Fiscal Year 2014 Budget Estimates Submitted to Congress April 2013 Federal Communications Commission i Table of Contents Page Introduction: ................................................................................................................................ 1 FY 2014 Request: • Summary of Request .......................................................................................................... 3 • Proposed Appropriation Language .................................................................................... 4 • Legislative Proposals ......................................................................................................... 5 • Summary of FY 2012-FY 2014 FTEs and Funding Comparison...................................... 6 • FYs 2012-2014 Full-time Equivalent (FTE) Distribution by Goal ................................... 7 • Historical & Estimated FTEs ............................................................................................ 9 • Summary of Changes ....................................................................................................... 10 • Narrative Explanation of Changes ................................................................................... 11 • Economy Act Agreements/Reimbursable ........................................................................ 15 Performance Plan: • FCC Strategic Goals – 2012 through 2016 ...................................................................... 16 • What the FCC Commits to Accomplish in FY 2014 ....................................................... 17 Fee Collections and Auctions: ................................................................................................... 38 ii Bureaus and Offices FY 2014 Requirements: • Table of Contents of FY 2014 Requirements .................................................................. 43 • Office of Chairman and Commissioners ......................................................................... 44 • Consumer and Governmental Affairs Bureau ................................................................. 45 • Enforcement Bureau ........................................................................................................ 47 • International Bureau ........................................................................................................ 49 • Media Bureau ................................................................................................................... 51 • Public Safety and Homeland Security Bureau ................................................................. 52 • Wireless Telecommunications Bureau ............................................................................ 55 • Wireline Competition Bureau .......................................................................................... 56 Agency Offices: • Office of Administrative Law Judges ............................................................................ 57 • Office of Communications Business Opportunities ...................................................... 59 • Office of Engineering and Technology ......................................................................... 61 • Office of General Counsel ............................................................................................. 63 • Office of Inspector General ........................................................................................... 65 • Office of Legislative Affairs .......................................................................................... 67 iii • Office of the Managing Director ....................................................................................... 68 • Office of Media Relations ................................................................................................. 69 • Office of Strategic Planning and Policy Analysis ............................................................. 70 • Office of Workplace Diversity .......................................................................................... 71 Appendices: • Summary of Requested Resources ...................................................................................... 73 • Summary Tables – Distribution of Resources ..................................................................... 77 • Distribution of Resources by Goal ...................................................................................... 91 • Summary of Increases by Budget Object Class Code ......................................................... 92 • Allocation of Obligations by Object Class Code ................................................................. 93 • Pro Rata Allocation of Obligations by Object Class Code .................................................. 94 Exhibits and Reports: • Universal Service Exhibit .................................................................................................... 95 • Auction Program and Loan Financing Exhibit .................................................................... 96 • Responses to Congressional Inquiries Concerning GAO .................................................... 99 INTRODUCTION - 1 - Introduction The Federal Communications Commission (FCC or Commission) is pleased to present its fiscal year (FY) 2014 budget request. The FCC is requesting a budget of $359,299,000 to carry out the FCC’s functions and meet the expectations of Congress. The FCC’s FY 2014 budget submission includes requests for funding to: (1) support Commission- wide information technology needs through extending the enterprise storage; (2) support for reform of the Universal Service Fund Support Program; (3) space consolidation and facilities improvement that will reduce lease arrangements that are not cost effective and improve efficiencies; (4) create a Do- Not-Call registry for telephone numbers used by Public Safety Answering Points (PSAPs); (5) provide resources for mission-critical systems to ensure that they are operational during a Continuity of Operations (COOP) event; and (6) provide contract funding to support mandatory audits for the Office of the Inspector General. In furtherance of these objectives and the FCC’s mission, the FY 2014 budget request will be used to support the following Strategic Goals: Strategic Goal 1: Connect America Maximize Americans’ access to – and the adoption of—affordable fixed and mobile broadband where they live, work, and travel. Strategic Goal 2: Maximize Benefits of Spectrum Maximize the overall benefits of spectrum for the United States. Strategic Goal 3: Protect and Empower Consumers Empower consumers by ensuring that they have the tools and information they need to make informed choices; protect consumers from harm in the communications market. Strategic Goal 4: Promote Innovation, Investment, and America’s Global Competitiveness Promote innovation in a manner that improves the nation’s ability to compete in the global economy, creating a virtuous circle that results in more investment and in turn enables additional innovation. Strategic Goal 5: Promote Competition Ensure a competitive market for communications and media services to foster innovation, investment, and job creation and to ensure consumers have meaningful choice in affordable services. Strategic Goal 6: Public Safety and Homeland Security Promote the availability of reliable, interoperable, redundant, rapidly restorable critical communications infrastructures that are supportive of all required services. Strategic Goal 7: Advance Key National Purposes Through international and national interagency efforts, advance the use of broadband for key national purposes. - 2 - Strategic Goal 8: Operational Excellence Make the FCC a model for excellence in government by effectively managing the Commission’s human, information, and financial resources; by making decisions based on sound data and analyses; and by maintaining a commitment to transparent and responsive processes that encourage public involvement and best serve the public interest. The FCC’s FY 2014 budget submission also includes a request to decrease the spending of Auctions funding from $98.7 million to $89.4 million to support the timely implementation of the Auctions Incentive program. As in prior years, the FCC is submitting its FY 2014 budget request information at the organizational level to show the proposed use of resources. In addition, the FCC’s budget request also shows the proposed use of funds by key accounts within each bureau or office. This format provides a detailed view of the FCC’s proposed use of budgetary resources. We welcome the budgetary process and stand ready to provide Congress with the information to ensure effective oversight of the FCC. FY 2014 REQUEST - 3 - FY 2013 FY 2014 FTE Congressional Request FTE Congressional Request FTE Requested Changes Total Direct Appropriation $0 $0 $0 Budget Authority to use Offsetting Collections: Regulatory Fees - Commission 1,730 $338,032 1,775 $348,210 45 $10,178 Regulatory Fees - OIG 46 $8,750 46 $11,089 0 $2,339 Total Offsetting Collections 1,776 $346,782 1,821 $359,299 45 $12,517 Authority to spend Other Offsetting Collections: Economy Act/Misc. Other Reimbursables $6,000 $6,000 $0 Auction Cost Recovery Reimbursements - Commission $97,447 1/ $88,694 ($8,753) Auction Cost Recovery Reimbursements - OIG $1,292 1/ $706 ($586) $104,739 $95,400 ($9,339) 1,776 $451,521 1,821 $454,699 45 $3,178 Other Budget Authority: Credit Program Account $3,926 $1,933 ($1,993) Universal Service Fund (USF) 0 $5,011 3/ 0 $4,259 3/ 0 ($752) Subtotal: Other Budget Authority 0 $8,937 0 $6,192 0 ($2,745) Total Gross Proposed Budget Authority 1,776 2/ $460,458 1,821 $460,891 0 $433 1/ The FCC received a Continuing Resolution Anomaly for FY 2013 in the amount of $13.7M for Auctions. Subtotal: Offsetting Collections 2/ The FTE number for FY 2013 has changed from the FY 2013 Congressional budget as it no longer reflects the higher FTE ceiling; instead it reflects the actual FTE number that is expected to be employed. ($ in thousands) SUMMARY OF REQUEST The Federal Communications Commission (FCC) is requesting a FY 2014 appropriation of $359,299,000. We project the FCC will employ 1821 full-time equivalents (FTEs) in FY 2014 from requested resources. The FCC will use the FY 2014 funds to carry out its fundamental mission to ensure that the American people have available, at reasonable costs and without discrimination, rapid, efficient, Nation - and world-wide communications services whether by radio, television, wire, satellite, or cable. 3/ The Consolidated Appropriations Act, 2008 (P.L. 110-161) authorizes use of $21.5M to be used by the Office of the Inspector General for USF Audit Support. In FY 2008 - FY 2012, $12.2M was obligated. The remaining $9.3M has been carried forward, as follows: $5.0M is estimated to be used in FY 2013, and $4.3M will be used for future fiscal years. Subtotal: Budget Authority Offsetting Collections - 4 - FY 2014 PROPOSED APPROPRIATION LANGUAGE For necessary expenses of the Federal Communications Commission, as authorized by law, including uniforms and allowances therefore, as authorized by 5 U.S.C. §§ 5901-5902; not to exceed $4,000 for official reception and representation expenses; purchase and hire of motor vehicles; special counsel fees; and services as authorized by 5 U.S.C. § 3109, $359,299,000, to remain available until expended: Provided, That $359,299,000 of offsetting collections shall be assessed and collected pursuant to section 9 of title I of the Communications Act of 1934, shall be retained and used for necessary expenses and shall remain available until expended: Provided further, That the sum herein appropriated shall be reduced as such offsetting collections are received during fiscal year 2014 so as to result in a final fiscal year 2014 appropriation estimated at $0: Provided further, That any offsetting collections received in excess of $359,299,000 in fiscal year 2014 shall not be available for obligation: Provided further, That remaining offsetting collections from prior years collected in excess of the amount specified for collection in each year and otherwise becoming available on October 1, 2013, shall not be available for obligation: Provided further, That, notwithstanding 47 U.S.C. § 309(j)(8)(B), proceeds from the use of a competitive bidding system that may be retained and made available for obligation shall not exceed $89,400,000 for fiscal year 2014, including not to exceed $705,897 for obligation by the Office of the Inspector General: Provided further, That, of the amount appropriated under this heading, not less than $11,089,340 shall be for the salaries and expenses of the Office of Inspector General. - 5 - Legislative Proposals The Administration is proposing legislative changes in the President’s FY 2014 Budget that pertain to the FCC and that are designed to improve spectrum management and represent sound economic policy. The proposed legislative changes are included below. Spectrum License User Fee To promote efficient use of the electromagnetic spectrum, the Administration proposes to provide the FCC with express authority to use other economic mechanisms, such as fees, as a spectrum management tool. The FCC would be authorized to set user fees on unauctioned spectrum licenses, which could be useful in certain instances. Fees would be phased in over time to determine the appropriate application and level for fees. Fee collections are estimated to begin in 2013, and total $4.8 billion through 2023. Repurpose 1675 -1680 Megahertz using Auction or Fee Authority The Administration proposes to direct that the FCC use either auction or fee authority to repurpose spectrum frequencies between 1675-1680 megahertz for wireless broadband use by 2017, subject to sharing arrangements with Federal weather satellites. Currently, the spectrum is being used for radiosondes (weather balloons). A new weather satellite that is scheduled for launch in 2015 will operate in adjacent frequencies. If this proposal is enacted, the National Oceanic and Atmospheric Administration would move the radiosondes to another frequency, allowing the spectrum to be repurposed for commercial use with limited protection zones for the remaining weather satellite downlinks. Without this proposal, these frequencies are unlikely to be repurposed to commercial use. The proposal is expected to raise $230 million over the next 10 years. Auction Domestic Satellite Service Spectrum Licenses The FCC would be allowed to assign licenses for certain satellite services that are predominantly domestic through competitive bidding, as had been done before a 2005 court decision called the practice into question on technical grounds. The proposal is expected to raise $50 million from 2013- 2023. - 6 - (Dollars in Thousands ($000)) FTEs Appropriation FTEs Congressional FTEs Congressional Actuals (Note 1) Request Request Chairman and Commissioners………….……….. 25 $4,278 31 $5,509 31 $5,508 Consumer & Governmental Affairs Bureau …... 172 25,827 167 25,109 167 26,815 Enforcement Bureau ………………………………… 267 44,546 265 48,338 265 46,251 International Bureau……………………….………… 121 21,549 120 21,268 120 21,427 Media Bureau …………………………………...….. 183 27,947 180 28,294 180 28,051 Public Safety & Homeland Security Bureau …… 111 17,997 112 19,109 112 18,262 Wireless Telecommunications Bureau …………… 218 16,326 220 16,654 220 16,800 Wireline Competition Bureau …………...…..…… 160 27,858 176 30,656 217 37,934 O ffice of Administrative Law Judges ….…………. 3 386 4 545 4 550 O ffice of Commun. Business O pportunities …….. 12 2,375 12 2,003 12 2,015 O ffice of Engineering & Technology………………. 80 13,777 85 14,268 85 13,893 O ffice of the General Counsel …………………….. 70 12,746 73 13,611 73 13,734 O ffice of Legislative Affairs ……………………… 13 2,106 12 2,097 12 2,107 O ffice of the Managing Director ………………….. 203 104,061 219 102,202 223 106,421 O ffice of Media Relations ………………………… 16 2,717 16 2,501 16 2,525 O ffice of Strategic Planning & Policy Analysis…. 26 3,932 33 5,037 33 5,079 O ffice of Workplace Diversity ……………………. 5 803 5 829 5 837 FCC SUBTO TAL 1,685 $329,232 1,730 $338,032 1,775 $348,210 O ffice of Inspector General …..……………………….. 40 9,455 46 8,750 46 11,089 FCC TO TAL 1,725 $338,687 1,776 $346,782 1,821 $359,299 SUMMARY OF FY 2012 - FY 2014 FULL-TIME EQUIVALENTS (FTEs) AND FUNDING Note 1: The FTE number for FY 2013 has changed from the FY 2013 Congressional budget as it no longer reflects the higher FTE ceiling; instead it reflects the actual FTE number that is expected to be employed. FY 12 FY 13 FY 14 - 7 - Competition Continual Public Safety & Broadband Consumers & Innovation Improvement Homeland Sec International Total 12 12 12 12 12 12 12 Commissioners O ffices 2 6 11 2 3 1 25 Bureaus Consumer & Governmental Affairs 21 95 29 15 12 0 172 Enforcement 1 116 65 8 75 2 267 International 10 1 67 3 5 35 121 Media 4 2 164 10 3 0 183 Public Safety & Homeland Security 7 0 16 2 86 0 111 Wireless Telecomm. 50 3 134 23 7 1 218 Wireline Competition 47 35 74 3 1 0 160 Subtotal Bureaus 140 252 549 64 189 38 1,232 O ffices Admin. Law Judges 0 3 0 0 0 0 3 Comm. Business Ops. 1 2 9 0 0 0 12 Engineering and Tech. 6 0 69 3 2 0 80 General Counsel 11 9 41 2 7 0 70 Legislative Affairs 7 1 5 0 0 0 13 Managing Director 5 13 31 149 4 1 203 Media Relations 0 0 0 16 0 0 16 Strategic Planning/ Policy Analysis 8 0 14 2 2 0 26 Workplace Diversity 0 0 0 5 0 0 5 Subtotal O ffices 38 28 169 178 14 1 428 Subtotal 180 286 729 244 206 40 1,685 Inspector General 7 13 0 20 0 0 40 Totals 187 299 729 264 206 40 1,725 FY 2012 Full-Time Equivalent (FTE) Distribution by Goal - 8 - 13 14 13 14 13 14 13 14 13 14 13 14 13 14 13 14 13 14 Commissioners O ffices 2 2 2 2 7 7 2 2 8 8 4 4 3 3 3 3 31 31 Bureaus Consumer & Governmental Affairs 15 15 9 9 93 93 3 3 19 19 10 10 8 8 10 10 167 167 Enforcement 1 1 10 10 116 116 9 9 46 46 67 67 12 12 6 6 265 265 International 7 7 3 3 1 1 42 42 47 47 5 5 13 13 2 2 120 120 Media 3 3 4 4 2 2 16 16 113 113 3 3 32 32 8 8 180 180 Public Safety & Homeland Security 5 5 11 11 0 0 2 2 11 11 78 78 4 4 2 2 112 112 Wireless Telecomm. 35 35 18 18 3 3 14 14 94 94 6 6 32 32 17 17 220 220 Wireline Competition 40 81 10 10 38 38 7 7 55 55 2 2 22 22 2 2 176 217 Subtotal Bureaus 105 146 65 65 253 253 93 93 384 384 170 170 123 123 47 47 1,240 1,281 O ffices Admin. Law Judges 0 0 0 0 4 4 0 0 0 0 0 0 0 0 0 0 4 4 Comm. Business Ops. 1 1 0 0 2 2 1 1 6 6 0 0 2 2 0 0 12 12 Engineering and Tech. 6 6 3 3 1 1 7 7 48 48 2 2 15 15 2 2 85 85 General Counsel 8 8 4 4 9 9 4 4 31 31 6 6 9 9 2 2 73 73 Legislative Affairs 4 4 1 1 1 1 1 1 4 4 0 0 2 2 0 0 12 12 Managing Director 5 8 39 39 13 13 5 5 22 22 6 6 7 7 124 124 219 223 Media Relations 0 0 4 4 0 0 0 0 0 0 0 0 0 0 12 12 16 16 Strategic Planning/ Policy Analysis 8 8 2 2 1 1 2 2 11 11 2 2 6 6 2 2 33 33 Workplace Diversity 0 0 1 1 0 0 0 0 0 0 0 0 1 1 3 3 5 5 Subtotal O ffices 31 34 55 55 31 31 20 20 121 121 16 16 42 42 144 144 459 463 Subtotal 138 183 122 122 291 291 115 115 513 513 189 189 168 168 193 193 1,730 1,775 Inspector General 6 6 7 7 14 14 1 1 1 1 1 1 1 1 15 15 46 46 Totals (Note 1) 144 189 130 130 305 305 116 116 514 514 190 190 169 169 208 208 1,776 1,821 FY 2013 - FY 2014 Full-Time Equivalent (FTE) Distribution by Goal Note 1: The FTE number for FY 2013 has changed from the FY 2013 Congressional budget as it no longer reflects the higher FTE ceiling; instead it reflects the actual FTE number that is expected to be employed. Connect America Maximize Benefits of Spectrum Consumers America's Global Competitiveness Protect & Empower Operational Excellence Promote Competition Total Public Safety & Homeland Security Adance Key National Purposes - 9 - - 10 - FY 2013 FY 2014 Net Change From Cong. Request Cong. Request FY 2013 Request Offsetting Collections $338,032 $348,210 $10,178 Offsetting Collections - OIG 8,750 11,089 2,339 Total Offsetting Collection/Spending Authority $346,782 $359,299 $12,517 FCC Full-time Equivalents 1,730 1,775 45 FCC-OIG Full-time Equivalents 46 46 0 Total Full-time Equivalents 1/ 1,776 1,821 45 FCC - Commission without Office of the Inspector General Amount Inflationary Increases to Base: Salary Increases - Pay Raise (1%) $2,073 Non Salary Increases (2%) $1,768 Subtotal $3,841 Adjustments to the Base: FY 2013 One-Time Cost ($10,600) Decreases to the Base 2/ ($2,000) Support for Reforms of the Universal Service Fund Support Programs $10,877 Increase to the Base Continuity of Operations Plan (COOP) $520 Increase to the Base Public Safety Answering Points (PSAP) - Do Not Call Registry $500 Subtotal ($703) Programmatic Increases: Space Consolidation & Facilities Improvements $4,750 PSAP - Do Not Call $1,000 IT Storage Expansion $1,290 Subtotal $7,040 FCC Subtotal - without Office of the Inspector General $10,178 FCC - Office of the Inspector General Inflationary Increases to Base: Salary Increases - Pay Raise (1%) $60 Non Salary Increases (2%) $39 Subtotal $99 Adjustments to the Base: Contract Services $1,470 $1,470 Programmatic Increases: Contract Services $770 Subtotal $770 FCC-OIG Subtotal $2,339 Total FCC & OIG Change to Offsetting Collections $12,517 SUMMARY OF CHANGES ($ in thousands) 1/ The FTE number for FY 2013 has changed from the FY 2013 Congressional budget as it no longer reflects the higher FTE ceiling; instead it reflects the actual FTE number that is expected to be employed. 2/ The $2M decrease to the base reflects reductions to travel, telecommunications, contracts and other expenses. Explanation of Changes - 11 - Narrative Explanation of Increases and Decreases Inflationary Increases to Base $3,939,920 1. Personnel Compensation and Benefits. The requested $2.1M provides funding for an estimated 1% pay raise in FY 2014 as well as health benefit increases, effective January 2014, and has been developed in accordance with OMB economic assumptions. 2. Non-salary increases. The requested $1.8M provides expected inflationary increases for space rentals (GSA and non-GSA facilities), phones, utilities, printing and reproduction services, contractual services, and supplies. These increases are developed in accordance with OMB guidelines for projected inflationary costs (2.0%). Other Increases to Base $13,367,080 1. Additional Contract Services: $1,470,080 The Office of Inspector General (OIG) is requesting an additional $1,470,080. This baseline increase provides the Inspector General funding for mandated requirements and recurring costs for maintaining OIG information technology (IT) systems, software license, FCC CIO IT technical support, other recurring costs, and for performing recurring oversight audits of FCC programs and required investigational legal support. 2. Continuity of Operations Plan (COOP): $520,000 The Commission must provide for its mission-critical systems to be redundant and fully operational in a Continuity of Operations (COOP) event. The Commission has many (over 20) mission-critical IT systems and is taking an on-going review, starting with the highest priority ones, to determine what actions are needed to be fully operational in such an event. In the past two years the FCC has assessed two of its most important mission-critical systems, the Universal Licensing System (ULS) and the Office of Engineering and Technology’s Frequency Assignment System (OFACS). The ULS is an interactive licensing database system used to track wireless licenses and to process and approve new applications, including emergency applications during disasters. This system is used for both commercial and public safety licenses. The ULS enables the FCC, public safety frequency coordinators, and the public to efficiently search for application and license information. The OFACS is also essential for the conduct of the FCC’s spectrum management and coordination responsibilities. OFACS enables FCC spectrum personnel to access all major FCC spectrum license databases and to provide frequency assignment records to the National Telecommunications and Information Administration (NTIA), our primary partner in the conduct of the Nation’s spectrum management activities. In order for the Commission to conduct its regular business in emergencies, ULS and OFACS must be capable of operating at both Commission headquarters and at the Commission's COOP site. ULS and OFACS are especially important during major disasters when the FCC receives numerous special requests for emergency use of radio systems and spectrum that must be processed rapidly to address safety of life and communications recovery issues. - 12 - Maintaining ULS and OFACS in emergency situations is particularly important because licensees frequently require issuance of Special Temporary Authority (STA) during emergencies to address recovery issues. ULS and OFACS also provide contact information that assists recovery agencies in reaching out to licensees. 