Bridggita    Table of Contents INTRODUCTION AND SUMMARY OF REQUEST .......................................5 Organizational Chart ...................................................................................................................... 11 Fiscal Year 2023 Proposed Appropriation Language ........................................................................ 12 Summary of FYs 2021 - 2023 FTEs and Funding by Bureaus and Offices ......................................... 13 Fiscal Year 2021 - FTEs Distribution by Strategic Goals .................................................................. 14 Fiscal Years 2022 - 2023 FTEs Distribution by New Strategic Goals................................................. 15 FTEs by Resource Category ........................................................................................................... 16 Number of Contractors ................................................................................................................... 16 FTEs - Historical and Estimated...................................................................................................... 17 Summary of Changes - Regulatory Fees (Offsetting Collections) ...................................................... 18 Narrative Explanation of Changes - Salaries and Expenses - Regulatory Fees .................................... 19 Office of Inspector General Narrative.............................................................................................. 22 Universal Service Fund Activities and Costs .................................................................................... 23 Overall Status of Audit Recommendations....................................................................................... 26 Crosswalk - Summary of Changes for Regulatory Fees .................................................................... 27 SPECTRUM AUCTIONS ................................................................................29 Spectrum Auctions Program - Explanation of Requested Change ...................................................... 31 Spectrum Auctions Program ........................................................................................................... 32 Spectrum Auctions Activities ......................................................................................................... 42 Summary of Distribution of Resources - Spectrum Auctions Program ............................................... 43 Spectrum Auctions Expenditures Report ......................................................................................... 44 Spectrum Auctions and Cash Collected/Generated by Fiscal Year ..................................................... 48 Spectrum Auctions Program – Cash Collected/Generated vs. Expenditures........................................ 48 Crosswalk - Summary of Changes for Spectrum Auctions Program................................................... 49 New Budget Authorities Already Provided ......................................................50 COVID-19 Telehealth Program ...................................................................................................... 50 Broadband Deployment Accuracy and Technological Availability (Broadband DATA) Act and Broadband Deployment Locations Map........................................................................................... 52 Secure & Trusted Communications Network Reimbursement Program.............................................. 54 Emergency Broadband Connectivity Fund-Emergency Broadband Benefit Program and Affordable Connectivity Fund-Affordable Connectivity Program....................................................................... 55 1 Emergency Connectivity Fund ........................................................................................................ 56 Summary Activities for New Budget Authorities Received from FY 2020 through FY 2022 ............... 57 Summary of Commission’s All Other Budget Authorities................................................................. 58 ECONOMY ACT REIMBURSABLE AGREEMENTS ..................................59 FEE COLLECTIONS ......................................................................................61 Regulatory Fees ............................................................................................................................. 63 Availability of Regulatory Fees....................................................................................................... 63 Historical Distribution of Appropriated Budget Authority – Regulatory Fees ..................................... 64 Historical Appropriated Budget Authority – Spectrum Auctions Program .......................................... 65 Application Processing Fees ........................................................................................................... 