The Commission emphasized that even if a licensee fails to file
the required form, however, an authorization will automatically
terminate without specific Commission action if service is permanently
discontinued. The Commission sought comment on these proposals,
including their associated costs and benefits.
163. We adopt the Commission's proposal and determine that Sec.
1.955(a)(3) of the Commission's rules will apply to all AWS-3 band
licensees, including holders of both EAs and CMAs, and find that the
benefits of applying this rule outweigh any potential costs of doing
so. Thus, a licensee's authorization will automatically terminate,
without specific Commission action, if service is ``permanently
discontinued.'' As the Commission has previously explained, the
operation of so-called channel keepers, e.g., devices that transmit
test signals, tones, and/or color bars, do not constitute ``operation''
under Sec. 1.955(a)(3) or the Commission's other permanent
discontinuance rules. AT&T does not object to the discontinuance
proposal but asks for clarification of Sec. 1.9030(d)(5) of the
Commission's rules on long-term de facto transfer leasing arrangements
to count a lessee's continuous service toward the underlying licensee's
service obligation in order to avoid triggering the permanent
discontinuance rule. Any performance or build-out requirement
applicable under a license authorization always remains a condition of
the
[[Page 32388]]
license, and the legal responsibility for meeting such obligation is
not delegable to the spectrum lessee(s). An AWS-3 licensee is also
accountable for any discontinuance of operation and the rules will be
enforced against the licensee regardless of whether the licensee was
relying on the activities of a lessee to meet particular performance
requirements. However, the licensee may attribute to itself the build-
out or performance activities of its spectrum lessee(s) for purposes of
complying with any applicable build-out or performance requirement.
164. In accordance with our proposal, for providers that identify
their regulatory status as common carrier or non-common carrier, we
define ``permanently discontinued'' as a period of 180 consecutive days
during which the licensee does not provide service in the individual
license area (or smaller service area in the case of a partitioned
license) to at least one subscriber that is not affiliated with,
controlled by, or related to, the provider. We adopt a different
approach for wireless licensees that use their licenses for private,
internal communications, however, because such licensees generally do
not provide service to unaffiliated subscribers. For such private,
internal communications, we define ``permanent discontinuance'' as a
period of 180 consecutive days during which the licensee does not
operate. In other words, the rule that we adopt for private, internal
communications does not include a requirement that the licensee provide
service to an unaffiliated subscriber in order to avoid triggering the
permanent discontinuance rule. A licensee will not be subject to the
discontinuance rules until the date it must meet its first performance
requirement benchmark, a rule which will avoid penalizing licensees
that construct early, but then may shut down for 180 days before their
first performance benchmark date.
165. Secondary Markets: Partitioning and Disaggregation. In the
AWS-3 NPRM, the Commission proposed to permit AWS-3 band licensees to
partition geographic markets and disaggregate spectrum under existing
part 27 partitioning and disaggregation rules. See 47 CFR 27.15. A
partitionee or disaggregatee is authorized to hold its license for the
remainder of the partitioner's or disaggregator's license term. See 47
CFR 27.15(c). Specifically, it proposed that any entity holding an AWS-
3 band license, including parties to any partitioning or disaggregation
arrangement pertaining to an AWS-3 band license, must independently
meet the applicable technical rules and regulatory requirements,
including performance and renewal requirements. The Commission proposed
this approach to facilitate efficient spectrum use, while enabling
service providers to configure geographic area licenses and spectrum
blocks to meet their operational needs.
166. We adopt the part 27 partitioning and disaggregation rules for
the AWS-3 band. Very few commenters discuss partitioning and
disaggregation, but those who do support this approach. Verizon agrees
that the Commission ``should apply its existing part 27 geographic
partitioning, disaggregation, and spectrum leasing rules to AWS-3
licensees.'' Further, permitting disaggregation and partitioning will
help facilitate investment and rapid deployment in the AWS-3 band,
while giving licensees flexibility to use the spectrum to meet changing
market demand. As the Commission noted when it first adopted
partitioning and disaggregation rules, allowing this type of
flexibility can facilitate the efficient use of spectrum, and expedite
provision of services in areas that might not otherwise receive service
in the near term. We conclude, based on the record before us, that
permitting partitioning and disaggregation is in the public interest,
and the associated benefits would outweigh any potential costs.
167. As proposed in the AWS-3 NPRM, we require any AWS-3 band
licensee that is a party to any partitioning or disaggregation
arrangement (or combination of both) to independently meet the
applicable technical rules and regulatory requirements, including
performance and renewal requirements. As the Commission has previously
observed, this approach should facilitate efficient spectrum usage and
prevent the avoidance of timely construction as a result of the
vagaries of the secondary market, while still providing operators with
the flexibility to design their networks according to their operational
and business needs. Commenters support this approach, which is
consistent with our treatment of other part 27 services. For example,
Verizon states that allowing licensees ``the ability to partition and/
or disaggregate portions of their spectrum holdings, and/or to lease
such holdings, promotes a robust secondary market in spectrum.'' We
agree with Verizon that these rules have been effective and should be
applied to the AWS-3 band.
168. Spectrum Leasing. In the AWS-3 NPRM, the Commission proposed
to apply to AWS-3 band licensees the spectrum leasing policies
established in various Secondary Market proceedings in the same manner
that those policies and rules apply to other part 27 services. Since
2003, these secondary market policies and rules have enabled licensees
to lease some or all of their spectrum usage rights to third party
spectrum lessees, who are permitted to provide wireless services
consistent with the underlying license authorization.
169. We adopt the same spectrum leasing policies and rules that
apply to other part 27 services. Wireless Radio Services do not include
satellite services. 47 CFR 1.907. Under these secondary market policies
and rules, the service rules and policies applicable to the licensee
under its license authorization--including all technical, interference,
and operational rules--apply to the spectrum lessee as well. The rules
and procedures for spectrum leasing arrangements are set forth in part
1, subpart X. 47 CFR 1.9001 et seq. Commenters that discuss spectrum
leasing support the proposals made in the AWS-3 NPRM and agree that
adopting spectrum leasing rules will promote the public interest. For
example, TIA notes that ``[c]onsistency with leasing rules that apply
to other terrestrial spectrum is a virtue, and helps ensure that future
transactions can proceed with greater predictability and
transparency.'' Our secondary markets policies are designed to promote
more efficient, innovative, and dynamic use of the spectrum, expand the
scope of available wireless services and devices, enhance economic
opportunities for accessing spectrum, and promote competition among
providers. Likewise, allowing spectrum leasing in the AWS-3 band will
serve these same purposes. We also observe that ``[f]or a particular
spectrum band, spectrum leasing policies generally follow the same
approach as the partitioning and disaggregation policies for the
band.'' Thus, our decision to permit spectrum leasing in the AWS-3 band
is consistent with our determination above to permit partitioning and
disaggregation of AWS-3 band spectrum.
170. Other Operating Requirements. In the AWS-3 NPRM, the
Commission explained that even though we issue licenses in the AWS-3
band pursuant to one rule part (part 27), we may require licensees in
this band to comply with rules contained in other parts of the
Commission's rules, depending on the particular services they provide.
The Commission sought comment on whether we need to modify any
provisions in existing, service-specific rules to ensure that we cover
AWS-3 band licensees under the necessary Commission rules. In addition,
the
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Commission sought comment on any rules that would be affected by the
proposal to apply elements of the framework of these rule parts,
whether separately or in conjunction with other requirements.
171. Although we primarily adopt rules for the AWS-3 band in part
27, in order to maintain general consistency among various wireless
communication services, we also require AWS-3 licensees to comply with
certain other rule parts that pertain generally to wireless
communication services. No commenter opposes this approach. Section
27.3 of the Commission's rules lists some of the rule parts applicable
to wireless communications service licensees. In addition, other FCC
rules may apply to wireless licensees, including those that apply only
to certain wireless licensees, depending on the specific type of
service or services that a particular licensee provides. See, e.g., 47
CFR part 9 (wireless licensees providing interconnected VoIP services
are subject to E911 service requirements); see generally, parts 20, 22,
24, 27 and 101 for other wireless licensee obligations. We thus find it
appropriate to apply Sec. 27.3 and the rules referenced therein, as
well as similar rules applicable to wireless communications service
licensees, to AWS-3 band licensees. In so doing, we will maintain
consistency among various wireless communications services which we
find will best serve the public interest. For these same reasons, we
also find that the benefits of this approach outweigh any potential
costs.
172. Facilitating Access to Spectrum and the Provision of Service
to Tribal Lands. The AWS-3 NPRM explained that the Commission is
currently considering various provisions and policies intended to
promote greater use of spectrum over Tribal lands. The Commission
proposed to extend any rules and policies adopted in that proceeding to
any licenses that may be issued through competitive bidding in this
proceeding. The Commission sought comment on this proposal and any
costs and benefits associated with it.
173. We will extend any rules and policies adopted in the Tribal
Lands proceeding to any AWS-3 license that may be issued through
competitive bidding. Because that proceeding is specifically focused on
promoting greater use of spectrum over Tribal lands, we find that it is
better suited than the instant proceeding to reach conclusions on that
issue.
174. Competitive Bidding Procedures. As discussed above, the
Spectrum Act requires the Commission to grant new initial licenses for
the use of spectrum in certain specified frequency bands through a
system of competitive bidding. See 47 U.S.C. 1451(b)(1), (2). The
spectrum, as specified in the Spectrum Act, is as follows (in addition
to the spectrum previously addressed in the H Block R&O): 2155-2180
MHz, 15 megahertz of spectrum identified by NTIA between 1675 and 1710
MHz, and 15 megahertz of contiguous spectrum to be identified by the
Commission. See 47 U.S.C. 1451(b)(2). As noted above, NTIA identified
the 1695-1710 MHz band for reallocation from Federal use to non-Federal
use, and the Commission has identified the 1755-1780 MHz band in
satisfaction of the Spectrum Act's requirement that it identify 15
megahertz of contiguous spectrum in addition to the bands specifically
identified in the Act. We will therefore assign licenses in the 1695-
1710 MHz, 1755-1780 MHz, and 2155-2180 MHz bands by auction. We will
conduct any auction for licenses in these bands pursuant to our
standard competitive bidding rules found in part 1, subpart Q of the
Commission's rules and will provide bidding credits for qualifying
small businesses, as proposed in the AWS-3 NPRM. Below we discuss our
reasons for adopting the relevant proposals.
175. Application of part 1 Competitive Bidding Rules. The
Commission proposed in the AWS-3 NPRM to conduct any auction for
licenses in the 1695-1710 MHz, 1755-1780 MHz, and 2155-2180 MHz bands
in conformity with the general competitive bidding rules set forth in
part 1, subpart Q, of the Commission's rules, and substantially
consistent with the competitive bidding procedures that have been
employed in previous auctions. The AWS-3 NPRM also made proposals and
solicited comment on applying the part 1 competitive bidding rules to
the 2020-2025 MHz band. However, we will defer further consideration of
this band until the downlink/uplink status of the adjacent 2000-2020
MHz band is resolved. Accordingly, we limit herein our discussion of
the proposals and our decisions concerning competitive bidding
procedures to the 1695-1710 MHz, 1755-1780 MHz, and 2155-2180 MHz
bands. Additionally, the Commission proposed to employ the part 1 rules
governing competitive bidding design, designated entity preferences,
unjust enrichment, application and payment procedures, reporting
requirements, and the prohibition on certain communications between
auction applicants. Under this proposal, such rules would be subject to
any modifications that the Commission may adopt for its part 1 general
competitive bidding rules in the future. The AWS-3 NPRM also sought
comment on whether any part 1 rules would be inappropriate or should be
modified for an auction of licenses in the 1695-1710 MHz, 1755-1780
MHz, and 2155-2180 MHz bands.
176. The limited comment we received generally supports the
Commission's proposed use of its standard competitive bidding rules for
an auction of AWS-3 band licenses. Verizon Wireless asks the Commission
to narrow the scope of Sec. 1.2105(c)'s prohibition on certain
communications by (1) confirming that the rule does not apply to
unrelated routine business discussions and agreements; (2) confirming
that discussions regarding generic technical handset and network issues
that occur, for example, in industry standard-setting meetings or with
equipment manufacturers, are not prohibited; (3) narrowing the
definition of who is an ``applicant'' to exclude owners of 10% or more
of the applicant entity; and (4) shortening the period during which the
rule is in effect to end at the close of bidding, rather than that the
down payment deadline. T-Mobile supports Verizon Wireless's request,
and submits that the requested changes will not interfere with the
primary purposes of the Commission's rule and will enhance competition.
Sprint opposes Verizon Wireless's requested changes to the rule, and
cautions against adopting any wide-reaching revisions or alterations
that have the potential consequence of undermining competition. Sprint
supports the Commission's consideration of the particular circumstances
and competitive dynamics surrounding any particular auction in
formulating appropriate competitive bidding rules, but submits that a
blanket revision to the Commission's competitive bidding rules, or
revisions not attuned to the particular competitive dynamics of a
specific auction such as the AWS-3 auction, would not promote the
public interest. While Sprint notes that the extraordinary complexity
of the broadcast incentive auction might warrant revisions to
facilitate participation by smaller bidders, it urges the Commission to
carefully scrutinize Verizon Wireless's proposal to relax the rule for
an AWS-3 auction. Other commenters express views on topics that are
generally considered after the adoption of service rules, during the
pre-auction process for establishing
[[Page 32390]]
procedures for conducting an AWS-3 auction. For example, some parties
state their positions on auction design and the use of package bidding
for any auction of AWS-3 spectrum, with some in favor and others
opposed. See Verizon Wireless Comments at 16-17; TIA Comments at 14;
Cellular One Comments at 1-3; USCC Comments at 36-49; USCC Reply
Comments at 43-47; Smith Bagley, MTPCS, and Cellular Network
Partnership Joint Reply at 4-5. See also AT&T Comments at 13. Likewise,
T-Mobile recommends that the Commission make certain changes to its
auction procedures concerning how reserve prices, minimum opening bids,
and additional bid amounts are calculated. T-Mobile Reply Comments at
25-26. Because those issues are properly considered in the context of
the separate, future proceeding to establish procedures for conducting
an AWS-3 auction, we will not address those comments here. See AT&T
Reply at 13 (package bidding and other auction procedures are
traditionally considered after the adoption of service rules).
177. Based on our review of the record and our prior experience
with conducting auctions, we conclude that the Commission's Part 1
bidding rules should govern the conduct of any AWS-3 auction. We
decline to modify the part 1 rules as Verizon Wireless requests. We
disagree with Verizon Wireless's claim that the Commission has extended
the restrictions in Sec. 1.2105(c) to routine business discussions,
and that such an extension has resulted in uncertainty for auction
applicants as to whether discussions that are unrelated to bids or
bidding strategies or to post-auction market structure could violate
the rule. The plain text of the rule makes clear that business
discussions and negotiations that are unrelated to bids or bidding
strategies or to post-auction market structure are not prohibited by
the rule. The rule's prohibition has always been aimed at the specific
content of an applicant's communication to a competing applicant
regardless of the context or situation in which such content is
communicated. Conversely, if the content of an applicant's
communication does not fall within the prohibition, the particular
situation in which the communication occurs will not alone make it a
violation. Thus, contrary to Verizon Wireless's assertion, the
Commission has not extended the prohibition in Sec. 1.2105(c), because
the types of prohibited content have remained unchanged, while the
potential contexts and situations in which an applicant is prohibited
from communicating that content have always been undefined. Moreover,
the Wireless Telecommunications Bureau (``Bureau'') has previously
issued guidance explaining that, although auction applicants competing
for licenses in the same geographic areas, or competing for licenses in
the same areas in competing services, must affirmatively avoid all
communications with each other that affect, or have the potential to
affect, their bids or bidding strategy, this does not mean that all
business negotiations between such applicants are prohibited. See
Wireless Telecommunications Bureau Responds to Questions About the
Local Multipoint Distribution Service Auction, Public Notice, DA 98-37,
13 FCC Rcd 341, 347 (1998). The public notices issued by the Bureau
establishing the procedures for each auction also provide detailed
guidance to auction applicants and bidders regarding section 1.2105(c),
including its application to particular types of communications. We
think the Bureau's guidance regarding the applicability of Sec.
1.2105(c) provided to date is sufficiently clear and find the
clarification requested by Verizon Wireless to be unnecessary.
178. Given the clarity of our rule, we likewise find it unnecessary
to confirm in advance that particular types of discussions or
negotiations by particular applicants are in compliance with our rule,
or to establish a safe harbor for otherwise prohibited communications
made by personnel that an applicant has ``walled off'' from certain
other personnel. We emphasize that the specific types of communications
with which Verizon Wireless expresses concern would not fall within the
prohibition in Sec. 1.2105(c) unless they divulge bids or bidding
strategies or discuss or negotiate settlement agreements, arrangements
or understandings of any kind relating to the licenses being auctioned,
including agreements relating to the post-auction market structure. We
conclude that the Bureau's past guidance regarding the applicability of
Sec. 1.2105(c) provides sufficient information to allow auction
applicants to structure their routine business activities accordingly
so that they do not run afoul of the rule.
179. We also decline Verizon Wireless's request to amend the
prohibited communications rule in the context of this AWS-3 service
rules proceeding to narrow the definition of an ``applicant'' for
purposes of the rule to include only the filing entity and its
controlling equity interest holders, or to shorten the period during
which the rule prohibiting certain communications is in effect to end
at the close of bidding. As noted above, the AWS-3 NPRM sought comment
on whether any of our part 1 rules would be inappropriate or should be
modified specifically for an auction of AWS-3 spectrum. None of the
commenters who advocated revisions to the part 1 rules explained
whether or how their suggestions relate specifically to, or would be
particularly necessary or appropriate for, an auction of licenses in
the AWS-3 bands. Given the limited record received on this topic,
without more comment, we are not inclined to adopt amendments to our
general competitive bidding rules in the context of adopting service-
specific rules for AWS-3 spectrum.