3. Public Safety Answering Points (PSAP) Do Not Call Registry: $500,000 Section 6507 of the Middle Class Tax Relief and Job Creation Act of 2012 requires the FCC to create a Do-Not-Call registry for telephone numbers used by Public Safety Answering Points (PSAPs), and to prohibit the use of automatic dialing equipment to contact those numbers. PSAPs are facilities that have been designated to receive emergency calls and route them to emergency service personnel. On May 22, 2012, the FCC released a Notice of Proposed Rulemaking initiating a proceeding to create such a registry. Under the statute, verified PSAP administrators or managers must be able to place onto the PSAP registry telephone numbers that are used for the provision of emergency services or for communications between public safety agencies. The FCC requests $500,000 for FY 2014 in order to provide operation and maintenance on an annual basis. The FCC has also requested $1,000,000 as a one-time initiative for PSAP in FY 2014. 4. Support for Reforms of the Universal Service Fund Support Programs $10,877,000 This request will support the Commission’s work to modernize and reform the Universal Service Fund (USF) Support programs. Since 2009, the Commission has taken major steps to modernize the four USF support programs with a particular emphasis on improving broadband connectivity nationwide. In 2010, the Commission undertook fundamental reform of the rural portion of the USF program to repurpose approximately $4.5 billion annually to provide broadband to all Americans, including the more than 19 million unserved homes. In 2011, the Commission reformed the Lifeline program, which provides basic phone service to low-income families, realizing cost savings of more than $200 million in the past year and repurposing a portion of those savings to initiate a pilot program to provide broadband to low-income families. Also in 2011, the Commission undertook reform of the under-utilized program that provides broadband connectivity to non-profit rural health care providers, allowing them to realize cost savings through increased use of telemedicine under-utilized program. More resources are required to continue the Commission’s work to modernize USF, implement reforms, and increase its oversight of the newly-reformed programs. This request will support funding for additional staff including, attorneys, economists, IT specialists, program managers, and technologists. Decreases to Base 1. Decreases to Base $2,000,000: The FCC has taken steps to find efficiencies and savings when possible. The $2M reflects where we have identified efficiencies and savings in travel, telecommunications, contracts, and other expenses. New Programmatic Performance Initiatives 1. Commission-wide Information Technology: $1,290,000 Storage Expansion ($1.290M): The FCC needs to expand the tiered enterprise storage solution to include off-site external storage providers, lower cost storage servers, distributed file - 13 - systems, and off-site backup and replication technologies. The solution will be able to seamlessly move and access data stored in multiple locations through multiple providers without impacting the users or business applications in the Commission. The system will be scalable at all levels and storage locations and provide for improved disaster recovery and COOP capabilities. 2. Bureaus and Office: $6,520,000 Space Consolidation & Facilities Improvement ($4.8M): Consistent with a 2010 Executive Order, the FCC is working to reduce lease arrangements that are not cost effective. The FCC’s goal is to consolidate our two headquarters offices into one building and by doing so cut significantly our lease expenditures. We recently completed a minor office consolidation that resulted in an overall savings of approximately $1 million a year. Consolidating FCC Headquarters personnel into one building is a much more expansive undertaking that will involve architecture, design, furniture, facilities upgrades, and many other components. This effort will eliminate the more than $2.7 million in annual rent paid for our Portals I facility, will cut the FCC’s per employee expenditures on space, and will reduce dramatically unused and inefficiently used space in our Portals II Headquarters facility. Part of our Enforcement Bureau Field Operations, equipment, and staff are located at the FCC’s Columbia, MD, campus in an historic building (previously a “farmhouse”). The FCC continues to house employees and equipment in this aging facility, and it should undergo a significant renovation. This extensive work would require replacement of walls, ceilings, floors, mechanical and electrical systems, and other equipment. The “farmhouse” is a historical building, and as a result has presented challenges to any efforts to upgrade the facility. Because of this special designation, the age of the building, and the critical nature of the work performed at the facility, renovating the farmhouse would be a significant undertaking. The HVAC system at the technology lab in Columbia, MD (the “Lab”), is operated by three roof top HVAC units that were installed in 1989. The equipment has far surpassed its service life expectancy of 15 years. There is no service agreement on these units. Over the past several years, the system has experienced numerous breakdowns which have resulted in costly repairs. In 2004, the FCC contracted with an engineering firm to conduct an assessment of HVAC needs of the Lab. The assessment report recommended that the entire system be replaced. The Commission has a number of long outstanding high value capital improvement projects that must be addressed. These include facilities upgrades to the Columbia, MD, location and other field locations. Columbia, MD, upgrades needed include the following: security upgrades for the electronic gate; energy efficiency upgrades for the OET technology lab; construction of an aluminum carport for tractor; fence repair and tree removal; replacement of carpeting; and replacement of office furniture. In certain field locations, the Commission also needs to do the following: replace/repair falling gates and fences for security purposes; test and upgrade fire alarm systems; repair roads to enable safe passage of vehicles; replace old generator and diesel maintenance; install new locks on all doors; replace dilapidated front doors; remove dangerous trees and re-landscape grounds; re-grade and repave facilities to alleviate flooding; and replace carpet in multiple facilities. - 14 - Public Safety Answering Points (PSAP) Do Not Call Registry ($1.0M): Section 6507 of the Middle Class Tax Relief and Job Creation Act of 2012 requires the FCC to create a Do-Not- Call registry for telephone numbers used by Public Safety Answering Points (PSAPs) and prohibit the use of automatic dialing equipment to contact those numbers. PSAPs are facilities that have been designated to receive emergency calls and route them to emergency service personnel. On May 22, 2012, the FCC released a Notice of Proposed Rulemaking initiating a proceeding to create such a registry. Under the statute, verified PSAP administrators or managers must be able to place onto the PSAP registry telephone numbers that are used for the provision of emergency services or for communications between public safety agencies. The FCC requests $1,000,000 for FY 2014 in order to execute contractual arrangements to build and launch the registry. The FCC has also requested $500,000 as a base budget increase in the FY 2014 budget. Audit Related & Investigation ($770K): INSPECTOR GENERAL REFORM ACT of 2008; 122 STAT. 4302 PUBLIC LAW 110-409 - OCT. 14, 2008; Public Law 110-409; 110th Congress (f)(1). For each fiscal year, an Inspector General shall transmit a budget estimate and request to the head of the establishment or designated Federal entity to which the Inspector General reports. The budget request shall specify the aggregate amount of funds requested for such fiscal year for the operations of the Inspector General, and shall specify the amount requested for all training needs, including a certification from the Inspector General that the amount requested satisfies all training requirements for the Inspector General's office for that fiscal year, and any resources necessary to support the Council of the Inspectors General on Integrity and Efficiency shall be specifically identified and justified in the budget request. The Office of Inspector General (OIG) FY 2014 budget request includes funds necessary to perform regulatory and mandated audits, as well as several audit initiatives of FCC programs that are a priority to OIG. These audits will strengthen OIG program and FCC operations oversight. In addition, the budget request contains funds for supporting ongoing and future litigation and legal support. In recent years, working with the Department of Justice (DOJ), the OIG investigative teams have produced a high volume of legal documents, data, and other litigation support for cases referred to the DOJ. This increased case involvement improves the validity of cases referred and assists DOJ in moving the case to prosecution. OIG needs contracted support to meet the high volume and demand for litigation and legal support. - 15 - Economy Act Reimbursable Agreements In FY 2012, the Commission earned approximately $5.4M in Economy Act Reimbursable Agreements with other Federal agencies, of which the National Telecommunications Information Administration (NTIA) holds the largest agreement in the amount of $2.8M. The Commission has agreements ranging from $45K to $1.3M with other agencies such as Broadcasting Board of Governors, Department of State, and Department of Justice, General Services Administration, and many others. The Commission estimates that in FY 2013 and FY 2014, reimbursable agreements will total close to $6M per year. PERFORMANCE PLAN - 16 - FCC PERFORMANCE PLAN OVERVIEW: FCC STRATEGIC GOALS - 2012 THROUGH 2016 As specified in section one of the Communications Act of 1934, as amended, the FCC’s mission is to “make available, so far as possible, to all the people of the United States, without discrimination on the basis of race, color, religion, national origin, or sex, rapid, efficient, Nation-wide, and world-wide wire and radio communication service with adequate facilities at reasonable charges.” 1 In addition, section one provides that the Commission was created “for the purpose of the national defense” and “for the purpose of promoting safety of life and property through the use of wire and radio communications.”2 The FCC issued a new Strategic Plan for FY 2012 - 2016. The strategic goals and performance goals shown below reflect the new Plan. Strategic Goal 1: Connect America Maximize Americans’ access to – and the adoption of—affordable fixed and mobile broadband where they live, work, and travel. Strategic Goal 2: Maximize Benefits of Spectrum Maximize the overall benefits of spectrum for the United States. Strategic Goal 3: Protect and Empower Consumers Empower consumers by ensuring that they have the tools and information they need to make informed choices; protect consumers from harm in the communications market. Strategic Goal 4: Promote Innovation, Investment, and America’s Global Competitiveness Promote innovation in a manner that improves the nation’s ability to compete in the global economy, creating a virtuous circle that results in more investment and in turn enables additional innovation. Strategic Goal 5: Promote Competition Ensure a competitive market for communications and media services to foster innovation, investment, and job creation and to ensure consumers have meaningful choice in affordable services. Strategic Goal 6: Public Safety and Homeland Security Promote the availability of reliable, interoperable, redundant, rapidly restorable critical communications infrastructures that are supportive of all required services. Strategic Goal 7: Advance Key National Purposes Through international and national interagency efforts, advance the use of broadband for key national purposes. Strategic Goal 8: Operational Excellence Make the FCC a model for excellence in government by effectively managing the Commission’s human, information, and financial resources; by making decisions based on sound data and analyses; and by maintaining a commitment to transparent and responsive processes that encourage public involvement and best serve the public interest. 1 47 U.S.C. § 151. 2 Id. - 17 - WHAT THE FCC COMMITS TO ACCOMPLISH IN FY 2014 In carrying out its strategic goals, the FCC has identified the following outcomes it will strive to accomplish in FY 2014. Each outcome is stated as a performance goal and each of the 27 outcome-focused performance goals has associated performance targets. When reviewing the information on the following pages, the reader should note that the FCC, through its regulatory activities, influences numerous economic and social outcomes. However, since consumer choice, technological innovation, economic conditions, and international negotiations can all have an effect on outcomes, the FCC’s approach to connecting its strategic goals to its performance measures includes only those factors within the FCC’s control. CONNECT AMERICA Performance Commitments and Metrics Outcome-oriented Performance Goal 1.1: Maximize broadband adoption by promoting affordability and removing other barriers to adoption by all Americans, including those with low incomes and disabilities. Targets with Subordinate Measures: (1) Support and facilitate the development, deployment, and adoption of broadband services across multiple platforms. • Carry out rulemakings, spectrum reallocation, and license modifications as needed to ensure that the growing demand for wireless broadband services, including satellite-delivered broadband, is met. • Expeditiously review and issue spectrum licenses to qualified auction winners, promoting the expanded deployment of broadband services. • Take concrete steps to increase broadband availability and innovative uses of broadband in addressing critical national priorities. • Complete the Broadband Adoption Lifeline Pilot Program and analyze project reports and data gathered during pilot program. • Initiate rulemakings and other actions as necessary to implement the statutory mandates of the Public Safety Spectrum Act. Outcome-oriented Performance Goal 1.2: Maximize availability of fixed and mobile broadband to all Americans and community anchor institutions, including in rural and insular areas and Tribal lands, while ensuring that universal service programs are efficient, effective, and impose no greater burden on consumers and businesses than necessary. Target with a Subordinate Measure: (1) Work in partnership with state, local, and tribal governments, consumer groups and industry to promote broadband availability to all Americans, including consumers in rural and high cost areas and individuals with disabilities. • In coordination with state, local, and tribal governments, consumer and industry groups, conduct outreach activities to educate the public concerning the Commission’s broadband initiatives, including those promoting universal service. • Work collaboratively across FCC Offices and Bureaus to identify and address Tribal and Native Community communications issues, including barriers to entry that operate against Tribal broadband deployment and adoption. • Coordinate with other Federal Government agencies on rules and policies designed to achieve access by people with disabilities to communications and information technologies. • Convene the FCC Native Nations Broadband Task Force on at least a quarterly basis. - 18 - (2) Continue reform of the universal service program to reflect technological developments and changes in the market. (2) Oversee implementation of reforms resulting in disbursements from the Connect America Fund. • Enhance access to broadband connectivity for health care providers through reform of Rural Health Care universal service support mechanism. (3) Promote and advance universal service through enforcement of the Commission’s rules governing the Universal Service Fund. • Promote and advance universal service by reviewing 100% of referrals from the Commission’s Office of Inspector General and taking enforcement action where appropriate in cases of non- compliance. • Pursue complaints or other reports of fraud, waste, or abuse in the universal service programs. • Report at least annually on USF enforcement actions. Outcome-oriented Performance Goal 1.3: Enable the private sector to accelerate the deployment and expansion of broadband networks by minimizing regulatory and other barriers to broadband build out. Targets with Subordinate Measures: (1) Employ strategies to encourage investment in networks and services by existing providers, while encouraging participation in broadband markets by new and non-traditional participants. • Initiate or complete rulemaking actions that provide opportunities for innovations in broadband services. • Coordinate with industry and academia to identify research opportunities and impediments towards broadband deployment. • Review and revise, as necessary, the Commission’s rules and policies to promote broadband investment and innovation. (2) Maintain efficient licensing and facilities siting processes to encourage and facilitate rapid deployment of broadband infrastructure. • Process 90% of routine license applications for wireless broadband services within 90 days of receipt. • Resolve in a timely fashion all communications tower and antenna siting issues that impede the deployment of broadband infrastructure and services. • Work with stakeholders to expand the reach and reduce the cost of broadband deployment by improving government policies for access to rights of way and wireless facilities siting. (3) Vigorously enforce policies and regulations that promote the deployment and adoption of all broadband technologies, and defend those policies and regulations against legal challenges. • Promote the availability of broadband to all Americans by taking action, in all appropriate cases, consistent with applicable statutes of limitation and other deadlines, on consumer inquiries and complaints received regarding broadband availability. • Take enforcement action in appropriate cases to deter anti-competitive practices that could affect the deployment of broadband technologies Outcome-oriented Performance Goal 1.4: Measure and monitor the country’s progress on broadband. Targets with Subordinate Measures: (1) Measure and report on progress towards the goals of ensuring that broadband is being deployed to and adopted by all Americans in a reasonable and timely fashion. • Monitor and, as appropriate, revise metrics for determining the extent to which broadband is being deployed in a reasonable and timely fashion. • Educate consumers about delivered speeds and performance of broadband networks and make data publicly available to facilitate informed competitive service choices. - 19 - Means and Strategies for Accomplishing Performance CONNECT AMERICA Processes Skills Technology ? Rulemaking ? Enforcing the Communications Act and the Commission’s rules. ? Industry analysis ? Data collection ? Technology analysis ? Licensing ? Auctions ? Stakeholder outreach ? Understanding of relevant law ? Ability to analyze competition in broadband markets ? Assessing likely scenarios for convergence of varied technologies ? Assessing technical feasibility of emerging technologies ? Understanding of current technologies and their respective markets ? Auditing, investigating and enforcing (including on-scene investigative capability) ? Electronic Commission Lifecycle Agenda Tracking System (eCLAS) ? Universal Licensing System (ULS) ? Consumer Complaints Management System (CCMS) ? Enforcement Bureau Automated Tracking System (EBATS) ? Electronic Document Management System (EDOCS) ? Electronic Comment Filing System (ECFS) ? Electronic Tariff Filing System ? International Bureau Filing System (IBFS/MyIBFS) ? Fee Filer ? Desktop/Network Document Development and Data Access Tools ? Form 477 Data Collection System ? Tower Construction Notification System ? OFACS (coordination database) ? FCC Auction System ? Electronic 106 Filing System (E- 106) - 20 - MAXIMIZE BENEFITS OF SPECTRUM Performance Commitments and Metrics Outcome-oriented Performance Goal 2.1: Develop and implement flexible, market-oriented spectrum allocation and assignment policies that promote innovation, investment, jobs and consumer benefits, including ensuring meaningful availability of unlicensed spectrum. Targets with Subordinate Measures: (1) Pursue spectrum allocation and license assignment policies to achieve the effective and efficient use of spectrum. • Conduct auctions of licenses for electromagnetic spectrum as directed through statutory mandate or Commission decision. • Complete transfer of all eligible auctions revenues to the U.S. Treasury within 30 days of license grant. • Provide opportunities for innovative and experimental use of spectrum. • Coordinate frequency assignments and rulemakings with Federal agencies such as NTIA. (2) Conduct effective and timely spectrum licensing and equipment authorization activities. • Process 95% of routine spectrum license applications within 90 days of receipt. • Process 95% of public safety spectrum license applications within 90 days of receipt • Process 90% of applications for equipment approvals and experimental authorizations within 90 days of receipt. • Take enforcement action in appropriate cases against violations of spectrum-related rules, such as interference and unauthorized use of frequencies. (3) Provide guidance and training to the recognized Telecommunications Certification Bodies (TCBs) to review equipment authorization applications on a consistent basis. a. Conduct at least two workshops and other training sessions. Outcome-oriented Performance Goal 2.2: Develop and implement policies that support highly efficient use of spectrum. Targets with Subordinate Measures: (1) Facilitate the deployment of new or existing services and devices that use spectrum efficiently and effectively now and for the future. • Review and revise, as necessary, the Commission’s spectrum allocation, auctions, licensing and technical rules and establish policies that promote the development of new technologies and the provision of new or improved terrestrial and satellite communication services. • Develop Commission policies and adopt items that promulgate policies designed to increase consumers’ competitive choices for broadband, domestic and international wireline and wireless services, and multichannel video programming equipment and services. • Review, process and resolve in a timely manner applications for transfer of control and assignment of licenses, as well as applications to discontinue service. • Analyze space station licensees’ compliance with system implementation milestones and take action, where necessary, to