65 PERFORMANCE PLAN .................................................................................67 FISCAL YEAR 2023 REQUIREMENTS BY BUREAUS AND OFFICES .....97 Offices of the Chairwoman and Commissioners ............................................................................... 99 Consumer and Governmental Affairs Bureau ................................................................................. 100 Enforcement Bureau .................................................................................................................... 103 International Bureau..................................................................................................................... 106 Media Bureau .............................................................................................................................. 108 Public Safety and Homeland Security Bureau ................................................................................ 109 Wireless Telecommunications Bureau ........................................................................................... 111 Wireline Competition Bureau ....................................................................................................... 113 Office of Administrative Law Judges ............................................................................................ 116 Office of Communications Business Opportunities ........................................................................ 118 Office of Economics and Analytics ............................................................................................... 120 Office of Engineering and Technology .......................................................................................... 122 Office of General Counsel ............................................................................................................ 124 Office of Legislative Affairs ......................................................................................................... 126 Office of the Managing Director ................................................................................................... 128 Office of Media Relations ............................................................................................................ 130 Office of Workplace Diversity ...................................................................................................... 132 Office of Inspector General .......................................................................................................... 134 APPENDICES................................................................................................137 Summary - Requested Resources .................................................................................................. 139 Summary - Distribution of Resources ............................................................................................ 141 2 Summary - Distribution of Resources by Strategic Goals ................................................................ 149 Allocation of Obligations by Budget Object Class Code ................................................................. 150 EXHIBITS AND REPORTS ..........................................................................151 Award Spending Estimates ........................................................................................................... 153 Universal Service Fund Exhibit..................................................................................................... 154 Telecommunications Relay Service Fund Exhibit........................................................................... 155 GAO – IG Act Audit List ............................................................................................................. 156 Response to Congressional Inquiries Concerning GAO Recommendation ....................................... 166 3 This page is intentionally left blank 4 INTRODUCTION AND SUMMARY OF REQUEST 5 This page is intentionally left blank 6 INTRODUCTION AND SUMMARY OF REQUEST The Federal Communications Commission (FCC or Commission) is pleased to present its fiscal year (FY) 2023 budget request. The FCC is an independent regulatory agency of the United States Government. The FCC is charged with regulating interstate and international communications by radio, television, wire, satellite, and cable. The Commission also regulates telecommunications and advanced communication services and video programming for people with disabilities, as set forth in various sections of the Communications Act. As specified in section 1 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 1 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 is directed by five Commissioners appointed by the President and confirmed by the Senate for five-year terms, except when filling the unexpired term of a previous Commissioner. Only