180. Revision to part 1 Certification Procedures. Section 6004 of
the Spectrum Act prohibits ``a person who has been, for reasons of
national security, barred by any agency of the Federal Government from
bidding on a contract, participating in an auction, or receiving a
grant'' from participating in a system of competitive bidding under
section 309(j) required to be conducted under Title VI of the Spectrum
Act. In 2013, the Commission amended its rules to implement this
Spectrum Act mandate by adding a national security certification to the
application to participate in competitive bidding. The Commission noted
in the AWS-3 NPRM that it would require this additional certification
from all applicants in any short-form application to participate in
competitive bidding for licenses in the AWS-3 bands that are subject to
the Spectrum Act. Accordingly, an AWS-3 auction applicant must certify,
under penalty of perjury, that it and all of the related individuals
and entities required to be disclosed on the short-form application are
not persons who have ``been, for reasons of national security, barred
by any agency of the Federal Government from bidding on a contract,
participating in an auction, or receiving a grant.'' As with the other
certifications on the short-form application, failure to include the
required certification by the applicable filing deadline would render
the short-form application unacceptable for filing, and the applicant
would be ineligible to participate in the auction.
181. Small Business Provisions for Geographic Area Licenses. As
discussed in the AWS-3 NPRM, in authorizing the Commission to use
competitive bidding, Congress mandated that the Commission ``ensure
that small businesses, rural telephone companies, and businesses owned
by members of minority groups and women are given the opportunity to
participate in the provision of spectrum-based services.'' In addition,
section 309(j)(3)(B) of the
[[Page 32391]]
Communications Act provides that, in establishing eligibility criteria
and bidding methodologies, the Commission shall seek to promote a
number of objectives, including ``economic opportunity and competition
. . . by avoiding excessive concentration of licenses and by
disseminating licenses among a wide variety of applicants, including
small businesses, rural telephone companies, and businesses owned by
members of minority groups and women.'' One of the principal means by
which the Commission fulfills this mandate is through the award of
bidding credits to small businesses.
182. In the Competitive Bidding Second Memorandum Opinion and
Order, the Commission stated that it would define eligibility
requirements for small businesses on a service-specific basis, taking
into account the capital requirements and other characteristics of each
particular service in establishing the appropriate threshold. Further,
in the Part 1 Third Report and Order, the Commission, while
standardizing many auction rules, determined that it would continue a
service-by-service approach to defining the eligibility requirements
for small businesses.
183. The Commission proposed in the AWS-3 NPRM to define a small
business as an entity with average gross revenues for the preceding 3
years not exceeding $40 million, and a very small business as an entity
with average gross revenues for the preceding 3 years not exceeding $15
million. Under this proposal, small businesses would be provided with a
bidding credit of 15 percent and very small businesses with a bidding
credit of 25 percent, consistent with the standardized schedule in part
1 of our rules. This proposal was modeled on the small business size
standards and associated bidding credits that the Commission adopted
for the AWS-1 band, based on the belief that the AWS-3 bands would be
employed for purposes similar to those for which the AWS-1 band is
used. The AWS-3 NPRM noted that these small business size standards and
associated bidding credits were adopted for the AWS-1 band because of
the similarities between the AWS-1 service and the broadband PCS
service, and that the Commission had followed this approach when
proposing small business size standards and associated bidding credits
in the 2004 NPRM and when adopting them in the AWS-4 Service Rules R&O
and the H Block R&O.
184. The Commission sought comment on these proposals, including
the costs or benefits of these standards and associated bidding
credits, particularly as they may relate to the size of the geographic
areas to be served and the spectrum allocated to each license. The
Commission also specifically sought comment on whether the small
business provisions it proposed are sufficient to promote participation
by businesses owned by minorities and women, as well as rural telephone
companies. The limited comment we received on the Commission's proposal
to offer small business bidding credits in an auction for the AWS-3
bands is generally supportive. The AWS-3 NPRM also proposed to extend
any rules and policies adopted in the Commission's Tribal lands
proceeding to any assignment of licenses in the AWS-3 bands through
competitive bidding; see also Tribal Lands NPRM, 26 FCC Rcd at 2630-31
paras. 19-20 (2011). No commenter addressed this proposal, and we see
no reason to depart from our proposed approach here.
185. Blooston Rural Carriers support the Commission's proposed
small business bidding credits, but ask the Commission to consider
offering additional support to incumbent rural carriers in the AWS-3
auction through an additional (cumulative) bidding credit of 15 percent
for entities that qualify as a ``rural telephone company'' or that are
a subsidiary or affiliate of a qualified rural telephone company under
the Commission's rules. This bidding credit would be available in
addition to any other bidding credit for which an applicant may be
eligible, but the credit would be limited to licenses that cover all or
part of the rural carrier's certificated wireline service area.
Blooston Rural Carriers submit that such an additional bidding credit
would effectively help companies compete with large regional and
wireless carriers in their local service territory and with carriers
bidding more densely populated areas. The Commission has previously
considered proposals to create an additional rural telephone company
bidding credit. In declining to adopt such past proposals, the
Commission observed that proponents of this type of credit had been
unable ``to demonstrate a historical lack of access to capital that was
the basis for according bidding credits to small businesses, minorities
and women,'' and that ``[i]n subsequent decisions, large rural telcos
have failed to demonstrate any barriers to capital formation similar to
those faced by other designated entities.'' While the Commission has
not intended to apply the part 1 bidding credit schedule uniformly to
all services without any opportunity for the consideration of
alternative bidding credits, the schedule of size standards and bidding
credits described in our part 1 rules provides small businesses with
consistency and predictability and we are not persuaded that we should
deviate from that schedule here. As discussed above, the Commission
took the characteristics of the AWS-3 service into consideration when
proposing the two size standards and associated bidding credits in the
AWS-3 NPRM. Based on the record in this proceeding, we decline to adopt
a bidding credit for incumbent rural carriers in addition to the small
business bidding credits that we adopt for the AWS-3 bands.
186. CCA also supports the Commission's proposal to offer small
business bidding credits, but asks the Commission to amend its bidding
credit provisions to better fulfill the purposes of section 309 of the
Communications Act. CCA asserts that the Commission's thresholds for
defining small and very small business are decades old and have not
kept pace with the realities of today's marketplace, and that the
current definitions have the effect of excluding carriers that have no
ability, or limited ability, to participate absent a bidding credit.
CCA notes, by way of example, that the generally acceptable small
business size standard for cellular or other wireless
telecommunications entities as defined by the Small Business
Administration (``SBA'') is firms with 1,500 or fewer employees
(including affiliates). CCA urges the Commission to reevaluate its
standards when determining eligibility for bidding credits in the AWS-3
auction, rather than using the same small business size standards that
were used in prior AWS auctions, but offers no suggestions regarding
what alternative size standards could potentially be used for AWS-3.
187. Based on the Commission's prior experience with the use of
bidding credits in spectrum auctions, we believe that the use of
bidding credits is an effective tool in achieving the statutory
objective of promoting participation by designated entities in the
provision of spectrum-based services. In the absence of small business
size standards and bidding credits, designated entities might have less
of an opportunity to obtain spectrum in this band. We believe that
continuing to extend such benefits to the AWS-3 bands would be
consistent with our statutory mandate. We are not persuaded by the
record before us that we should adopt small business size standards for
AWS-3 that differ from those used in prior AWS auctions. To the
contrary, in light of the
[[Page 32392]]
similarities between AWS-3 and the other AWS services, we adopt for
AWS-3 the size standards and associated bidding credits for small
businesses used in prior AWS auctions. On March 20, 2014, we requested
the U.S. Small Business Administration's approval of our final rule
adopting these small business size standards. Moreover, we continue to
believe that use of the small business size standards and credits set
forth in the part 1 schedule provides consistency and predictability
for small businesses, and conclude that we would be ill-advised in the
absence of any alternative size standards proposals from commenters to
adopt changes to our part 1 bidding credit schedule in the context of a
proceeding establishing service-specific rules for the AWS-3 bands. We
also note that in first adopting small business size standards for
eligibility for designated entity benefits, the Commission rejected the
SBA's 1,500 employee standard as a means to qualify as a designated
entity. The Commission concluded that such a definition would be too
inclusive and would allow many large telecommunications firms to take
advantage of preferences not intended for them. Accordingly, for the
AWS-3 bands, we will define a small business as an entity with average
gross revenues for the preceding 3 years not exceeding $40 million, and
a very small business as an entity with average gross revenues for the
preceding 3 years not exceeding $15 million. Under these definitions,
small businesses would be provided with a bidding credit of 15 percent
and very small businesses with a bidding credit of 25 percent,
consistent with the standardized schedule in part 1 of our rules. Given
the record before us and the benefits discussed above, we conclude that
the potential benefits of our proposals would likely outweigh any
potential costs.
188. Commercial Spectrum Enhancement Act Requirements. The
Commission noted in the AWS-3 NPRM that the CSEA established SRF to
reimburse Federal agencies operating on certain frequencies that have
been reallocated from Federal to non-Federal use for the cost of
relocating their operations. The SRF is funded from cash proceeds
attributable to ``eligible frequencies'' in an auction involving such
frequencies. 47 U.S.C. 928(b). ``Eligible frequencies'' are defined as
those in the 216-220 MHz band, the 1432-1435 MHz band, the 1710-1755
MHz band, the 2385-2390 MHz band, and any other band of frequencies
reallocated from Federal use to non-Federal use or to shared use after
January 1, 2003 that is assigned by competitive bidding pursuant to
section 309(j) of the Communications Act. CSEA requires NTIA to notify
the Commission of estimated relocation costs and timelines for
relocation from eligible frequencies by eligible Federal entities at
least 6 months in advance of a scheduled auction of eligible
frequencies. On March 20, 2013, the Commission notified NTIA that it
``plans to commence the auction of licenses in the 1695-1710 MHz band
and the 1755-1780 MHz band as early as September 2014.'' CSEA further
requires that the total cash proceeds from any auction of ``eligible
frequencies'' must equal at least 110 percent of estimated relocation
costs of eligible Federal entities, and prohibits the Commission from
concluding any auction of eligible frequencies that falls short of this
revenue requirement. Section 309(j)(16)(A) of the Communications Act,
which was added by section 203(b) of CSEA, required the Commission to
revise its existing regulations to prescribe methods by which the total
cash proceeds from any auction of licenses authorizing use of
``eligible frequencies'' shall equal at least 110 percent of the total
estimated relocation costs provided to the Commission by NTIA. In
implementing rules and procedures necessary to comply with CSEA, the
Commission amended its reserve price rule to provide that, for any
auction of ``eligible frequencies'' requiring recovery of estimated
relocation costs, the Commission will establish a reserve price or
prices pursuant to which the total cash proceeds from any auction of
eligible frequencies shall equal at least 110 percent of the total
estimated relocation costs of provided to the Commission by NTIA. The
Commission also modified its Tribal land bidding credit rule to enable
the Commission, in auctions subject to CSEA, to award all eligible
applicants tribal land bidding credits on a pro rata basis in the event
that the net winning bids at the close of bidding (exclusive of tribal
land bidding credits) are not sufficient both to meet the reserve
price(s) and to award all eligible applicants full tribal land bidding
credits. The reserve price and Tribal land bidding credit rules adopted
by the Commission in the CSEA Implementation Report and Order remain in
effect today.
189. The Commission invited comment on the applicability of the 110
percent requirement in the CSEA to the various relocation and sharing
scenarios discussed in the AWS-3 NPRM. The Commission also noted in the
AWS-3 NPRM that the proceeds of certain spectrum required to be
auctioned under section 6401 of the Spectrum Act are to be deposited in
the Public Safety Trust Fund established under section 6413 of the
Spectrum Act, and invited comment on the potential interplay between
these Spectrum Act provisions and the CSEA. We received no comment on
either of these issues. But see Public Knowledge Ex Parte, dated March
13, 2014, at 4 (revenue not required for federal relocation should be
distributed in accordance with the Spectrum Act); Public Interest
Spectrum Coalition Ex Parte, dated February 20, 2014, at 2 and New
America Foundation Ex Parte, dated March 24, 2014, at 3 (suggesting
attribution of a larger share of the proceeds to the 2155-2180 MHz
band). Accordingly, the 110 percent requirement will be addressed in
the context of determining whether and how to establish the reserve
price as the final procedures are developed--through a series of public
notices with opportunities for comment--that will govern the auction of
licenses in the AWS-3 bands.
190. Multi-Stage Auction and Licensing Alternatives for 1.7 GHz.
The Commission acknowledged in the AWS-3 NPRM that the Federal/non-
Federal sharing scenarios then under consideration by CSMAC are very
complex and workable rules may prove difficult to implement prior to
the licensing deadlines imposed by the Spectrum Act. The Commission
therefore sought comment on alternative licensing constructs that could
facilitate ongoing ``operator-to-operator'' negotiations between
licensees in commercial bands (e.g., 2155 MHz) and Federal agencies
occupying complementary Federal bands (e.g., 1.7 GHz), should sharing
or relocation for exclusive use not be possible. The Commission asked
whether, for example, the license for the commercial bands could be
paired with an ``overlay'' license in Federal bands providing that
commercial use of such bands would be entirely contingent upon
successful coordination with incumbent Federal users, or alternatively,
whether the commercial licenses could grant to the licensee exclusive
eligibility status with respect to a future assignment of rights in
such Federal bands. The Commission also asked whether an auction could
proceed in two stages, to enable the initial assignment of a
``negotiation right'' and subsequent payments into the Spectrum
Relocation Fund to facilitate relocation or upgrades pursuant to the
CSEA. Under this scenario, for example, the
[[Page 32393]]
first stage could assign commercial licenses and any concomitant rights
to negotiate with incumbent Federal users for the use of Federal
spectrum, with the second stage consisting of a supplementary round
with participation limited to eligible commercial licensees, and a
reserve price set based on the 110 percent funding requirement
established by the CSEA. The Commission invited comment on what
approaches would generate the most certainty, and therefore expected
value, in the use of the spectrum.
191. T-Mobile, the only commenter that addressed this issue,
opposed the issuance of overlay licenses. While T-Mobile supports
operator-to-operator negotiations post-auction in order to maximize
commercial licensees' access to Federal spectrum, it maintains that an
overlay license approach would be inconsistent with the Spectrum Act's
preference to relocate federal users to the maximum extent feasible,
and with the CSEA, because activities provided for in the statute such
as studying relocation options and updating equipment to facilitate
clearing or shared use of the spectrum would not be undertaken if
overlay licenses are issued. T-Mobile also notes that an overlay
auction would create uncertainty about exactly what rights a licensee
would be granted, which would potentially reduce auction participation
and revenues. No commenter proposed any alternative licensing
constructs or other approaches. Accordingly, based on the record before
us, we do not adopt licensing alternatives for 1.7 GHz.
192. Non-Federal Relocation and Cost Sharing (2155-2180 MHz). There
are two non-Federal incumbent services still authorized in portions of
the 2155-2180 MHz band: There are approximately 250 Fixed Microwave
Service (FS) licenses in the 2160-2180 MHz band and approximately five
BRS licensees in the 2150-2160/62 MHz band. The FS operations in the
2160-2180 MHz band are typically configured to provide two-way
microwave communications using paired links in the 2110-2130 MHz band.
While few BRS systems remain, in the past BRS systems were deployed via
three types of system configurations: High-power video stations, high-
power fixed two-way systems, and low-power, cellularized two-way
systems. Under the Commission's rules, AWS licensees in these bands
must protect incumbent operations or relocate the incumbent licensees
to comparable facilities, until the applicable ``sunset date,'' after
which the incumbents must cease operating if the AWS licensee intends
to operate a station in the relevant area. The Commission's rules also
address cost-sharing reimbursement to cover the scenario where
relocation of an incumbent system benefits more than one AWS licensee.
193. In the AWS-3 NPRM, we proposed to extend to the AWS-3 band the
current relocation and cost sharing rules for both the FS in the 2160-
2180 MHz band and the BRS in the 2150-2160/62 MHz band and sought
comment on our proposal. Comsearch agrees with the Commission's
proposal to extend the current relocation and cost sharing rules for
both FS in the 2160-2180 MHz band and BRS in the 2150-2160/62 MHz.
Because the 2160-2180 MHz band is paired with the 2110-2130 MHz band,
which is subject to relocation and cost sharing under the AWS-1 rules,
Comsearch believes that new AWS-3 licensees will face practically the
same relocation issues faced by current AWS-1 licensees given that
there are still over 120 FS microwave links and 4 BRS systems remaining
in the bands, so it seems reasonable that the incumbent protection and
relocation rules set forth in Sec. Sec. 27.1111-1132 of the rules
should be applicable to AWS-3.
194. We conclude that extending the current relocation and cost
sharing rules for both FS in the 2160-2180 MHz band and BRS in the
2150-2160/62 MHz serves the public interest because it will continue to
accelerate the relocation process and will distribute relocation costs
more equitably among the beneficiaries of the relocation.
D. Allocation Matters
195. For the frequency bands considered for AWS-3 service, the AWS-
3 NPRM identified several amendments to Sec. 2.106 of our rules
(Allocation Table) that would be necessary to accommodate the proposed
changes to the use of the bands. Although these proposed amendments
drew little specific comment, parties generally supported policies that
would necessitate allocation changes to provide for efficient use of
the AWS-3 spectrum for mobile broadband services. Accordingly, we
modify the Allocation Table for the bands we are designating for AWS-3
use, as discussed below.
196. 1695-1710 MHz. The 1695-1710 MHz band is allocated for primary
Federal and non-Federal meteorological satellite (MetSat) (space-to-
Earth) use. In addition, the 1695-1700 MHz portion of the band is
allocated for primary Federal and non-Federal meteorological aids
(radiosonde) use, and the 1700-1710 MHz portion of the band is
allocated for primary Federal fixed use and secondary non-Federal fixed
use. We are adopting the amendments proposed in the AWS-3 NPRM relating
to the 1695-1710 MHz band, which were unopposed by commenters and
supported by a recent NTIA Report. To facilitate the Spectrum Act's
requirement that the Commission allocate this segment of the 1675-1710
MHz band to support wireless broadband use, we are amending the
Allocation Table by allocating the 1695-1710 MHz band to fixed and
mobile except aeronautical mobile services on a primary basis for non-
Federal use. The service rules that we are adopting today do not
authorize fixed use in this band. Nonetheless, a fixed service
allocation will harmonize the non-Federal allocations with the adjacent
1710-1755 MHz AWS-1 band and allow for future consideration of low-
power fixed use of the band, such as by customer premises equipment,
thereby providing maximum flexibility for service providers to better
respond to market demand, consistent with past Commission actions. In
the 1700-1710 MHz band, the primary non-Federal fixed service
allocation replaces an existing unused secondary allocation. We decline
to allocate the 1695-1710 MHz band to the aeronautical mobile services
in order to better protect Federal MetSat earth stations in this band
from harmful interference.