make unused spectrum available to new applications. (2) Enforce the Commission’s licensing and technical regulations, including limitations on power outputs, antenna and tower height, and build-out requirements, to ensure that licensees and operators of unlicensed devices are using spectrum efficiently and effectively. • Continue an aggressive program of inspections and investigations by agents in the field to help maximize compliance with the Commission’s licensing and technical requirements. (3) Take enforcement action in appropriate cases against violations of spectrum-related rules, including harmful interference and unauthorized operation. • Conduct timely on-scene investigations to resolve instances of harmful interference and help ensure the reliability of the communications infrastructure. - 21 - • Investigate and take appropriate enforcement action against “pirate” broadcasters and other unlicensed operators, unauthorized operation and non-conform radio frequency equipment. • Take concrete steps to investigate and limit disruptions to authorized spectrum users caused by signal jamming devices. • Conduct routine inspections and audits of radio facilities, cable systems, and antenna structures. • Provide a reliable, close-in direction finding capability (i.e., the ability to locate sources of harmful interference) for the civil sector. Outcome-oriented Performance Goal 2.3: Serve as a resource domestically and internationally on issues involving use and management of our spectrum resources. Targets with Subordinate Measures: (1) Actively participate in bilateral and multilateral global discussions and debate on issues in coordination with other U.S. governmental agencies related to competition and universal access, including access for people with disabilities. • Participate in meetings and conferences with foreign regulators to foster competition in foreign markets and promote universal service policies. • Meet with NTIA and the Department of State as necessary to coordinate U.S. positions related to competition and universal access, including access for people with disabilities. • Negotiate harmful, cross-border interference issues relating to licensed radio systems operating on the borders with Canada and Mexico. (2) Maintain an efficient licensing process for international Section 214 authorizations and cable landing licenses. • Process 90% of streamlined Section 214 applications within 90 days; process 90% of non- streamlined Section 214 applications within 292 days, except those applications pending over 292 days as a result of Executive Branch national security review. • Process 90% of streamlined Submarine Cable Landing License applications within 180 days; process 90% of non-streamlined Submarine Cable Landing License applications within 292 days, except those pending over 292 days as a result of Executive Branch national security review. (3) Encourage technological innovation in satellite-based technologies and the efficient use of spectrum. • Continue to streamline and reform Part 25 rules and requirements to facilitate the rapid deployment of satellite-based services and encourage technological innovation. • Process earth station application within an average of 112 days. • Process space station applications within an average of 270 days. (4) Reform Commission policies and processes for reviewing foreign ownership in U.S. licensees: • Carry out rulemaking proposing reforms. (5) Coordinate with appropriate executive branch agencies international applications and petitions from applicants having foreign ownership. • Coordinate applications and petitions on a bi-weekly basis. - 22 - Means and Strategies for Accomplishing Performance MAXIMIZE BENEFITS OF SPECTRUM Processes Skills Technology ? Spectrum auctions ? Rulemaking ? Enforcing the Communications Act and the Commission’s rules. ? Industry analysis ? Data collections ? Licensing ? Engineering analysis ? Inter-governmental and international negotiations ? Ability to plan and conduct auctions for limited spectrum resources ? Understanding economic and technology aspects of the telecommunications industry ? Perspective and innovative thinking in order to encourage the best use of spectrum while maintaining appropriate protections for public safety and national security ? Auditing, investigating and enforcing (including on-scene investigative capability) ? Forecasting changing needs of and expectations toward underserved groups ? Understanding of relevant law ? FCC Auction System ? International Bureau Filing System (IBFS/MyIBFS) ? Experimental Licensing Filing System ? Universal Licensing System (ULS) ? Enforcement Bureau Automated Tracking System (EBATS) ? Electronic Commission Lifecycle Agenda Tracking System (eCLAS) ? Electronic Document Management System (EDOCS) ? Electronic Comment Filing System (ECFS) ? Fee Filer ? Desktop/Network Document Development and Data Access Tools ? KDB (OET Knowledge Data Base) - 23 - PROTECT AND EMPOWER CONSUMERS Performance Commitments and Metrics Outcome-oriented Performance Goal 3.1: Promote transparency and disclosure. Targets with Subordinate Measures: (1) Ensure that FCC policy, rulemaking, and enforcement documents clearly explain the basis for decisions to Congress, key constituencies, and the public. • Decision documents will cite relevant facts and data, and sources for that information, to convey the basis for decisions. (2) Support and encourage policies and regulations to ensure that consumers receive consistent treatment and protections across technologies and platforms, and across FCC bureaus and offices. • Review and recommend revisions, as necessary, to the Commission’s enforcement and consumer protection rules and policies. • Utilize advisory committees, task forces, and intergovernmental groups to foster communications and coordination with industry representatives, consumer groups, and representatives of other governmental entities. • Review and revise, as necessary, FCC consumer publications. • Foster collaborative efforts across all FCC bureaus and offices to promote consistent treatment and protections across technologies and platforms in Commission proceedings. • Review carrier tariff filings for compliance with Commission rules and statutory requirements. (3) Inform the public about enforcement issues. • Use Enforcement Advisories and the agency’s website to educate consumers and FCC regulatees about FCC requirements and the associated penalties for violation of those requirements. (4) Evaluate and report on consumer complaints regarding communications services. • Make information publicly available about the top subject areas for consumer inquiries and complaints filed with the Commission, including the number and type of consumer complaints. • Report to Congress on the level of compliance with the communications provisions of the Twenty-First Century Communications and Video Accessibility Act and the extent to which accessibility barriers continue to exist for persons with disabilities. (5) Promote an environment in which consumers have a positive, efficient and effective experience with the Commission's call centers and website. • Review call center and website trends and make enhancements and improvements, as necessary, to increase consumer awareness of the rights of consumers in the competitive communications marketplace. • Continue implementation of system and process enhancements for the Commission’s complaint and inquiries system and database to increase their efficiency and effectiveness. • Continue implementation of system and process enhancements to the Commission’s website, including launch of the first FCC mobile site. (6) Ensure that individuals and organizations have maximum opportunities for civic engagement to provide information, data and opinions concerning FCC matters across a wide array of information gathering platforms. • Further enhance the FCC’s web presence and social media environment to provide information and involve more entities in the decision making process. • Use workshops, focus groups and other means to solicit input to improve public participation. • Test and, where appropriate, implement new applications to enhance the public’s involvement and experience with engaging the FCC. • Convene the Consumer Advisory Committee at least twice by 9/30/14. • Convene the Intergovernmental Advisory Committee at least twice by 9/30/14. - 24 - Outcome-oriented Performance Goal 3.2: Act swiftly and consistently in the use of enforcement authority to protect consumers. Targets with Subordinate Measures: (1) Enforce the Commission's policies that promote the competitive provisions of the Communications Act of 1934, as amended, and the Commission’s rules, and defend against legal challenges. • Ensure that consumers realize the benefits of competition by compiling a complete record and working toward resolution of all formal complaints within one year. • Promote competition in the communications industry by taking action, where appropriate, consistent with applicable statutes of limitation and other deadlines on all complaints filed with the FCC alleging violations of the competition provisions of the Act and the Commission’s rules. • Promote the integrity of the communications infrastructure by taking action, where appropriate, consistent with applicable statutes of limitation and other deadlines, on complaints alleging violations of the Commission’s equipment marketing rules. • Process 100% of slamming complaints filed with the Commission within 30 days of receipt. (2) Ensure, through enforcement action and litigation where necessary, that consumers are protected from anticompetitive practices and other practices that are harmful to consumers. • Maximize compliance with the Commission’s Customer Proprietary Network Information (CPNI) rules by reviewing annual CPNI Compliance Filings and taking enforcement action where appropriate, consistent with applicable statutes of limitation and other deadlines, against (1) those carriers’ filings identified as non-compliant with the Communications Act or the Commission’s rules, and (2) those carriers that did not file annual CPNI Compliance Filings. • Deter business practices that are in violation of the Telephone Consumer Protection Act (TCPA) Act by taking action, where appropriate, consistent with applicable statutes of limitation and other deadlines, on complaints alleging violation of the Commission’s rules addressing Do-Not-Call telephone solicitation requirements and restrictions on the use of pre- recorded advertising messages, as well as provisions governing telemarketing and the use of calling equipment. • Ensure continued viability of Telecommunications Relay Services for persons with disabilities by taking action, where appropriate, consistent with applicable statutes of limitations and other deadlines, on all allegations and complaints referred to the Enforcement Bureau. • Maximize compliance with the Commission’s rules governing the North American Numbering Plan Administration and Local Number Portability Administration by taking action, where appropriate, consistent with applicable statutes of limitation and other deadlines, on all allegations and complaints referred to the Enforcement Bureau. • Deter and penalize unjust and unreasonable practices that harm consumers, such as “cramming,” by taking action, where appropriate, consistent with applicable statutes of limitation and other deadlines, on all allegations and complaints referred to the Enforcement Bureau. • Enforce Commission policy in response to anti-competitive conduct in international markets, including disruption of traffic by foreign carriers by taking action, where appropriate, consistent with applicable statutes of limitation and other deadlines, on all allegations and complaints referred to the Enforcement Bureau. • Maximize compliance with the Commission’s Hearing Aid Compatibility rules by reviewing manufacturers’ and service providers’ compliance filings and taking enforcement action where appropriate, consistent with applicable statutes of limitations and other deadlines, against (1) companies whose filings identify them as being out of compliance with the Commission’s rules, and (2) companies that fail to make the required filings. (3) Engage consumers through outreach and education initiatives to facilitate informed choice in the telecommunications and media marketplace. • Develop Commission rules and policies to ensure that new technologies and services are accessible to persons with disabilities. - 25 - • Continue to promote broad awareness of FCC’s accessibility rules and forfeitures associated with violations of these rules to increase business and consumer awareness of the rights of consumers and need to ensure that persons with disabilities have access to a variety of video programming, and communications products and services. • Monitor and maintain clearinghouse database of accessible products and services. • Continue to promote consumer and business community awareness of legal requirements, penalties, and agency enforcement action associated with violations of the TCPA and the Commission’s consumer protection rules to increase business and consumer awareness of the consequences of such violations. • Respond to 100% of consumer complaints concerning TCPA violations within 20 days of receipt. • Monitor and maintain a web portal disclosing wireless carrier alert procedures to prevent bill shock. • Respond to 100% of non-TCPA consumer complaints and inquiries within 30 days. (4) Ensure that the provisions of Section 716 of the Communications Act covering advance communication services are effectively applied to the broad range of evolving communication services. • Ensure that persons with disabilities and other covered populations have access to these critical communication services. (5) Promote access to advanced telecommunications services and the public safety and convenience benefits of modern communications technology by consumers with hearing loss. • Take enforcement action in appropriate cases, consistent with statutes of limitation and other deadlines, against violations of the Commission’s hearing aid-compatible digital wireless handset deployment requirements. • Take enforcement action in appropriate cases, consistent with statutes of limitation and other deadlines, against violations of the Commission’s television captioning requirements. (6) Coordinate information about the Commission’s consumer protection and enforcement policies and practices with state and federal regulatory agencies and law enforcement agencies and encourage cooperation, when appropriate. • Provide information concerning policies and practices to multiple state and federal regulatory agencies. • Work collaboratively with local and state government entities concerning policies and practices in response to consumer concerns regarding provision of telecommunications services. • Work collaboratively with federal government agencies (such as the Federal Trade Commission) regarding strategies for identifying and addressing consumer issues involving telecommunications services. • Coordinate with other federal government agencies on rules and policies designed to achieve access by persons with disabilities to communications and information technologies. Outcome-oriented Performance Goal 3.3: Develop and maintain policies that encourage variety in media programming sources and services for consumers. Targets with Subordinate Measures: (1) Support the development of, enforce, and defend against legal challenge, media rules and policies that comply with judicial directives and statutory requirements. • Develop appropriate rules, policies, and licensing procedures for the effective provision of broadcast television and radio as well as for cable and satellite television service. • Promote competition, diversity and localism in Commission rulemaking items concerning media ownership and the distribution of video programming. • Ensure that video programming continues to be accessible to all Americans, including persons with disabilities. • Work collaboratively across FCC Offices and Bureaus to examine and assess video description issues and requirements, particularly with respect to impact on persons with disabilities. - 26 - (1) Timely resolve adjudicatory proceedings involving cable television, broadcast television and radio, and satellite services, and defend those decisions against legal challenge. • Deter violations of sponsorship requirements and payola violations by taking action, where appropriate, consistent with applicable statutes of limitations and other deadlines, on all new complaints alleging violations of the sponsorship identification or payola provisions. • Deter violations of the Commission’s rules governing assignments and transfers of control by taking action, where appropriate, consistent with applicable statutes of limitation and other deadlines, on all allegations and complaints referred to the Enforcement Bureau. • Deter violations of the Commission’s other media-related rules, including those governing broadcast of telephone conversations, contests, and public inspection files, by taking action, where appropriate, consistent with applicable statutes of limitation and other deadlines, on all allegations and complaints referred to the Enforcement Bureau. • Ensure competition and diversity in the market for video programming through timely resolution of adjudications regarding the agreements and related practices between Multichannel Video Programming Distributors (MVPDs) and video programming providers. • Work to ensure compliance with the Commission’s captioning rules. (2) Ensure that broadcasters and cable operators comply with requirements of the Children’s Television Act and the Commission’s rules regarding children’s educational television. • Ensure compliance with core programming guidelines and commercial time limitations by taking action, where appropriate, consistent with applicable statutes of limitations and other deadlines, on all new complaints alleging violations. Means and Strategies for Accomplishing Performance PROTECT AND EMPOWER CONSUMERS Processes Skills Technology ? Rulemaking ? Enforcing the Communications Act and the Commission’s rules. ? Industry monitoring and analysis ? Consumer protection ? Interactions with state and international regulators. ? Formal complaints and mediation ? Stakeholder outreach ? Understanding of various communications marketplaces ? Consumer and public education ? Understanding of economic and legal impacts of converging media technologies ? Ability to analyze economic impact of industry performance ? Auditing, investigating and enforcing (including on-scene investigative capability) ? Understanding of relevant law ? Electronic Commission Lifecycle Agenda Tracking System (eCLAS) ? Universal Licensing System (ULS) ? Consumer Complaints Management System (CCMS) ? Enforcement Bureau Automated Tracking System (EBATS) ? Electronic Tariff Filing System (ETFS) ? Electronic Document Management System (EDOCS) ? Electronic Comment Filing System (ECFS) ? International Bureau Filing System (IBFS/MyIBFS) ? Fee Filer ? Desktop/Network Document Development and Data Access Tools ? Form 655 Hearing Aid Compatibility Reporting System - 27 - PROMOTE INNOVATION, INVESTMENT, AND AMERICA’S GLOBAL COMPETITIVENESS Performance Commitments and Metrics Outcome-oriented Performance Goal 4.1: Foster international engagement and cooperation on communications policy issues, including the broadband innovation initiative and free flow of data across borders. Targets with Subordinate Measures: (1) Help promote global broadband infrastructure deployment and adoption. • Work domestically and internationally to identify possible additional spectrum bands for globally harmonized allocations for mobile broadband. • Collaborate with U.S. government agencies and international organizations on global initiatives to highlight innovative broadband deployment and adoption policies, such as ensuring broadband networks are able to be incorporated into new infrastructure projects. (2) Support the U.S. government’s efforts to facilitate the free flow of data across borders. • Work with the Department of State, the Department of Commerce, and the Office of the U.S. Trade Representative to facilitate the interoperability of national/regional networks. • Collaborate with other nations on developing ways to facilitate the free flow of data across borders. Outcome-oriented Performance Goal 4.2: Advocate U.S. spectrum interests in the international arena. Targets with Subordinate Measures: (1) Secure international spectrum allocations that allow for new services and protect incumbent services from interference. • As appropriate, coordinate and implement action items as adopted at the World Radio Conference (WRC) 2012. • Prepare materials and participate in international meetings to secure spectrum and satellite positions as well as minimize interference issues between services through advocacy of U.S. positions. (2) Secure and enforce bi-lateral spectrum treaties and agreements working with appropriate U.S. and international government agencies. • Prepare detailed technical analyses and effectively represent the U.S. in bi-lateral negotiations and coordination activities. • Perform all technical analysis as necessary to ensure compliance with applicable provisions of bilateral and International Telecommunication Union (ITU) agreements and treaties. (3) Secure treaty on international telecommunications regulation that provides flexibility for the Internet and other new services. Outcome-oriented Performance Goal 4.3: Preserve the free and open Internet as a platform for economic growth, innovation, job-creation, and global competitiveness. Targets with Subordinate Measures: (1) Adopt, enforce and defend against legal challenge to policies and rules that protect Internet freedom and openness and promote robust innovation and investment throughout the broadband ecosystem. • Ensure that consumers and innovators have clear and complete information to enable them to make informed choices in choosing networks, devices and services. • Ensure that consumers and innovators can send and receive lawful traffic and use the devices of their choice. • Ensure that consumers and innovators are protected from unreasonable discrimination. • Compile a complete record and work toward resolution of all formal complaints involving open Internet-related allegations within one year. - 28 - • Monitor informal complaints involving open Internet-related allegations, and open an investigation in appropriate cases when there is evidence of a pattern of violations. Means and Strategies for Accomplishing Performance PROMOTE INNOVATION, INVESTMENT, AND AMERICA’S GLOBAL COMPETITIVENESS Processes Skills Technology ? Rulemaking ? Enforcing the Communications Act and the Commission’s rules. ? Industry monitoring and analysis ? Data collection and analysis ? Licensing ? Technology analysis ? Formal complaints and mediation ? Stakeholder outreach ? Understanding of various communications marketplaces ? Understanding of economic and legal impacts of converging media technologies ? Ability to analyze economic impact of industry behavior ? Understanding technological advancement and establishing an environment that promotes it ? Auditing, investigating and enforcing(including on-scene investigative capability) ? Understanding of relevant law ? Electronic Commission Lifecycle Agenda Tracking System (eCLAS) ? Universal Licensing System (ULS) ? International Bureau Filing System (IBFS/MyIBFS) ? Consumer Complaints Management System (CCMS) ? Consumer Information Management System (CIMS) ? Enforcement Bureau Automated Tracking System (EBATS) ? Electronic Tariff Filing System (ETFS) ? Electronic Document Management System (EDOCS) ? Electronic Comment Filing System (ECFS) ? Fee Filer ? Desktop/Network