three Commissioners can be from the same political party at any given time. The President designates one of the Commissioners to serve as the Chairperson. The FCC’s vision is to pursue policies to bring affordable, reliable high-speed broadband to 100 percent of the country and encourage the private sector to build, maintain, and upgrade next- generation networks so that the benefits of advanced communications services are available to all Americans. The FCC will work to promote diversity, equity, inclusion, and accessibility; empowering consumers; enhancing public safety and national security; and advancing America’s global competitiveness. Furthermore, in FY 2023, the FCC will continue to improve its processes to deliver on the needs of today and the future in a more proactive and efficient manner to maintain a current high level of performance. Through these reform efforts, the Commission will develop and implement reforms that focus the Commission on effectively and efficiently leveraging human capital to deliver on programs that are the highest need to citizens and where there is a unique Federal role. For FY 2023, the Commission is requesting the budget and personnel amounts that are summarized in the bullets and a table below: The Commission requests $390,192,000 in budget authority from regulatory fee offsetting collections. This request represents an increase of $16,192,000 or 4.3 percent from the FY 2022 annualized Continuing Resolution (CR) level of $374,000,000. 1 47 U.S.C. § 151. 2 Id. 7 The Commission requests $132,231,000 in budget authority for the spectrum auctions program. This request represents a decrease of $2,264,000 or 1.7 percent from the FY 2022 annualized CR level of $134,495,000. As of January 31, 2022, the Commission’s spectrum auctions program has generated over $233 billion for government use; at the same time, the total cost of the auctions program has been less than $2.3 billion or 1 percent of the total auctions’ revenue. In creating a lean, accountable, and efficient Commission that works for the American people, the Commission requests 1,600 Full Time Equivalents (FTEs) funded by budget authority from regulatory fee offsetting collections, spectrum auctions program, and other budget authorities provided by President and Congress. This FTE level is an increase of 128 from the FY 2022 estimated level of 1,472. With this FTE level, the Commission will meet its mission demands in FY 2023. (Dollars in Thousands) FY 2022 FY 2023 Change in Request Annualized Congressional FTEs1 FTEs1 FTEs1 Amount CR Amount Request Budget Authority - Offsetting Collections: Regulatory Fees - Commission2 1,412 $362,673 1,540 $378,061 128 $15,388 Regulatory Fees - Office of Inspector General (OIG) 60 $11,327 60 $12,131 0 $804 Subtotal - Offsetting Collections 1,472 $374,000 1,600 $390,192 128 $16,192 Budget Authority - Other Offsetting Collections: Auction Cost Recovery Reimbursement - Commission $134,358 $132,088 -$2,270 Auction Cost Recovery Reimbursement - OIG $137 $143 $6 Subtotal - Auction Cost Recovery Reimbursement $134,495 $132,231 -$2,264 Economy Act Reimbursable Agreements $4,000 $4,000 $0 Subtotal - Other Offsetting Collections $138,495 $136,231 -$2,264 Total Gross Proposed Budget Authority2 1,472 $512,495 1,600 $526,423 128 $13,928 1The FTE numbers include Auctions Program FTEs. Refer to page 16 for a breakdown of FTEs between Regulatory Fees and Auctions Program FTEs. 2The Commission’s other budget authorities are summarized on page 50. 8 In furtherance of these objectives and the FCC’s mission, the FY 2023 budget request will be used to support the following Strategic Goals for FY 2023: Strategic Goal 1: Pursue a “100 Percent” Broadband Policy The COVID-19 pandemic put a spotlight on the serious broadband gaps that exist across the country, including in rural infrastructure, affordability for low-income Americans, and at-home access for students. This continuing digital divide means millions of Americans do not have meaningful access to essential infrastructure for 21st century success. In response to the COVID- 19 pandemic and the challenges that many Americans face, the agency should advance access to communications that are essential for Americans to work remotely, learn remotely, receive healthcare, and engage in commerce. To this end, the FCC will pursue policies to help bring affordable, reliable, high-speed broadband to 100 percent of the country. Strategic Goal 2: Promote Diversity, Equity, Inclusion and Accessibility The FCC will seek to gain a deeper understanding of how the agency’s rules, policies, and programs may promote or inhibit advances in diversity, equity, inclusion, and accessibility. The FCC will pursue focused action and investments to eliminate historical, systemic, and structural barriers that perpetuate disadvantaged or underserved individuals and communities. In so doing, the FCC will work to ensure equitable and inclusive