197. We are maintaining the primary Federal MetSat (space-to-Earth)
allocation in the 1695-1710 MHz band, but are limiting this allocation
to 27 Protection Zones within which one or more Federal earth stations
will continue to operate. Specifically, we are adopting footnote US88
to provide for the protection of certain Federal earth stations that
receive in the 1695-1710 MHz band as well as a few sites below 1695 MHz
to ensure there is no impact due to adjacent band emissions. NTIA has
endorsed the recommendations contained in a July 2013 Final Report
authored by Working Group 1 of the Commerce Spectrum Management
Advisory Committee (CSMAC WG-1). CSMAC WG-1 made recommendations
regarding Federal/non-Federal sharing of the 1695-1710 MHz band,
including protection zones (i.e., coordination areas) for Federal earth
stations in this band. In addition, we are deleting the primary non-
Federal MetSat (space-to-Earth) allocation from the 1695-1710 MHz band,
and are permitting non-Federal earth stations to continue to receive
MetSat data from primary Federal MetSat space stations on an
unprotected basis. It appears that more than 160 registered U.S. users
of non-Federal direct readout earth stations receive in the 1695-1710
MHz band.
[[Page 32394]]
See NOAA's 2011 presentation titled ``The President's Broadband
Initiative: Impacts Upon NOAA Satellite and User'' at 4, 9, (available
at https://directreadout.noaa.gov/Miami11/2011_presentations.html. See
also Fast Track Report, note 11 (stating that ``Given that the
satellite will continue to transmit their signals, receive-only station
operators would need to convert to another access mechanism only if and
when wireless broadband systems built-out in their area. Since high
density metropolitan areas will be the first priority for wireless
services, the operators of meteorological-satellite earth stations may
find that they can continue to directly access the satellite date
unimpeded for some time.''). See the final rules section for the text
of footnote US88. The protection zones listed in footnote US88 were
extracted from Table 2 of the CSMAC WG-1 Final Report. The complete
list of earth station locations, protected center frequencies, and
maximum protection radii for channel bandwidths of 5, 10, and 15
megahertz are specified in Table 1 of the CSMAC WG-1 Final Report.
198. We also remove from the Allocation Table three unused
allocations that apply to the 1695-1710 MHz band. First, we delete the
primary Federal fixed service allocation from the 1700-1710 MHz band
and associated footnote G118 from the Allocation Table. Second, we
delete the primary meteorological aids (radiosonde) allocation from the
1695-1700 MHz band. Third, we delete the footnote allocation that
allows all other applications in the Earth exploration-satellite
service (EESS) (space-to-Earth) besides MetSat applications to operate
in the 1695-1710 MHz band. Previously, the Commission added a reference
to international footnote 5.289 (``Earth exploration-satellite service
applications, other than the meteorological-satellite service, may also
be used in the bands 460-470 MHz and 1690-1710 MHz for space-to-Earth
transmissions subject to not causing harmful interference to stations
operating in accordance with the Table.'') to the United States Table
of Frequency Allocations in Sec. 2.106. In this action, we move this
text to new footnote US289, except that the ``band 1690-1695 MHz'' is
specified. We note that footnotes 5.289 and US201 both provide for the
same applications using different wording. Therefore, we simplify the
U.S. Table by adding the text of footnote US201 to new footnote US289.
199. 2155-2180 MHz. The 2155-2180 MHz band is presently allocated
on a primary basis to fixed and mobile services in the non-Federal
Table as part of the larger 2120-2180 MHz band. The AWS-3 NPRM noted
the benefits of allowing Federal users to access the AWS-3 bands,
including spectrum not presently allocated for Federal use (e.g., 2155-
2180 MHz) on Federal lands or properties that are generally unserved by
commercial wireless networks. It sought comment on specific locations
where such shared use might be appropriate, a suitable regulatory
framework for that use, and amendments to the Commission's rules
required to facilitate that use.
200. Oceus Networks strongly supports sharing both the 1755-1780
MHz and 2155-2180 MHz bands ``on U.S. military bases and ranges for
mission-oriented tactical LTE . . . [and for] capabilities [that] would
be able to evolve alongside a commercial technology roadmap.'' NTIA
generally states that it agrees that expanding opportunities for
preserving Federal users' access to the AWS-3 bands on Federal lands
and military training ranges in areas generally served by commercial
networks may allow Federal agencies greater flexibility to meet
tactical, training, and other requirements. T-Mobile states that it
does not object to Federal use of non-Federal spectrum in areas where
commercial providers are not generally providing service, because
shared use of AWS-3 spectrum could produce economies of scale and scope
in for equipment for both Federal and non-Federal users, thereby
lowering costs and speeding implementation. However, T-Mobile cautions
that it is premature to adopt Federal sharing rules in commercial bands
at present because of the urgency in bringing additional spectrum to
market for mobile broadband services. T-Mobile therefore recommends
that the Commission re-evaluate Federal sharing of commercial spectrum
at a later date, when Federal requirements for additional spectrum
versus more efficient use of existing spectrum are better understood.
201. AT&T states that Oceus has not shown a specific need to
provide sharing in the 2155-2180 MHz band, and that allowing Oceus to
construct and manage a secondary wireless network in a licensed market
would effectively foreclose the ability of the licensee to expand its
coverage into that area at a later time. Verizon states that the
Commission should promote sharing in bands explicitly identified for
shared use, such as the BAS band, 1780-1850 MHz, and the 3.5 GHz band,
and not require sharing in bands licensed for exclusive, flexible use.
Responding to Oceus's statement that that military bases are
underserved by CMRS operators because carriers do not deploy in those
areas, Verizon asserts that access to military bases and processes to
gain approval to construct and operate wireless facilities on bases
make siting there more difficult. Similarly, noting that it has cell
sites on more than 130 bases nationwide (and that the number grows as
siting negotiations conclude), AT&T also disagrees that there are
barriers to DoD using commercial wireless technology, and notes that
network buildout on military facilities can be achieved through
existing procurement arrangements. Oceus responds that it has sought a
geographically limited approach for specific military operations but
that even broader sharing opportunities will have to be addressed in
the future in non-Federal bands, that existing contract vehicles such
as AT&T describes are inadequate, and that secondary user would be
required to cease interfering by rule if an AWS licensee were to expand
coverage into the area of the secondary license.
202. On March 21, 2014, NTIA, on behalf of DoD, requested that the
Commission defer action on the specific text of a new US footnote in
the Table of Allocations until requirements for a more flexible
approach, beyond tactical or training applications in remote areas, can
be developed in consultation with military and industry stakeholders.
In accordance with NTIA's request, on behalf of DoD, we are deferring
action on this matter. See Letter from Karl B. Nebbia, Associate
Administrator, Office of Spectrum Management, NTIA, to Julius P. Knapp,
Chief, Office of Engineering and Technology, FCC (March 21, 2014) at 2.
203. We are adopting the other amendments proposed in the AWS-3
NPRM relating to the 2155-2180 MHz band, which were unopposed by
commenters, by updating and combining footnotes NG153 and NG178, and
numbering the resultant footnote as NG41. Specifically, we: (1) Remove
the first two sentences from footnote NG153; (2) revise the last
sentence in footnote NG153; (3) add language highlighting that all
initial non-AWS authorizations in the 2160-2180 MHz band applied for
after January 16, 1992 were issued on a secondary basis; and (4) add
language highlighting the sunset provisions that apply to part 101
fixed stations that were authorized on a primary basis. Part 101 use of
the 2160-2180 MHz band is restricted to Common Carrier Fixed Point-to-
Point Microwave Service; see 47 CFR 101.101. Applications for new
facilities submitted after the adoption date of the
[[Page 32395]]
Notice of Proposed Rulemaking in ET Docket No. 92-9 (Jan. 16, 1992)
``will be granted on a secondary basis only.'' 47 CFR 101.79(a)(1),
101.101. We therefore remove footnotes NG153 and NG178, and add
footnote NG41 to read as shown in the final rules section.
204. 1755-1780 MHz. The 1755-1780 MHz band is presently allocated
on a primary basis for Federal fixed, mobile, and space operations
(Earth-to-space), but contains no non-Federal allocations. However, the
AWS-3 NPRM observed that this band is allocated internationally on a
primary basis to the fixed and mobile services in all three
International Telecommunication Union (ITU) Regions. The AWS-3 NPRM
also observed that the 1755-1780 MHz band has several characteristics
that make it especially appealing for commercial wireless use, and
proposed that it be used for mobile uplinks, with fixed stations not
authorized in the band. The AWS-3 NPRM also inquired as to the changes
necessary to the Allocation Table to permit commercial wireless use of
the 1755-1780 MHz band. Commenters strongly supported using the 1755-
1780 MHz band for commercial wireless services. As noted above, Verizon
Wireless supported the proposal to prohibit fixed station use of the
band, stating that the authorization of fixed high-gain antennas could
cause interference to government operations in that band.
205. We concur with commenting parties that a commercial wireless
service in the 1755-1780 MHz band is desirable, and establishment of
that service requires that we add primary fixed and mobile service
allocations to the non-Federal Table in that band. That addition will
facilitate both Federal/non-Federal sharing, and a near-term spectrum
auction, of that band. While that addition was not the focus of
commenting parties, it finds implicit support in the record, including
support from Federal users of the 1755-1780 MHz band. A fixed service
allocation will permit future consideration of low power fixed use of
the 1755-1780 MHz band, such as by customer premises equipment, thereby
providing maximum flexibility for service providers to better respond
to market demand. Additionally, we are deleting the existing fixed and
mobile allocations from the Federal Table in that band, but are adding
new footnote US91 to govern shared Federal/non-Federal use of the 1755-
1780 MHz band, as shown in the final rules section. See NTIA November
2013 Letter, at the enclosures titled ``Commerce Spectrum Management
Advisory Committee (CSMA) Working Group 3 (WG 3) Report on 1755-1850
MHz Satellite Control and Electronic Warfare;'' ``Commerce Spectrum
Management Advisory Committee (CSMA) Working Group 4: 1755-1850 MHz
Point-to-Point Microwave[,] Tactical Radio Relay (TRR)[, and] Joint
Tactical Radio System/Software Defined Radio (JTRS/SDR),'' Final
Report, dated July 24, 2013; and Commerce Spectrum Management Advisory
Committee (CSMAC) Working Group 5 (WG-5)[:] 1755-1850 MHz Airborne
Operations (Air Combat Training System, Small Unmanned Aircraft
Systems, Precision-Guided Munitions, Aeronautical Mobile Telemetry),
Final Report (Sept. 16, 2013).''
206. In addition, we are adopting a non-substantive update to the
non-Federal Table by expanding the cross reference to part 27 of the
Commission's rules, which is shown as ``Wireless Communications (27)''
in the 1710-1755 MHz band, by displaying this cross reference in the
1695-1780 MHz band. We are also adding missing cross references to part
27 of our rules in the 1850-2000 MHz band (for 1915-1920 and 1995-2000
MHz bands) and the 2000-2020 MHz band. 47 CFR 2.105(e), 27.5(j)-(k).
207. 2020-2025 MHz. As proposed in the AWS-3 NPRM, we are removing
footnote NG177 from the Allocation Table. Footnote NG177 related to the
Broadcast Auxiliary Service in the 1990-2110 MHz band transitioning to
the 2025-2110 MHz band, and that transition has now been completed.
Because we are deferring consideration of rules that would apply to the
2020-2025 MHz band, we make no other allocation changes that relate to
that band at this time.
208. 2025-2110 MHz. The 2025-2110 MHz band is allocated on a
primary basis to fixed and mobile services in the non-Federal Table;
and on a primary basis to the space operation, Earth exploration-
satellite, and space research services in the Federal Table. In the
AWS-3 NPRM, the Commission noted and sought comment on the DoD
Proposal, under which DoD proposes to relocate key operations from the
1755-1780 MHz band and to obtain increased Federal access to the shared
2025-2110 MHz band. Comments were initially mixed on this proposal, but
most wireless industry commenters subsequently supported the DoD
Proposal. Others also support it or believe it to be preferable to
commercial use of the 2025-2110 MHz band, maintaining that 2025-2110
MHz--and especially the 2095-2110 MHz portion--is not a viable
candidate band for commercial use, as it would impinge on existing
uses. Recently, NTIA endorsed the DoD Proposal and recommended
amendments to the Allocation Table for the 2025-2110 MHz band to
implement military use of that band under specific conditions that
protect non-Federal operations.
209. We find the DoD Proposal to be constructive, and consistent
with efficient use of both the 1755-1780 MHz and 2025-2110 MHz bands.
Commercial use of the former band can occur in a timely manner under
the DoD Proposal. Accordingly, we adopt NTIA's recommended amendments
in our final rules section. Specifically, we are adding primary Federal
fixed and mobile service allocations to the 2025-2110 MHz band,
limiting Federal use of these allocations to military use, specifying
coordination requirements for such operations in accordance with a
Memorandum of Understanding between Federal and non-Federal fixed and
mobile operations, and providing interference protection and priority
to the specified non-Federal fixed and mobile operations in this band;
delete footnote US393 and add footnote US92. These amendments will take
effect only after the auction of the1755-1780MHz band concludes. See 47
U.S.C. 309(j)(16)(B) (``The Commission shall not conclude any auction
of eligible frequencies described in section 923(g)(2) of this title if
the total cash proceeds attributable to such spectrum are less than 110
percent of the total estimated relocation or sharing costs provided to
the Commission pursuant to section 923(g)(4) of this title.'').
210. Statutory Requirements. In discussing any changes to the
Allocation Table, the Commission sought specific comment on any special
statutory conditions that may apply, noting two particular statutory
provisions of special relevance here.
211. First, Congress recognized the potential benefits of flexible
spectrum allocations and in 1997 amended the Communications Act to add
section 303(y), which grants the Commission the authority to adopt
flexible allocations if certain factors are met. Section 303(y)
provides the Commission with authority to allocate spectrum for
flexible use if ``such use is consistent with international agreements
to which the United States is a party; and the Commission finds, after
notice and an opportunity for public comment, that such an allocation
would be in the public interest; such use would not deter investment in
communications services and systems, or technology development; and
such use would not result in harmful interference among users.'' The
Commission sought comment on how best to read section
[[Page 32396]]
303(y) in light of the subsequent mandate of section 6401 to ``allocate
the spectrum described [therein] for commercial use.'' The Commission
also sought comment on whether any allocation changes, together with
the proposed service rules, proposed or identified in the AWS-3 NPRM or
by commenters would satisfy the four elements of section 303(y) of the
Act. Commenters did not address these issues. For the reasons and in
light of the specific rules set forth in this order, we conclude that
the allocations and service rules adopted herein satisfy these section
303(y) statutory requirements, to the extent they are not superseded by
section 6401.
212. Section 1062(b) of the National Defense Authorization Act for
Fiscal Year 2000 requires that, if ``in order to make available for
other use a band of frequencies of which it is a primary user, the
Department of Defense is required to surrender use of such band of
frequencies, the Department shall not surrender use of such band of
frequencies until. . .the [NTIA], in consultation with the [FCC],
identifies and makes available to the Department for its primary use,
if necessary, an alternative band or bands of frequencies as a
replacement for the band to be so surrendered.'' Furthermore, current
law requires that ``the Secretary of Commerce, the Secretary of
Defense, and the Chairman of the Joint Chiefs of Staff jointly certify.
. .that such alternative band or bands provides comparable technical
characteristics to restore essential military capability that will be
lost as a result of the band of frequencies to be so surrendered.''
213. NTIA states that the amendments to the Allocation Table for
the 2025-2110 MHz band that it recommends--and that we are adopting
herein--``would provide DoD additional spectrum access to a band with
comparable technical characteristics to restore essential military
capabilities that will be lost as a result of relocating systems out of
1755-1780 MHz, a statutory requirement under the Secretary of
Commerce's, DoD's, and the Chairman of the Joint Chiefs of Staff's
joint certification to Congress under the National Defense
Authorization Act for Fiscal Year 2000.'' Section 1062(b) of the
National Defense Authorization Act for Fiscal Year 2000 (Public Law
106-65; 113 Stat. 768); see also provisions (Surrender of Department of
Defense Spectrum) set out as a note under 47 U.S.C. 921. Based on
NTIA's representation, we view this statutory provision as satisfied.
This rule change will take effect only after the auction for 1755-1780
MHz concludes, see 47 U.S.C. 309(j)(16)(B), and the joint certification
is submitted to Congress.
E. Federal/Non-Federal Coordination
214. In the AWS-3 NPRM, the Commission sought comment on
coordination procedures including whether coordination models or
elements thereof used in different wireless and satellite services
would be applicable. In particular, the Commission sought comment on
whether the coordination procedures established for non-Federal
licensees to gain early access to adjacent AWS-1 uplink band (1710-1755
MHz) could serve as a model for coordination. The Commission explained
that, in AWS-1, the Commission worked closely with NTIA to craft a
coordination procedure before the full band transition was completed.
``Prior to operating, the AWS-1 licensee was required to contact the
appropriate Federal agency to get information necessary to perform an
interference analysis. The AWS-1 licensee would first perform the
interference analysis and then send it to the appropriate designated
agency contact for review. At the end of 60 days, if the Federal agency
raised no objection, the AWS-1 licensee was permitted to commence
operations. NTIA required Federal agencies to cooperate with AWS-1
licensees and provide, within 30 days of a request from an AWS-1
licensee wishing to operate within a coordination zone, site-specific
technical information that would allow the licensee to complete the
interference analysis. NTIA also required agencies that disapprove of
an interference analysis submitted by an AWS-1 licensee to provide the
licensee with a detailed rationale for its disapproval. Finally,
Federal agencies were required to work in good faith to identify the
source of the harmful interference and work with AWS-1 licensees to
eliminate or mitigate the interference.'' AWS-3 NPRM, 28 FCC Rcd at
11510 para. 67 citing The Federal Communications Commission and the
National Telecommunications and Information Administration--
Coordination Procedures in the 1710-1755 MHz Band, Public Notice, 21
FCC Rcd 4730 (2006) (AWS-1 Coordination Procedures PN).