Document Development and Data Access Tools ? Equipment Authorization System ? Experimental Licensing System ? OFACS (coordination database) ? KDB (OET Knowledge Data Base) - 29 - PROMOTE COMPETITION Performance Commitments and Metrics Outcome-oriented Performance Goal 5.1: Ensure effective policies are in place to promote and protect competition for the benefit of consumers, including appropriate interconnection policies for communications networks. Targets with Subordinate Measures: (1) Promote competitive choices for wireless, satellite, and wireline voice and data service providers, for domestic and international services and for multichannel video programming. • Adopt policies that increase competition for communications services, resulting in greater value and lower costs for consumers. • Develop Commission policies and adopt items designed to increase consumers’ competitive choices for broadband voice and data, and multichannel video programming equipment and services. • Review carrier tariff filings for compliance with Commission rules and statutory requirements. • Promote compliance with rules by taking enforcement action in appropriate cases. (2) Evaluate and report on the competitive environment for communications services. • Develop and publish reports on competition in the telecommunications, broadcast, cable, commercial wireless, and satellite industries by deadlines established in legislation or Commission policy. (3) Adopt, enforce and defend policies and rules that enhance access to communications services for persons with disabilities. • Ensure continued viability of Telecommunications Relay Services (TRS) for persons with disabilities by taking action, where appropriate, on all new allegations referred to the Enforcement Bureau, consistent with applicable statutes of limitations and other deadlines. • Monitor and assess the program for distribution of specialized customer premises equipment designed to make telecommunications and related services accessible by individuals who are deaf-blind. • Address 100% of the allegations or complaints of violations of the Commission’s rules on relay services, closed captioning, Section 255 and hearing aid compatibility. • Work closely with the TRS Fund Administrator to ensure that minutes of use submitted for reimbursement are legitimate and entitled to reimbursement. Outcome-oriented Performance Goal 5.2: Promote pro-competitive and universal access policies worldwide. Targets with Subordinate Measures: (1) Actively participate in bilateral and multilateral global discussions and debate on issues in coordination with other U.S. governmental agencies related to communications policy. • Participate in meetings and conferences with foreign regulators to foster sound communications policies. • Meet with NTIA and the Department of State as necessary to coordinate U.S. positions related to those policies. • Work with U.S. government agencies and foreign regulators to promote international trade policies for telecommunications services and equipment, e.g., Mutual Recognition Agreements for telecommunications product approval. (2) Work with other U.S. government agencies to participate in international studies that track the status of global communications. • Provide input, edits and comments in a timely manner for policy papers, best practices guidelines, studies and statistical reports. (3) Support and facilitate the deployment of satellite systems. - 30 - • Initiate rulemakings that adopt technical and service rules for licensing new satellite space and earth station facilities that will provide innovative satellite-based services and permit the more efficient use of spectrum resources. Outcome-oriented Performance Goal 5.3: Ensure expeditious and thorough review of proposed transactions to ensure they serve the public interest. Targets with Subordinate Measures: (1) Adhere to policies and processes for transaction review that are transparent and uniform across the FCC’s Bureaus and Offices. • Review, process and resolve applications for transfer of control and assignment of licenses in a timely manner. • Cite relevant facts and sources and convey the basis for decisions in all merger and transaction decision documents. (2) Maximize compliance with conditions imposed in approving transactions. • Take action in appropriate cases to enforce merger conditions, consistent with statutes of limitation and other deadlines. Means and Strategies for Accomplishing Performance PROMOTE COMPETITION Processes Skills Technology ? Rulemaking ? Enforcing the Communications Act and the Commission’s rules. ? Industry monitoring and analysis ? Data collection and analysis ? Licensing ? Technology analysis ? Understanding of various communications marketplaces ? Understanding of economic and legal impacts of converging media technologies ? Ability to analyze economic impact of industry behavior ? Understanding technological advancement and establishing an environment that promotes it ? Auditing, investigating and enforcing (including on-scene investigative capability) ? Understanding of relevant law ? Electronic Commission Lifecycle Agenda Tracking System (eCLAS) ? Universal Licensing System (ULS) ? International Bureau Filing System (IBFS/MyIBFS) ? Consumer Complaints Management System (CCMS) ? Consumer Information Management System (CIMS) ? Enforcement Bureau Automated Tracking System (EBATS) ? Electronic Tariff Filing System (ETFS) ? Electronic Document Management System (EDOCS) ? Electronic Comment Filing System (ECFS) ? Fee Filer ? Desktop/Network Document Development and Data Access Tools ? Equipment Authorization System ? Experimental Licensing System ? OFACS (coordination database) ? KDB (OET Knowledge Data Base) - 31 - PUBLIC SAFETY AND HOMELAND SECURITY Performance Commitments and Metrics Outcome-oriented Performance Goal 6.1: Promote access to effective communications services, including next generation services, in emergency situations across a range of platforms by public safety, health, defense, and other emergency personnel, as well as all consumers in need. Targets with Subordinate Measures: (1) Enhance communications and media network reliability, including emergency preparedness and disaster management practices. • Ensure that communications are available during emergencies and crises by pursuing network outage reporting enforcement actions. • Participate in international meetings, conferences, and activities to promote the continued reliability of the global communications infrastructure. • Promote Next Generation 911 and Text to 911 in order to enhance the ability of consumers to request assistance in times of emergencies. • Coordinate and work collaboratively across FCC Offices and Bureaus on rulemaking items regarding accessibility of emergency information to persons with disabilities. • Monitor and assess specialized Do-Not-Call Registry for Public Safety Answering Points. (2) Facilitate participation in the Wireless Priority Service (WPS) Program. • Work closely with the Department of Homeland Security to increase participation in the WPS program by federal, state, local, and tribal governments as well as first responder organizations. (3) Facilitate participation in the Telecommunications Service Priority (TSP) Program. • Work closely with the Department of Homeland Security to increase participation in the TSP program by federal, state, local, and tribal governments as well as 911 call centers and first responder organizations. (4) Increase awareness of the Commission’s public safety activities. • Convene periodic public summits on topics of critical importance, providing outreach to first responders and the public safety community in general. (5) Gather and disseminate public safety communications information. o Coordinate with NTIA, DHS and other Federal entities as appropriate to facilitate and support the deployment of a nationwide wireless public safety broadband network as contemplated under the Public Safety Spectrum Act. Outcome-oriented Performance Goal 6.2: Evaluate and strengthen measures for protecting the nation’s critical communications infrastructure and facilitate rapid restoration of the U.S. communications infrastructure and facilities after disruption by any cause, including cyberattacks. Targets with Subordinate Measures: (1) Promote construction of nationwide, interoperable broadband public safety capabilities. • Adopt and implement Commission rules that would effectuate the deployment and operation of a common, interoperable broadband infrastructure for America’s first responders. (2) Take appropriate enforcement action for non-compliance with 911 and E911 requirements and defend the Commission’s VoIP and 911 and E911 rules in litigation. • Maximize compliance with the Commission's rules governing the nationwide availability of E911 solutions to ensure that consumers have access to advanced public safety services in an emergency by reviewing carrier compliance reports and taking enforcement action where appropriate, consistent with statutes of limitation and other deadlines. • Promote compliance with the Commission’s rules by taking action, where appropriate, consistent with applicable statutes of limitations and other deadlines, on all new complaints and referrals concerning the Commission’s 911 and E911 rules. (3) Improve the effectiveness of an Emergency Alert System (EAS) and the Commercial Mobile Alerting System (CMAS). - 32 - • Promote actions to expand EAS to users of additional communications technologies and media. • Meet at least quarterly with FEMA and other relevant agencies regarding EAS and CMAS operational issues and potential improvements. • Promote compliance with the Commission’s EAS rules by taking enforcement action, where appropriate, consistent with applicable statutes of limitation and other deadlines, on all new complaints and referrals. Outcome-oriented Performance Goal 6.3: Implement, maintain and conduct exercises for the FCC’s Continuity of Operations Plans (COOP) and Emergency Preparedness Plans and act swiftly in matters affecting public safety, homeland security, and disaster management. Targets with Subordinate Measures: (1) Establish COOP and emergency preparedness procedures to ensure accuracy, improve effectiveness, and create a better state of readiness. • Annually update the COOP Plan for the agency • Annually update the Devolution Plan for the agency. • Annually update the Pandemic Plan for the agency. • Provide for the acquisition of resources necessary for continuity of operations on an emergency basis for up to 30 days or until normal operations can be resumed. • Annually exercise the agency’s COOP, Devolution, and Pandemic Plans. • Draft After Action Reports after exercises in order to improve the agency’s preparedness for future events. (2) Identify and provide continuity funding and specific budgetary guidance for all FCC bureaus and offices. • Use a risk assessment methodology to identify, prioritize, and justify the allocation of continuity budgetary resources. • Integrate continuity budgeting in multi-year strategic planning with performance linked to established objectives and metrics. • Budget for continuity requirements in accordance with NSPD-51/HSPD-20 and the National Communications System Directive 3-10 (Continuity Communications) as applicable. (3) Preserve the integrity of the communications infrastructure relating to public safety by taking action on 100% of complaints of interference to public safety communications within one day. • Complaints of interference to public safety communications will receive top priority in 100% of cases. (4) Ensure that communications are available during emergencies and crises by conducting cable signal leakage inspections to minimize harmful interference to aviation and public safety frequencies and investigating unlicensed and unauthorized radio operations. • Report annually on the number of cable signal leakage inspections. • Maximize compliance and enhance public safety by taking enforcement action where appropriate, consistent with applicable statutes of limitation and other deadlines, against parties alleged to have violated the Commission’s cable signal leakage rules. • Take enforcement action, where appropriate, consistent with applicable statutes of limitation and other deadlines, against parties alleged to have violated the Commission’s statutory licensing requirements. (5) During crises, work closely with our federal partners such as FEMA and the Department of Homeland Security to provide situational awareness data from the Disaster Information Reporting System (DIRS) or data derived from the operation of Project Roll Call equipment. • Provide all staff resources necessary during crises to gather and provide data from DIRS and Project Roll Call. (6) Protect the safety of aviation and the general public by enforcing the Commission’s licensing and technical regulations governing radio facilities, operations, and antenna structures, including specifications on power outputs, antenna location, painting, lighting and tower height, and build-out requirements. - 33 - • Continue an aggressive program of inspections and investigations by agents in the field to help maximize compliance with the Commission’s licensing and technical requirements • Take action, where appropriate, consistent with applicable statutes of limitation and other deadlines, against parties alleged to have violated the Commission’s rules governing technical rules and technical authorizations. Means and Strategies for Accomplishing Performance PUBLIC SAFETY AND HOMELAND SECURITY Processes Skills Technology ? Rulemaking ? Enforce the Communications Act and the Commission’s rules. ? Data collection and analysis ? Intergovernmental and international negotiations ? Communications and Crisis Management Center ? National Communications System (NCS) ? Government Emergency Telecommunications Service (GETS) ? Telecommunications Service Priority System (TSP) ? Continuity of Operations Plan (COOP) ? Knowledge of federal and state public safety and emergency procedures. ? Understanding of national defense operations. ? Facilitation and communication skills necessary to increase awareness of numerous emergency services and plans. ? Risk assessment. ? Auditing, investigating and enforcing (including on-scene investigative capability) ? Understanding of relevant law ? Network Outage Reporting System (NORS) ? Disaster Information Reporting System (DIRS) ? DIRS Lite ? E-911/Wireless E-911 ? Emergency Alert System (EAS) ? Wireless Priority Access System (WPAS) ? Electronic Commission Lifecycle Agenda Tracking System (eCLAS) ? Universal Licensing System (ULS) ? International Bureau Filing System (IBFS/MyIBFS) ? Enforcement Bureau Automated Tracking System (EBATS) ? Electronic Document Management System (EDOCS) ? Electronic Comment Filing System (ECFS) ? Fee Filer ? Desktop/Network Document Development and Data Access Tools ? Electronic Tariff Filing System (ETFS) ? Project Roll Call equipment and vehicles - 34 - ADVANCE KEY NATIONAL PURPOSES Performance Commitments and Metrics Outcome-oriented Performance Goal 7.1: Promote and facilitate the use of broadband to address key national challenges, including health care, education, energy, and e-government. Targets with Subordinate Measures: (1) Support and facilitate the increased use of broadband across key national purposes. • Support the use of broadband to advance national purposes in rulemakings by promoting innovative and flexible uses of both wired and wireless broadband technology. • Support the use of broadband to advance national purposes through other means, such as by facilitating public and private partnerships across industry, government, and nonprofit organizations. • Enhance access to broadband connectivity for health care providers through reform of the Rural Health Care universal service support mechanism. Outcome-oriented Performance Goal 7.2: Ensure that small businesses have the access to broadband and other communications tools needed to drive innovation and economic growth. Targets with Subordinate Measures: (1) Support and facilitate wired and wireless deployment and competition to ensure that small businesses have robust broadband connectivity and meaningful choice of broadband services. • Promote deployment of broadband services, both wired and wireless, to all small businesses across the country through continued regulatory reforms. • Promote competition across broadband service providers, including wired and wireless technologies, by facilitating competition and market entry. Means and Strategies for Accomplishing Performance ADVANCE KEY NATIONAL PRIORITIES Processes Skills Technology ? Rulemaking ? Enforce the Communications Act and the Commission’s rules. ? Industry analysis ? Data collection ? Licensing ? Engineering ? Inter-governmental and international negotiations ? Understanding of relevant law ? Understanding of both economic and technical aspects of the telecommunications industry, both domestically and internationally. ? Forecasting changing needs of and expectations toward underserved groups ? Ability to analyze economic impact of industry performance ? Electronic Commission Lifecycle Agenda Tracking System (eCLAS) ? Universal Licensing System (ULS) ? International Bureau Filing System (IBFS/MyIBFS) ? Consumer Complaints Management System (CCMS) ? Enforcement Bureau Automated Tracking System (EBATS) ? Electronic Document Management System (EDOCS) ? Electronic Comment Filing System (ECFS) ? Form 477 Data Collection System ? Tower Construction Notification System ? Electronic 106 Filing System (E- 106) ? OFACS (coordination database) - 35 - OPERATIONAL EXCELLENCE Performance Commitments and Metrics Outcome-oriented Performance Goal 8.1: Effectively manage the FCC’s information technology resources by maintaining secure systems that meet the needs of both the FCC and the system users. Targets with Subordinate Measures: (1) Improve Commission systems to make information readily available to agency management for decision making. • Ensure that internal information systems provide timely and easily accessible data to FCC managers. (2) Upgrade and enhance technology and tools used by Commission staff to carry out the agency’s mission. • Provide FCC staff with information technology hardware, systems and training to create an efficient and effective workforce. • Continue developing custom-adapted investigative tools that enable the FCC to timely resolve interference and take appropriate enforcement action across a wide range of services. • Provide FCC staff with a secure digital infrastructure and maintain a high level of cyber security readiness and presence. Outcome-oriented Performance Goal 8.2: Effectively manage the human resources of the FCC in order to ensure sufficient resources and knowledge to handle the FCC’s workload. Targets with Subordinate Measures: (1) Develop targeted skills and competencies for FCC employees through appropriate career development aligned with the Commission’s strategic goals. • Provide a robust selection of training opportunities for Commission employees and encourage employee participation. • Continue reevaluation and implementation of the FCC’s Strategic Human Capital plan. (2) Improve Commission Senior Executive Service Plans. • Continue to improve development of performance plans aligned with the Commission’s Strategic Plan and the latest Office of Personnel Management and other government-wide agency directives. (3) Upgrade and enhance personnel management processes and tools to speed delivery of services. • Provide streamlined and modernized processes to speed up and simplify the lifecycle work career for employees (recruitment to departures). (6) Reduce or eliminate under-representation in the workforce by recruiting and employing a highly- skilled, competent, and diverse workforce, free of discrimination, reprisal, and sexual harassment. • Ensure that statutory and legal requirements are met for discrimination complaints processing, affirmative employment, reasonable accommodation, and accessibility • Monitor agency compliance with various Equal Employment Opportunity Commission (EEOC) and Office of Personnel Management policy directives, such as EEOC Management Directive 715, which provides guidance for Federal managers to ensure that all employment decisions are free of discrimination • Continue to plan and coordinate annual “Special Emphasis Programs” designed to educate FCC employees on diverse cultures. Outcome-oriented Performance Goal 8.3: Effectively manage the FCC’s financial resources to best achieve the FCC’s mission and to maintain internal controls that ensure sound budgeting, financial, and fund management and accounting principles and practices. Targets with Subordinate Measures: - 36 - (1) Continue development and reevaluation of the budget cycle process to improve funding of current and new Commission critical projects and programs. • Maintain a robust process for reviewing funding of ongoing and future projects to meet Commission strategic goals. (2) Conduct a program of continuous review and evaluation to assure that all financial operations and programs are helping control or contain costs, providing high quality customer service, and improving the effectiveness and efficiency of Commission operations. • Maintain an effective internal controls program that complies with all applicable laws and regulations to ensure proper stewardship of Federal resources. Promptly respond to and remediate identified risks, operational weaknesses, and internal control deficiencies that warrant correction. Outcome-oriented Performance Goal 8.4: Effectively manage the FCC’s administrative and management program resources to provide for the appropriate support for all of the FCC’s activities and to maintain internal controls that allow for sound facility, equipment, and security expenditures. Targets with Subordinate Measures: (1) Promote greater accountability by strengthening performance management and administrative controls. • Collect and assess administrative cost data to use in making decisions on effectiveness and allocation of resources. • Collect performance data for FCC managers to use in making decisions concerning program effectiveness and allocation of resources. • Conduct internal risk assessments of all administrative and management programs and develop remediation plans through a lifecycle approach. • Review audits and evaluations from the Office of Inspector General and address recommended improvements in FCC operations and functions. (2) Ensure compliance with all general administrative laws and regulations, including fiscal, procurement, ethics, employment, environmental, and appropriations. (3) Continue improvement in contracts, procurement, and purchasing programs and activities. • Meet or exceed the Small Business Administration (SBA) contracting set-aside goal. Outcome-oriented Performance Goal 8.5: Effectively manage the FCC’s processes for monitoring and disposing of applications, petitions, and complaints before the FCC in order to achieve timely action on pending items. Targets with Subordinate Measures: (1) Continue efforts to ensure timely decision making and response to petitioners and applicants. • Routinely collect and analyze data on items pending before the FCC to ensure effective operations and resource allocation. Outcome-oriented Performance Goal 8.6: Continuously review and examine our regulatory processes and significant regulations to achieve statutory objectives while reducing burdens on industry and promoting innovation and job growth. Targets with Subordinate Measures: (1) Eliminate outdated regulations to ensure that FCC rules and policies promote a healthy climate for private investment and job creation. • Continue to conduct a review of rules and data collections within each FCC bureau and office with the goal of eliminating or