Rule2021-11694
Certification Adopted for Auction of Flexible-Use Service Licenses in the 3.45-3.55 Band for Next-Generation Wireless Services (Auction 110)
Primary source
Metadata and text below are from the Federal Register, a public-domain U.S. government work. Always verify the official published version before relying on it for any legal matter.
Published
June 8, 2021
Issuing agencies
Federal Communications Commission
Abstract
In this document, the Office of Economics and Analytics and the Wireless Telecommunications Bureau adopt a certification that will be required of each applicant to participate in the upcoming auction of flexible-use licenses in the 3.45-3.55 GHz band (Auction 110).
Full Text
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<title>Federal Register, Volume 86 Issue 108 (Tuesday, June 8, 2021)</title>
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[Federal Register Volume 86, Number 108 (Tuesday, June 8, 2021)]
[Rules and Regulations]
[Pages 30389-30391]
From the Federal Register Online via the Government Publishing Office [<a href="http://www.gpo.gov">www.gpo.gov</a>]
[FR Doc No: 2021-11694]
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FEDERAL COMMUNICATIONS COMMISSION
47 CFR Parts 1 and 27
[AU Docket No. 21-62; DA 21-567; FR ID 29366]
Certification Adopted for Auction of Flexible-Use Service
Licenses in the 3.45-3.55 Band for Next-Generation Wireless Services
(Auction 110)
AGENCY: Federal Communications Commission.
ACTION: Final action; requirement and procedure.
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SUMMARY: In this document, the Office of Economics and Analytics and
the Wireless Telecommunications Bureau adopt a certification that will
be required of each applicant to participate in the upcoming auction of
flexible-use licenses in the 3.45-3.55 GHz band (Auction 110).
DATES: The Commission will publish a document in the Federal Register
announcing the effective date of the certification requirement.
FOR FURTHER INFORMATION CONTACT: Auction 110 Information: Mary Lovejoy
or Andrew McArdell at 202-418-0660.
SUPPLEMENTARY INFORMATION: This is a summary of the Auction 110
Certification Requirement Public Notice, released on May 19, 2021. The
complete text of the Auction 110 Certification Requirement Public
Notice, including attachments and any related documents, is available
on the Commission's website at <a href="http://www.fcc.gov/auction/110">www.fcc.gov/auction/110</a> or by using the
search function for AU Docket No. 21-62, DA 21-567, on the Commission's
Electronic Comment Filing System (ECFS) web page at <a href="http://www.fcc.gov/ecfs">www.fcc.gov/ecfs</a>.
Alternative formats are available to persons with disabilities by
sending an email to <a href="/cdn-cgi/l/email-protection#89cfcacabcb9bdc9efeaeaa7eee6ff"><span class="__cf_email__" data-cfemail="d1979292e4e1e591b7b2b2ffb6bea7">[email protected]</span></a> or by calling the Consumer &
Governmental Affairs Bureau at (202) 418-0530 (voice), (202) 418-0432
(TTY).
1. By the Auction 110 Certification Requirement Public Notice, the
Office of Economics and Analytics (OEA) and the Wireless
Telecommunications Bureau (WTB) adopt a certification that will be
required of each applicant to participate in the upcoming auction of
flexible-use licenses in the 3.45-3.55 GHz band (Auction 110).
Specifically, each applicant for Auction 110 will be required to
certify in its short-form application that it has read the public
notice describing the procedures for the auction and that it has
familiarized itself both with the auction procedures and with the
requirements for obtaining a license and operating facilities in the
3.45-3.55 GHz band.
2. In the Auction 110 Comment Public Notice, 86 FR 18000 (April 7,
2021), released March 18, 2021, the Commission sought comment on a
range of proposed procedures for conducting Auction 110, including a
proposal to require each participant in Auction 110 to certify in its
short-form application, under penalty of perjury, that it has read the
public notice adopting procedures for the auction and that it has
familiarized itself both with the auction procedures and with the
requirements for obtaining a license and operating facilities in the
3.45-3.55 GHz band. As with other certifications required to be made in
an auction application, a failure to make the certification would
render the application unacceptable for filing, and the application
would be dismissed with prejudice.