215. T-Mobile recommends that the Commission pattern the AWS-3
coordination process after the process used by non-Federal licensees to
gain early access to AWS-1 spectrum. Raytheon disagrees and argues that
AWS-1 coordination procedures would not offer sufficient protection to
the 1695-1710 MHz band. Motorola recommends that if the Commission does
not apply AWS-1 coordination procedures to the AWS-3 spectrum, then it
should apply part 27 coordination procedures. Mobile Future argues that
the Commission should work with NTIA to develop an interference
protection model, inputs to the model, and the coordination procedure.
Such efforts, Mobile Future continues, should address issues that
should be resolved before an auction commences.
216. The Commission recognizes that bidders need as much certainty
as possible regarding the scope of Federal incumbency, relocation
timelines, and the potential for temporary or indefinite sharing
through geographic or temporal access to spectrum. Accord, Annex O
section O.4.2 (``NTIA expects that the transition plans' content will
provide valuable information to prospective bidders preparing for an
auction and to winning bidders planning for their system deployments or
leasing strategies.'') and section O.5.1 (``With regard to spectrum
sharing in eligible frequencies, the statute contemplates a range of
potential arrangements including: (1) Short-term or temporary sharing
in anticipation of the ultimate relocation of federal entities'
spectrum-related operations; (2) long-term or indefinite sharing
between federal entities and non-federal users; and (3) sharing among
relocated federal entities and incumbents to make spectrum available
for non-federal use.''). Indeed, such certainty is central to meeting
the goals of the Spectrum Act to fund the Public Safety Broadband
Network and to improve the CSEA to facilitate better transparency,
coordination, and predictability for bidders and licensees. See
Relocation of and Spectrum Sharing by Federal Government Stations--
Technical Panels and Dispute Resolution Boards, 78 FR 5310, 5311 (NTIA,
Jan. 25, 2013) (the Spectrum Act improved the CSEA provisions to
``facilitate better transparency, coordination, and predictability for
bidders in FCC spectrum auctions and the ultimate winners of those
auctions through, for example, a new requirement that NTIA publish the
agencies transition plans on NTIA's Web site at least 120 days before
commencement of the corresponding FCC auction, with the exception of
classified and other sensitive information.'').
217. Post-auction: Federal/Non-Federal Coordination Requirement.
Section 309(j)(16)(C) Condition: There are two Federal/non-Federal
coordination scenarios: (1) ``early access'' prior to Federal
relocation and (2) permanent sharing. Under the first
[[Page 32397]]
scenario, the Commission is required to condition non-Federal licenses
on not causing harmful interference to relocating Federal operations.
The Spectrum Act did not amend this provision of the original CSEA
(2004), which contemplated Federal relocations but not the Federal non-
Federal sharing scenario added by the Spectrum Act. Accordingly, we
conclude that this statutory provision governs the scenario for which
it was adopted--Federal relocations--and that it is inapplicable to the
sharing scenario under which termination of the eligible Federal
entity's authorization is unrestricted. We will apply the condition to
each AWS-3 license by rule. Thus, licenses to operate in the 1695-1710
MHz or 1755-1780 MHz bands are subject to the condition that the
licensee must not cause harmful interference to an incumbent Federal
entity relocating from these bands under an approved Transition Plan.
This condition remains in effect until NTIA terminates the applicable
authorization of the incumbent Federal entity. Although this statutory
license condition does not apply to the permanent sharing scenario
added by the Spectrum Act, the rules we adopt today require successful
coordination to avoid causing harmful interference to these Federal
incumbents.
218. General Coordination Requirement. For both coordination
scenarios (early access prior to Federal relocation and permanent
sharing) successful coordination with Federal incumbents is required
prior to operation as follows:
1695-1710 MHz: 27 Protection Zones with distances depending on
uplink EIRP
1755-1780 MHz: unless stated otherwise in a Joint FCC/NTIA
public notice (or in a written agreement among all relevant parties)
the coordination requirement is as follows depending on the type of
Federal authorization(s) involved:
US&P Federal assignments: Each AWS licensee must contact
each Federal agency that has U.S. and Possessions (US&P) authority
prior to its first operations in its licensed area to reach a
coordination arrangement on an operator-to-operator basis.
Other Federal assignments: Each AWS licensee must
successfully coordinate a proposed operation with each non-US&P Federal
incumbent. The default requirement is a nationwide coordination zone
with possible revisions and details to be announced in a Joint FCC/NTIA
public notice.
219. Joint FCC/NTIA Public Notice on Coordination Details. Federal
use of the radio spectrum is generally governed by the NTIA while non-
Federal use is governed by the Commission. As such, consistent with the
approach used for AWS-1, we believe that any guidance or details
concerning Federal/non-Federal coordination should be issued jointly by
NTIA and the Commission. In this regard, we authorize and direct the
Wireless Telecommunications Bureau to work with NTIA staff, in
collaboration with affected Federal agencies or CSMAC members, to
develop a joint FCC and NTIA public notice with information on
coordination procedures in the 1695-1710 MHz and 1755-1780 MHz bands.
We understand that one or more Federal incumbents are proposing to
develop one or more online portals, similar to the portal that DoD
developed for AWS-1, that would permit AWS licensees to submit
coordination data online in a standard format for distribution to the
relevant Federal incumbents. Until such online capability exists, the
Spectrum Act requires each incumbent agency to include contact
information in its Transition Plan. Until a coordination portal is
operational, licensees will have to rely on the point of contact
provided in each agency's transition plan.
220. The successful implementation of commercial services in the
AWS-3 bands depends upon successful coordination and sharing with
Federal users, whether on a temporary basis as Federal systems relocate
their operations or on an ongoing, permanent shared basis for those
systems that remain in the band. The Federal incumbents in the 1695-
1710 MHz and 1755-1780 MHz bands must be able to continue operations
free from harmful interference and without being held accountable for
interference into new commercial operations while the agencies are
operating within their authorized operational parameters. Similarly,
federal incumbents remaining in the band must be able to have the
flexibility to coordinate with commercial licensees if reasonable
modification of existing, grandfathered operations are required in the
future. We expect a good faith effort from both the AWS-3 licensees and
the Federal incumbents to share information about their systems, agree
to appropriate interference methodologies, and communicate results so
as to facilitate commercial use of the band. This extends to AWS
licensees sharing information with Federal incumbents and cooperating
in testing once Federal incumbents develop and implement real-time
spectrum monitoring systems around existing Federal operations
protected in the 1695-1710 MHz and adjacent bands.
221. Pre-auction Information on Federal Incumbents for Bidders.
NTIA must post the public version of each approved transition plan on
its Web site no later than 120 days before the start date of the
auction. The transition plans must generally describe an agency's plan
for ``the implementation by such entity of the relocation or sharing
arrangement.'' The plans the agencies submitted to NTIA and the
Technical Panel contain information about the frequencies used,
emission bandwidth, system use, geographic service area, timeline for
sharing, timeline for transition, and estimated cost of relocation or
sharing. Agencies that will not be able to release the entire plan will
need to make a determination regarding what information can be released
to reasonably help inform potential bidders about the incumbent Federal
uses and the timelines for sharing and relocation.
222. Supplemental Information Access: Affected agencies are
permitted to redact from the publicly-released transition plans
classified national security information and ``other information for
which there is a legal basis for nondisclosure and the public
disclosure of which would be detrimental to national security, homeland
security, or public safety or would jeopardize a law enforcement
investigation'' from the publicly-released transition plans. In the
event that publicly-released transition plans contain incomplete
information or lack key information necessary for potential bidders to
accurately value the spectrum, the FCC, NTIA, and the affected Federal
agencies will collaborate with industry stakeholders on possible
supplemental information disclosure processes. See, e.g., Letter from
Scott K. Bergman, Vice President, Regulatory Affairs, CTIA, to FCC
Chairman Wheeler and Commissioners Clyburn, Rosenworcel, Pai, and
O'Reilly, and Assistant Secretary Strickling, NTIA, dated Feb. 25, 2014
(proposing a three-stage timeline for release of Federal agencies'
transition plans and technical data under which Federal agencies would
open a window for executing non-disclosure agreements to receive
information under the second and third stages). We recognize that any
supplemental information disclosure must appropriately protect national
security considerations and law enforcement equities in accordance with
[[Page 32398]]
the statutory requirement. If it is determined that a supplemental
information release process will be necessary and can be finalized, a
Public Notice will announce the process.
F. Interoperability Requirement
223. In the AWS-3 NPRM, the Commission asked commenters to address
any specific technical rules for the AWS-3 bands. USCC, T-Mobile, and
several other commenters seek an interoperability requirement among
AWS-1 and AWS-3 devices, or at least among AWS-3 devices in the 1755-
1780 MHz band (paired with 2155-2180 MHz band), asserting that
interoperability creates significant benefits. USCC urges the
Commission to adopt a clear, ex ante interoperability requirement,
stating that access to interoperable devices by all AWS-3 licensees
also would enhance economies of scale, expand roaming opportunities,
and promote competition, which would lead to greater investment and
innovation and lower costs for consumers. Specifically, USCC would
require that: (1) All AWS-3 mobile devices be capable of transmitting
across the entire 1710-1780 MHz uplink band and receiving across the
entire 2110-2180 MHz downlink band; and (2) all AWS-3 networks support
and permit the use of such mobile devices. USCC stresses that it is
particularly important for the AWS-3 interoperability requirement to
obligate licensees to include all of the paired 1755-1780/2155-2180 MHz
bands. USCC states that a failure to adopt this requirement would
significantly reduce the value of the AWS-3 spectrum blocks located
outside of the current 3GPP Band 10 frequency range (1710-1770 MHz/
2110-2170 MHz band). USCC contends that this could encourage the large
national carriers to focus on, and thus monopolize, the other AWS-3
blocks, leaving only the ``orphaned'' uppermost 10 megahertz of AWS-3
spectrum potentially available to small and regional carriers, who even
collectively lack sufficient market power to drive device development.
T-Mobile supports interoperability between AWS-3 and AWS-1 and states
that the Commission should require interoperability for future AWS-3
devices. T-Mobile also asserts that interoperability will promote a
global market, not hinder availability, affordability, and portability
of user equipment as ``boutique'' band classes will; as well as
delaying deployment of services.
224. DISH proposes an interoperability requirement similar to
USCC's proposal, except DISH would include the AWS-4 downlink band at
2180-2200 MHz. Verizon opposes any equipment interoperability mandate
and Verizon and AT&T state that the AWS-3 NPRM did not propose or seek
comment on an interoperability requirement between AWS-3 and AWS-4.
Verizon also notes that that DISH filed its AWS 1/3/4 interoperability
proposal very recently and that there is inadequate time for parties to
evaluate it in this proceeding from a technical or other perspective.
DISH acknowledges the timing of its specific interoperability proposal
but states that the Commission discussed in detail the efficiencies of
combining adjacent AWS-1 spectrum with AWS-3 and that the general
concept of interoperability has been discussed in the record at length
as it relates to combining the AWS-1 and AWS-3 bands. Because the
Commission tentatively found that having additional spectrum that is
adjacent to that used for like services would promote efficiency in
broadband deployment. DISH asserts that rules that promote efficiency
based on the principle of spectrum adjacency would be a logical
outgrowth of the AWS-3 NPRM's tentative finding, no matter which side
of the AWS-3 downlinks the adjacent spectrum is on. DISH also dismisses
as misguided Verizon's suggestion that there may be ``technical
limitations'' that would prevent or delay the addition of 2180-2200 MHz
to the AWS downlink ecosystem as follows: ``DISH's proposal for
interoperability between the AWS-1, AWS-3, and AWS-4 downlink bands
impacts only devices, which are operating in receive mode and are not
subject to any transmit restrictions. Furthermore, nothing in DISH's
proposal requires any changes to base stations operating in transmit
mode in the downlink band for AWS operators. Therefore, Verizon's
introduction of the possible impact of ``federal AMT operations at
2200-2290 MHz'' on ``AWS-3 equipment that also includes the AWS-4
downlink band'' is irrelevant. Such federal operations are only
relevant to DISH's base stations in 2180-2200 MHz.'' DISH Ex Parte
dated March 20, 2014.
225. The Commission historically has been interested in promoting
interoperability. Beginning with the licensing of cellular spectrum,
the Commission maintained that consumer equipment should be capable of
operating over the entire range of cellular spectrum as a means to
``insure full coverage in all markets and compatibility on a nationwide
basis.'' Although the Commission did not adopt a rule to require band-
wide interoperability for PCS, it again stressed the importance of
interoperability by acknowledging industry efforts to establish
voluntary interoperability standards and asserted that ``[t]he
availability of interoperability standards will deliver important
benefits to consumers and help achieve our objectives of universality,
competitive delivery of PCS, that includes the ability of consumers to
switch between PCS systems at low cost, and competitive markets for PCS
equipment.'' The Commission also stated that if PCS technology did not
develop in a manner to accommodate roaming and interoperability, it
might consider ``what actions the Commission may take to facilitate the
more rapid development of appropriate standards.'' In 1997, we
established a rule requiring receiver interoperability for satellite
digital audio radio services, and in implementing authority over public
safety broadband systems prior to the Spectrum Act, the Commission
determined in 2007 that it was ``imperative'' to establish a nationwide
broadband interoperability standard. More recently, in WT Docket No.
12-69, the Commission took certain steps to implement an industry
solution to provide interoperable Long Term Evolution (LTE) service in
the Lower 700 MHz band in an efficient and effective manner to improve
choice and quality for consumers of mobile services. A number of the
principal wireless providers licensed in the 700 MHz band, along with
the Competitive Carriers Association, had developed a voluntary
industry solution that would resolve the lack of interoperability in
this band while allowing flexibility in responding to evolving consumer
needs and dynamic and fast-paced technological developments. In
reviewing the voluntary solution, the Commission determined that
amendments to the rules and modifications to licenses serve the public
interest by enabling consumers, especially in rural areas, to enjoy the
benefits of greater competition and more choices, and by encouraging
efficient use of spectrum, investment, job creation, and the
development of innovative mobile broadband services and equipment.
Although no party requested that we impose an interoperability
requirement with respect to the 10 megahertz of H Block spectrum, as
they have for the larger AWS-3 band in this proceeding, we stressed
again in that context that ``interoperability is an important aspect
[[Page 32399]]
of future deployment of mobile broadband services and generally serves
the public interest.''
226. In the AWS-3 NPRM, the Commission noted that, where possible,
it was proposing to adopt for AWS-3 the same technical rules that apply
to AWS-1 and wireless industry commenters overwhelmingly supported this
approach--with strong objections to the Commission's proposal to depart
from the AWS-1 power limit for mobiles and portables. The Commission
also asked whether to pair any of the proposed AWS-3 band segments, and
whether there are likely to be any competitive effects of the pairing
choice that it should consider. Wireless industry commenters
overwhelmingly urge us to designate 1755-1780 MHz for AWS paired with
2155-2180 MHz due to its adjacency to AWS-1. Indeed, for well over the
past decade, the wireless industry has sought commercial use of the
1710-1780 MHz Federal band to pair with the 2110-2180 MHz non-Federal
band. In 2006, the Commission issued licenses for AWS-1 at 1710-1755/
2110-2155 MHz. In 2008, the Commission proposed AWS service rules for
2155-2180 MHz unpaired, and most wireless industry commenters in that
proceeding urged the Commission to defer action until 2155-2180 MHz
could be licensed paired with 1755-1780 MHz. As discussed above, the
record now before us overwhelmingly indicates that licensing 1755-1780
MHz paired with 2155-2180 MHz is ideal precisely because it is
contiguous to and can be used as an extension of the AWS-1 bands. AT&T,
in supporting the pairing of 1755-1780 MHz and 2155-2180 MHz, states
that ``[t]he ability to combine the AWS-3 and AWS-1 bands in a single
band class would result in more efficient spectrum utilization and more
efficient LTE networks.'' The existence of Band Class 10 supports this
conclusion but, as USCC and other commenters have noted, it could also
result in outcomes inimical to the public interest--operations in the
United States limited to Band 10, e.g., if large carriers focused on
blocks within Band 10 leaving 1770-1780/2170-2180 MHz ``orphaned.''
227. To the extent that smaller operators favor smaller license
sizes, we note that the AWS-3 paired block that we are designating for
the smallest geographic licensing area (CMAs) and all of the smallest,
5 megahertz paired blocks, are within existing Band Class 10.
Additionally, based on the record before us, we conclude that the
public interest is best served by requiring AWS-3 mobile and portable
stations that operate on any frequencies in the 1755-1780 MHz band
(paired with the 2155-2180 MHz band) to be capable of operating on all
frequencies in the 1710-1780 MHz band (paired with the 2110-2180 MHz
band) using all air interfaces that the equipment utilizes on any
frequencies in the 1710-1780 MHz band (paired with frequencies in the
2110-2180 MHz band). Although Section 6401 of the Spectrum Act would
require us to auction and license these bands by February 2015 pursuant
to flexible use service rules whether or not we adopt an additional
interoperability requirement, we conclude that adopting such a
requirement prior to licensing best serves the public interest by
removing uncertainty, e.g., for potential applicants that intend to
follow 3GPP standards if licensed in the 1755-1780 MHz and 2155-2180
MHz bands. As several commenters note, voluntary industry band classes
for commercial systems can significantly benefit or harm consumers.
``Adopting an interoperability requirement will help to `promote timely
access to a variety of mobile devices by all AWS-3 licensees, including
small and regional carriers' while preventing a situation, like that in
the 700 MHz band, where manufacturers focused on the needs of the
larger carriers, which significantly delayed `the deployment of
advanced services to many rural and underserved areas.' '' Smith
Bagley, MTPCS, and Cellular Network Partnership Joint Reply at 4
quoting USCC Comments at 18. With an assurance of basic
interoperability across 1755-80 MHz (paired with 2155-2180 MHz) and
AWS-1, potential licensees, particularly smaller ones, will face less
uncertainty over the development of a healthy device ecosystem.