access and facilitate the ability of underserved individuals and communities to leverage and benefit from the wide range of opportunities made possible by digital technologies, media, communication services, and next-generation networks. In addition, the FCC recognizes that it is more effective when its workforce reflects the experience, judgement, and input of individuals from many different backgrounds. Advancing equity is core to the agency’s management and policymaking processes and will benefit all Americans. Strategic Goal 3: Empower Consumers Consumers who are well informed about their rights and what they’re buying are more confident and more likely to participate in the digital economy. The FCC will tackle new challenges to consumer rights and opportunities stemming from the COVID-19 pandemic, plans for post- COVID recovery, and digital transitions. The FCC also will pursue effective enforcement and new approaches to protect consumers from unwanted and intrusive communications, phone-based scams, telephone privacy issues, and other trends that affect consumers. The FCC will work to enhance competition and pursue policies that protect the competitive process to improve consumer choice and access to information. The FCC will work to foster a regulatory landscape that fosters media competition, diversity, and localism. The FCC also must work to ensure the availability of quality, functionally equivalent communications services for persons with disabilities. Strategic Goal 4: Enhance Public Safety and National Security There is no task at the FCC that is more important than keeping the American people safe. The FCC will pursue policies to promote the availability of secure, reliable, interoperable, redundant, and rapidly restorable critical communications infrastructure and services. The FCC also will promote the public’s access to reliable 911, emergency alerting, and first responder communications. The FCC will work to ensure the continued availability of timely emergency 9 alerts. The FCC will work in coordination with Federal and state, local, Tribal, and territorial government partners and industry stakeholders to support disaster response and to ensure the nation’s defense and homeland security. Strategic Goal 5: Advance America’s Global Competitiveness The FCC will take action to promote investment and advance the development and deployment of new communications technologies, such as 5G, that will allow the nation to remain a global leader in an increasingly competitive, international marketplace. The FCC will identify incentives and policies to close security gaps and accelerate trustworthy innovation. The FCC will work with its federal partners to advocate for US interests abroad. Strategic Goal 6: Foster Operational Excellence The FCC should be a model for excellence in government by effectively managing its resources, maintaining a commitment to transparent and responsive processes that encourage public involvement and decision-making that best serves the public interest, and encouraging a culture of collaboration both internally and across government agencies. Additional Useful Information to Better Understand the Budget Request Below is some additional useful information for readers to better understand the information presented in the Commission’s budget request: FY 2021 numbers presented are actual numbers. FY 2022 numbers presented are annualized Continuing Resolution numbers. The Consolidated Appropriations Act, 2022 (P.L. 117-103) was signed by the President on March 15, 2022. The FTE numbers included in the charts in Fiscal Year 2023 Requirements by Bureaus and Offices section also include FTEs from the Spectrum Auctions Program, and other budget authorities provided by the President and Congress, but the personnel compensation and benefits dollar amount only represent personnel compensation and benefits dollars from Salaries and Expense (S&E) - Regulatory Fees. 10 Organizational Chart 11 Fiscal Year 2023 Proposed Appropriation Language For necessary expenses of the Federal Communications Commission, as authorized by law, including uniforms and allowances therefor, 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, $390,192,000, to remain available until expended: Provided, That $390,192,000 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 above appropriated shall be reduced as such offsetting collections are received during fiscal year 2023 so as to result in a final fiscal year 2023 salaries and expenses appropriation estimated at $0: 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 $132,231,000 for fiscal year 2023: Provided further, That, of the amount appropriated under this heading, not less than $12,131,000 shall be for the salaries and expenses of the Office of Inspector General. 