revising requirements that are outdated, inconsistent with current technologies, or place needless burdens on businesses or FCC resources. - 37 - Means and Strategies for Accomplishing Performance OPERATIONAL EXCELLENCE Processes Skills Technology ? Management and document tracking and change control ? Workforce analysis and planning ? Capital asset planning and deployment ? Strategic and performance planning ? Information technology planning and deployment ? Performance budgeting ? Acquisition and procurement strategy ? Enhanced secure infrastructure and network ? Planning, scheduling, and budgeting ? Change management ? Productivity and efficiency improvement ? Training and workforce development ? Workforce analysis ? Financial Accounting and Auditing Analysis ? Cyber security expertise ? Understanding of relevant law ? Commission Registration System (CORES) ? Core Financial Management System ? Electronic Commission Lifecycle Agenda Tracking System (eCLAS) ? Electronic Document Management System (EDOCS) ? Electronic Comment Filing System (ECFS) ? Consumer Complaints Management System (CCMS) ? Enforcement Bureau Automated Tracking System (EBATS) ? Fee Filer ? Desktop/Network Document Development and Data Access Tools ? Enterprise Architecture & Program Management ? Earned Value Management (EVM) & Clarity FEE COLLECTIONS AND AUCTIONS - 38 - FEE COLLECTIONS AND AUCTIONS Regulatory Fees P.L. 103-66, “The Omnibus Budget Reconciliation Act of 1993,” requires that the FCC annually collect fees and retain them for FCC use in order to offset certain costs incurred by the Commission. The fees collected are intended to recover the costs attributable to the Commission’s enforcement, policy and rulemaking, user information services, and international regulatory activities. The fees, often referred to as Section 9 fees, apply to the current holder of the license as of a specific date and to other entities (e.g., cable television systems) which benefit from Commission regulatory activities not directly associated with its licensing or applications processing functions. The regulatory fees do not apply to governmental entities, amateur radio operator licensees, nonprofit entities holding tax exempt status under section 501(c) of the Internal Revenue code, 26 U.S.C. § 501, and certain other non-commercial entities. The provisions of this law, codified at 47 U.S.C. § 159, give the Commission authority to review the regulatory fees and to adjust the fees to reflect changes in its appropriation from year to year. It may also add, delete or reclassify services under certain circumstances. Additionally, the legislation requires the Commission to charge a 25% late payment penalty and to dismiss applications or revoke licenses for non-payment of the fees, although it may waive, reduce, or defer payment of a fee for good cause. The Commission implemented the Regulatory Fee Collection Program by rulemaking on July 18, 1994. The most recent fee schedule became effective on September 4, 2012, pursuant to an order adopted by the Commission on July 13, 2012, released July 19, 2012, and published in the Federal Register August 3, 2012 (77 FR 46307). Authorization to Retain Fees Fees collected up to the level established by Congress are applied against the Commission’s annual appropriation at the close of each fiscal year. The regulatory fee levels of $335.8 million for FY 2011 and $339.8 million for FY 2012 were achieved. The Commission collected $6.3 million above the required regulatory level in FY 2011, which are reported as temporarily not available pursuant to Public Law. The total cumulative amount collected above the required regulatory level was $4.9 million at September 30, 2012. Appropriations language for FY 2012 prohibits the Commission from using any excess offsetting collections received in FY 2012 or any prior years. The FCC proposed the same treatment of excess collections in its FY 2013 and FY 2014 budget request. - 39 - FY 2014 Regulatory Fee Assumptions The FY 2012 appropriation for the FCC authorized $339.8 million in collection of regulatory fees. The FY 2013 Congressional budget request increased regulatory fees to a level of $346.8 million. The FY 2014 budget proposes an increase of regulatory fees to a level of $359.3 million. These funds will support Commission-wide goals that will allow the FCC to serve the American public in an efficient, effective, and responsive manner. The distribution of Budget Authority between direct and offsetting collections from Regulatory Fees is illustrated in the above graph. - 40 - Application Processing Fees Since FY 1987, the FCC has collected and deposited into the General Fund of the U.S. Treasury application processing fees, often referred to as Section 8 fees. The fees are intended to recover a substantial portion of the costs of the Commission’s applications processing functions. The program encompasses over 300 different fees, with the vast majority collected at the time an original license application, renewal, or request for modification is filed with the Commission. Most fees are assessed as a one-time charge on a per-application basis, although there are certain exceptions. Government, nonprofit, non-commercial broadcast, and amateur license applicants are exempt from the fees. A lockbox bank is used to collect the fees, with all fees deposited into the General Fund of the U.S. Treasury. Once deposited, these fees are generally not refundable regardless of the outcome of the application process. The Commission must review and revise the fees every two years based upon changes to the Consumer Price Index (CPI). On February 28, 2011, the Commission adopted an Order which increased application fees to reflect these CPI changes; this change became effective June 21, 2011. Application Processing Fee Collections (Section 8) and Regulatory Fee collections are summarized in the following graph. - 41 - Spectrum Auctions The Omnibus Budget Reconciliation Act of 1993, P.L. 103-66, required the FCC to auction portions of the spectrum for certain services, replacing the former lottery process. The Commission is required to ensure that small businesses, women, minorities, and rural telephone companies have an opportunity to participate in the competitive bidding process. The Commission initiated regulations implementing the spectrum auction authority granted by the legislation and conducted its first round of auctions in July 1994. To date the Commission has completed 81 auctions. As of December 31, 2012, total net winning bids collected and deposited into Treasury from this program have exceeded $51.9 billion. The original spectrum auction authority was scheduled to expire in FY 1998. However, it was extended through FY 2007 in the Balanced Budget Act of 1997, P.L. 105-33; FY 2011 by the Deficit Reduction Act of 2005, P.L. 109-171; 2012 by the DTV Delay Act, P.L. 111-4; and most recently, the authority was extended through September 30, 2022, by the Middle Class Tax Relief and Job Creation Act of 2012, P.L. 112-96. The Commission is authorized to retain from auction revenues those funds necessary to develop, implement, and maintain the auction program. These funds cover the personnel and administrative costs required to plan and execute spectrum auctions; operational costs to manage installment payments and collections activities; development, implementation, and maintenance of all information technology systems necessary for Auctions operations, including development of a combinatorial bidding system; and a proportional share of the general administrative costs of the Commission based on the split of direct FTE hours charged to auctions in the previous year. This budget submission assumes the auctions program will continue to recover the costs of conducting all auctions activities from spectrum license auction receipts as the FCC continues to use auctions as a licensing mechanism for spectrum based communications services. The FCC’s FY 2012 Appropriations language capped the auctions program at $85 million. The FCC‘s request during the Continuing Resolution (CR) for an anomaly in FY 2013 to fund the Auctions program was approved at $98.7 million. We have requested $89.4 million for the auctions program in FY 2014. The Balanced Budget Act of 1997, P.L. 105-33, required that the Commission provide to authorizing committees a detailed report of obligations in support of the auctions program for each fiscal year of operation, as a prerequisite to the continued use of auctions receipts for the costs of all auctions activities. The FY 2012 Auctions Report will be provided to the appropriate Congressional committees by September, 2013. The FY 2013 Auctions Report will be submitted by September, 2014. - 42 - FY Number of Auctions Number of Licences Won Amount Collected 1994 2 604 $652,954,213 1995 2 129 $8,234,321,195 1996 6 2,026 $2,019,328,594 1997 4 1,614 $2,205,922,232 1998 2 1,388 $860,878,576 1999 6 1,693 $499,598,445 2000 8 4,403 $1,335,043,186 2001 4 3,447 $583,599,901 2002 7 7,036 $135,450,240 2003 7 3,144 $77,121,620 2004 5 267 $126,790,232 2005 6 2,803 $2,208,332,556 2006 5 1,284 $13,834,972,696 2007 5 293 $163,429,971 2008 3 1,144 $18,985,204,841 2009 2 115 $5,578,176 2010 3 4,788 $25,923,987 2011 3 126 $30,966,316 2012 1 93 $3,829,068 81 36,397 $51,989,246,043 FY 1994 - FY 2013 Auctions and Collections BUREAUS AND OFFICES FY 2014 REQUIREMENTS - 43 - BUREAU/OFFICE FY 2014 REQUIREMENTS BUREAUS Office of Chairman and Commissioners ..................................................................................... 44 Consumer and Governmental Affairs Bureau ............................................................................. 45 Enforcement Bureau .................................................................................................................... 47 International Bureau .................................................................................................................... 49 Media Bureau ............................................................................................................................... 51 Public Safety and Homeland Security Bureau ............................................................................. 52 Wireless Telecommunications Bureau ........................................................................................ 55 Wireline Competition Bureau ...................................................................................................... 56 AGENCY OFFICES: Office of Administrative Law Judges ......................................................................................... 57 Office of Communications Business Opportunities ................................................................... 59 Office of Engineering and Technology ...................................................................................... 61 Office of General Counsel .......................................................................................................... 63 Office of Inspector General ........................................................................................................ 65 Office of Legislative Affairs ....................................................................................................... 67 Office of the Managing Director ................................................................................................ 68 Office of Media Relations .......................................................................................................... 69 Office of Strategic Planning and Policy Analysis ...................................................................... 70 Office of Workplace Diversity ................................................................................................... 71 - 44 - OFFICE OF THE CHAIRMAN AND COMMISSIONERS 2012 2013 2014 Actuals Cong. Request Cong. Request FTE 25 31 31 11-Compensation $3,023,807 $3,960,555 $3,995,247 12-Benefits $755,463 $950,991 $959,321 13-Benefits for Former Personnel $0 $0 $0 Subtotal, Personnel Costs $3,779,270 $4,911,546 $4,954,568 21-Travel $215,326 $279,950 $229,560 22-Transportation of Things $0 $0 $0 23-Rent and Communications $282,897 $313,203 $319,467 24-Printing and Reproduction $0 $0 $0 25-Other Contractual Services $469 $4,000 $4,000 26-Supplies and Materials $0 $0 $0 31-Equipment $0 $0 $0 42-Insurance Claims and Indemnities $0 $0 $0 Subtotal, Non-Personnel Costs $498,692 $597,153 $553,027 TOTAL $4,277,962 $5,508,699 $5,507,595 The FCC is directed by five Commissioners appointed by the President and confirmed by the Senate for 5-year terms, except when filling an unexpired term. The President designates one of the Commissioners to serve as Chairperson. Only three Commissioners may be members of the same political party. None of them can have a financial interest in any Commission-related business. The Chairman serves as the chief executive officer of the Commission, supervising all FCC activities, delegating responsibilities to staff units and Bureaus, and formally representing the Commission before the Congress and the Administration. - 45 - CONSUMER AND GOVERNMENTAL AFFAIRS BUREAU 2012 2013 2014 Actuals Cong. Request Cong. Request FTE 172 167 167 11-Compensation $18,087,343 $18,011,555 $18,169,325 12-Benefits $4,691,097 $4,525,673 $4,565,315 13-Benefits for Former Personnel $0 $0 $0 Subtotal, Personnel Costs $22,778,440 $22,537,228 $22,734,640 21-Travel $222,251 $211,222 $173,202 22-Transportation of Things $0 $0 $0 23-Rent and Communications $1,116,675 $1,148,087 $1,171,049 24-Printing and Reproduction $0 $0 $0 25-Other Contractual Services $1,662,661 $1,209,369 $2,733,556 26-Supplies and Materials $19,544 $671 $684 31-Equipment $27,718 $2,175 $2,219 42-Insurance Claims and Indemnities $0 $0 $0 Subtotal, Non-Personnel Costs $3,048,849 $2,571,524 $4,080,710 TOTAL $25,827,289 $25,108,752 $26,815,350 The Consumer and Governmental Affairs Bureau develops and administers the Commission’s consumer and inter-governmental affairs policies and initiatives to enhance the public’s understanding of the Commission’s work and to facilitate the Agency’s relationships with other governmental agencies and organizations. The Bureau is responsible for rulemaking proceedings regarding general consumer and disability policy. The Bureau serves as the primary entity responsible for communicating with the general public regarding Commission policies, programs, and activities in order to facilitate public education and participation in the Commission’s decision-making processes. The Bureau’s overall objectives include: advising the Commissioners and the other Bureaus and Offices on consumer, disability, and inter-governmental related areas of concern or interest; initiating, reviewing, and coordinating orders, programs, and actions, in conjunction with other Bureaus and Offices, in matters regarding consumer and disability policy and procedures, and any other related issues affecting consumer policy; representing the Commission on consumer and inter-governmental related committees, working groups, task forces, and conferences within and outside the Agency; and providing expert advice and assistance to Bureaus and Offices and consumers regarding compliance with applicable disability and accessibility requirements, rules, and regulations. The Bureau serves as the public face of the Commission through outreach and education, as well as through our Consumer Center, which is responsible for responding to consumer inquiries and complaints. The Bureau also maintains collaborative partnerships with state, local, and tribal governments in such critical areas as emergency preparedness and implementation of new technologies. The Bureau’s activities include: consumer and disability policy development and coordination; interaction with the public, federal, state, local, tribal, and other government agencies and industry groups; oversight of the Consumer Advisory Committee, and the Intergovernmental Advisory Committee; informal complaint mediation and resolution; consumer outreach and education; - 46 - maintaining official FCC records; coordination with the Office of Managing Director for Agency-wide strategic planning efforts; and any other functions as may be assigned, delegated, or referred to the Bureau by the Commission. - 47 - ENFORCEMENT BUREAU 2012 2013 2014 Actuals Cong. Request Cong. Request FTE 267 265 265 11-Compensation $30,869,156 $30,931,153 $31,202,091 12-Benefits $8,149,975 $8,225,137 $8,297,184 13-Benefits for Former Personnel $0 $0 $0 Subtotal, Personnel Costs $39,019,131 $39,156,290 $39,499,275 21-Travel $279,824 $325,619 $269,037 22-Transportation of Things $5,690 $13,344 $13,611 23-Rent and Communications $3,340,055 $3,448,687 $3,517,661 24-Printing and Reproduction $0 $0 $0 25-Other Contractual Services $659,453 $605,676 $617,790 26-Supplies and Materials $310,179 $262,945 $268,204 31-Equipment $931,517 $4,525,021 $2,065,521 42-Insurance Claims and Indemnities $0 $0 $0 Subtotal, Non-Personnel Costs $5,526,718 $9,181,292 $6,751,824 TOTAL $44,545,849 $48,337,582 $46,251,098 The Enforcement Bureau serves as the primary Commission entity responsible for enforcement of the Communications Act and other communications statutes, the Commission’s rules, orders, and authorizations, other than matters that are addressed in the context of a pending application for a license or other authorization or in the context of administration, including post-grant administration, of a licensing or other authorization or registration program. The Enforcement Bureau’s responsibilities include, among other things: ? Resolving complaints regarding: o compliance with statutory and regulatory provisions, including complaints filed under section 208 of the Communications Act; o acts or omissions of non-common carriers subject to the Commission’s jurisdiction under Title II of the Communications Act and related provisions; o accessibility to communications services and equipment for persons with disabilities; o radiofrequency interference and radiofrequency equipment and devices; o compliance with the Commission’s Emergency Alert System rules; o the lighting and marking of radio transmitting towers; o indecent communications subject to the Commission’s jurisdiction; o the broadcast and cable television children’s television programming commercial limits contained in section 102 of the Children’s Television Act; o unauthorized construction and operation of communications facilities; o false distress signals; - 48 - o Title III licensees and permittees; o pole attachments filed under section 224 of the Communications Act; o multichannel video and cable television service under part 76 of the Commission’s rules; and o other matters assigned to it by the Commission. ? Resolving universal service suspension and debarment proceedings. ? Conducting investigations and collecting information in connection with complaints, on its own initiative, or upon request of another Bureau or Office. ? Mediating and settling disputes between service providers. ? Serving as trial staff in formal hearings conducted pursuant to 5 U.S.C. § 556 regarding applications, revocation, forfeitures, and other matters designated for hearing. ? Providing field support for, and field representation of, the Bureau, other Bureaus and Offices, and the Commission. ? Handling congressional and other correspondence relating to or requesting specific enforcement actions, specific complaints, or other specific matters within the responsibility of the Bureau, to the extent not otherwise handled by the Consumer and Governmental Affairs Bureau, the Office of General Counsel (impermissible ex parte presentations), or another Bureau or Office. ? Issuing non-hearing related subpoenas for the attendance and testimony of witnesses and the production of books, papers, correspondence, memoranda, schedules of charges, contracts, agreements, and any other records deemed relevant to the investigation of matters within the responsibility of the Bureau. - 49 - INTERNATIONAL BUREAU 2012 2013 2014 Actuals Cong. Request Cong. Request FTE 121 120 120 11-Compensation $15,855,843 $15,815,608 $15,954,143 12-Benefits $3,996,682 $3,979,870 $4,014,731 13-Benefits for Former Personnel $0 $0 $0 Subtotal, Personnel Costs $19,852,525 $19,795,478 $19,968,874 21-Travel $645,827 $373,412 $336,197 22-Transportation of Things $0 $0 $0 23-Rent and Communications $1,000,844 $1,023,732 $1,044,207 24-Printing and Reproduction $0 $0 $0 25-Other Contractual Services $37,138 $57,424 $58,572 26-Supplies and Materials $12,860 $18,363 $18,730 31-Equipment $300 $0 $0 42-Insurance Claims and Indemnities $0 $0 $0 Subtotal, Non-Personnel Costs $1,696,969 $1,472,931 $1,457,707 TOTAL $21,549,494 $21,268,409 $21,426,581 The International Bureau develops, recommends, and administers policies, standards, procedures, and programs for the regulation of international telecommunications facilities and services, and the licensing of satellite and submarine cable facilities under its jurisdiction. The Bureau advises and recommends to the Commission, or acts for the Commission under delegated authority, in the development of and administration of international telecommunications policies and programs. The International Bureau assumes the principal representational role for Commission activities in international organizations. The International Bureau has the following duties and responsibilities: ? Initiating and directing the development and articulation of international telecommunications policies, consistent with the priorities of the Commission. ? Advising the Chairman and Commissioners on matters of international telecommunications policy, and on the status of the Commission's actions to promote the vital interests of the American public in international commerce, national defense, and foreign policy areas. ? Developing, recommending, and administering policies, rules, and procedures for the authorization, licensing, and regulation of international telecommunications facilities and services, and domestic and international satellite systems. ? Representing the Commission on international telecommunications matters at both domestic and international conferences and meetings, and directing and coordinating the Commission’s preparation for such conferences and meetings. ? Serving as the single focal point within the Commission for cooperation and consultation on international telecommunications matters with other federal agencies, international or foreign organizations, and appropriate regulatory bodies and officials of foreign government. ? Directing and coordinating, in consultation with appropriate bureaus and offices, negotiation of international agreements to provide for arrangements and procedures for bilateral coordination - 50 - of radio frequency assignments to prevent or resolve international radio interference involving U.S. licensees. ? Developing, coordinating with other federal agencies, and administering regulatory assistance and training programs for foreign administrations to promote telecommunications development. ? Providing advice and technical assistance to U.S. trade officials in the negotiation and implementation of telecommunications trade agreements. ? Conducting economic, legal, technical, statistical, and other appropriate studies, surveys, and analyses in support of development of international telecommunications policies and programs. ? Collecting and disseminating within the Commission information and data on international telecommunications, and regulatory and market developments in other countries and international organizations. ? Promoting the international coordination of spectrum allocation, and frequency and orbital assignments, so as to minimize cases of international radio interference involving U.S. licensees. ? Ensuring fulfillment of the Commission’s responsibilities under international