``Interoperability will also `facilitate roaming arrangements and allow
smaller regional carriers to compete with the larger carriers--a result
that is in the public interest.' '' Smith Bagley, MTPCS, and Cellular
Network Partnership Joint Reply at 4 quoting USCC Comments at 24. We
note that at this time this rule applies to AWS-3 licensees and AWS-3
bands as described herein. We adopt this basic interoperability
requirement pursuant to our separate authority under Title III of the
Communications Act. See 47 U.S.C. 301, 303(b), 303(g), 303(r). See also
id. sections 153(28) (defining ``mobile stations''), (42) (defining
station license by reference to ``use or operation of apparatus''),
153(57) (defining transmission to include ``all instrumentalities,
facilities, and services incidental'' thereto), 154(i). See generally
Lower 700 MHz Interoperability R&O, 28 FCC Rcd at 15155-56 paras. 69-70
(2013).
228. Consistent with precedent, we stress the importance of
promoting interoperability throughout the 1710-1780 MHz/2110-2180 MHz
band--as reflected in the industry efforts to establish voluntary
interoperability standards covering most of this spectrum and the
overwhelming industry representations herein, and for well over the
past decade before Congress, the Executive Branch, internationally, and
the Commission, as to the suitability of the 1710-1780 MHz band (paired
with 2110-2180 MHz) for AWS operations. Indeed, a failure to achieve
basic interoperability of devices using the same air interface(s) in
the 1710-1780 MHz band (paired with the 2110-2180 MHz band) would be
completely at odds with longstanding commercial wireless industry-wide
efforts for access to additional spectrum. With this in mind, we
emphasize that the availability of voluntary interoperability standards
will deliver important benefits to consumers and help achieve our
objectives of universality, competitive delivery of devices that
utilize the 1710-1780 MHz band (paired with the 2155-2180 MHz band)
because devices that operate in the 1755-1780 MHz band (paired with
2155-2180 MHz) will include the AWS-1 bands, thereby promoting the
ability of consumers to switch between AWS systems that use the same
air interface(s) at low cost, and competitive markets for equipment.''
229. Finally, we recognize that USCC initially sought an
interoperability requirement that extends to 1695-1710 MHz and that
DISH recently proposed including the 2180-2200 MHz AWS-4 band. Given
that 1695-1710 MHz will be auctioned and licensed unpaired, we conclude
that extending an interoperability requirement to this band at this
time would be inappropriate because the downlink band(s) is
undetermined. At this time, we also decline DISH's suggestion to add
the AWS-4 downlink band (2180-2200 MHz) into the basic interoperability
rule for AWS-3 licensees. The record is not developed on this issue and
relevant technical issues have not been fully explored by commenters.
Apart from longstanding, wireless industry-wide advocacy for 1710-1780
MHz paired with 2110-2180 MHz, the record before us reflects among AWS-
1/3 interoperability proponents a reciprocal understanding of sorts
among potential, future AWS-3 licensees: If licensed in 1755-1780/2155-
2180 MHz, each proponent is willing to accept any burden arising
[[Page 32400]]
from the interoperability requirement that it seeks. On the other hand,
DISH's proposed AWS-1/3/4 interoperability requirement would not apply
to any AWS-4 devices. While this lack of reciprocity does not
disqualify the proposal, the distinction is a consideration that cannot
be ignored. Nonetheless, we appreciate the potential public interest
benefits of an expansive, interoperable, band extending across most, or
possibly all, of the 1.7 GHz uplink band and the 2.1 GHz downlink band.
Accordingly, at this juncture, we encourage interested parties to work
towards voluntary, standards-based solutions to facilitate
interoperability, to the extent technically practical, across all of
these AWS-1/3/4 bands. Once AWS-3 is licensed, we expect AWS-3
licensees to participate in good faith in standard setting processes to
extend interoperability across AWS-1/3/4 (1710-1780 MHz and 2110-2200
MHz), unless there are technical impediments to doing so. If technical
concerns arise, we expect parties to work to find reasonable measures
to remedy those concerns. In the absence of technical impediments to
interoperability, if the Commission determines that progress on
interoperability has stalled in the standards process, future AWS-3
licensees are hereby on notice that the Commission will consider
initiating a rulemaking regarding the extension of an interoperability
mandate that includes AWS-4 (2180-2200 MHz) at that time. Should we
undertake such a rulemaking, relevant considerations may include
considerations of harmful interference, technical cost and difficulty
of implementation, and the extent to which licensees are common to both
the AWS-3 and AWS-4 bands.
III. Procedural Matters
A. Ex Parte Presentations
230. We remind interested parties that this proceeding is ``permit-
but-disclose'' proceeding in accordance with the Commission's ex parte
rules. Persons making ex parte presentations must file a copy of any
written presentation or a memorandum summarizing any oral presentation
within two business days after the presentation (unless a different
deadline applicable to the Sunshine period applies). Persons making
oral ex parte presentations are reminded that memoranda summarizing the
presentation must (1) list all persons attending or otherwise
participating in the meeting at which the ex parte presentation was
made, and (2) summarize all data presented and arguments made during
the presentation. If the presentation consisted in whole or in part of
the presentation of data or arguments already reflected in the
presenter's written comments, memoranda or other filings in the
proceeding, the presenter may provide citations to such data or
arguments in his or her prior comments, memoranda, or other filings
(specifying the relevant page and/or paragraph numbers where such data
or arguments can be found) in lieu of summarizing them in the
memorandum. Documents shown or given to Commission staff during ex
parte meetings are deemed to be written ex parte presentations and must
be filed consistent with Sec. 1.1206(b). In proceedings governed by
Sec. 1.49(f) or for which the Commission has made available a method
of electronic filing, written ex parte presentations and memoranda
summarizing oral ex parte presentations, and all attachments thereto,
must be filed through the electronic comment filing system available
for that proceeding, and must be filed in their native format (e.g.,
.doc, .xml, .ppt, searchable .pdf). Participants in this proceeding
should familiarize themselves with the Commission's ex parte rules.
231. As discussed in section II.E (Federal/Non-Federal
Coordination) above, in the process of developing one or more joint
public notices regarding Federal/non-Federal coordination, NTIA may
seek recommendations from the Commerce Spectrum Management Advisory
Committee (CSMAC). CSMAC is an advisory committee created for the
purpose of advising NTIA on spectrum policy issues. CSMAC consists of
private-sector ``Special Government Employees'' appointed by NTIA to
provide advice and recommendations on U.S. spectrum management policy.
Commission staff has been present at meetings of the full CSMAC and has
participated in CSMAC's working groups. See, e.g., Wireless
Telecommunications Bureau and Office of Engineering and Technology
Exempt Certain Ex Parte Presentations in GN Docket No. 13-185, Public
Notice, 28 FCC Rcd 12268 (WTB,OET 2013). Commission staff's
participation in these meetings, and the free flow of information
during the meetings, is essential to gaining an understanding of the
issues implicated in making 1695-1710 MHz and 1755-1780 MHz available
for commercial wireless use. While the CSMAC's meetings are open to the
public, the FCC's ex parte requirements could, depending on the
particular factual circumstances, be triggered if FCC decision makers
are present, and oral or written presentations are made. Similarly,
meetings of the CSMAC's working groups could, depending on the
particular factual circumstances, be subject to the Commission's ex
parte rules when FCC decision makers are present, if oral or written ex
parte presentations are made.
232. Therefore, pursuant to our authority under Sec. 1.1200 of the
Commission's rules, we continue the limited exemption in the AWS-3
proceeding (GN Docket No. 13-185) from the ex parte disclosure
requirements of Sec. 1.1206 presentations made in formally organized
meetings of the CSMAC at which FCC staff is present, and meetings held
in connection with CSMAC, including working groups in which FCC staff
is a participant. Such presentations will be exempt to the same extent
as presentations are exempt under the shared jurisdiction exemption of
Sec. 1.1204(a)(5). Specifically, the ex parte requirements do not
apply provided that ``any new factual information obtained through such
a presentation that is relied on by the Commission in its decision-
making process will, if not otherwise submitted for the record, be
disclosed by the Commission no later than at the time of the release of
the Commission's decision.'' We note that this exemption does not
change the nature of public CSMAC proceedings; it simply allows FCC
staff to participate without triggering disclosure requirements under
the Commission's ex parte rules.
233. The AWS-3 Report and Order discusses matters concerning
relocating federal users in 1695-1710 MHz and 1755-1780 MHz, spectrum
sharing between commercial and federal users in 1695-1710 MHz and 1755-
1780 MHz, and implementation matters related to the Spectrum Relocation
Fund and the Public Safety Trust Fund. Discussions regarding these
matters, may not be open to the public, and will occur between or among
several agencies or branches of the Federal Government. Commission
staff is regularly engaged with staff from NTIA, the Department of
Defense (DoD), the Office of Management and Budget (OMB), the Office of
Science and Technology Policy (OSTP), the Department of Justice (DoJ),
the National Oceanic and Atmospheric Administration (NOAA), and other
federal agencies and offices for the purpose of coordinating these
matters, including but not limited to facilitating commercial use of
the 1695-1710 MHz and 1755-1780 MHz bands. In addition, relevant
Congressional committees have sought to further facilitate discussion
[[Page 32401]]
among Federal Government stakeholders. Some of these discussions may
already be subject to the Sec. 1.1204(a)(5) ex parte exemption in the
Commission's rules, to the extent that they involve a matter over which
that agency or branch and the Commission share jurisdiction, while
others may not. We believe that these discussions among Federal
Government personnel will benefit from an uninhibited flow of
information between and among all participants, including potentially
sensitive information regarding strategic federal use of these bands.
234. Therefore, pursuant to our authority under Sec. 1.1200 of the
Commission's rules, we exempt from the ex parte disclosure requirements
of Sec. 1.1206 presentations regarding the AWS-3 proceeding (GN Docket
No. 13-185) made between representatives from the FCC and NTIA, OMB,
OSTP, DoD, DoJ, NOAA, other federal offices and agencies, or
Congressional committee members and committee staff, to the same extent
as presentations are exempt under the shared jurisdiction exemption of
Sec. 1.1204(a)(5).
235. To the extent that any of the participants in the above-
described meetings intends the Commission, with respect to any decision
it makes in the AWS-3 proceeding, to rely on an ex parte presentation
to which we have extended an exemption herein, we encourage that party
to file the presentation (or, if oral, summary of it) in the record
with ample time for other interested parties to the proceeding to
review and respond, as appropriate, and for Commission staff to fully
analyze and incorporate as necessary into any subsequent Commission
decision. In this regard, we advise these participants that, consistent
with the limitations of the exemption that we have established herein
for the AWS-3 proceeding, in rendering a decision in this proceeding
the Commission will not rely on an ex parte presentation covered by
this exemption unless it is added to the record, at the latest, prior
to the release of the decision.
B. Final Regulatory Flexibility Analysis
236. As required by the Regulatory Flexibility Act of 1980, as
amended (RFA), the Commission incorporated an Initial Regulatory
Flexibility Analysis (IRFA) of the possible significant economic impact
on a substantial number of small entities by the policies and rules
proposed in the Notice of Proposed Rulemaking (NPRM). No comments were
filed addressing the IRFA. Because we amend the rules in the Report and
Order, we have included this Final Regulatory Flexibility Analysis
(FRFA) which conforms to the RFA. See 5 U.S.C. 601-612. The RFA has
been amended by the Small Business Regulatory Enforcement Fairness Act
of 1996 (SBREFA), Public Law 104-121, Title II, 110 Stat. 857 (1996).
237. Need for, and Objectives of, the Report and Order. Wireless
broadband is a critical component of economic growth, job creation, and
global competitiveness and consumers are increasingly using wireless
broadband services to assist them in their everyday lives. The rapid
adoption of smartphones and tablet computers, combined with deployment
of high-speed 3G and 4G technologies, is driving more intensive use of
mobile networks, so much so that the total number of mobile wireless
connections now exceeds the total U.S. population. As of the second
quarter of 2013, 64 percent of U.S. mobile subscribers owned
smartphones. It is predicted that by 2019, almost all handsets in North
America will be smartphones and that total smartphone traffic over
mobile networks will increase 10 times between 2013 and 2019. As of
June 2013, 34 percent of American adults owned a tablet computer
device, an increase from only 18 percent in September 2010. Tablets
generated on average approximately 2.6 times the amount of mobile
traffic as the average smartphone in 2013. All of these trends are
resulting in more demand for network capacity and for capital to invest
in the infrastructure, technology, and spectrum to support this
capacity. The demand for spectrum, moreover, is expected to continue
increasing. In response, both Congress and the President have issued
directives to make available additional spectrum for flexible uses,
including mobile broadband. The Commission continues to work to make
available additional licensed and unlicensed spectrum to meet this
growing demand.
238. In the Report and Order, we increase the Nation's supply of
spectrum for mobile broadband by adopting rules for fixed and mobile
services, including Advanced Wireless Services (``AWS'') in the 1695-
1710 MHz, 1755-1780 MHz and 2155-2180 MHz bands, some of which were
previously allocated exclusively for Federal government use. We refer
to these bands collectively as ``AWS-3.'' These service rules will make
available 65 megahertz of spectrum for flexible use in accordance with
the Spectrum Act. Specifically, we adopt service, technical, and
licensing rules that will encourage innovation and investment in mobile
broadband and provide certainty and a stable regulatory regime in which
broadband deployment can rapidly occur. For example, we find the
spectrum is properly allocated for commercial use as the Spectrum Act
requires, and authorize mobile operations in the 1695-1710 MHz and
1755-1780 MHz bands and base and fixed operations in the 2155-2180 MHz
band. We also adopt service, technical, assignment, and licensing rules
for this spectrum that generally follow the Commission's part 27 rules
that govern flexible use terrestrial wireless service--except that in
order to protect incumbents that remain in these bands, our rules are
more stringent in certain respects. For example, to protect certain
Federal operations in the 1695-1710 MHz and 1755-1780 MHz bands from
harmful interference, we adopt technical rules that require AWS-3
licensees using these frequencies to coordinate their proposed
operations with NTIA prior to commencing operations. The market-
oriented licensing framework for these bands will ensure efficient
spectrum utilization and will foster the development of new and
innovative technologies and services, as well as encourage the growth
and development of broadband services, ultimately leading to greater
benefits to consumers.
239. A portion of the proceeds from the auction of Federal spectrum
will be used to cover the relocation and sharing costs of Federal
incumbents associated with relocating their spectrum-dependent systems
from spectrum bands authorized to be auctioned under the Commission's
competitive bidding authority. A portion will also be made available
for use by the First Responder Network Authority (FirstNet) to carry
out its duties and responsibilities, among other things, to deploy and
operate a nationwide public safety broadband network.
240. Legal Basis. The actions taken are authorized pursuant to
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
Title VI of the Middle Class Tax Relief and Job Creation Act of 2012,
Public Law 112-96, 126 Stat. 156, 47 U.S.C. 151, 152, 154(i), 201, 301,
302a, 303, 307, 308, 309, 310, 316, 319, 324, 332, 333, 1403, 1404, and
1451.
241. Description and Estimate of the Number of Small Entities to
Which the Rules 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 proposed rules and policies, if
adopted. The RFA generally defines the term ``small entity'' as
[[Page 32402]]
having the same meaning as the terms ``small business,'' ``small
organization,'' and ``small governmental jurisdiction.'' In addition,
the term ``small business'' has the same meaning as the term ``small
business concern'' under the Small Business Act. 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.
242. Small Businesses, Small Organizations, and Small Governmental
Jurisdictions. Our action may, over time, affect small entities that
are not easily categorized at present. We therefore describe here, at
the outset, three comprehensive, statutory small entity size standards
that encompass entities that could be directly affected by the
proposals under consideration. As of 2010, there were 27.9 million
small businesses in the United States, according to the SBA.
Additionally, a ``small organization'' is generally ``any not-for-
profit enterprise which is independently owned and operated and is not
dominant in its field.'' Nationwide, as of 2007, there were
approximately 1,621,315 small organizations. Finally, the term ``small
governmental jurisdiction'' is defined generally as ``governments of
cities, counties, towns, townships, villages, school districts, or
special districts, with a population of less than fifty thousand.''
Census Bureau data for 2007 indicate that there were 89,527
governmental jurisdictions in the United States. We estimate that, of
this total, as many as 88,761 entities may qualify as ``small
governmental jurisdictions.'' Thus, we estimate that most governmental
jurisdictions are small.
243. Wireless Telecommunications Carriers (except satellite). This
industry comprises establishments engaged in operating and maintaining
switching and transmission facilities to provide communications via the
airwaves. Establishments in this industry have spectrum licenses and
provide services using that spectrum, such as cellular phone services,
paging services, wireless Internet access, and wireless video services.
The appropriate size standard under SBA rules is for the category
Wireless Telecommunications Carriers. The size standard for that
category is that a business is small if it has 1,500 or fewer
employees. For this category, census data for 2007 show that there were
11,163 establishments that operated for the entire year. Of this total,
10,791 establishments had employment of 999 or fewer employees and 372
had employment of 1000 employees or more. Thus under this category and
the associated small business size standard, the Commission estimates
that the majority of wireless telecommunications carriers (except
satellite) are small entities that may be affected by our proposed
action. Similarly, according to Commission data, 413 carriers reported
that they were engaged in the provision of wireless telephony,
including cellular service, PCS, and Specialized Mobile Radio (SMR)
Telephony services. Of these, an estimated 261 have 1,500 or fewer
employees and 152 have more than 1,500 employees. Consequently, the
Commission estimates that approximately half or more of these firms can
be considered small. Thus, using available data, we estimate that the
majority of wireless firms can be considered small.
244. Description of Projected Reporting, Recordkeeping, and Other
Compliance Requirements. The projected reporting, recordkeeping, and
other compliance requirements resulting from the Report and Order will
apply to all entities in the same manner. The Commission believes that
applying the same rules equally to all entities in this context
promotes fairness. The Commission does not believe that the costs and/
or administrative burdens associated with the rules will unduly burden
small entities, as discussed below. The revisions the Commission adopts
should benefit small entities by giving them more information, more
flexibility, and more options for gaining access to valuable wireless
spectrum.
245. Any applicants for AWS-3 licenses will be required to file
license applications using the Commission's automated Universal
Licensing System (ULS). ULS is an online electronic filing system that
also serves as a powerful information tool, one that enables potential
licensees to research applications, licenses, and antenna structures.