3. The Commission proposed to establish this requirement to help
ensure that each applicant has reviewed the procedures to become a
qualified bidder and participate in the auction process and that it has
investigated and assessed technical and business factors that may be
relevant to its use of the licenses being offered. The Commission
reasoned that this requirement would promote an applicant's successful
participation and would minimize its risk of auction defaults.
4. This certification is designed to bolster applicants' efforts to
educate themselves to the greatest extent possible about procedures for
auction participation and to ensure that, prior to submitting their
short-form applications, applicants understand their obligation to stay
abreast of relevant, forthcoming information. By ensuring familiarity
with the Commission's rules and procedures governing Auction 110, OEA
and WTB are also taking steps to help bidders avoid the consequences to
them associated with defaults, as well as the consequences for other
applicants, the public, and the Commission associated therewith. This
certification, along with the other certifications required pursuant to
Sec. 1.2105(a) of the Commission's rules, helps ensure that auction
applicants are sincere about their interest in the auction, and it may
discourage the filing of frivolous applications that waste Commission
resources.
5. For these reasons, OEA and WTB will require each Auction 110
applicant to certify as follows in its short-form application:
That the applicant has read the public notice adopting procedures
for the auction and that it has familiarized itself both with the
auction procedures and with the requirements for obtaining a license
and operating facilities in the 3.45-3.55 GHz band.
An applicant will provide this certification under penalty of perjury,
consistent with Sec. 1.2105(a) of the Commission's rules.
6. This action is taken by the Office of Economics and Analytics,
jointly with the Wireless Telecommunications Bureau, pursuant to
Sec. Sec. 0.21(m) and 0.131(c) of the Commission's rules. This
requirement is an information collection that is subject to approval by
the Office of Management and Budget (OMB), pursuant to the Paperwork
Reduction Act of 1995, Public Law 104-13. Accordingly, this requirement
will apply to applicants for Auction 110 only if it has been approved
by OMB and notice of such approval has been published in the Federal
Register prior to the opening of the short-form application window for
Auction 110.
Supplemental Final Regulatory Flexibility Analysis
7. As required by the Regulatory Flexibility Act of 1980, as
amended (RFA), a Supplemental Initial Regulatory Flexibility Analysis
(Supplemental IRFA) was incorporated in the Auction 110 Comment Public
Notice released in March 2021. The
[[Page 30390]]
Commission sought public comment on the proposals in the Auction 110
Comment Public Notice, including comments on the Supplemental IRFA. One
comment was filed addressing the Supplemental IRFA. The Auction 110
Certification Requirement Public Notice establishes a certification
requirement to be used for Auction 110 and supplements the Initial and
Final Regulatory Flexibility Analyses completed by the Commission in
the 3.1-3.55 GHz Report and Order (R&O) and Further Notice of Proposed
Rulemaking (FNPRM), 85 FR 64062, October 2, 2020, and 85 FR 66888,
October 21, 2020, 3.45 GHz Second Report and Order, 86 FR 17920, April
7, 2021, and other Commission orders pursuant to which Auction 110 will
be conducted. This present Supplemental Final Regulatory Flexibility
Analysis (Supplemental FRFA) conforms to the RFA.
8. Need for, and Objectives of, the Rules. The Auction 110
Certification Requirement Public Notice implements an element of the
auction procedures for those entities that seek to bid to acquire
licenses in Auction 110, which will be the Commission's third auction
of mid-band spectrum in furtherance of the deployment of fifth-
generation (5G) wireless, the Internet of Things (IoT), and other
advanced spectrum-based services.