agreements and treaty obligations, and, consistent with Commission policy, ensuring that the Commission’s regulations, procedures, and frequency allocations comply with mandatory requirements of all applicable international and bilateral agreements. ? Overseeing and, as appropriate, administering activities pertaining to the international consultation, coordination, and notification of U.S. frequency and orbital assignments, including activities required by bilateral agreements, the International Radio Regulations, and other international agreements. ? Monitoring compliance with the terms and conditions of authorizations and licenses granted by the Bureau, and pursuing enforcement actions in conjunction with appropriate bureaus and offices. - 51 - MEDIA BUREAU 2012 2013 2014 Actuals Cong. Request Cong. Request FTE 183 180 180 11-Compensation $21,047,283 $20,830,226 $21,012,686 12-Benefits $5,281,040 $5,208,772 $5,254,398 13-Benefits for Former Personnel $0 $0 $0 Subtotal, Personnel Costs $26,328,323 $26,038,998 $26,267,083 21-Travel $37,605 $28,684 $23,521 22-Transportation of Things $0 $0 $0 23-Rent and Communications $1,525,660 $1,560,551 $1,591,762 24-Printing and Reproduction $0 $0 $0 25-Other Contractual Services $55,590 $652,153 $155,196 26-Supplies and Materials $0 $0 $0 31-Equipment $249 $13,454 $13,723 42-Insurance Claims and Indemnities $0 $0 $0 Subtotal, Non-Personnel Costs $1,619,104 $2,254,842 $1,784,202 TOTAL $27,947,427 $28,293,840 $28,051,285 The Media Bureau develops, recommends, and administers the policy and licensing programs for the regulation of media, including cable television, broadcast television and radio, and satellite services in the United States and its territories. The Bureau advises and recommends to the Commission, or acts for the Commission under delegated authority, in matters pertaining to multichannel video programming distribution, broadcast radio and television, direct broadcast satellite service policy, and associated matters. The Bureau will, among other things: ? Conduct rulemaking proceedings concerning the legal, engineering, and economic aspects of electronic media services. ? Conduct comprehensive studies and analyses concerning the legal, engineering, and economic aspects of electronic media services. ? Resolve waiver petitions, declaratory rulings, and adjudications related to electronic media services. ? Process applications for authorization, assignment, transfer, and renewal of media services, including AM, FM, TV, the cable TV relay service, and related matters. - 52 - PUBLIC SAFETY AND HOMELAND SECURITY BUREAU 2012 2013 2014 Actuals Cong. Request Cong. Request FTE 111 112 112 11-Compensation $13,157,624 $13,392,969 $13,510,283 12-Benefits $3,552,444 $3,593,291 $3,624,766 13-Benefits for Former Personnel $0 $0 $0 Subtotal, Personnel Costs $16,710,068 $16,986,260 $17,135,049 21-Travel $138,827 $93,764 $76,886 22-Transportation of Things $35,460 $0 $0 23-Rent and Communications $843,343 $862,248 $879,493 24-Printing and Reproduction $0 $0 $0 25-Other Contractual Services $188,195 $1,125,043 $127,544 26-Supplies and Materials $12,620 $10,810 $11,026 31-Equipment $68,466 $31,358 $31,985 42-Insurance Claims and Indemnities $0 $0 $0 Subtotal, Non-Personnel Costs $1,286,911 $2,123,223 $1,126,934 TOTAL $17,996,979 $19,109,483 $18,261,982 The Public Safety and Homeland Security Bureau (PSHS) advises and makes recommendations to the Commission, or acts for the Commission under delegated authority, in all matters pertaining to public safety, homeland security, national security, emergency management and preparedness, disaster management, and ancillary operations. The Bureau has responsibility for coordinating public safety, homeland security, national security, emergency management and preparedness, disaster management, and related activities within the Commission. The Bureau also performs the following functions: ? Develops, recommends, and administers policy goals, objectives, rules, regulations, programs, and plans for the Commission to promote effective and reliable communications for public safety, homeland security, national security, emergency management and preparedness, disaster management and related activities, including public safety communications (including 911, enhanced 911, and other emergency number issues), priority emergency communications, alert and warning systems (including the Emergency Alert System), continuity of government operations, implementation of Homeland Security Presidential Directives and Orders, disaster management coordination and outreach, communications infrastructure protection, reliability, operability and interoperability of networks and communications systems, the Communications Assistance for Law Enforcement Act (CALEA), and network security. Recommends policies and procedures for public safety, homeland security, national security, emergency management and preparedness, and recommends national emergency plans and preparedness programs covering Commission functions during national emergency conditions. Conducts outreach and coordination activities with, among others, state and local governmental agencies, hospitals and other emergency health care providers, and public safety organizations. Recommends national emergency plans, policies, and preparedness programs covering the provision of service by communications service providers, including telecommunications service providers, information service providers, common carriers, non-common carriers, broadcasting and cable facilities, satellite and wireless radio services, radio frequency assignment, electro-magnetic radiation, investigation, and enforcement. - 53 - ? Under the general direction of the Defense Commissioner, coordinates the public safety, homeland security, national security, emergency management and preparedness, disaster management, and related activities of the Commission, including national security and emergency preparedness and defense mobilization, Continuity of Government (COG) planning, alert and warning systems (including the Emergency Alert System), and other functions as may be delegated during a national emergency or activation of the President’s war emergency powers as specified in section 706 of the Communications Act. Provides support to the Defense Commissioner, including with respect to his/her participation in public safety and homeland security organizations and committees. Represents the Defense Commissioner with other Government agencies and organizations, the communications industry, and Commission licensees on public safety, homeland security, national security, emergency management and preparedness, disaster management, and related issues. ? Develops and administers rules, regulations, and policies for priority emergency communications, including the Telecommunications Service Priority System. Supports the Chief of the Wireline Competition, International, and Wireless Telecommunications Bureaus on matters involving assignment of Telecommunications Service Priority System priorities and in administration of that system. ? The Chief of PSHS Bureau or designee acts as the FCC Alternate Homeland Security and Defense Coordinator and principal to the successor to the National Communications System, and serves as the Commission’s representative on the successor’s committees. ? Advises and makes recommendations to the Commission, or acts for the Commission under delegated authority, in all matters pertaining to the licensing and regulation of public safety, homeland security, national security, emergency management and preparedness, and disaster management wireless telecommunications, including ancillary operations related to the provision or use of such services. ? Conducts studies of public safety, homeland security, national security, emergency management and preparedness, disaster management, and related issues. Develops and administers recordkeeping and reporting requirements for communications companies pertaining to these issues. Administers any Commission information collection requirements pertaining to public safety, homeland security, national security, emergency management and preparedness, disaster management, and related issues. ? Interacts with the public, local, state and other governmental agencies, and industry groups (including advisory committees and public safety organizations and associations) on public safety, homeland security, national security, emergency management, disaster management, and related issues. Serves as the point of contact for the U.S. Government in matters of international monitoring, fixed and mobile direction-finding, and interference resolution, and oversees coordination of non-routine communications and materials between the Commission and international or regional public organizations or foreign administrations. ? Maintains and operates the Commission’s public safety, homeland security, national security, emergency management and preparedness, and disaster management facilities and operations, including the Communications Center, the establishment of any Emergency Operations Center (EOC), and any liaison activities with other federal, state, or local government organizations. - 54 - ? Reviews and coordinates orders, programs, and actions initiated by other Bureaus and Offices in matters affecting public safety, homeland security, national security, emergency management and preparedness, disaster management, and related issues to ensure consistency with overall Commission policy. ? Develops and recommends responses to legislative, regulatory, or judicial inquiries and proposals concerning or affecting public safety, homeland security, national security, emergency management, disaster management, and related issues. Responses to judicial inquiries should be developed with and recommended to the Office of General Counsel. ? Develops and maintains the Commission’s plans and procedures, including the oversight, preparation, and training of Commission personnel, for Continuity of Operations (COOP), Continuity of Government functions, and Commission activities and responses to national emergencies and other similar situations. ? Acts on emergency requests for Special Temporary Authority during non-business hours when the other Offices and Bureaus of the Commission are closed. Such actions shall be coordinated with, if possible, and promptly reported to the responsible Bureau or Office. ? Maintains liaison with other Bureaus and Offices concerning matters affecting public safety, homeland security, national security, emergency management and preparedness, disaster management, and related issues. ? Is authorized to declare that a temporary state of communications emergency exists pursuant to § 97.401(b) of this chapter and to act on behalf of the Commission with respect to the operation of amateur stations during such temporary state of communications emergency. ? Performs such other functions and duties as may be assigned or referred to it by the Commission or the Defense Commissioner. - 55 - WIRELESS TELECOMMUNICATIONS BUREAU 2012 2013 2014 Actuals Cong. Request Cong. Request FTE 218 220 220 11-Compensation $12,446,359 $12,825,265 $12,937,606 12-Benefits $3,242,439 $3,479,755 $3,510,235 13-Benefits for Former Personnel $0 $0 $0 Subtotal, Personnel Costs $15,688,798 $16,305,020 $16,447,842 21-Travel $13,443 $17,592 $14,426 22-Transportation of Things $0 $0 $0 23-Rent and Communications $270,340 $276,523 $282,053 24-Printing and Reproduction $0 $0 $0 25-Other Contractual Services $353,515 $55,010 $56,110 26-Supplies and Materials $0 $0 $0 31-Equipment $0 $0 $0 42-Insurance Claims and Indemnities $0 $0 $0 Subtotal, Non-Personnel Costs $637,298 $349,125 $352,590 TOTAL $16,326,096 $16,654,145 $16,800,431 The Wireless Telecommunications Bureau (WTB) advises and makes recommendations to the Commission, or acts for the Commission under delegated authority, in matters pertaining to the regulation and licensing of wireless communications services, devices, facilities, and electromagnetic spectrum resources. The Bureau develops and recommends policy goals, objectives, programs, and plans for the Commission on matters concerning wireless communications and electromagnetic spectrum resources, drawing upon relevant economic, technological, legislative, regulatory, and judicial information and developments. Such matters include addressing the present and future wireless communications and spectrum needs of U.S. consumers, businesses, state, local, and tribal governments, and other entities; promoting access, efficiency, and innovation in the allocation, licensing and use of the electromagnetic spectrum; ensuring choice, opportunity, and fairness in the development of wireless communication services and markets; developing policies regarding the conduct of auctions of Commission licenses; promoting investment in wireless communications infrastructure, including wireless broadband, and the integration and interconnection of wireless communications networks with other communications networks and facilities; and promoting the development and widespread availability of wireless broadband, mobile, public safety, and other wireless communications services, devices, and facilities, including through open networks, where appropriate. The Bureau’s activities include developing and coordinating policy; conducting rulemaking and licensing work; conducting spectrum auctions of wireless licenses; conducting auctions for other services and programs as needed; and acting on applications for service and facility authorizations. The Bureau also determines the resource impact of existing, planned, or recommended Commission activities concerning wireless communications, and develops and recommends resources deployment priorities. The Bureau reviews and coordinates orders, programs, and actions initiated by other Bureaus and Offices in matters affecting wireless communications to ensure consistency of overall Commission policy. - 56 - WIRELINE COMPETITION BUREAU 2012 2013 2014 Actuals Cong. Request Cong. Request FTE 160 176 217 11-Compensation $20,816,652 $23,065,864 $28,767,907 12-Benefits $5,506,354 $6,078,584 $7,631,829 13-Benefits for Former Personnel $0 $0 $0 Subtotal, Personnel Costs $26,323,006 $29,144,448 $36,399,735 21-Travel $42,846 $58,463 $52,034 22-Transportation of Things $0 $0 $0 23-Rent and Communications $1,332,235 $1,362,702 $1,389,956 24-Printing and Reproduction $0 $0 $0 25-Other Contractual Services $151,588 $90,747 $92,562 26-Supplies and Materials $2,023 $0 $0 31-Equipment $6,148 $0 $0 42-Insurance Claims and Indemnities $0 $0 $0 Subtotal, Non-Personnel Costs $1,534,840 $1,511,912 $1,534,552 TOTAL $27,857,846 $30,656,360 $37,934,287 The Wireline Competition Bureau advises and makes recommendations to the Commission, or acts for the Commission under delegated authority, on matters concerning wireline communications and ancillary operations, drawing on relevant economic, technological, legislative, regulatory, and judicial information and developments. The Bureau’s objectives include: ensuring that all Americans are included in 21st century communications by reaching all of America with affordable broadband and voice services; ensuring access to affordable broadband connectivity for schools, libraries, and health care institutions; fostering competition, especially for small businesses; ensuring a sustainable framework for competitors who rely on the facilities of others; and ensuring that the public has access to accurate and comprehensive data about communications services, including data about broadband. The Bureau’s activities include: policy development and coordination; adjudicatory and rulemaking proceedings affecting wireline telecommunications service providers; administering the provisions of the Communications Act relating to charges, practices, and classifications for wireline telecommunications service providers to ensure that they are just and reasonable; action on requests for interpretation or waivers of rules; determinations regarding lawfulness of carrier tariffs; action on applications for authorization to transfer service and facility authorizations or to discontinue services or the operation of facilities; review of carrier performance; administration of accounting requirements for incumbent local exchange carriers; administration of FCC reporting requirements affecting telecommunications and broadband providers; economic research and analysis; interaction with the public, local, state, and other government agencies, industry groups, and other stakeholders on wireline communications regulation and related matters; reviewing and coordinating orders, programs, and actions initiated by other Bureaus and Offices in matters affecting wireline communications to ensure consistency with overall Commission policy; and any other functions as may be assigned, delegated, or referred to the Bureau by the Commission. - 57 - AGENCY OFFICES Office of Administrative Law Judges 2012 2013 2014 Actuals Cong. Request Cong. Request FTE 3 4 4 11-Compensation $306,738 $429,748 $433,512 12-Benefits $52,392 $71,733 $72,361 13-Benefits for Former Personnel $0 $0 $0 Subtotal, Personnel Costs $359,130 $501,481 $505,874 21-Travel $497 $522 $428 22-Transportation of Things $0 $0 $0 23-Rent and Communications $22,123 $22,627 $23,080 24-Printing and Reproduction $0 $0 $0 25-Other Contractual Services $4,000 $20,375 $20,783 26-Supplies and Materials $0 $0 $0 31-Equipment $0 $0 $0 42-Insurance Claims and Indemnities $0 $0 $0 Subtotal, Non-Personnel Costs $26,620 $43,524 $44,290 TOTAL $385,750 $545,005 $550,164 The Office of Administrative Law Judges hears and conducts all adjudicatory cases designated for formal evidentiary hearing, other than those designated to be heard by the Commission en banc or by one or more members of the Commission, and other hearings as the Commission may assign. The Office has the following responsibilities: • Presiding over and conducting formal hearings involving investigations rule-making and adjudication. • Acting on motions, petitions, and other pleadings filed in proceedings, and conducting pre- hearing conferences. • Administering the oath, examining witnesses, ruling upon evidentiary questions, issuing subpoenas, disposing of procedural motions, preparing and issuing Initial Decisions. Performing substantially the same functions of U.S. District Court judges in non-jury cases, with the exception that Initial Decisions rendered are subject to review by the Commission if requested by a party or on the Commission’s own motion. • Upon instruction of the Chairman, serving as liaison for the Commission and this Office in making appropriate arrangements for securing advice or information from representatives of other agencies, bar associations, and interested persons in connection with hearing procedures. • Preparing and maintaining hearing calendars, showing time and place of hearings. - 58 - • Preparing reports, statistical data, and other information requested or required by the Office of Personnel Management, and other offices or agencies of the U.S. Government concerned with proper operation of the Office of Administrative Law Judges. • Exercising such authority as may be assigned by the Commission pursuant to section 5(c) of the Communications Act of 1934, as amended. - 59 - Office of Communications Business Opportunities 2012 2013 2014 Actuals Cong. Request Cong. Request FTE 12 12 12 11-Compensation $1,413,436 $1,500,906 $1,514,053 12-Benefits $365,485 $394,596 $398,052 13-Benefits for Former Personnel $0 $0 $0 Subtotal, Personnel Costs $1,778,921 $1,895,502 $1,912,105 21-Travel $29,259 $34,380 $28,192 22-Transportation of Things $0 $0 $0 23-Rent and Communications $71,886 $73,510 $74,980 24-Printing and Reproduction $0 $0 $0 25-Other Contractual Services $494,902 $0 $0 26-Supplies and Materials $0 $0 $0 31-Equipment $0 $0 $0 42-Insurance Claims and Indemnities $0 $0 $0 Subtotal, Non-Personnel Costs $596,047 $107,890 $103,172 TOTAL $2,374,968 $2,003,392 $2,015,277 The Office of Communications Business Opportunities (OCBO), as a staff office to the Commission, develops, coordinates, evaluates, and recommends to the Commission policies, programs, and practices that promote participation by small entities, women, and minorities in the communications industry. A principal function of the Office is to lead, advise, and assist the Commission, including all of its component Bureau/Office managers, supervisors, and staff, at all levels, on ways to ensure that the competitive concerns of small entities, women, and minorities are fully considered by the agency in notice and comment rulemakings. In accordance with this function, the Office: ? Conducts independent analyses of the Commission’s policies and practices to ensure that those policies and practices fully consider the interests of small entities, women, and minorities; ? Advises the Commission, Bureaus, and Offices of their responsibilities under the Congressional Review Act provisions regarding small businesses; the Report to Congress regarding Market Entry Barriers for Small Telecommunications Businesses (47 U.S.C. § 257); and the Telecommunications Development Fund (47 U.S.C. § 614). The Office has the following duties and responsibilities: ? Serving, through its director, as the principal small business policy advisor to the Commission; ? Developing, implementing, and evaluating programs and policies that promote participation by small entities, women, and minorities in the communications industry; ? Managing the Regulatory Flexibility Analysis process pursuant to the Regulatory Flexibility Act and the Small Business Regulatory Enforcement Fairness Act to ensure that small business interests are fully considered in agency actions; - 60 - ? Developing and recommending Commission-wide goals and objectives for addressing the concerns of small entities, women, and minorities and reports of achievement; ? Acting as the principal channel for disseminating information regarding the Commission’s activities and programs affecting small entities, women, and minorities; ? Developing, recommending, coordinating, and administering objectives, plans and programs to encourage participation by small entities, women, and minorities in the decision-making process; ? Promoting increased awareness within the Commission of the impact of policies on small entities, women, and minorities; ? Acting as the Commission’s liaison to other federal agencies on matters relating to small business. - 61 - Office of Engineering and Technology 2012 2013 2014 Actuals Cong. Request Cong. Request FTE 80 85 85 11-Compensation $9,628,406 $10,251,615 $10,341,413 12-Benefits $2,540,859 $2,709,445 $2,733,178 13-Benefits for Former Personnel $0 $0 $0 Subtotal, Personnel Costs $12,169,265 $12,961,060 $13,074,591 21-Travel $29,071 $25,208 $20,670 22-Transportation of Things $0 $0 $0 23-Rent and Communications $441,930 $452,036 $461,077 24-Printing and Reproduction $0 $0 $0 25-Other Contractual Services $659,417 $195,527 $199,438 26-Supplies and Materials $36,766 $41,404 $42,232 31-Equipment $440,828 $592,900 $94,758 42-Insurance Claims and Indemnities $0 $0 $0 Subtotal, Non-Personnel Costs $1,608,012 $1,307,075 $818,175 TOTAL $13,777,277 $14,268,135 $13,892,765 The Office of Engineering and Technology allocates spectrum for commercial, private, and non- Federal governmental use and provides expert advice on technical issues before the Commission, including recommendations on technical standards for spectrum users. The Office also performs the following duties and responsibilities: ? Developing overall policies, objectives, and priorities for the Office of Engineering and Technology programs and activities; performing management functions; and supervising the execution of these policies. ? Advising and representing the Commission on frequency allocation and spectrum usage matters, including those covered by