It also keeps the public informed with weekly public notices, FCC
rulemakings, processing utilities, and a telecommunications glossary.
AWS-3 licensees that must submit long-form license applications must do
so through ULS using Form 601, FCC Ownership Disclosure Information for
the Wireless Telecommunications Services using FCC Form 602, and other
appropriate forms.
246. Steps taken to Minimize Significant Economic Impact on Small
Entities, and Significant Alternatives Considered. The RFA requires an
agency to describe any significant alternatives that it has considered
in reaching its approach, which may include the following four
alternatives (among others): (1) The establishment of differing
compliance or reporting requirements or timetables that take into
account the resources available to small entities; (2) the
clarification, consolidation, or simplification of compliance or
reporting requirements under the rule for small entities; (3) the use
of performance, rather than design, standards; and (4) an exemption
from coverage of the rule, or any part thereof, for small entities.
247. As set forth in the Report and Order, we will license the AWS-
3 bands under a hybrid of Economic Area (EA) and Cellular Market Area
(CMA) geographic licenses. Licensing some spectrum blocks on an EA
basis best balances the Commission's goals of encouraging the offering
of broadband service both to broad geographic areas and to sizeable
populations, while licensing one block by CMA will enable smaller
carriers to serve smaller, less dense population areas that more
closely fit their smaller footprints. Licensees may also adjust their
geographic coverage through secondary markets. These rules should
enable licensees of AWS-3 spectrum, or any entities providing service
in other AWS bands, whether large or small, to more easily adjust their
spectrum holdings to build their networks pursuant to individual
business plans. As a result, we believe the ability of licensees to
adjust spectrum holdings will provide an economic benefit by making it
easier for small entities to acquire spectrum or access spectrum in
these bands.
248. The Report and Order adopts rules to protect licensees
operating in nearby spectrum bands from harmful interference, which may
include small entities. The technical rules adopted in the Report and
Order are based on the rules for AWS-1 spectrum, with specific
additions or modifications designed, among other things, to protect
Federal incumbents and Broadband Radio Service licensees that will
share some of the AWS-3 spectrum. The technical rules in the Report and
Order will therefore allow licensees of the AWS-3 spectrum to operate
while also protecting licensees in nearby spectrum from harmful
interference, some of whom may be small entities, and meet the
statutory requirements of the Spectrum Act. In response to comments to
the AWS-3 NPRM urging that an interoperability requirement is necessary
to prevent the large national carriers from leaving certain AWS-3
spectrum blocks ``orphaned'' (not included in voluntary industry
standards) for small and regional carriers that lack sufficient market
power to drive device development, the
[[Page 32403]]
Report and Order also adopts a requirement that mobile and portable
stations that operate on any portion of frequencies in the paired 1755-
1780 MHz and 2155-2180 MHz band must be capable of operating on all
frequencies in the paired 1710-1780 MHz and 2110-2180 MHz band, using
the same air interfaces that the equipment utilizes on any frequencies
in the paired 1710-1780 MHz and 2110-2180 MHz band. In response to
comments seeking smaller spectrum block sizes and license areas
(including from commenters that may be or may represent small
entities), the Commission is licensing adopted several 5 megahertz
spectrum blocks and one 5 megahertz paired block will be licensed by
CMAs.
249. The Report and Order provides AWS-3 licensees with the
flexibility to provide any fixed or mobile service that is consistent
with the allocations for this spectrum, which is consistent with other
spectrum allocated or designated for licensed fixed and mobile
services, e.g., AWS-1. The Report and Order further provides for
licensing of this spectrum under the Commission's market-oriented part
27 rules. This includes applying the Commission's secondary market
policies and rules to all transactions involving the use of AWS-3
bands, which will provide greater predictability and regulatory parity
with bands licensed for mobile broadband service. These rules should
make it easier for AWS-3 providers to enter secondary market
arrangements involving use of their spectrum. The secondary market
rules apply equally to all entities, whether small or large. As a
result, we believe that this will provide an economic benefit to small
entities by making it easier for entities, whether large or small, to
enter into secondary market arrangements for AWS-3 spectrum.
250. The Report and Order adopts rules pertaining to how the AWS-3
licenses will be assigned, including rules to assist small entities in
competitive bidding. Specifically, small businesses will have available
a bidding credit of 15 percent and very small businesses a bidding
credit of 25 percent. Providing small businesses and very small
businesses with bidding credits will provide an economic benefit to
small entities by making it easier for small entities to acquire
spectrum or access to spectrum in these bands.
251. Federal Rules that May Duplicate, Overlap, or Conflict with
the Rules None.
C. Paperwork Reduction Act Analysis
252. This document contains modified information collection
requirements subject to the Paperwork Reduction Act of 1995 (PRA),
Public Law 104-13. It will be submitted to the Office of Management and
Budget (OMB) for review under section 3507(d) of the PRA. OMB, the
general public, and other Federal agencies are invited to comment on
the new or modified information collection requirements contained in
this proceeding. In addition, we note that pursuant to the Small
Business Paperwork Relief Act of 2002, Public Law 107-198, see 44
U.S.C. 3506(c)(4), we previously sought specific comment on how the
Commission might further reduce the information collection burden for
small business concerns with fewer than 25 employees.
253. In this present document, we have assessed the effects of the
policies adopted in the Report and Order with regard to information
collection burdens on small business concerns, and find that these
policies will benefit many companies with fewer than 25 employees
because the revisions we adopt should provide small entities with more
information, more flexibility, and more options for gaining access to
valuable spectrum. In addition, we have described impacts that might
affect small businesses, which includes most businesses with fewer than
25 employees, in the FRFA.
IV. Ordering Clauses
254. Accordingly, it is ordered, pursuant to 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, Public Law 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, that the
Report and Order is hereby adopted.
255. It is further ordered that parts 1, 2 and 27 of the
Commission's rules, 47 CFR parts 1, 2 and 27, are amended, effective
July 7, 2014 except as otherwise provided herein. It is our intention
in adopting these rule changes that, if any provision of the rules, or
the application thereof to any person or circumstance, are held to be
unlawful, the remaining portions of the rules not deemed unlawful, and
the application of such rules to other persons or circumstances, shall
remain in effect to the fullest extent permitted by law. The Final
Rules that we are adopting also include several non-substantive
revisions to the rules as follows: We are moving from 47 CFR 1.949(c)
to 47 CFR 27.14(q) the criteria for renewal for AWS-4 with one revision
(changing ``e.g.'' to ``including'' to conform the language to the same
rule that we are adopting today for AWS-3. We also make this same, one-
word revision to Sec. 27.14(r)(6)(i) for 1915-1920 MHz and 1995-2000
MHz. We delete ``total'' in Sec. 27.14(r)(1) and correct ``areas'' to
``area'' in Sec. 27.14(r)(4). Finally, in 47 CFR 27.53, we redesignate
paragraphs (d) through (m) as paragraphs (e) through (n) and reserve
paragraph (d). This revision restores certain technical provisions to
longstanding letter assignments that are often cited in equipment
certification exhibits. Because of the non-substantive nature of these
revisions, notice and comment are unnecessary. 5 U.S.C. 553(b)(B).
256. It is further ordered that the amendments, adopted above and
specified in the final rules section, to Sec. Sec. 2.1033(c)(19)(i)-
(ii); 27.14(k), (s); 27.17(c); 27.50(d)(3); 27.1131; 27.1132;
27.1134(c), (f) of the Commission's rules, 47 CFR 2.1033(c)(19)(i)-
(ii); 27.14(k), (s); 27.17(c); 27.50(d)(3); 27.1131; 27.1132;
27.1134(c), (f), which contain new or modified information collection
requirements that are not effective until approved by the Office of
Management and Budget. The Commission will publish a document in the
Federal Register announcing the effective date for those sections.
257. The effective date of the amendment to 47 CFR 2.106 adding
Fixed and Mobile allocations for the 2025-2110 MHz band to the Federal
Table of Frequency Allocations will become effective after the
Commission publishes a document in the Federal Register announcing the
relevant effective date.
258. It is further ordered that the Final Regulatory Flexibility
Analysis hereto is adopted.
259. It is further ordered that, pursuant to section 801(a)(1)(A)
of the Congressional Review Act, 5 U.S.C. 801(a)(1)(A), the Commission
shall send a copy of the Report and Order to Congress and to the
Government Accountability Office.
260. It is further ordered that the Commission's Consumer and
Governmental Affairs Bureau, Reference Information Center, shall send a
copy of the Report and Order, including the Final Regulatory
Flexibility Analysis, to the Chief Counsel for Advocacy of the Small
Business Administration.
List of Subjects
47 CFR Parts 1 and 2
Administrative practice and procedure, Reporting and recordkeeping
requirements, Telecommunications.
[[Page 32404]]
47 CFR Part 27
Communications common carriers, Radio.
Federal Communications Commission.
Marlene H. Dortch,
Secretary.
For the reasons discussed in the preamble, the Federal
Communications Commission amends 47 CFR parts 1, 2, and 27 as follows:
PART 1--PRACTICE AND PROCEDURE
0
1. The authority citation for part 1 continues to read as follows:
Authority: 15 U.S.C. 79 et seq.; 47 U.S.C. 151, 154(i), 154(j),
155, 157, 225, 227, 303(r), 309, 1403, 1404, and 1451.
Sec. 1.949 [Amended]
0
2. Section 1.949 is amended by removing paragraph (c).
PART 2--FREQUENCY ALLOCATIONS AND RADIO TREATY MATTERS; GENERAL
RULES AND REGULATIONS
0
3. The authority citation for part 2 continues to read as follows:
Authority: 47 U.S.C. 154, 302a, 303, and 336, unless otherwise
noted.
0
4. Section 2.106 is amended by revising the Table of Frequency
Allocations as follows:
0
a. Revise pages 28, 35, and 36.
0
b. In the list of United States (US) Footnotes, add footnotes US88,
US91, US92, and US289; and remove footnotes US201 and US393.
0
c. In the list of Non-Federal Government (NG) Footnotes, add footnote
NG41 and remove footnotes NG153, NG177, and NG178.
0
d. In the list of Federal Government (G) Footnotes, remove footnote
G118.
The revisions and additions read as follows:
Sec. 2.106 Table of Frequency Allocations.
* * * * *
BILLING CODE: 6712-01-P
[[Page 32405]]
[GRAPHIC] [TIFF OMITTED] TR04JN14.000
[[Page 32406]]
[GRAPHIC] [TIFF OMITTED] TR04JN14.001
[[Page 32407]]
[GRAPHIC] [TIFF OMITTED] TR04JN14.002
[[Page 32408]]
BILLING CODE 6712-01-C
* * * * *
United States (US) Footnotes
* * * * *
US88 In the bands 1675-1695 MHz and 1695-1710 MHz, the following
provisions shall apply:
(a) Non-Federal use of the band 1695-1710 MHz by the fixed and
mobile except aeronautical mobile services is restricted to stations in
the Advanced Wireless Service (AWS). Base stations that enable AWS
mobile and portable stations to operate in the band 1695-1710 MHz must
be successfully coordinated prior to operation as follows: (i) All base
stations within the 27 protection zones listed in paragraph (b) that
enable mobiles to operate at a maximum e.i.r.p. of 20 dBm, and (ii)
nationwide for base stations that enable mobiles to operate with a
maximum e.i.r.p. greater than 20 dBm, up to a maximum e.i.r.p. of 30
dBm, unless otherwise specified by Commission rule, order, or notice.
(b) Forty-seven Federal earth stations located within the
protection zones listed below operate on a co-equal, primary basis with
AWS operations. All other Federal earth stations operate on a secondary
basis.
(1) Protection zones for Federal earth stations receiving in the
band 1695-1710 MHz:
----------------------------------------------------------------------------------------------------------------
State Location Latitude Longitude Radius (km)
----------------------------------------------------------------------------------------------------------------
AK................ Barrow............... 71[deg]19'22'' 156[deg]36'41'' 35
AK................ Elmendorf AFB........ 61[deg]14'08'' 149[deg]55'31'' 98
AK................ Fairbanks............ 64[deg]58'22'' 147[deg]30'02'' 20
AZ................ Yuma................. 32[deg]39'24'' 114[deg]36'22'' 95
CA................ Monterey............. 36[deg]35'34'' 121[deg]51'20'' 76
CA................ Twenty-Nine Palms.... 34[deg]17'46'' 116[deg]09'44'' 80
FL................ Miami................ 25[deg]44'05'' 080[deg]09'45'' 51
HI................ Hickam AFB........... 21[deg]19'18'' 157[deg]57'30'' 28
MD................ Suitland............. 38[deg]51'07'' 076[deg]56'12'' 98
MS................ Stennis Space Center. 30[deg]21'23'' 089[deg]36'41'' 57
SD................ Sioux Falls.......... 43[deg]44'09'' 096[deg]37'33'' 42
VA................ Wallops Island....... 37[deg]56'45'' 075[deg]27'45'' 30
----------------------------------------------------------------------------------------------------------------
GU................ Andersen AFB......... 13[deg]34'52'' 144[deg]55'28'' 42
----------------------------------------------------------------------------------------------------------------
(2) Protection zones for Federal earth stations receiving in the
band 1675-1695 MHz:
----------------------------------------------------------------------------------------------------------------
State Location Latitude Longitude Radius (km)
----------------------------------------------------------------------------------------------------------------
CA................ Sacramento........... 38[deg]35'50'' 121[deg]32'34'' 55
CO................ Boulder.............. 39[deg]59'26'' 105[deg]15'51'' 02
ID................ Boise................ 43[deg]35'42'' 116[deg]13'49'' 39
IL................ Rock Island.......... 41[deg]31'04'' 090[deg]33'46'' 19
MO................ Kansas City.......... 39[deg]16'40'' 094[deg]39'44'' 40
MO................ St. Louis............ 38[deg]35'26'' 090[deg]12'25'' 34
MS................ Columbus Lake........ 33[deg]32'04'' 088[deg]30'06'' 03
MS................ Vicksburg............ 32[deg]20'47'' 090[deg]50'10'' 16
NE................ Omaha................ 41[deg]20'56'' 095[deg]57'34'' 30
OH................ Cincinnati........... 39[deg]06'10'' 084[deg]30'35'' 32
OK................ Norman............... 35[deg]10'52'' 097[deg]26'21'' 03
TN................ Knoxville............ 35[deg]57'58'' 083[deg]55'13'' 50
WV................ Fairmont............. 39[deg]26'02'' 080[deg]11'33'' 04
----------------------------------------------------------------------------------------------------------------
PR................ Guaynabo............. 18[deg]25'26'' 066[deg]06'50'' 48
----------------------------------------------------------------------------------------------------------------
Note: The coordinates are specified in the conventional manner
(North latitude, West longitude), except that the Guam (GU) entry is
specified in terms of East longitude.
* * * * *
US91 In the band 1755-1780 MHz, the following provisions shall
apply:
(a) Non-Federal use of the band 1755-1780 MHz by the fixed and
mobile services is restricted to stations in the Advanced Wireless
Service (AWS). Base stations that enable AWS mobile and portable
stations to operate in the band 1755-1780 MHz must be successfully
coordinated on a nationwide basis prior to operation, unless otherwise
specified by Commission rule, order, or notice.
(b) In the band 1755-1780 MHz, the Federal systems listed below
operate on a co-equal, primary basis with AWS stations. All other
Federal stations in the fixed and mobile services identified in an
approved Transition Plan will operate on a primary basis until
reaccommodated in accordance with 47 CFR part 301.
(1) Joint Tactical Radio Systems (JTRS) may operate indefinitely at
the following locations:
----------------------------------------------------------------------------------------------------------------
State Training area Latitude Longitude
----------------------------------------------------------------------------------------------------------------
AZ.................... Yuma Proving Ground...... 33[deg]12'14'' 114[deg]13'47''
CA.................... Fort Irwin............... 35[deg]23'19'' 116[deg]37'43''
LA.................... Fort Polk................ 31[deg]08'38'' 093[deg]06'52''
[[Page 32409]]
NC.................... Fort Bragg (including 35[deg]09'04'' 078[deg]59'13''
Camp MacKall).
NM.................... White Sands Missile Range 32[deg]52'50'' 106[deg]23'10''
TX.................... Fort Hood................ 31[deg]13'50'' 097[deg]45'23''
----------------------------------------------------------------------------------------------------------------
(2) Air combat training system (ACTS) stations may operate on two
frequencies within two geographic zones that are defined by the
following coordinates:
------------------------------------------------------------------------
Geographic zone Latitude Longitude
------------------------------------------------------------------------
Polygon 1..................... 41[deg]52'00'' 117[deg]49'00''
42[deg]00'00'' 115[deg]05'00''
43[deg]31'13'' 115[deg]47'18''
Polygon 2..................... 47[deg]29'00'' 111[deg]22'00''
48[deg]13'00'' 110[deg]00'00''
47[deg]30'00'' 107[deg]00'00''
44[deg]11'00'' 103[deg]06'00''
------------------------------------------------------------------------
Note: ACTS transmitters may cause interference to AWS base
stations between separation distances of 285 km (minimum) and 415 km
(maximum).