9. To promote the efficient and fair administration of the
competitive bidding process for all Auction 110 participants, OEA and
WTB adopt a procedure requiring each Auction 110 applicant to certify
that it has read the public notice adopting procedures for the auction
and that it has familiarized itself both with the auction procedures
and with the requirements for obtaining a license and operating
facilities in the 3.45-3.55 GHz band, consistent with the proposal made
in the Auction 110 Comment Public Notice.
10. This requirement is an element of the more specific
implementation of the competitive bidding rules contemplated by parts 1
and 27 of the Commission's rules and the underlying rulemaking
decisions regarding the 3.45-3.55 GHz band, including the 3.45 GHz
Second Report and Order, and relevant competitive bidding orders, and
are fully consistent therewith.
11. Summary of Significant Issues Raised by Public Comments in
Response to the Supplemental IRFA. One party--the Rural Wireless
Association (RWA)--filed comments that address issues raised in the
Supplemental IRFA. RWA argues that the Commission's analysis in the
Auction 110 Comment Public Notice's Supplemental IRFA underestimates
the costs that small and rural entities incur when participating in a
Commission auction. RWA states that, contrary to the Commission's
expectations, RWA members regularly consult attorneys, engineers, and
consultants to participate in Commission auctions, incurring costs of
$100,000 on average per auction. RWA provides no support for this cost
figure. Nor does RWA clarify what portion of this figure represents
costs associated with applying to participate in the auction and/or
whether the figure may be an aggregate amount for all of its trade
association members. RWA claims that the educational materials provided
by the Commission are insufficient, as some materials are not provided
until after the short-form application deadline.
12. Response to Comments by the Chief Counsel for Advocacy of the
Small Business Administration. Pursuant to the Small Business Jobs Act
of 2010, which amended the RFA, the Commission is required to respond
to any comments filed by the Chief Counsel for Advocacy of the Small
Business Administration (SBA) and to provide a detailed statement of
any changes made to the proposed procedures as a result of those
comments. The Chief Counsel did not file any comments in response to
the procedures that were proposed in the Auction 110 Comment Public
Notice.
13. 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 rules and policies adopted herein.
The RFA generally defines the term ``small entity'' as 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.
14. As noted above, Regulatory Flexibility Analyses were
incorporated into the 3.1-3.55 GHz R&O and FNPRM and the 3.45 GHz
Second Report and Order. These decisions provide the underlying
authority for the procedures proposed in the Auction 110 Comment Public
Notice and are adopted herein for Auction 110. In those regulatory
flexibility analyses, the Commission described in detail the small
entities that might be significantly affected. In the Auction 110
Certification Requirement Public Notice, OEA and WTB hereby incorporate
by reference the descriptions and estimates of the number of small
entities from the previous Regulatory Flexibility Analyses in the 3.1-
3.55 GHz R&O and FNPRM and the 3.45 GHz Second Report and Order.
15. Description of Projected Reporting, Recordkeeping, and Other
Compliance Requirements for Small Entities. The Commission designed its
auction application process to minimize reporting and compliance
requirements for applicants, including small business applicants. In
the first part of the Commission's two-stage auction application
process, parties desiring to participate in an auction file a
streamlined, short-form application in which they certify under penalty
of perjury as to their qualifications. Eligibility to participate in an
auction is based on an applicant's short-form application and
certifications, as well as its upfront payment. The Auction 110
Certification Requirement Public Notice adds to the existing
certifications that are required under the Commission's competitive
bidding rules a certification that is specific to Auction 110.
16. Typically, the auction procedures informs prospective
applicants that they are expected to familiarize themselves with the
Commission's general competitive bidding rules, Commission decisions
regarding competitive bidding procedures, application requirements,
obligations of Commission licensees, and the Commission's service rules
for the frequency band available in the auction, and that they must be
thoroughly familiar with the procedures, terms, and conditions
contained in the public notice adopting procedures for the auction. OEA
and WTB therefore do not expect that the certification requirement
adopted in the Auction 110 Certification Requirement Public Notice will
increase the need for small entities to hire attorneys, engineers,
consultants, or other professionals because it does not increase the
level of education or due diligence beyond what was required of
applicants prior to the adoption of the certification requirement, and
thus it should not increase an applicant's burden in complying with the
additional certification requirement. The public notice adopting the
procedures for Auction 110 will be made publicly available on the
Auction 110 web page, and the 3.45 GHz Second Report and Order is
already publicly available on both the Commission's main website and
the Auction 110 web
[[Page 30391]]
page. OEA and WTB believe that these materials are sufficient to ensure
that Auction 110 applicants can certify truthfully that they have read
the auction procedures and familiarized themselves with the relevant
rules and requirements.