international agreements. ? Planning and directing broad programs for development of information relative to communication techniques and equipment, radio wave propagation, and new uses for communications, and advising the Commission and staff offices in such matters. ? Representing the Commission at various national and international conferences and meetings devoted to the progress of communications and the development of information and standards. ? Conducting engineering and technical studies in advanced phases of terrestrial and space communications, and special projects to obtain theoretical and experimental data on new or improved techniques, including cooperative studies with other staff units and consultant and contract efforts as appropriate. ? Advising the Commission and other Bureaus and Offices concerning spectrum management, emerging technologies, technical standards, international considerations, and national security matters involved in making or implementing policy or in resolving specific situations involving these matters. ? Developing and implementing procedures to acquire, store, and retrieve scientific and technical information required in the engineering work of the Commission. - 62 - ? Providing advice to the Commission, participating in and coordinating staff work with respect to general frequency allocation proceedings and other proceedings not within the jurisdiction of any single Bureau, and providing assistance and advice with respect to rulemaking matters and proceedings affecting more than one Bureau. ? Administering Parts 2, 5, 15, and 18, of the Commission’s Rules and Regulations. ? Performing technical, engineering, and management functions of the Commission with respect to formulating rules and regulations, technical standards, and general policies for Parts 2, 5, 15 and 18, and for equipment authorization of radio equipment for compliance with all appropriate rules. ? Maintaining liaison with other agencies of government, technical experts representing foreign governments, and members of the public and industry concerned with communications and frequency allocation and usage. ? Coordinating frequency assignments for Commission licensees with Federal Government agencies, and representing the Commission on issues regarding use of spectrum when jurisdiction is shared with the Federal Government. ? Preparing recommendations for legislation, and reviewing recommendations for rule changes and rulemaking proposals initiated by other offices affecting Bureau programs and operations. - 63 - Office of General Counsel 2012 2013 2014 Actuals Cong. Request Cong. Request FTE 70 73 73 11-Compensation $9,659,720 $10,355,313 $10,446,019 12-Benefits $2,508,545 $2,666,907 $2,690,267 13-Benefits for Former Personnel $0 $0 $0 Subtotal, Personnel Costs $12,168,265 $13,022,220 $13,136,287 21-Travel $11,663 $13,008 $10,666 22-Transportation of Things $0 $0 $0 23-Rent and Communications $559,705 $572,505 $583,955 24-Printing and Reproduction $0 $0 $0 25-Other Contractual Services $6,165 $3,353 $3,420 26-Supplies and Materials $0 $0 $0 31-Equipment $0 $0 $0 42-Insurance Claims and Indemnities $0 $0 $0 Subtotal, Non-Personnel Costs $577,533 $588,866 $598,041 TOTAL $12,745,798 $13,611,086 $13,734,328 As chief legal advisor to the Commission and its various components, the Office of General Counsel performs the following duties and responsibilities: ? Prepares and makes recommendations and interpretations concerning procedural rules of general applicability. ? Reviews all proposed Commission orders and rules for consistency with the Constitution, laws of the United States, and other rules and precedents. ? Represents the Commission in litigation matters. ? Ensures consistent and timely public interest analysis of transactions considered by the Commission and providing technical expertise on various corporate, bankruptcy, fraud, and other transactional issues. ? Assists and makes recommendations to the Commission with respect to cases of adjudication (including the review of initial decisions by Administrative Law Judges) and such other cases as, by Commission policy, are handled in a similar manner and that have been designated for hearing. ? Advises and makes recommendations to the Commission with respect to proposed legislation. ? Interprets statutes, regulations, and international agreements affecting the Commission. ? Provides advice to the Commission and its components on general law issues (e.g., leases, contracts, debt collection, tort claims, fiscal law, and labor law) common to most federal agencies. - 64 - ? Serves as principal advisor to the Commission in the administration of laws and regulations regarding government ethics, as well as the Freedom of Information, Privacy, Government in the Sunshine, and Alternative Dispute Resolution Acts. ? Exercises such authority as may be assigned or referred to it by the Commission pursuant to section 5(c) of the Communications Act of 1934, as amended, as well as the Commission’s rules. - 65 - Office of Inspector General 2012 2013 2014 Actuals Cong. Request Cong. Request FTE 40 46 46 11-Compensation $3,419,851 $5,452,687 $5,500,160 12-Benefits $889,669 $1,290,328 $1,301,630 13-Benefits for Former Personnel $0 $0 $0 Subtotal, Personnel Costs $4,309,520 $6,743,015 $6,801,791 21-Travel $39,259 $95,197 $97,101 22-Transportation of Things $0 $0 $0 23-Rent and Communications $347,968 $350,709 $357,723 24-Printing and Reproduction $0 $0 $0 25-Other Contractual Services $4,641,516 $1,552,562 $3,823,693 26-Supplies and Materials $0 $471 $480 31-Equipment $116,542 $8,384 $8,552 42-Insurance Claims and Indemnities $0 $0 $0 Subtotal, Non-Personnel Costs $5,145,285 $2,007,323 $4,287,549 TOTAL $9,454,805 $8,750,338 $11,089,339 The Federal Communications Commission (FCC) Office of Inspector General (OIG) was established in compliance with the Inspector General Act of 1978 (Public Law 94-454), as amended. The OIG conducts and supervises audits, inspections, and investigations relating to FCC programs and operations. The OIG provides management feedback and leadership, and recommends policies for activities designed to promote economy, efficiency, and effectiveness in the administration of, and to prevent and detect fraud and abuse in, such programs and operations. The OIG communicates with the Commission and Congress to keep them informed about issues and deficiencies relating to the administration of such programs and operations and the necessity for and progress of corrective action. The Inspector General reports directly to the Commission. The primary duties and responsibilities of the OIG include: ? Conducting, supervising, and coordinating audits and investigations relating to the programs and operations of the FCC. ? Reviewing existing and proposed legislation and regulations relating to programs and operations of the FCC, and making recommendations in semiannual reports required by section 5(a) of the Inspector General Act concerning the impact of such legislation or regulations on the economy and efficiency in the administration of programs and operations administered or financed by the FCC, and the prevention and detection of fraud and abuse in such programs and operations. ? Recommending policies for, and conducting or coordinating other activities carried out by or financed by the FCC for, the purpose of promoting economy and efficiency in the administration of, or preventing and detecting fraud and abuse in, its programs and operations. - 66 - ? Recommending policies for matters relating to the promotion of economy and efficiency in the administration of, or the prevention and detection of fraud and abuse in, programs and operations administered or financed by the FCC. ? Reporting expeditiously to the Attorney General whenever the Inspector General has reasonable grounds to believe there has been a violation of Federal criminal law. - 67 - Office of Legislative Affairs 2012 2013 2014 Actuals Cong. Request Cong. Request FTE 13 12 12 11-Compensation $1,594,503 $1,583,862 $1,597,736 12-Benefits $436,869 $427,654 $431,400 13-Benefits for Former Personnel $0 $0 $0 Subtotal, Personnel Costs $2,031,372 $2,011,516 $2,029,136 21-Travel $5,234 $14,551 $4,932 22-Transportation of Things $0 $0 $0 23-Rent and Communications $69,816 $71,413 $72,841 24-Printing and Reproduction $0 $0 $0 25-Other Contractual Services $0 $0 $0 26-Supplies and Materials $0 $0 $0 31-Equipment $0 $0 $0 42-Insurance Claims and Indemnities $0 $0 $0 Subtotal, Non-Personnel Costs $75,050 $85,964 $77,773 TOTAL $2,106,422 $2,097,480 $2,106,909 The Office of Legislative Affairs informs the Congress of the Commission’s decisions, facilitates responses to Congressional inquiries, and provides technical assistance to Congressional staff regarding proposed legislation. Specifically, the Office has the following functions: ? Advising and making recommendations to the Commission with respect to legislation proposed by Members of Congress or other government agencies, and coordinating the preparation of Commission views for submission to Congress or other government agencies. ? Tracking and monitoring legislation impacting the Commission, providing technical assistance to Congressional staff, as necessary. ? Coordinating Commission and Bureau responses to formal inquiries by individual Members of Congress and committees, including tracking inquiries and setting response times. ? Assisting the staffs of Members of Congress in responding to constituent concerns. ? Assisting in the preparation for, and the coordination of, the Chairman’s and Commissioners’ appearances before Committees of Congress. ? Assisting the Office of Managing Director in the preparation of the Managing Director’s annual report to Congress, as well as with the annual submission of the Commission budget. ? Coordinating the Commission’s legislative program, obtaining Bureau and Office comments, and drafting final legislative proposals. - 68 - Office of the Managing Director 2012 2013 2014 Actuals Cong. Request Cong. Request FTE 203 219 223 11-Compensation $19,605,863 $21,148,901 $21,314,396 12-Benefits $4,550,684 $4,870,644 $4,915,073 13-Benefits for Former Personnel $15,050 $28,843 $29,420 Subtotal, Personnel Costs $24,171,597 $26,048,388 $26,258,888 21-Travel $163,063 $239,763 $145,489 22-Transportation of Things $67,690 $112,211 $114,455 23-Rent and Communications $32,594,339 $32,379,660 $32,427,253 24-Printing and Reproduction $1,155,079 $1,012,178 $1,032,422 25-Other Contractual Services $41,050,618 $38,111,283 $41,067,621 26-Supplies and Materials $1,355,995 $1,446,568 $1,475,499 31-Equipment $3,295,952 $2,852,033 $3,899,074 42-Insurance Claims and Indemnities $206,357 $200 $200 Subtotal, Non-Personnel Costs $79,889,093 $76,153,896 $80,162,013 TOTAL $104,060,690 $102,202,284 $106,420,901 The Managing Director is appointed by the Chairman with the approval of the Commission. Under the supervision and direction of the Chairman, the Managing Director serves as the Commission’s chief operating official with the following duties and responsibilities: ? Providing managerial leadership to, and exercising supervision and direction over, the Commission’s Bureaus and Offices with respect to management and administrative matters but no substantive regulatory matters such as regulatory policy and rulemaking, authorization of service, administration of sanctions, and adjudication. ? Formulating and administering all management and administrative policies, programs, and directives for the Commission consistent with authority delegated by the Commission and the Chairman, and recommending to the Chairman and the Commission major changes in such policies and programs. ? As the administrative head of the agency, assisting the Chairman in carrying out the administrative and executive responsibilities delegated to the Chairman. ? Advising the Chairman and the Commission on management, administrative, and related matters; reviewing and evaluating the programs and procedures of the Commission; initiating action or making recommendations as may be necessary to administer the Communications Act most effectively in the public interest. Assessing the management, administrative, and resource implications of any proposed action or decision to be taken by the Commission or by a Bureau or Office under delegated authority; recommending to the Chairman and the Commission program priorities, resource and position allocations, management, and administrative policies. ? Directing agency efforts to improve management effectiveness, operational efficiency, employee productivity, and service to the public. Administering Commission-wide management improvement programs. - 69 - Office of Media Relations 2012 2013 2014 Actuals Cong. Request Cong. Request FTE 16 16 16 11-Compensation $1,724,587 $1,779,077 $1,794,661 12-Benefits $469,989 $488,325 $492,602 13-Benefits for Former Personnel $0 $0 $0 Subtotal, Personnel Costs $2,194,576 $2,267,402 $2,287,263 21-Travel $13,509 $1,395 $1,144 22-Transportation of Things $0 $0 $0 23-Rent and Communications $92,886 $94,959 $96,858 24-Printing and Reproduction $0 $0 $0 25-Other Contractual Services $325,386 $104,951 $107,050 26-Supplies and Materials $9,851 $15,596 $15,908 31-Equipment $81,235 $16,749 $17,084 42-Insurance Claims and Indemnities $0 $0 $0 Subtotal, Non-Personnel Costs $522,867 $233,650 $238,044 TOTAL $2,717,443 $2,501,052 $2,525,307 The Office of Media Relations informs the news media of Commission decisions and serves as the Commission’s main point of contact with the media. The Office of Media Relations has the following duties and responsibilities: ? Enhancing public understanding of and compliance with the Commission’s regulatory requirements. ? Acting as the principal channel for communicating information to the news media on Commission policies, programs, and activities. ? Advising the Commission on information dissemination as it affects liaison with the media. ? Managing the FCC’s Internet site and oversee the agency’s Web standards and guidelines, including accessibility. ? Managing the audio and visual support services for the Commission. ? Also, manages the FCC's social media sites including Twitter, Facebook, YouTube, Flickr and others. - 70 - Office of Strategic Planning and Policy Analysis 2012 2013 2014 Actuals Cong. Request Cong. Request FTE 26 33 33 11-Compensation $2,976,380 $3,808,434 $3,841,794 12-Benefits $785,736 $1,052,720 $1,061,941 13-Benefits for Former Personnel $0 $0 $0 Subtotal, Personnel Costs $3,762,116 $4,861,154 $4,903,735 21-Travel $21,387 $23,440 $19,221 22-Transportation of Things $0 $0 $0 23-Rent and Communications $148,988 $152,396 $155,444 24-Printing and Reproduction $0 $0 $0 25-Other Contractual Services $0 $0 $0 26-Supplies and Materials $0 $0 $0 31-Equipment $0 $309 $315 42-Insurance Claims and Indemnities $0 $0 $0 Subtotal, Non-Personnel Costs $170,375 $176,145 $174,980 TOTAL $3,932,491 $5,037,299 $5,078,715 The Office of Strategic Planning and Policy Analysis (OSP) works with Bureaus and other Offices, including those of the Chairman and other Commissioners, to develop and implement communications policies in all areas of Commission authority and responsibility. Specifically, the Office performs functions including: ? Acting as home for the FCC’s Chief Economist and Chief Technologist. ? Hosting Visiting Scholars from academia and elsewhere that joins the FCC on a temporary basis to contribute to the Commission’s mission. ? Coordinating the publication of the FCC White Paper series, a forum for staff to publish research aside from formal Commission actions. ? Working on high-priority issues at the request of the Chairman, Commissioners, or Bureau/Office Chiefs. ? Leading outreach efforts to relevant stakeholders, e.g., within academia, think tanks, the business community, and the capital markets. ? Providing research and expertise on request to any member of the Commission as resources allow. - 71 - Office of Workplace Diversity 2012 2013 2014 Actuals Cong. Request Cong. Request FTE 5 5 5 11-Compensation $562,042 $586,750 $591,890 12-Benefits $159,235 $170,984 $172,482 13-Benefits for Former Personnel $0 $0 $0 Subtotal, Personnel Costs $721,277 $757,734 $764,371 21-Travel $0 $32 $0 22-Transportation of Things $0 $0 $0 23-Rent and Communications $40,567 $41,495 $42,325 24-Printing and Reproduction $0 $0 $0 25-Other Contractual Services $40,761 $28,889 $29,467 26-Supplies and Materials $0 $509 $519 31-Equipment $0 $0 $0 42-Insurance Claims and Indemnities $0 $0 $0 Subtotal, Non-Personnel Costs $81,328 $70,925 $72,311 TOTAL $802,605 $828,659 $836,682 The Office of Workplace Diversity, as a staff office to the Commission, develops, coordinates, evaluates, and recommends to the Commission policies, programs, and practices that foster a diverse workforce and promotes and ensures equal opportunity for all employees and candidates for employment. A principal function of the Office is to lead, advise, and assist the Commission, including all of its component Bureau/Office managers, supervisors, and staff at all levels, on ways to promote inclusion and full participation of all employees in pursuit of the Commission’s mission. In accordance with this principal function, the Office shall: (1) conduct independent analyses of the Commission’s policies and practices to ensure that those policies and practices foster diversity in the workforce and ensure equal opportunity for employees and applicants; and (2) advise the Commission, Bureaus, and Offices of their responsibilities under: Title VII of the Civil Rights Act of 1964 as Amended; Section 501 of the Rehabilitation Act of 1973 as amended; Age Discrimination in Employment Act of 1967, as amended; Executive Order 11478; and all other statutes, Executive Orders, and regulatory provisions relating to workforce diversity, equal employment opportunity, nondiscrimination, and civil rights. The Office has the following duties and responsibilities: ? Serving, through its Director, as the principal advisor to the Chairman and Commission officials on all aspects of workforce diversity, organization, equal employment opportunity, nondiscrimination, and civil rights. ? Providing leadership and guidance to create a work environment that values and encourages diversity in the workforce. ? Developing, implementing, and evaluating programs and policies to foster a workforce whose diversity reflects the diverse makeup of the Nation, enhances the mission of the Commission, and demonstrates the value and effectiveness of a diverse workforce. ? Developing, implementing, and evaluating programs and policies that promote understanding among members of the Commission's workforce of their differences and the value of those - 72 - differences, and provides a channel for communication among diverse members of the workforce at all levels. ? Developing, implementing, and evaluating programs and policies to ensure that all members of the Commission’s workforce and candidates for employment have equal access to opportunities for employment, career growth, training, and development, and are protected from discrimination and harassment. ? Developing and recommending Commission-wide workforce diversity goals and reporting on achievements. ? Developing, implementing, and evaluating programs and policies to enable all Bureaus and Offices to manage a diverse workforce effectively and in compliance with all equal employment opportunity and civil rights requirements. ? Working closely with the Associate Managing Director - Human Resources Management to ensure compliance with Federal and Commission recruitment and staffing requirements. ? Managing the Commission’s equal employment opportunity compliance program. Responsibilities in this area include processing complaints alleging discrimination, recommending to the Chairman final decisions on EEO complaints within the Commission, and providing consulting services to employees and applicants on EEO matters. ? Developing and administering the Commission’s program of accessibility and accommodation for disabled persons in accordance with applicable regulations. ? Representing the Commission at meetings with other public and private groups and organizations on matters concerning workforce diversity and equal employment opportunity. ? Maintaining liaison with and soliciting views of organizations within and outside the Commission on matters relating to equal opportunity and workforce diversity. APPENDICES - 73 - DISTRIBUTION OF BUDGET AUTHORITY: Change to FY 2012 FY 2013 FY 2014 Appropriated Actual Cong. Request Cong. Request Budget Authority FCC - Commission without Office of the Inspector General: Direct Appropriation $0 $0 $0 $0 Authority to Spend Offsetting Collections: Regulatory Fees 329,232 338,032 348,210 10,178 Appropriation Total $329,232 $338,032 $348,210 $10,178 Authority to Spend Other Off-setting Collections: 1) Economy Act/Misc. Other $4,564 $6,000 $6,000 $0 2) Auctions Cost Recovery Reimbursements 83,900 97,447 88,694 (8,753) Other Offsetting Collections $88,464 $103,447 $94,694 ($8,753) Total Budget Authority - Available to incur obligations $417,696 $441,479 $442,904 $1,425 Other Budget Authority Credit Program Account 1/ $477 $3,621 $1,510 ($2,111) FCC - Office of the Inspector General: Direct Appropriation $0 $0 $0 $0 Authority to Spend Offsetting Collections: Regulatory Fees 9,455 8,750 11,089 2,339 OIG Appropriation Total $9,455 $8,750 $11,089 $2,339 Authority to Spend Other Off-setting Collections: 1) Economy Act/Misc. Other $0 0 0 $0 2) Auctions Cost Recovery Reimbursements 1,009 1,292 706 (586) OIG Other Offsetting Collections $1,009 $1,292 $706 ($586) OIG Total Budget Authority - Available to incur obligations $10,464 $10,042 $11,795 $1,753 Other Budget Authority Credit Program Account 1/ $301 $305 $423 $118 Universal Service Fund (USF) 2/ $11,391 $5,011 $4,259 ($752) Total FCC with OIG Appropriation Total $338,687 $346,782 $359,299 $12,517 Other Offsetting Collections $89,473 $104,739 $95,400 ($9,339) Total Budget Authority - Available to incur obligations $428,160 $451,521 $454,699 $3,178 1/ Credit Program Account carryover amount. FY 2014 Budget Estimates to Congress Summary of Requested Resources ($ in Thousands) 2/ The Consolidated Appropriations Act, 2008 (P.L. 110-161) authorizes use of $21.5M to be used by the Office of the Inspector General for USF Audit Support. In FY 2008 - FY 2012, $12.2M was obligated. The remaining $9.3M has been carried forward, as follows: $5.0M is estimated to be used in FY 2013, and $4.3M will be used for future fiscal years. - 74 - DISTRIBUTION OF OBLIGATIONS: FY 2012 FY 2013 FY 2014 Actual Cong. Request Cong. Request Difference FCC - Commission without Office of the Inspector General: Direct Appropriation $0 $0 $0 $0 Offsetting Collections - Obligations: Regulatory Fees $329,232 $338,032 $348,210 $10,178 Subtotal - Obligations from Appropriated Funds $329,232 $338,032 $348,210 $10,178 Obligations - Other Offsetting Collections 1) Economy Act/Misc. Other $4,564 $6,000 $6,000 $0 2) Auctions Cost Recovery Reimbursements 83,900 97,447 88,694 (8,753) Subtotal Obligations Other Offsetting Collections $88,464 $103,447 $94,694 ($8,753) TOTAL OBLIGATIONS & OUTLAYS $417,696 $441,479 $442,904 $1,425 Other Budget Authority: Credit Program Account $477 $3,621 $1,510 ($2,112) FCC - Office of the Inspector General: Direct Appropriation $0 $0 $0 $0 Offsetting Collections - Obligations: Regulatory Fees $9,455 $8,750 $11,089 $2,339 OIG Subtotal - Obligations from Appropriated Funds $9,455 $8,750 $11,089 $2,339 Obligations - Other Offsetting Collections 1) Economy Act/Misc. Other $0 $0 $0 $0 2) Auctions Cost Recovery Reimbursements 1,009 1,292 706 (586) OIG Subtotal Obligations Other Offsetting Collections $1,009 $1,292 $706 ($586) OIG TOTAL OBLIGATIONS & OUTLAYS $10,464 $10,042 $11,795 $1,753 Other Budget Authority: Credit Program Account $301 $305 $423 $118 Universal Service Fund (USF) 1/ $2,119 $5,011 $4,259 ($752) Total FCC with OIG Subtotal - Obligations from Appropriated Funds $338,687 $346,782 $359,299 $12,517 Subtotal Obligations Other Offsetting Collections $89,473 $104,739 $95,400 ($9,339) TOTAL OBLIGATIONS & OUTLAY $428,160 $451,521 $454,699 $3,178 FY 2014 Budget Estimates to Congress Summary of Requested Resources 1/ The Consolidated Appropriations Act, 2008 (P.L. 110-161) authorizes use of $21.5M to be used by the Office of the Inspector General for USF Audit Support. In FY 2008 - FY 2012, $12.2M was obligated. The remaining $9.3M has been carried forward, as follows: $5.0M is estimated to be used in FY 2013, and $4.3M will be used for future fiscal years. ($ in Thousands) - 75 - OUTLAYS: FY 2012 FY 2013 FY 2014 Actual Cong. Request Cong. Request FCC - Commission without Office of the Inspector General: New Offsetting Collections: Regulatory Fees $327 $336 $346 Auctions Receipts 84 98 88 Interagency/Other 5 6 6 Homeland Security 2 2 2 Subtotal, Outlays from new discretionary authority $418 $442 $442 Outlays from prior year discretionary balances 0 0 0 SUBTOTAL OUTLAYS $418 $442 $442 FCC - Office of the Inspector General: New Offsetting Collections: Regulatory Fees $10 $9 $11 Auctions Receipts 1 1 1 Interagency/Other 0 0 0 Homeland Security 0 0 0 Subtotal, Outlays from new discretionary authority $11 $10 $12 Outlays from prior year discretionary balances 0 0 0 OIG SUBTOTAL OUTLAYS $11 $10 $12 TOTAL FCC with OIG OUTLAYS $429 $452 $454 ($ in Millions) FY 2014 Budget Estimates to Congress Summary of Requested Resources - 76 - FY 2012 FY 2013 FY 2014 Actual Cong. Request Cong. Request FCC - Commission without Office of the Inspector General: Total Compensable Workyears: Full-Time Equivalent Employment (FTEs) 1,685 1,730 1,775 Proposed Distribution: Direct 0 0 0 Offsetting Collections 1/ 1,682 1,725 1,770 Auctions Credit Program Account 3 5 5 TOTAL FTE - Commission 1,685 1,730 1,775 FCC - Office of the Inspector General: Total Compensable Workyears: Full-Time Equivalent Employment (FTEs) 40 46 46 Proposed Distribution: Direct 0 0 0 Offsetting Collections 1/ 29 29 29 Auctions Credit Program Account 0 0 0 Universal Service Fund (USF) (Term) 11 17 17 TOTAL FTE - OIG 40 46 46 TOTAL FCC with OIG FTE 1,725 1,776 1,821 Summary of Requested Resources ($ in Millions) FY 2014 Budget Estimates to Congress - 77 - REGULATORY FEES - CURRENT: FY 2012 FY 2013 FY 2014 Object Class Description Actual Cong. Request Cong. Request Personnel Compensation & Benefits: Full-time/Part-time Permanent (11.0) $186,196 $195,730 $202,925 Personnel Benefits (12.0) 47,935 50,186 52,127 Subtotal Personnel Comp. & Benefits $234,131 $245,916 $255,052 Other Expenses: Benefits for Former Personnel (13.0) $15 $29 $29 Travel (21.0) 1,909 1,836 1,504 Transportation of Things (22.0) 109 126 128 GSA Rent (23.1) 36,873 36,769 37,504 Other Rents, Comm., Utilities (23.3) 7,229 7,438 6,987 Printing and Reproduction (24.0) 1,155 1,012 1,033 Contract Services - Non-Fed (25.2) 23,805 19,046 23,856 Fed. Purchase, Goods & Services (25.3) 3,360 3,319 3,885 Operation & Maint. of Equipment (25.7) 23,166 21,451 21,355 Supplies and Materials (26.0) 1,760 1,797 1,833 Equipment (31.0) 4,969 8,043 6,133 Land and Structures (32.0) 0 0 0 Insurance Claims & Indemnities (42.0) 206 0 0 Subtotal Other Expenses $104,556 $100,866 $104,247 Total Obligations from Regulatory Fees $338,687 $346,782 $359,299 Total Resources from Regulatory Fees $338,687 $346,782 $359,299 FY 2014 Budget Estimates to Congress SUMMARY TABLES DISTRIBUTION OF RESOURCES ($ in thousands) - 78 - AUCTIONS COST RECOVERY REIMBURSABLE AUTHORITY: -- FY 2012 FY 2013 FY 2014 Object Class Description Actual Cong. Request Cong. Request Personnel Compensation & Benefits: Full-time/Part-time Permanent (11.0) $23,892 $27,366 $25,893 Personnel Benefits (12.0) 6,443 7,131 6,882 Subtotal Personnel Comp. & Benefits $30,335 $34,497 $32,775 Other Expenses: Benefits for Former Personnel (13.0) $2 $4 $2 Travel (21.0) 324 482 330 Transportation of Things (22.0) 10 10 10 GSA Rent (23.1) 6,322 6,844 6,448 Other Rents, Comm., Utilities (23.3) 3,416 3,352 3,485 Printing and Reproduction (24.0) 164 242 167 Contract Services - Non-Fed (25.2) 10,556 19,213 10,857 Fed. Purchase, Goods & Services (25.3) 443 389 451 Operation & Maint. of Equipment (25.7) 30,825 26,449 32,311 Supplies and Materials (26.0) 242 253 246 Equipment (31.0) 2,270 6,994 2,317 Land and Structures (32.0) 0 0 0 Insurance Claims & Indemnities (42.0) 0 10 0 Subtotal Other Expenses $54,574 $64,242 $56,625 Total Auctions Cost Recovery Reimbursable Obligations: $84,909 $98,739 1/ $89,400 DISTRIBUTION OF RESOURCES 1/ The FCC received a Continuing Resolution Anomaly for FY 2013 in the amount of $13.7M for Auctions. FY 2014 Budget Estimates to Congress SUMMARY TABLES ($ in thousands) The following table depicts the distribution of the actual resources for FY 2012, Congressional Request for FY 2013, and estimated for FY 2014 obligations utilizing auctions cost recovery reimbursable authority. - 79 - GOVERNMENT/OTHER REIMBURSABLE AUTHORITY -- FY 2012 FY 2013 FY 2014 Object Class Description Actual Cong. Request Cong. Request Personnel Compensation & Benefits: Full-time/Part-time Permanent (11.0) $453 $600 $600 Personnel Benefits (12.0) 119 200 200 Subtotal Personnel Comp. & Benefits $572 $800 $800 Other Expenses: Benefits for Former Personnel (13.0) $0 $0 $0 Travel (21.0) 112 205 205 Transportation of Things (22.0) 0 0 0 GSA Rent (23.1) 0 0 0 Other Rents, Comm., Utilities (23.3) 0 0 0 Printing and Reproduction (24.0) 0 0 0 Contract Services - Non-Fed (25.2) 796 805 805 Fed. Purchase, Goods & Services (25.3) 500 750 750 Operation & Maint. of Equipment (25.7) 2,117 2,900 2,900 Supplies and Materials (26.0) 34 40 40 Equipment (31.0) 433 500 500 Land and Structures (32.0) 0 0 0 Insurance Claims & Indemnities (42.0) 0 0 0 Subtotal Other Expenses $3,992 $5,200 $5,200 Total Government/Other Reimbursable Authority $4,564 $6,000 $6,000 The following table depicts the Economy Act/Other Reimbursable actual resources for FY 2012 and estimated for FY 2013 and FY 2014. DISTRIBUTION OF RESOURCES SUMMARY TABLES FY 2014 Budget Estimates to Congress ($ in thousands) - 80 - - 81 - - 82 - REGULATORY FEES - CURRENT (EXCLUDING OIG): FY 2012 FY 2013 FY 2014 Object Class Description Actual Cong. Request Cong. Request Personnel Compensation & Benefits: Full-time/Part-time Permanent (11.0) $182,776 $190,278 $197,425 Personnel Benefits (12.0) 47,045 48,895 50,825 Subtotal Personnel Comp. & Benefits $229,821 $239,173 $248,250 Other Expenses: Benefits for Former Personnel (13.0) $15 $29 $29 Travel (21.0) 1,870 1,741 1,407 Transportation of Things (22.0) 109 126 128 GSA Rent (23.1) 36,530 36,418 37,147 Other Rents, Comm., Utilities (23.3) 7,224 7,438 6,987 Printing and Reproduction (24.0) 1,155 1,012 1,032 Contract Services - Non-Fed (25.2) 19,164 17,494 20,032 Fed. Purchase, Goods & Services (25.3) 3,360 3,319 3,885 Operation & Maint. of Equipment (25.7) 23,166 21,451 21,355 Supplies and Materials (26.0) 1,760 1,797 1,833 Equipment (31.0) 4,852 8,034 6,125 Land and Structures (32.0) 0 0 0 Insurance Claims & Indemnities (42.0) 206 0 0 Subtotal Other Expenses $99,411 $98,859 $99,960 Total Obligations from Regulatory Fees $329,232 $338,032 $348,210 Total Resources from Regulatory Fees $329,232 $338,032 $348,210 FY 2014 Budget Estimates to Congress FCC SUMMARY TABLES (EXCLUDING OIG) DISTRIBUTION OF RESOURCES ($ in thousands) - 83 - AUCTIONS COST RECOVERY REIMBURSABLE AUTHORITY (EXCLUDING OIG): -- FY 2012 FY 2013 FY 2014 Object Class Description Actual Cong. Request Cong. Request Personnel Compensation & Benefits: Full-time/Part-time Permanent (11.0) $23,578 $26,983 $25,576 Personnel Benefits (12.1) 6,339 7,027 6,776 Subtotal Personnel Comp. & Benefits $29,917 $34,010 $32,352 Other Expenses: Benefits for Former Personnel (13.0) $2 $4 $2 Travel (21.0) 324 482 330 Transportation of Things (22.0) 10 10 10 GSA Rent (23.1) 6,322 6,844 6,448 Other Rents, Comm., Utilities (23.3) 3,416 3,352 3,485 Printing and Reproduction (24.0) 164 242 167 Contract Services - Non-Fed (25.2) 9,965 18,422 10,574 Fed. Purchase, Goods & Services (25.3) 443 389 451 Operation & Maint. of Equipment (25.7) 30,825 26,449 32,311 Supplies and Materials (26.0) 242 253 246 Equipment (31.0) 2,270 6,980 2,316 Land and Structures (32.0) 0 0 0 Insurance Claims & Indemnities (42.0) 0 10 0 Subtotal Other Expenses $53,983 $63,437 $56,342 Total Auctions Cost Recovery Reimbursable Obligations: $83,900 $97,447 1/ $88,694 FCC SUMMARY TABLES (EXCLUDING OIG) DISTRIBUTION OF RESOURCES ($ in thousands) The following table depicts the distribution of the actual resources for FY 2012, Congressional Request for FY 2013, and estimated for FY 2014 obligations utilizing auctions cost recovery reimbursable authority. 1/ The FCC received a Continuing Resolution Anomaly for FY 2013 in the amount of $13.7M for Auctions. FY 2014 Budget Estimates to Congress - 84 - GOVERNMENT/OTHER REIMBURSABLE AUTHORITY (EXCLUDING OIG): -- FY 2012 FY 2013 FY 2014 Object Class Description Actual Cong. Request Cong. Request Personnel Compensation & Benefits: Full-time/Part-time Permanent (11.0) $453 $600 $600 Personnel Benefits (12.1) 119 200 200 Subtotal Personnel Comp. & Benefits $572 $800 $800 Other Expenses: Benefits for Former Personnel (13.0) $0 $0 $0 Travel (21.0) 112 205 205 Transportation of Things (22.0) 0 0 0 GSA Rent (23.1) 0 0 0 Other Rents, Comm., Utilities (23.3) 0 0 0 Printing and Reproduction (24.0) 0 0 0 Contract Services - Non-Fed (25.2) 795 805 805 Fed. Purchase, Goods & Services (25.3) 500 750 750 Operation & Maint. of Equipment (25.7) 2,117 2,900 2,900 Supplies and Materials (26.0) 34 40 40 Equipment (31.0) 433 500 500 Land and Structures (32.0) 0 0 0 Insurance Claims & Indemnities (42.0) 0 0 0 Subtotal Other Expenses $3,991 $5,200 $5,200 Total Government/Other Reimbursable Authority $4,563 $6,000 $6,000 FY 2014 Budget Estimates to Congress FCC SUMMARY TABLES (EXCLUDING OIG) DISTRIBUTION OF RESOURCES ($ in thousands) The following table depicts the Economy Act/Other Reimbursable actual resources for FY 2012 and estimated for FY 2013 and FY 2014. - 85 - - 86 - - 87 - AUCTIONS COST RECOVERY REIMBURSABLE AUTHORITY (OIG): -- FY 2012 FY 2013 FY 2014 Object Class Description Actual Cong. Request Cong. Request Personnel Compensation & Benefits: Full-time/Part-time Permanent (11.0) $314 $383 $317 Personnel Benefits (12.0) 104 104 105 Subtotal Personnel Comp. & Benefits $418 $487 $422 Other Expenses: Benefits for Former Personnel (13.0) $0 $0 $0 Travel (21.0) 0 0 0 Transportation of Things (22.0) 0 0 0 GSA Rent (23.1) 0 0 0 Other Rents, Comm., Utilities (23.3) 0 0 0 Printing and Reproduction (24.0) 0 0 0 Contract Services - Non-Fed (25.2) 591 791 283 Fed. Purchase, Goods & Services (25.3) 0 0 0 Operation & Maint. of Equipment (25.7) 0 0 0 Supplies and Materials (26.0) 0 0 0 Equipment (31.0) 0 14 1 Land and Structures (32.0) 0 0 0 Insurance Claims & Indemnities (42.0) 0 0 0 Subtotal Other Expenses $591 $805 $284 Total Auctions Cost Recovery Reimbursable Obligations: $1,009 $1,292 1/ $706 FCC OIG SUMMARY TABLES DISTRIBUTION OF RESOURCES ($ in thousands) The following table depicts the distribution of the actual resources for FY 2012, Congressional Request for FY 2013, and estimated for FY 2014 obligations utilizing auctions cost recovery reimbursable authority. 1/ The FCC received a Continuing Resolution Anomaly for FY 2013 in the amount of $13.7M for Auctions. FY 2014 Budget Estimates to Congress - 88 - GOVERNMENT/OTHER REIMBURSABLE AUTHORITY (OIG): -- FY 2012 FY 2013 FY 2014 Object Class Description Actual Cong. Request Cong. Request Personnel Compensation & Benefits: Full-time/Part-time Permanent (11.0) $0 $0 $0 Personnel Benefits (12.0) 0 0 0 Subtotal Personnel Comp. & Benefits $0 $0 $0 Other Expenses: Benefits for Former Personnel (13.0) $0 $0 $0 Travel (21.0) 0 0 0 Transportation of Things (22.0) 0 0 0 GSA Rent (23.1) 0 0 0 Other Rents, Comm., Utilities (23.3) 0 0 0 Printing and Reproduction (24.0) 0 0 0 Contract Services - Non-Fed (25.2) 0 0 0 Fed. Purchase, Goods & Services (25.3) 0 0 0 Operation & Maint. of Equipment (25.7) 0 0 0 Supplies and Materials (26.0) 0 0 0 Equipment (31.0) 0 0 0 Land and Structures (32.0) 0 0 0 Insurance Claims & Indemnities (42.0) 0 0 0 Subtotal Other Expenses $0 $0 $0 Total Government/Other Reimbursable Authority $0 $0 $0 FY 2014 Budget Estimates to Congress FCC OIG SUMMARY TABLES DISTRIBUTION OF RESOURCES ($ in thousands) The following table depicts the Economy Act/Other Reimbursable actual resources for FY 2012 and estimated for FY 2013 and FY 2014. - 89 - CREDIT PROGRAM ACCOUNT (OIG): -- FY 2012 FY 2013 FY 2014 Object Class Description Actual Cong. Request Cong. Request Personnel Compensation & Benefits: Full-time/Part-time Permanent (11.0) $53 $56 $153 Personnel Benefits (12.0) 15 16 37 Subtotal Personnel Comp. & Benefits $68 $72 $190 Other Expenses: Benefits for Former Personnel (13.0) $0 $0 $0 Travel (21.0) 0 0 0 Transportation of Things (22.0) 0 0 0 GSA Rent (23.1) 0 0 0 Other Rents, Comm., Utilities (23.3) 0 0 0 Printing and Reproduction (24.0) 0 0 0 Contract Services - Non-Fed (25.2) 233 233 233 Fed. Purchase, Goods & Services (25.3) 0 0 0 Operation & Maint. of Equipment (25.7) 0 0 0 Supplies and Materials (26.0) 0 0 0 Equipment (31.0) 0 0 0 Land and Structures (32.0) 0 0 0 Insurance Claims & Indemnities (42.0) 0 0 0 Subtotal Other Expenses $233 $233 $233 Total Credit Program $301 $305 $423 FY 2014 Budget Estimates to Congress FCC OIG SUMMARY TABLES DISTRIBUTION OF RESOURCES ($ in thousands) The following table depicts the distribution of actual obligations from the Credit Program account for FY 2012 and estimated for FY 2013 and FY 2014. These obligations are presented in separate schedules apart from the Salaries & Expenses account and funded from Permanent Indefinite Authority. - 90 - - 91 - - 92 - - 93 - F Y 2 01 4 B ud ge t E st im at es t o C on gr es s A L L O C A T IO N O F O B L IG A T IO N S B Y O B JE C T C L A S S C O D E ($ in t ho us an ds ) A dj us tm en ts P ro gr am m at ic F Y 2 01 4 F Y 2 01 2 F Y 2 01 3 T o E st ab lis h C ha ng es T ot al O B JE C T C L A SS C O D E A ct ua l R eq ue st F Y 2 01 4 B as e F Y 2 01 4 B as e (+ /- ) R eq ue st 11 P er so nn el C om pe ns at io n $1 82 ,7 76 $1 95 ,7 30 $1 ,6 94 $1 97 ,4 25 $5 ,5 00 $2 02 ,9 25 12 P er so nn el B en ef it s 47 ,0 45 50 ,1 85 44 1 50 ,6 27 1, 50 0 52 ,1 27 13 B en ef it s fo r F or m er P er so nn el 15 29 1 29 0 29 21 T ra ve l & T ra ns . o f P er so ns 1, 87 0 1, 83 6 36 1, 50 4 0 1, 50 4 22 T ra ns po rt at io n of T hi ng s 10 9 12 6 3 12 8 0 12 8 23 .1 G SA R en t 36 ,5 30 36 ,7 69 73 5 37 ,5 04 0 37 ,5 04 23 .3 O th er R en ts , C om m un ic at io ns , U ti lit ie s 7, 22 4 7, 43 8 (4 51 ) 6, 98 7 0 6, 98 7 24 P ri nt in g 1, 15 5 1, 01 2 20 1, 03 2 0 1, 03 2 25 .2 O th er S er vi ce s 19 ,1 64 19 ,0 46 (7 9) 19 ,3 35 4, 52 0 23 ,8 55 25 .3 F ed . P ur ch as e, G oo ds & S er vi ce s 3, 36 0 3, 31 9 66 3, 38 5 50 0 3, 88 5 25 .7 O p/ M ai nt . o f E qu ip ./S of tw ar e/ I nf o Sy s 23 ,1 66 21 ,4 51 (5 ,2 63 ) 16 ,1 88 5, 16 7 21 ,3 55 26 S up pl ie s & M at er ia ls 1, 76 0 1, 79 7 36 1, 83 3 0 1, 83 3 31 E qu ip m en t/ So ft w ar e 4, 85 2 8, 04 2 (3 ,4 09 ) 4, 63 3 1, 50 0 6, 13 3 32 L an d, B ui ld in gs , S tr uc tu re s 0 0 0 0 0 0 42 I ns ur . C la im s & I nd em ni ti es 20 6 0 0 0 0 0 SU B T O T A L A P P R O P R IA T IO N A U T H O R IT Y $3 29 ,2 32 $3 46 ,7 82 ($ 6, 17 0) $3 40 ,6 13 $1 8, 68 7 $3 59 ,2 99 R ei m bu rs ab le s - G ov 't /O th er $4 ,5 64 $6 ,0 00 $0 $6 ,0 00 $0 $6 ,0 00 A uc ti on s C os t R ec ov er y- R ei m bu rs em en t $8 4, 90 9 $9 8, 73 9 ($ 9, 33 9) $8 9, 40 0 $0 $8 9, 40 0 T O T A L R E Q U E ST $4 18 ,7 05 $4 51 ,5 21 ($ 15 ,5 09 ) $4 36 ,0 13 $1 8, 68 7 $4 54 ,6 99 O T H E R B U D G E T A U T H O R IT Y C re di t P ro gr am A cc ou nt $7 78 $3 ,9 26 $1 ,9 33 U ni ve rs al S er vi ce F un d (U SF ) 1/ $2 ,1 19 $5 ,0 11 $4 ,2 59 1/ T he C on so lid at ed A pp ro pr ia tio ns A ct , 2 00 8 (P .L . 1 10 -1 61 ) a ut ho riz es u se o f $ 21 .5 M to b e us ed b y th e O ff ic e of th e In sp ec to r G en er al fo r U SF A ud it Su pp or t. In F Y 2 00 8 - F Y 2 01 2, $ 12 .2 M w as o bl ig at ed . T he re m ai ni ng $ 9. 3M h as be en c ar rie d fo rw ar d, a s fo llo w s: $ 5. 0M is e st im at ed to b e us ed in F Y 2 01 3, a nd $ 4. 3M w ill b e us ed fo r f ut ur e fis ca l y ea rs . - 94 - F Y 2 01 4 B ud ge t E st im at es t o C on gr es s P R O R A T A A L L O C A T IO N O F O B L IG A T IO N S B Y O B JE C T C L A S S C O D E ($ in t ho us an ds ) FY 2 01 3 Fu nd in g S ou rc e FY 2 01 4 Fu nd in g S ou rc e D ir ec t O ff se tt in g T ot al O C D ir ec t O ff se tt in g T ot al O C O B JE C T C L A S S C O D E A ut ho ri ty + C ol le ct io ns = A ll oc at io n A ut ho ri ty + C ol le ct io ns = A ll oc at io n 11 P er so nn el C om pe ns at io n $0 19 5, 73 0 $1 95 ,7 30 $0 $2 02 ,9 25 $2 02 ,9 25 12 P er so nn el B en ef it s 0 50 ,1 85 50 ,1 85 0 52 ,1 27 52 ,1 27 13 B en ef it s fo r Fo rm er P er so nn el 0 29 29 0 29 29 21 T ra ve l & T ra ns . o f P er so ns 0 1, 83 6 1, 83 6 0 1, 50 4 1, 50 4 22 T ra ns po rt at io n of T hi ng s 0 12 6 12 6 0 12 8 12 8 23 .1 G S A R en t 0 36 ,7 69 36 ,7 69 0 37 ,5 04 37 ,5 04 23 .3 O th er R en ts , C om m un ic at io ns , U ti li ti es 0 7, 43 8 7, 43 8 0 6, 98 7 6, 98 7 24 P ri nt in g 0 1, 01 2 1, 01 2 0 1, 03 2 1, 03 2 25 .2 O th er S er vi ce s 0 19 ,0 46 19 ,0 46 0 23 ,8 55 23 ,8 55 25 .3 F ed . P ur ch as es , G oo ds & S er vi ce s 0 3, 31 9 3, 31 9 0 3, 88 5 3, 88 5 25 .7 O p/ M ai nt . o f E qu ip ./S of tw ar e/ In fo S ys 0 21 ,4 51 21 ,4 51 0 21 ,3 55 21 ,3 55 26 S up pl ie s & M at er ia ls 0 1, 79 7 1, 79 7 0 1, 83 3 1, 83 3 31 E qu ip m en t/ S of tw ar e 0 8, 04 2 8, 04 2 0 6, 13 3 6, 13 3 32 L an d, B ui ld in gs , S tr uc tu re s 0 0 0 0 0 0 42 I ns ur . C la im s & In de m ni ti es 0 0 0 0 0 0 A pp ro pr ia ti on -D ir ec t B /A $0 $0 $0 $0 $0 $0 A pp ro pr ia ti on -O ff se tt in g C ol le ct io ns R eg . F ee s B /A : 0 34 6, 78 2 34 6, 78 2 0 35 9, 29 9 35 9, 29 9 S ub to ta l- B /A in L an gu ag e $0 $3 46 ,7 82 $3 46 ,7 82 $0 $3 59 ,2 99 $3 59 ,2 99 R ei m bu rs ab le P ro gr am - G ov 't /O th er (E st .) 6, 00 0 6, 00 0 6, 00 0 6, 00 0 A uc ti on s C os t R ec ov er y- R ei m bu rs em en t 98 ,7 39 98 ,7 39 89 ,4 00 89 ,4 00 T ot al O bl ig at io ns $4 51 ,5 21 $4 54 ,6 99 O T H ER B U D G ET A U T H O R IT Y C re di t P ro gr am A cc ou nt $3 ,9 26 $1 ,9 33 U ni ve rs al S er vi ce F un d (U S F) $5 ,0 11 $4 ,2 59 EXHIBITS AND REPORTS - 95 - - 96 - SPECTRUM AUCTION PROGRAM ACCOUNT This program provided direct loans for the purpose of purchasing spectrum licenses at the Federal Communications Commission's auctions. The licenses were purchased on an installment basis, which constitutes an extension of credit. The first year of activity for this program was 1996. As required by the Federal Credit Refom Act of 1990, this account records, for this program, the subsidy costs associated with the direct loans obligated in 1992 and beyond (including modifications of direct loans or loan guarantees that resulted from obligations or commitments in any year), as well as administrative expenses of this program. The subsidy amounts are estimated on a present value basis and administrative expenses are estimated on a cash basis. The FCC no longer offers credit terms on purchases through spectrum auctions. Program activity relates to maintenance and close-out of existing loans. Program and Financing (in millions of dollars) 2012 Actual 2013 Est. 2014 Est. Obligations by program activity: 0705 Reestimates of direct loan subsidy $3 $0 $0 0706 Interest on reestimates of direct loan subsidy 15 0 0 0709 Administrative Expenses 1 4 2 0900 Total new obligations $19 $4 $2 Budgetary resources available for obligation: 1000 Unobligated balance carried forward, start of year $4 $3 $3 Budget authority 1200 Appropriation, mandatory $18 $4 $2 1260 Appropriation, mandatory (total) $18 $4 $2 1930 Total budgetary resources available $22 $7 $5 Memorandum (non-add) entries 1941 Unexpired unobligated balance, end of year $3 $3 $3 Change in obligated balances: 3000 Unpaid obligated balance, start of year $2 $1 $1 3010 Obligations incurred, unexpired accounts 19 4 2 3020 Total outlays (gross) (20) (4) (2) 3050 Unpaid obligation, end of year (gross) $1 $1 $1 3100 Unpaid obligation, start of year (net) $2 $1 $1 3100 Unpaid obligation, end of year (net) $1 $1 $1 Budget authority and Outlays (net) 4090 Budget authority, gross $18 $4 $2 Outlays, gross: 4100 Outlays from new mandatory authority $0 $4 $2 4101 Outlays from mandatory balance 20 0 0 4110 Outlays gross (total) $20 $4 $2 4160 Budget authority, net (mandatory) $18 $4 $2 4170 Outlays, net (mandatory) $20 $4 $2 4180 Budget authority, net (total) $18 $4 $2 4190 Outlays, net (total) $20 $4 $2 - 97 - Summary of Loan levels, Subsidy Budget Authority and Outlays by Program (in millions of dollars) 2012 Actual 2013 Est. 2014 Est. Direct loan upward reestimate: 1350 Spectrum auction $18 $0 $0 1359 Total upward reestimate budget authority 0 0 0 Direct loan downward reestimate: 1370 Spectrum auction 0 0 0 1379 Total downward reestimate budget authority 0 0 0 Administrative expense data: 3510 Budget authority 1 1 1 3590 Outlays from new authority 1 1 1 Object Classification (in millions of dollars) 2012 Actual 2013 Est. 2014 Est. 1111 Personnel compensation: Full-time permanent $0 $1 $1 1252 Other services 0 1 0 1253 Other purch of goods & services from Government acct 0 2 1 1410 Grants, subsidies, and contributions 19 0 0 9999 Total new obligations $19 $4 $2 - 98 - As required by the Federal Credit Reform Act of 1990, this non-budgetary account records all cash flows to and from the Government resulting from direct loans obligated in 1992 and beyond (including modifications of direct loans that resulted from obligations in any year). The amounts in this account are a means of financing and are not included in the budget totals. Program and Financing (in millions of dollars) 2012 Actual 2013 Est. 2014 Est. Obligation by program activity: Credit program obligations: 0713 Payement of interest to Treasury $2 $7 $7 0900 Total new obligations $2 $7 $7 Budgetary resources: Unobligated balance: 1000 Unobligated balance carried forward, start of year $37 $5 $5 1023 Unobligated balance applied to repay debt (33) 0 0 1050 Unobligated balance (total) $4 $5 $5 Financing authority : Borrowing authority, mandatory: 1400 Borrowing authority $1 $7 $7 1440 Borrowing authority, mandatory (total) $1 $7 $7 Spending authority from offsetting collections, mandatory: 1800 Offseting collections $21 $0 $0 1825 Spending authority from offsetting collections applied to repay debt (18) 0 0 1850 Spending authority from offsetting collections, mandatory: $3 $0 $0 1900 Financing authority (total) $4 $7 $7 1930 Total budgetary resources avaialble $8 $12 $12 Memorandum (non-add) entries: 1941 Unexpirsed unobligated balance, end of year $5 $5 $5 Change in obligated balances: 3010 Obligation incurred, unexpired accounts $3 $7 $7 3020 Financing disbursements (gross) (3) (7) (7) Financing authority and disbursements, net 4090 Financing authority, gross (mandatory) $4 $7 $7 4110 Fianncing disbursements, gross $3 $7 $7 Offsetting against gross financing authority from: 4120 Federal sources ($18) $0 $0 4122 Interest on uninvested funds (3) 0 0 4123 Non-federal sources 0 0 0 4130 Offsets against gross fiancing authority and disbursements (total) ($21) $0 $0 4160 Financing authority, net (mandory) ($17) $7 $7 4170 Financing disbursements, net (mandatory) ($18) $7 $7 4180 Financing authority, net (total) ($17) $7 $7 4190 Financing disbursements, net (total) ($18) $7 $7 SPECTRUM AUCTION DIRECT LOAN FINANCING ACCOUNT RESPONSES TO CONGRESSIONAL INQUIRIES CONCERNING GAO RECOMMENDATIONS - 99 - - 100 - - 101 - - 102 - - 103 - - 104 - - 105 - - 106 - - 107 - - 108 -