(3) In the sub-band 1761-1780 MHz, Federal earth stations in the
space operation service (Earth-to-space) may transmit at the following
25 sites and non-Federal base stations must accept harmful interference
caused by the operation of these earth stations:
----------------------------------------------------------------------------------------------------------------
State Site Latitude Longitude
----------------------------------------------------------------------------------------------------------------
AK.................... Fairbanks................ 64[deg]58'20'' 147[deg]30'59''
CA.................... Camp Parks............... 37[deg]43'51'' 121[deg]52'50''
CA.................... Huntington Beach......... 33[deg]44'50'' 118[deg]02'04''
CA.................... Laguna Peak.............. 34[deg]06'31'' 119[deg]03'53''
CA.................... Monterey................. 36[deg]35'42'' 121[deg]52'28''
CA.................... Sacramento............... 38[deg]39'59'' 121[deg]23'33''
CA.................... Vandenberg AFB........... 34[deg]49'23'' 120[deg]30'07''
CO.................... Buckley.................. 39[deg]42'55'' 104[deg]46'29''
CO.................... Schriever AFB............ 38[deg]48'22'' 104[deg]31'41''
FL.................... Cape Canaveral AFS....... 28[deg]29'09'' 080[deg]34'33''
FL.................... Cape GA, CCAFB........... 28[deg]29'03'' 080[deg]34'21''
FL.................... JIATF-S Key West......... 24[deg]32'36'' 081[deg]48'17''
HI.................... Kaena Point, Oahu........ 21[deg]33'43'' 158[deg]14'31''
MD.................... Annapolis................ 38[deg]59'27'' 076[deg]29'25''
MD.................... Blossom Point............ 38[deg]25'53'' 077[deg]05'06''
MD.................... Patuxent River NAS....... 38[deg]16'28'' 076[deg]24'45''
ME.................... Prospect Harbor.......... 44[deg]24'16'' 068[deg]00'46''
NC.................... Ft Bragg................. 35[deg]09'04'' 078[deg]59'13''
NH.................... New Boston AFS........... 42[deg]56'46'' 071[deg]37'44''
NM.................... Kirtland AFB............. 34[deg]59'06'' 106[deg]30'28''
TX.................... Ft Hood.................. 31[deg]08'57'' 097[deg]46'12''
VA.................... Fort Belvoir............. 38[deg]44'04'' 077[deg]09'12''
WA.................... Joint Base Lewis-McChord. 47[deg]06'11'' 122[deg]33'11''
----------------------------------------------------------------------------------------------------------------
GU.................... Andersen AFB............. 13[deg]36'54'' 144[deg]51'22''
GU.................... NAVSOC Det. Charlie...... 13[deg]34'58'' 144[deg]50'32''
----------------------------------------------------------------------------------------------------------------
Note: The coordinates are specified in the conventional manner
(North latitude, West longitude), except that the Guam (GU) entries
are specified in terms of East longitude. Use at Cape Canaveral AFS
is restricted to launch support only. If required, successfully
coordinated with all affected AWS licensees, and authorized by NTIA,
reasonable modifications of these grandfathered Federal systems
beyond their current authorizations or the addition of new earth
station locations may be permitted. The details of the coordination
must be filed with NTIA and FCC.
(c) In the band 1755-1780 MHz, the military services may conduct
Electronic Warfare (EW) operations on Federal ranges and within
associated airspace on a non-interference basis with respect to non-
Federal AWS operations and shall not constrain implementation of non-
Federal AWS operations. This use is restricted to Research,
Development, Test and Evaluation (RDT&E), training, and Large Force
Exercise (LFE) operations.
US92 In the band 2025-2110 MHz, Federal use of the co-primary fixed
and mobile services is restricted to the military services and the
following provisions apply:
(a) Federal use shall not cause harmful interference to, nor
constrain the deployment and use of the band by, the Television
Broadcast Auxiliary Service, the Cable Television Relay Service, or the
Local Television Transmission Service. To facilitate compatible
operations, coordination is required in accordance with a Memorandum of
Understanding between Federal and non-Federal fixed and mobile
operations. Non-Federal licensees shall make all reasonable efforts to
accommodate military mobile and fixed operations; however, the use of
the band 2025-2110 MHz by the non-Federal fixed and mobile services has
priority over military fixed and mobile operations.
(b) Military stations should, to the extent practicable, employ
frequency agile technologies and techniques, including the capability
to tune to other frequencies and the use of a modular retrofit
capability, to facilitate sharing of this band with incumbent Federal
and non-Federal operations.
* * * * *
US289 In the bands 460-470 MHz and 1690-1695 MHz, the following
provisions shall apply:
(a) In the band 460-470 MHz, space stations in the Earth
exploration-satellite service (EESS) may be authorized for space-to-
Earth transmissions on a secondary basis with respect to the fixed and
mobile services.
[[Page 32410]]
When operating in the meteorological-satellite service, such stations
shall be protected from harmful interference from other EESS
applications. The power flux density produced at the Earth's surface by
any space station in this band shall not exceed -152 dBW/m\2\/4 kHz.
(b) In the band 1690-1695 MHz, EESS applications, other than the
meteorological-satellite service, may also be used for space-to-Earth
transmissions subject to not causing harmful interference to stations
operating in accordance with the Table of Frequency Allocations.
* * * * *
Non-Federal Government (NG) Footnotes
* * * * *
NG41 In the band 2120-2180 MHz, the following provisions shall
apply to grandfathered stations in the fixed service:
(a) In the sub-band 2160-2162 MHz, authorizations in the Broadband
Radio Service (BRS) applied for after January 16, 1992 shall be granted
on a secondary basis to Advanced Wireless Services (AWS). In the band
2150-2162 MHz, all other BRS stations shall operate on a primary basis
until December 9, 2021, and may continue to operate on a secondary
basis thereafter, unless said facility is relocated in accordance with
47 CFR 27.1250 through 27.1255.
(b) In the sub-band 2160-2180 MHz, fixed stations authorized
pursuant to 47 CFR part 101 may continue to operate on a secondary
basis to AWS.
* * * * *
0
5. Section 2.1033 is amended by adding paragraph (c)(19) to read as
follows:
Sec. 2.1033 Application for certification.
* * * * *
(c) * * *
(19) Applications for certification of equipment operating under
part 27 of this chapter, that a manufacturer is seeking to certify for
operation in the:
(i) 1755-1780 MHz, 2155-2180 MHz, or both bands shall include a
statement indicating compliance with the pairing of 1710-1780 and 2110-
2180 MHz specified in Sec. Sec. 27.5(h) and 27.75 of this chapter.
(ii) 1695-1710 MHz, 1755-1780 MHz, or both bands shall include a
statement indicating compliance with Sec. 27.77 of this chapter.
* * * * *
PART 27--MISCELLANEOUS WIRELESS COMMUNICATIONS SERVICES
0
6. The authority citation for part 27 continues to read as follows:
Authority: 47 U.S.C. 154, 301, 302a, 303, 307, 309, 332, 336,
337, 1403, 1404, and 1451 unless otherwise noted.
0
7. Section 27.1 is amended by adding paragraphs (b)(11) through (13) to
read as follows:
Sec. 27.1 Basis and purpose.
* * * * *
(b) * * *
(11) 1695-1710 MHz.
(12) 1755-1780 MHz.
(13) 2155-2180 MHz.
* * * * *
0
8. Section 27.5 is amended by revising paragraph (h) to read as
follows:
Sec. 27.5 Frequencies
* * * * *
(h) 1710-1755 MHz, 2110-2155 MHz, 1695-1710 MHz, 1755-1780 MHz, and
2155-2180 MHz bands. The following frequencies are available for
licensing pursuant to this part in the 1710-1755 MHz, 2110-2155 MHz,
1695-1710 MHz, 1755-1780 MHz, and 2155-2180 MHz bands:
(1) Four paired channel blocks of 10 megahertz each are available
for assignment as follows:
Block A: 1710-1720 MHz and 2110-2120 MHz;
Block B: 1720-1730 MHz and 2120-2130 MHz;
Block F: 1745-1755 MHz and 2145-2155 MHz; and
Block J: 1770-1780 MHz and 2170-2180 MHz.
(2) Six paired channel blocks of 5 megahertz each are available for
assignment as follows:
Block C: 1730-1735 MHz and 2130-2135 MHz;
Block D: 1735-1740 MHz and 2135-2140 MHz;
Block E: 1740-1745 MHz and 2140-2145 MHz;
Block G: 1755-1760 MHz and 2155-2160 MHz;
Block H: 1760-1765 MHz and 2160-2165 MHz; and
Block I: 1765-1770 MHz and 2165-2170 MHz.
(3) One unpaired block of 5 megahertz and one unpaired block of 10
megahertz each are available for assignment as follows:
Block A1: 1695-1700 MHz
Block B1: 1700-1710 MHz
Note to paragraph (h). Licenses to operate in the 1695-1710 MHz
and 1755-1780 MHz bands are subject to the condition that the
licensee must not cause harmful interference to an incumbent Federal
entity relocating from these bands under an approved Transition
Plan. This condition remains in effect until NTIA terminates the
applicable authorization of the incumbent Federal entity.
* * * * *
0
9. Section 27.6 is amended by adding paragraph (k) to read as follows:
Sec. 27.6 Service areas.
* * * * *
(k) 1695-1710 MHz, 1755-1780 MHz, and 2155-2180 MHz bands. AWS
service areas for the 1695-1710 MHz, 1755-1780 MHz, and 2155-2180 MHz
bands are as follows:
(1) Service areas for Block G (1755-1760 MHz and 2155-2160 MHz) are
based on cellular markets comprising Metropolitan Statistical Areas
(MSAs) and Rural Service Areas (RSAs) as defined by Public Notice
Report No. CL-92-40 ``Common Carrier Public Mobile Services
Information, Cellular MSA/RSA Markets and Counties,'' dated January 24,
1992, DA 92-109, 7 FCC Rcd 742 (1992), with the following
modifications:
(i) The service areas of cellular markets that border the U.S.
coastline of the Gulf of Mexico extend 12 nautical miles from the U.S.
Gulf coastline.
(ii) The service area of cellular market 306 that comprises the
water area of the Gulf of Mexico extends from 12 nautical miles off the
U.S. Gulf coast outward into the Gulf.
(2) Service areas for Blocks H (1760-1765 MHz and 2160-2165 MHz), I
(1765-1770 MHz and 2165-2170 MHz), J (1770-1780 MHz and 2170-2180 MHz),
A1 (1695-1700 MHz) and B1 (1700-1710 MHz) are based on Economic Areas
(EAs) as defined in paragraph (a) of this section.
0
10. Section 27.11is amended by adding paragraph (j) to read as follows:
Sec. 27.11 Initial authorization.
* * * * *
(j) 1695-1710 MHz, 1755-1780 MHz and 2155-2180 MHz bands. (1)
Initial authorizations for the 1695-1710 MHz band shall be based on the
frequency blocks specified in Sec. 27.5(h)(3) and the corresponding
service area specified in Sec. 27.6(k)(2).
(2) Initial authorizations for the 1755-1780 MHz and 2155-2180 MHz
shall be based on the paired frequency blocks specified in Sec.
27.5(h)(1) and (2) and the corresponding service areas specified in
Sec. 27.6(k)(1) and (2).
0
11. Section 27.13(k) is added to read as follows:
Sec. 27.13 License period.
* * * * *
[[Page 32411]]
(k) 1695-1710 MHz, 1755-1780 MHz, and 2155-2180 MHz bands.
Authorizations for the 1695-1710 MHz, 1755-1780 MHz, and 2155-2180 MHz
bands will have a term not to exceed twelve (12) years from the date of
issuance and ten (10) years from the date of any subsequent license
renewal.
0
12. Section 27.14 is amended by revising paragraphs (a), (f), and (k),
adding paragraph (q)(7), revising paragraphs (r)(1) and (4) and
(r)(6)(i), and adding paragraph (s) to read as follows:
Sec. 27.14 Construction requirements; Criteria for renewal.
(a) AWS and WCS licensees, with the exception of WCS licensees
holding authorizations for Block A in the 698-704 MHz and 728-734 MHz
bands, Block B in the 704-710 MHz and 734-740 MHz bands, Block E in the
722-728 MHz band, Block C, C1 or C2 in the 746-757 MHz and 776-787 MHz
bands, Block A in the 2305-2310 MHz and 2350-2355 MHz bands, Block B in
the 2310-2315 MHz and 2355-2360 MHz bands, Block C in the 2315-2320 MHz
band, and Block D in the 2345-2350 MHz band, and with the exception of
licensees holding AWS authorizations in the 1915-1920 MHz and 1995-2000
MHz bands, the 2000-2020 MHz and 2180-2200 MHz bands, or 1695-1710 MHz,
1755-1780 MHz and 2155-2180 MHz bands, must, as a performance
requirement, make a showing of ``substantial service'' in their license
area within the prescribed license term set forth in Sec. 27.13.
``Substantial service'' is defined as service which is sound, favorable
and substantially above a level of mediocre service which just might
minimally warrant renewal. Failure by any licensee to meet this
requirement will result in forfeiture of the license and the licensee
will be ineligible to regain it.
* * * * *
(f) Comparative renewal proceedings do not apply to WCS licensees
holding authorizations for the 698-746 MHz, 747-762 MHz, and 777-792
MHz bands or licensees holding AWS authorizations for the 1915-1920 MHz
and 1995-2000 MHz bands or the 2000-2020 MHz and 2180-2200 MHz bands,
or the 1695-1710 MHz, or the 1755-1780 MHz and 2155-2180 MHz bands.
These licensees must file a renewal application in accordance with the
provisions set forth in Sec. 1.949 of this chapter.
* * * * *
(k) Licensees holding WCS or AWS authorizations in the spectrum
blocks enumerated in paragraphs (g), (h), (i), (q), (r) or (s) of this
section, including any licensee that obtained its license pursuant to
the procedures set forth in paragraph (j) of this section, shall
demonstrate compliance with performance requirements by filing a
construction notification with the Commission, within 15 days of the
expiration of the applicable benchmark, in accordance with the
provisions set forth in Sec. 1.946(d) of this chapter. The licensee
must certify whether it has met the applicable performance
requirements. The licensee must file a description and certification of
the areas for which it is providing service. The construction
notifications must include electronic coverage maps, supporting
technical documentation and any other information as the Wireless
Telecommunications Bureau may prescribe by public notice.
* * * * *
(q) * * *
(7) Renewal showing. An applicant for renewal of a geographic-area
authorization in the 2000-2020 MHz and 2180-2200 MHz service bands must
make a renewal showing, independent of its performance requirements, as
a condition of renewal. The showing must include a detailed description
of the applicant's provision of service during the entire license
period and address:
(i) The level and quality of service provided by the applicant
(including the population served, the area served, the number of
subscribers, the services offered);
(ii) The date service commenced, whether service was ever
interrupted, and the duration of any interruption or outage;
(iii) The extent to which service is provided to rural areas;
(iv) The extent to which service is provided to qualifying tribal
land as defined in Sec. 1.2110(f)(3)(i) of this chapter; and
(v) Any other factors associated with the level of service to the
public.
(r) * * *
(1) A licensee shall provide signal coverage and offer service
within four (4) years from the date of the initial license to at least
forty (40) percent of the population in each of its licensed areas
(``Interim Buildout Requirement'').
* * * * *
(4) If a licensee fails to establish that it meets the Final
Buildout Requirement for a particular licensed area, its authorization
for each license area in which it fails to meet the Final Buildout
Requirement shall terminate automatically without Commission action and
the licensee will be ineligible to regain it if the Commission makes
the license available at a later date.
* * * * *
(6) * * *
(i) The level and quality of service provided by the applicant
(including the population served, the area served, the number of
subscribers, the services offered);
* * * * *
(s) The following provisions apply to any licensee holding an AWS
authorization in the 1695-1710 MHz, 1755-1780 MHz, and 2155-2180 MHz
bands:
(1) A licensee shall provide reliable signal coverage and offer
service within six (6) years from the date of the initial license to at
least forty (40) percent of the population in each of its licensed
areas (``Interim Buildout Requirement'').
(2) A licensee shall provide reliable signal coverage and offer
service within twelve (12) years from the date of the initial license
to at least seventy-five (75) percent of the population in each of its
licensed areas (``Final Buildout Requirement'').
(3) If a licensee fails to establish that it meets the Interim
Buildout Requirement for a particular licensed area, then the Final
Buildout Requirement (in this paragraph (s)) and the AWS license term
(as set forth in Sec. 27.13(k)) for each license area in which it
fails to meet the Interim Buildout Requirement shall be accelerated by
two (2) years (from twelve (12) to ten (10) years).
(4) If a licensee fails to establish that it meets the Final
Buildout Requirement for a particular licensed area, its authorization
for each license area in which it fails to meet the Final Buildout
Requirement shall terminate automatically without Commission action and
the licensee will be ineligible to regain it if the Commission makes
the license available at a later date.
(5) To demonstrate compliance with these performance requirements,
licensees shall use the most recently available U.S. Census Data at the
time of measurement and shall base their measurements of population
served on areas no larger than the Census Tract level. The population
within a specific Census Tract (or other acceptable identifier) will be
deemed served by the licensee only if it provides signal coverage to
and offers service within the specific Census Tract (or other
acceptable identifier). To the extent the Census Tract (or other
acceptable identifier) extends beyond the boundaries of a license area,
a licensee with authorizations for such areas may include only the
population within the Census Tract (or other acceptable identifier)
towards meeting the performance requirement of a single,
[[Page 32412]]
individual license. For the Gulf of Mexico license area, the licensee
shall demonstrate compliance with these performance requirements, using
off-shore platforms, including production, manifold, compression,
pumping and valving platforms as a proxy for population in the Gulf of
Mexico.
(6) An applicant for renewal of a license covered by paragraph (s)
of this section must make a renewal showing, independent of its
performance requirements, as a condition of each renewal. The showing
must include a detailed description of the applicant's provision of
service during the entire license period and address:
(i) The level and quality of service provided by the applicant
(including the population served, the area served, the number of
subscribers, the services offered);
(ii) The date service commenced, whether service was ever
interrupted, and the duration of any interruption or outage;
(iii) The extent to which service is provided to rural areas;
(iv) The extent to which service is provided to qualifying tribal
land as defined in Sec. 1.2110(f)(3)(i) of this chapter; and
(v) Any other factors associated with the level of service to the
public.
0
13. Section 27.15 is amended by revising the first sentence of
paragraph (d)(1)(i), paragraph (d)(1)(iii), the first sentence of
paragraph (d)(2)(i), and paragraph (d)(2)(iii) to read as follows:
Sec. 27.15 Geographic partitioning and spectrum disaggregation.
* * * * *
(d) * * *
(1) * * *
(i) Except for WCS licensees holding authorizations for Block A in
the 698-704 MHz and 728-734 MHz bands, Block B in the 704-710 MHz and
734-740 MHz bands, Block E in the 722-728 MHz band, or Blocks C, C1,
and C2 in the 746-757 MHz and 776-787 MHz bands; and for licensees
holding AWS authorizations in the 1915-1920 MHz and 1995-2000 MHz
bands, the 2000-2020 MHz and 2180-2200 MHz bands; or the 1695-1710 MHz,
1755-1780 MHz and 2155-2180 MHz bands, the following rules apply to WCS
and AWS licensees holding authorizations for purposes of implementing
the construction requirements set forth in Sec. 27.14. * * *
* * * * *
(iii) For licensees holding AWS authorizations in the 1915-1920 MHz
and 1995-2000 MHz bands, or the 2000-2020 MHz and 2180-2200 MHz bands,
or the 1695-1710 MHz, 1755-1780 MHz and 2155-2180 MHz bands, the
following rules apply for purposes of implementing the construction
requirements set forth in Sec. 27.14. Each party to a geographic
partitioning must individually meet any service-specific performance
requirements (i.e., construction and operation requirements). If a
partitioner or partitionee fails to meet any service-specific
performance requirements on or before the required date, then the
consequences for this failure shall be those enumerated in Sec.