17. RWA does not provide evidence that outside consultants are
needed to enable an entity to certify truthfully that it has read the
public notice adopting the procedures for the auction and that it has
familiarized itself both with the auction procedures and with the
requirements for obtaining a license and operating facilities in the
3.45-3.55 GHz band. Instead, RWA claims that small entity bidders
cannot make complex decisions on the future impacts of auction bidding,
participation, and winning bidder compliance requirements without
outside counsel. In doing so, RWA appears to conflate compliance with
auction procedures (in this case, certifying that they have read the
public notice adopting procedures for Auction 110 and familiarized
themselves with those procedures and the service rules for the 3.45-
3.55 GHz band) with the development of bidding strategies and
compliance with the relevant service rules. The Commission does not
believe that outside consultants of this sort are necessary for an
applicant to comply with this certification requirement.
18. Steps Taken to Minimize the Significant Economic Impact on
Small Entities, and Significant Alternatives Considered. The RFA
requires an agency to describe any significant, specifically small
business, 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 and reporting requirements under the rule for such 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
such small entities.
19. The Commission has taken steps to minimize any economic impact
of its auction procedures on small entities through, among other
things, the many free resources the Commission provides to potential
auction participants. Consistent with the past practices in prior
auctions, small entities that are potential participants will have
access to the public notice adopting the procedures for Auction 110
prior to the opening of the application window, and already have access
to the 3.45 GHz Second Report and Order on both the Commission's main
website and the Auction 110 web page. The Commission makes this
information publicly available and easily accessible and without charge
to benefit all potential Auction 110 applicants, including small
entities, thereby lowering their administrative costs to comply with
the Commission's competitive bidding rules.
20. Small entities and other auction participants may seek
clarification of, or guidance regarding, the Auction 110 procedures and
the service rules for the 3.45-3.55 GHz band rules prior to the Auction
110 application window. Additionally, an FCC Auctions Hotline will
provide small entities one-on-one access to Commission staff for
information about the auction process and procedures. The FCC Auctions
Technical Support Hotline is another resource that provides technical
assistance to applicants, including small entities, on issues such as
access to or navigation within the electronic FCC Form 175 and use of
the bidding system.
21. The Commission also makes various databases and other sources
of information, including the auctions program web pages and copies of
Commission decisions, available to the public without charge, providing
a low-cost mechanism for small entities to conduct research prior to
and throughout the auction.
22. These procedures for the conduct of Auction 110 constitute the
more specific implementation of the competitive bidding rules
contemplated by parts 1 and 27 of the Commission's rules and the
underlying rulemaking decisions regarding the 3.45-3.55 GHz band,
including the 3.45 GHz Second Report and Order and relevant competitive
bidding decisions, and are fully consistent therewith.
23. Report to Congress. The Commission will send a copy of the
Auction 110 Certification Requirement Public Notice, including the
Supplemental FRFA, in a report to Congress pursuant to the
Congressional Review Act. In addition, the Commission will send a copy
of the Auction 110 Certification Requirement Public Notice, including
the Supplemental FRFA, to the Chief Counsel for Advocacy of the SBA.
Federal Communications Commission.
Erik Salovaara,
Assistant Chief, Auctions Division, Office of Economics and Analytics.
[FR Doc. 2021-11694 Filed 6-7-21; 8:45 am]
BILLING CODE 6712-01-P
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