12 Summary of FYs 2021 - 2023 FTEs and Funding by Bureaus and Offices (Dollars in Thousands) FY 2021 FY 2022 FY 2023 Bureaus and Offices Annualized CR Congressional 1 Actuals 1 1 FTEs FTEs Amount FTEs Request Chairwoman and Commissioners 22 $4,480 22 $5,926 23 $6,236 Consumer & Government Affairs Bureau 111 $21,128 109 $22,117 119 $25,096 Enforcement Bureau 188 $38,551 185 $38,795 212 $48,165 International Bureau 83 $16,083 83 $16,560 88 $18,483 Media Bureau 130 $23,994 127 $24,141 133 $25,658 Public Safety & Homeland Security Bureau 98 $20,485 98 $20,672 104 $22,858 Wireless Telecommunications Bureau 150 $13,404 145 $13,582 158 $17,016 Wireline Competition Bureau 153 $31,183 156 $33,421 172 $39,139 Office of Administrative Law Judges 4 $686 4 $733 4 $775 Office of Communications Business Opportunities 10 $2,066 10 $2,134 13 $2,858 Office of Economics and Analytics 111 $21,276 122 $51,274 134 $22,833 Office of Engineering & Technology 76 $13,943 74 $14,609 79 $15,995 Office of General Counsel 72 $17,082 72 $17,477 79 $19,434 Office of Legislative Affairs 8 $1,515 8 $1,599 8 $1,686 Office of Managing Director 184 $100,177 181 $96,534 194 $107,850 Office of Media Relations 12 $2,374 11 $2,238 12 $2,463 Office of Workplace Diversity 5 $685 5 $861 8 $1,515 Subtotal 1,417 $329,112 1,412 $362,673 1,540 $378,061 Office of Inspector General 47 $8,997 60 $11,327 60 $12,131 Total - Salaries & Expenses 2 1,464 $338,109 1,472 $374,000 1,600 $390,192 1The FTE numbers include the spectrum auctions program FTEs. 2The Commission’s other budget authorities are summarized on page 50. The Commission is responsible for the overall management, oversight, and administration of the Universal Service Fund (USF), including all USF policy decisions. All USF related activities are currently funded by regulatory fees. The Universal Service Fund Activities and Costs section on pages 23 through 25 provides more details related to the Commission’s USF activities and related costs. 13 Fiscal Year 2021 - FTEs Distribution by Strategic Goals Protecting Reforming the Closing the Promoting Consumers FCC's Strategic Goals Digital Divide Innovation and Public Total Processes Safety Fiscal Years 2021 2021 2021 2021 2021 Chairwoman & 9 5 7 1 22 Commissioners Bureaus: Consumer & Government 20 2 81 8 111 Affairs Enforcement 6 44 130 8 188 International 43 29 9 2 83 Media 87 33 2 8 130 Public Safety & Homeland 11 0 86 1 98 Security Wireless 93 49 3 5 150 Telecommunications Wireline Competition 63 63 23 4 153 Subtotal Bureaus 323 220 334 36 913 Offices: Administrative Law Judges 4 0 0 0 4 Communications Business 2 8 0 0 10 Opportunities Economics and Analytics 92 16 1 2 111 Engineering & Technology 33 42 0 1 76 General Counsel 16 34 7 15 72 Legislative Affairs 7 0 1 0 8 Managing Director 65 10 9 100 184 Media Relations 1 0 0 11 12 Workplace Diversity 0 0 0 5 5 Subtotal Offices 220 110 18 134 482 Subtotal 552 335 359 171 1,417 Inspector General 7 0 8 32 47 Total 559 335 367 203 1,464 Note: The FTE numbers include the spectrum auctions program and direct budget authority FTEs. 14 Fiscal Years 2022 - 2023 FTEs Distribution by New Strategic Goals Promote Pursue a Advance Diversity, Enhance "100 America's Foster New Equity, Empower Public Safety Percent" Global Operational Inclusion Consumers and National Total Strategic Goals Broadband Competitive Excellence and Security Policy ness Acessibility Fiscal Year 2022 2023 2022 2023 2022 2023 2022 2023 2022 2023 2022 2023 2022 2023 Chairwoman & 8 8 1 1 4 4 4 4 4 5 1 1 22 23 Commissioners Bureaus: Consumer & Government 14 16 3 4 43 44 38 41 4 5 7 9 109 119 Affairs Enforcement 6 7 5 5 65 75 65 75 37 42 7 8 185 212 International 39 41 1 1 4 4 3 4 34 35 2 3 83 88 Media 84 85 2 2 1 1 0 0 37 41 3 4 127 133 Public Safety & Homeland 14 15 1 1 38 41 40 41 2 2 3 4 98 104 Security Wireless 91 96 3 3 2 3 1 2 44 49 4 5 145 158 Telecommunications Wireline Competition 68 76 6 8 9 10 9 10 61 64 3 4 156 172 Subtotal Bureaus 316 336 21 24 162 178 156 173 219 238 29 37 903 986 Offices: Administrative Law Judges 4 4 0 0 0 0 0 0 0 0 0 0 4 4 Communications Business 4 4 3 5 0 0 0 0 3 4 0 0 10 13 Opportunities Economics and Analytics 101 107 1 1 2 3 1 1 14 19 3 3 122 134 Engineering & Technology 32 34 0 0 0 0 0 0 40 40 2 5 74 79 General Counsel 16 18 1 1 5 5 5 5 32 34 13 16 72 79 Legislative Affairs 4 4 0 0 1 1 0 0 3 3 0 0 8 8 Managing Director 53 53 2 3 6 7 6 7 6 8 108 116 181 194 Media Relations 0 0 0 0 0 0 0 0 0 0 11 12 11 12 Workplace Diversity 0 0 5 7 0 0 0 0 0 0 0 1 5 8 Subtotal Offices 214 224 12 17 14 16 12 13 98 108 137 153 487 531 Subtotal 538 568 34 42 180 198 172 190 321 351 167 191 1,412 1,540 Inspector General 12 12 0 0 5 5 5 5 2 2 36 36 60 60 Total 550 580 34 42 185 203 177 195 323 353 203 227 1,472 1,600 Note: The FTE numbers include the Spectrum Auctions Program FTEs. 15 FTEs by Resource Category Number of Contractors 1,100 1,000 959 900 813 800 18 700 576 551 551 556 565 600 501 534 535 15 15 15 465 469 470 50 500 29 432 443 35 50 959 37 35 40 34 400 795 36 50 300 561 536 536 464 505 500 506 515 200 430 429 436 396 393 100 0 2009 2010 2011 2012 2013 2014 2015 2016 2017 2018 2019 2020 2021 2022 2023 Fiscal Years Non-OIG OIG Amounts for FYs 2022 and 2023 are estimates. The OIG number for FY 2009 was not separable. 