27.14(q) for 2000-2020 MHz and 2180-2200 MHz licenses, those enumerated
in Sec. 27.14(r) for 1915-1920 MHz and 1995-2000 MHz licenses, and
those enumerated in Sec. 27.14(s) for 1695-1710 MHz, 1755-1780 MHz and
2155-2180 MHz licenses.
(2) * * *
(i) Except for WCS licensees holding authorizations for Block A in
the 698-704 MHz and 728-734 MHz bands, Block B in the 704-710 MHz and
734-740 MHz bands, Block E in the 722-728 MHz band, or Blocks C, C1,
and C2 in the 746-757 MHz and 776-787 MHz bands; and for licensees
holding AWS authorizations in the 1915-1920 MHz and 1995-2000 MHz
bands, the 2000-2020 MHz and 2180-2200 MHz bands or the 1695-1710 MHz,
1755-1780 MHz and 2155-2180 MHz bands; the following rules apply to WCS
and AWS licensees holding authorizations for purposes of implementing
the construction requirements set forth in Sec. 27.14. * * *
* * * * *
(iii) For licensees holding AWS authorizations in the 1915-1920 MHz
and 1995-2000 MHz bands, or the 2000-2020 MHz and 2180-2200 MHz bands,
or the 1695-1710 MHz, 1755-1780 MHz and 2155-2180 MHz bands, the
following rules apply for purposes of implementing the construction
requirements set forth in Sec. 27.14. Each party to a spectrum
disaggregation must individually meet any service-specific performance
requirements (i.e., construction and operation requirements). If a
disaggregator or a disaggregatee fails to meet any service-specific
performance requirements on or before the required date, then the
consequences for this failure shall be those enumerated in Sec.
27.14(q) for 2000-2020 MHz and 2180-2200 MHz licenses, those enumerated
in Sec. 27.14(r) for 1915-1920 MHz and 1995-2000 MHz licenses, and
those enumerated in Sec. 27.14(s) for 1695-1710 MHz, 1755-1780 MHz and
2155-2180 MHz.
0
14. Section 27.17 is revised to read as follows:
Sec. 27.17 Discontinuance of service in the 1695-1710 MHz, 1755-1780
MHz, 1915-1920 MHz, 1995-2000 MHz, 2000-2020 MHz, 2155-2180 MHz, and
2180-2200 MHz bands.
(a) Termination of authorization. An AWS authorization in the 1695-
1710 MHz, 1755-1780 MHz, 1915-1920 MHz, 1995-2000 MHz, 2000-2020 MHz,
2155-2180 MHz, and 2180-2200 MHz bands will automatically terminate,
without specific Commission action, if the licensee permanently
discontinues service either during the initial license term or during
any subsequent license term, as follows:
(1) After the interim buildout deadline as specified in Sec.
27.14(r) or (s), as applicable (where the licensee meets the interim
buildout requirement), or after the accelerated final buildout deadline
(where the licensee failed to meet the interim buildout requirement).
(2) After the AWS-4 final buildout deadline as specified in Sec.
27.14(q)(1) (where the licensee meets the AWS-4 interim buildout
requirement), or after the accelerated final buildout deadline
specified in Sec. 27.14(q)(3) (where the licensee failed to meet its
AWS-4 interim buildout requirement).
(b) For licensees with common carrier or non-common carrier
regulatory status that hold AWS authorizations in the 1695-1710 MHz,
1755-1780 MHz, 1915-1920 MHz, 1995-2000 MHz, 2000-2020 MHz, 2155-2180
MHz, and 2180-2200 MHz bands, permanent discontinuance of service is
defined as 180 consecutive days during which a licensee does not
provide service to at least one subscriber that is not affiliated with,
controlled by, or related to the licensee. For licensees with private,
internal regulatory status that hold AWS authorizations in the 1695-
1710 MHz, 1755-1780 MHz, 1915-1920 MHz, 1995-2000 MHz, 2000-2020 MHz,
2155-2180 MHz, and 2180-2200 MHz bands, permanent discontinuance of
service is defined as 180 consecutive days during which a licensee does
not operate.
(c) Filing Requirements. A licensee that holds an AWS authorization
in the 1695-1710 MHz, 1755-1780 MHz, 1915-1920 MHz, 1995-2000 MHz,
2000-2020 MHz, 2155-2180 MHz, and 2180-2200 MHz bands that permanently
discontinues service as defined in this section must notify the
Commission of the discontinuance within 10 days by filing FCC Form 601
or 605 requesting license cancellation. An authorization will
automatically terminate, without specific Commission action, if service
is permanently discontinued as defined in this section, even if a
licensee fails to file the required form requesting license
cancellation.
[[Page 32413]]
0
15. Section 27.50 is amended by revising paragraph (d) to read as
follows:
Sec. 27.50 Power limits and duty cycle.
* * * * *
(d) The following power and antenna height requirements apply to
stations transmitting in the 1695-1710 MHz, 1710-1755 MHz, 1755-1780
MHz, 1915-1920 MHz, 1995-2000 MHz, 2000-2020 MHz, 2110-2155 MHz, 2155-
2180 MHz and 2180-2200 MHz bands:
(1) The power of each fixed or base station transmitting in the
1995-2000 MHz, 2110-2155 MHz, 2155-2180 MHz or 2180-2200 MHz band and
located in any county with population density of 100 or fewer persons
per square mile, based upon the most recently available population
statistics from the Bureau of the Census, is limited to:
(i) An equivalent isotropically radiated power (EIRP) of 3280 watts
when transmitting with an emission bandwidth of 1 MHz or less;
(ii) An EIRP of 3280 watts/MHz when transmitting with an emission
bandwidth greater than 1 MHz.
(2) The power of each fixed or base station transmitting in the
1995-2000 MHz, the 2110-2155 MHz 2155-2180 MHz band, or 2180-2200 MHz
band and situated in any geographic location other than that described
in paragraph (d)(1) of this section is limited to:
(i) An equivalent isotropically radiated power (EIRP) of 1640 watts
when transmitting with an emission bandwidth of 1 MHz or less;
(ii) An EIRP of 1640 watts/MHz when transmitting with an emission
bandwidth greater than 1 MHz.
(3) A licensee operating a base or fixed station in the 2110-2155
MHz band utilizing a power greater than 1640 watts EIRP and greater
than 1640 watts/MHz EIRP must coordinate such operations in advance
with all Government and non-Government satellite entities in the 2025-
2110 MHz band. A licensee operating a base or fixed station in the
2110-2180 MHz band utilizing power greater than 1640 watts EIRP and
greater than 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 operating in this band: All
Broadband Radio Service (BRS) licensees authorized under this part in
the 2155-2160 MHz band and all advanced wireless services (AWS)
licensees authorized to operate on adjacent frequency blocks in the
2110-2180 MHz band.
(4) Fixed, mobile, and portable (hand-held) stations operating in
the 1710-1755 MHz band and mobile and portable stations operating in
the 1695-1710 MHz and 1755-1780 MHz bands are limited to 1 watt EIRP.
Fixed stations operating in the 1710-1755 MHz band are limited to a
maximum antenna height of 10 meters above ground. Mobile and portable
stations operating in these bands must employ a means for limiting
power to the minimum necessary for successful communications.
* * * * *
0
16. Section 27.53 is amended by redesignating paragraphs (d) through
(m) as paragraphs (e) through (n), adding and reserving new paragraph
(d), and revising newly redesignated paragraph (h)(1) to read as
follows:
Sec. 27.53 Emission limits.
* * * * *
(h) * * *
(1) General protection levels. Except as otherwise specified below,
for operations in the 1695-1710 MHz, 1710-1755 MHz, 1755-1780 MHz,
1915-1920 MHz, 1995-2000 MHz, 2000-2020 MHz, 2110-2155 MHz, 2155-2180
MHz, and 2180-2200 bands, the power of any emission outside a
licensee's frequency block shall be attenuated below the transmitter
power (P) in watts by at least 43 + 10 log10 (P) dB.
* * * * *
0
17. Section 27.55 is amended by revising paragraph (a)(1) to read as
follows:
Sec. 27.55 Power strength limits.
(a) * * *
(1) 1995-2000 MHz, 2110-2155, 2155-2180, 2180-2200, 2305-2320, and
2345-2360 MHz bands: 47 dB[mu]V/m.
* * * * *
0
18. Section 27.57 is amended by revising paragraph (c) to read as
follows:
Sec. 27.57 International coordination.
* * * * *
(c) Operation in the 1695-1710 MHz, 1710-1755 MHz, 1755-1780 MHz,
1915-1920 MHz, 1995-2000 MHz, 2000-2020 MHz, 2110-2155 MHz, 2155-2180
MHz, and 2180-2200 MHz bands is subject to international agreements
with Mexico and Canada.
0
19. Section 27.75 is added to read as follows:
Sec. 27.75 Basic interoperability requirement.
(a)(1) Mobile and portable stations that operate on any portion of
frequencies in the paired 1755-1780 MHz and 2155-2180 MHz band must be
capable of operating on all frequencies in the paired 1710-1780 MHz and
2110-2180 MHz band, using the same air interfaces that the equipment
utilizes on any frequencies in the paired 1710-1780 MHz and 2110-2180
MHz band.
(2) [Reserved]
(b) The basic interoperability requirement in paragraph (a) of this
section does not require a licensee to use any particular industry
standard. Devices may also contain functions that are not operational
in U.S. Territories.
0
20. Section 27.77 is added to read as follows:
Sec. 27.77 Restriction on mobile and portable equipment in the 1695-
1710 MHz and 1755-1780 MHz bands.
Mobile and portable stations in the 1695-1710 MHz and 1755-1780 MHz
bands may operate only when under the control of a base station. Base
stations that enable mobile or portable equipment to operate in the
1695-1710 MHz and 1755-1780 MHz band are subject to prior coordination
requirements. See Sec. 27.1134 (Protection of Federal Government
operations).
0
21. Part 27 is amended by revising the heading for subpart L to read as
follows:
Subpart L--1695-1710 MHz, 1710-1755 MHz, 1755-1780 MHz, 2110-2155
MHz, 2155-2180 MHz, 2180-2200 MHz Bands
0
22. Section 27.1105 is added to read as follows:
Sec. 27.1105 1695-1710 MHz, 1755-1780 MHz and 2155-2180 MHz bands
subject to competitive bidding.
Mutually exclusive initial applications for 1695-1710 MHz, 1755-
1780 MHz, and 2155-2180 MHz band licenses are subject to competitive
bidding. The general competitive bidding procedures set forth in 47 CFR
part 1, subpart Q will apply unless otherwise provided in this subpart.
0
23. Section 27.1106 is added to read as follows:
Sec. 27.1106 Designated Entities in the 1695-1710 MHz, 1755-1780 MHz,
and 2155-2180 MHz bands.
Eligibility for small business provisions:
(a) Small business. (1) A small business is an entity that,
together with its affiliates, its controlling interests, the affiliates
of its controlling interests, and the entities with which it has an
attributable material relationship, has average gross revenues not
exceeding $40 million for the preceding three (3) years.
(2) A very small business is an entity that, together with its
affiliates, its controlling interests, the affiliates of its
controlling interests, and the entities
[[Page 32414]]
with which it has an attributable material relationship, has average
gross revenues not exceeding $15 million for the preceding three (3)
years.
(b) Bidding credits. A winning bidder that qualifies as a small
business as defined in this section or a consortium of small businesses
may use the bidding credit specified in Sec. 1.2110(f)(2)(iii) of this
chapter. A winning bidder that qualifies as a very small business as
defined in this section or a consortium of very small businesses may
use the bidding credit specified in Sec. 1.2110(f)(2)(ii) of this
chapter.
0
24. Section 27.1111 is revised to read as follows:
Sec. 27.1111 Relocation of fixed microwave service licensees in the
2110-2150 and 2160-2200 MHz bands.
Part 22, subpart E and part 101, subpart B of this chapter contain
provisions governing the relocation of incumbent fixed microwave
service licensees in the 2110-2150 MHz and 2160-2200 MHz bands.
0
25. Section 27.1131 is revised to read as follows:
Sec. 27.1131 Protection of Part 101 operations.
All AWS licensees, prior to initiating operations from any base or
fixed station, must coordinate their frequency usage with co-channel
and adjacent-channel incumbent, 47 CFR part 101 fixed-point-to-point
microwave licensees operating in the 2110-2150 MHz and 2160-2200 MHz
bands. Coordination shall be conducted in accordance with the
provisions of Sec. 24.237 of this chapter.
0
26. Section 27.1132 is amended to read as follows:
Sec. 27.1132 Protection of incumbent operations in the 2150-2160/62
MHz band.
All AWS licensees, prior to initiating operations from any base or
fixed station in the 2110-2180 MHz band, shall follow the provisions of
Sec. 27.1255.
0
27. Section 27.1134 is amended by revising paragraph (c) and adding
paragraph (f) to read as follows:
Sec. 27.1134 Protection of Federal Government operations.
* * * * *
(c) Protection of Federal operations in the 1675-1710 MHz band. (1)
27 Protection Zones. Within 27 Protection Zones, prior to operating a
base station that enables mobile or portable stations to transmit in
the 1695-1710 MHz band, licensees must successfully coordinate such
base station operations with Federal Government entities operating
meteorological satellite Earth-station receivers in the 1675-1710 MHz
band. See 47 CFR 2.106, footnote US 88, for the 27 Protection Zones and
other details.
(2) Operation outside of 27 Protection Zones. Non-Federal
operations, for mobile and portable stations operating at a maximum
EIRP of 20 dBm, are permitted outside of the protection zones without
coordination. All non-Federal operations for mobile and portables
operating at a maximum EIRP of greater than 20 dBm and up to 30 dBm
must be coordinated nationwide. All such operations may not cause
harmful interference to the Federal operations protected in 47 CFR
2.106, footnote US 88.
(3) Interference. If protected Federal operations receive harmful
interference from AWS operations in the 1695-1710 MHz band, an AWS
licensee must, upon notification, modify its operations and/or
technical parameters as necessary to eliminate the interference.
(4) Point of contact. AWS licensees in the 1695-1710 MHz band must
provide and maintain a point of contact at all times so that immediate
contact can be made should interference against protected Federal sites
occur.
(5) Coordination procedures. Federal use of the radio spectrum is
generally governed by the National Telecommunications and Information
Administration (NTIA) while non-Federal use is governed by the
Commission. As such, any guidance or details concerning Federal/non-
Federal coordination must be issued jointly by NTIA and the Commission.
The Commission may jointly issue with NTIA one or more public notices
with guidance or details concerning the coordination procedures for the
1695-1710 MHz band.
(6) Requirements for licensees operating in the 1710-1755 MHz band.
AWS licensees operating fixed stations in the 1710-1755 MHz band, if
notified that such stations are causing interference to radiosonde
receivers operating in the Meteorological Aids Service in the 1675-1700
MHz band or a meteorological-satellite earth receiver operating in the
Meteorological-Satellite Service in the 1675-1710 MHz band, shall be
required to modify the stations' location and/or technical parameters
as necessary to eliminate the interference.
* * * * *
(f) Protection of Federal operations in the 1755-1780 MHz band. The
Federal Government operates communications systems in the 1755-1780 MHz
band. Certain systems are expected to continue to operate in the band
indefinitely. All other operations will be relocating to other
frequencies or otherwise cease operations in the 1755-1780 MHz band in
accordance with 47 CFR part 301. Until such a time as Federal
operations in the 1755-1780 MHz bands vacate this spectrum, AWS
licensees shall protect such systems and must accept any interference
received from these Federal operations. See 47 CFR 2.106, footnote US
91, for details. AWS licensees must successfully coordinate proposed
operations with all Federal incumbents prior to operation as follows:
(1) Protection Zone(s). A protection zone is established for each
Federal operation pursuant to 47 CFR 2.106, footnote US 91. Unless
otherwise specified in later Commission actions, the default protection
zone is nationwide. A base station which enables mobile or portable
stations to transmit in the 1755-1780 MHz band may not operate within
the Protection Zone(s) of a Federal operation until the licensee
successfully coordinates such base station operations with Federal
Government entities as follows depending on the type of Federal
incumbent authorization:
(i) Federal US&P Assignments. Each AWS licensee must coordinate
with each Federal agency that has U.S. and Possessions (US&P) authority
prior to its first operations in its licensed area to reach a
coordination arrangement with each US&P agency on an operator-to-
operator basis. (Agencies with U.S. and Possessions (US&P) authority do
not operate nationwide and may be able to share, prior to relocation,
in some areas.)
(ii) Other Federal Assignments. Each AWS licensee must successfully
coordinate all base station operations within a Protection Zone with
the Federal incumbents. The default requirement is a nationwide
coordination zone with possible revisions to the Protection Zone and
other details to be announced in a Joint FCC/NTIA public notice.
(2) Interference. If protected Federal operations receive harmful
interference from AWS operations in the 1755-1780 MHz band, an AWS
licensee must, upon notification, modify its operations and/or
technical parameters as necessary to eliminate the interference.
(3) Point of contact. AWS licensees in the 1755-1780 MHz band must
provide and maintain a point of contact at all times so that immediate
contact can be made should interference against protected Federal
operations occur.
[[Page 32415]]
(4) Coordination procedures. Federal use of the radio spectrum is
generally governed by the National Telecommunications and Information
Administration (NTIA) while non-Federal use is governed by the
Commission. As such, any guidance or details concerning Federal/non-
Federal coordination must be issued jointly by NTIA and the Commission.
The Commission may jointly issue with NTIA one or more public notices
with guidance or details concerning the coordination procedures for the
1755-1780 MHz band.
[FR Doc. 2014-11235 Filed 6-3-14; 8:45 am]
BILLING CODE 6712-01-P