16 FTEs - Historical and Estimated Fiscal Years 1986 – 2023 17 Summary of Changes - Regulatory Fees (Offsetting Collections) (Dollars in Thousands) FY 2022 FY 2023 TOTAL NET CHANGE Annualized Congressional Regulatory Fees - Offsetting Collections: CR Amount Request Amount Percent Commission $362,673 $378,061 $15,388 Office of Inspector General $11,327 $12,131 $804 Total Spending Authority - Offsetting Collections $374,000 $390,192 $16,192 4.3% Full-Time Equivalents (FTEs) - Commission1 1,412 1,540 128 FTEs - Office of Inspector General 60 60 0 Total Full-Time Equivalents 1,472 1,600 128 Explanation of Changes - Regulatory Fees (Offsetting Collections) FY 2022 Annualized CR Amount $374,000 FY 2022 One-time Reductions: Broadband DATA Act Reduction for FY 2023 -$33,000 Reversal of FY 2021 One-Time Investment Requests2 -$2,579 Reversal of FY 2022 Rent Savings -$2,322 Total - FY 2022 One-time Reductions -$37,901 FY 2023 Base Before Increases, Adjustments & One-Time Investments $336,099 FY 2023 Base Increases: Additional 113 FTEs $22,859 Pirate Act (includes 15 Additional FTEs) $5,000 IT - Virtual Desktop Infrastructure (VDI) Consumption $2,500 IT - Regulatory IT and Cyber Security Compliance $2,226 IT - Data & Fraud Detection Tool $2,025 IT - Application Development Team $1,040 Office of the Inspector General $200 Subtotal - FY 2023 Base Increases $35,850 FY 2023 Base Adjustments (Inflationary Increases): Personnel Compensation $13,761 Non-Salary Inflationary $3,402 Subtotal - FY 2023 Base Adjustments $17,163 FY 2023 Adjusted Base Before One-Time Investment Requests $389,112 FY 2023 - One-Time Investment Requests: IT - Critical Infrastructure Upgrade $1,080 Subtotal - FY 2023 One-Time Investment Requests $1,080 FY 2023 Total Request $390,192 TOTAL NET CHANGE $16,192 4.3% 1Includes Spectrum Auctions Program FTEs. 2Reversal of FY 2021 One-Time Investment Requests is comprised of IT - Cloud Services and Systems Modernization ($1,022), Mapping - Geographic Information System ($420), Computational Power System ($262), Enterprise Level Data Architecture ($525), and On-Line Market Surveillance Tool ($350). 18 Narrative Explanation of Changes - Salaries and Expenses - Regulatory Fees Personnel Compensation and Non-Salaries Inflationary Increase to Base: $17,163,166 Personnel Compensation ($13,761,422) – The request includes a 4.6 percent increase for personnel compensation and benefits. This increase also includes related increases for the Office of Inspector General (OIG), which total $557,595. Non-Salary Inflationary Increase ($3,401,744) – This request provides expected inflationary increases for phones, utilities, printing and reproduction services, contractual services, supplies, travel, training, and other expenses. The total non-salary increase also includes related increases for the OIG, which total $46,965. FY 2023 Base Increases and One-Time Requests for New Investments: $36,930,176 Base Increases ($35,850,176) Additional FTEs ($22,859,176) The COVID-19 pandemic put a spotlight on the serious broadband gaps that exist across the country, including in rural infrastructure, affordability for low-income Americans, and at-home access for students. Congress appropriated over $10.8 billion to the Commission to provide critical connection and assistance needed during the pandemic. In addition, Congress appropriated $14.2 billion to continue this critical broadband affordability program beyond the pandemic. For FY 2023 and forward, the Commission requires new FTEs to sustain its critical mission and operational needs and to maintain current high level of performance, including to oversee these new efforts. New FTEs will serve a variety of functions, including pursuing policies to bring affordable, reliable high-speed broadband to 100 percent of the country; analyzing available data to support data driven policies; promoting diversity, equity, inclusion, and accessibility; empowering consumers; enhancing public safety and national security; advancing America’s global competitiveness; overseeing new policies and programs; addressing privacy related issues; improving data governance; supporting IT related needs and services; supporting personnel security; improving risk management; aligning external reporting requirements with Treasury’s Fiscal Service requirements and other stakeholders; and supporting acquisitions, program management, and human resources operations. Some of the funds may also be used to enhance/implement paid internship programs in critical mission operational areas. This would enable the Commission to attract a more diverse applicant pool and create a pipeline of candidates for future positions at the Commission as part of its efforts to promote diversity, equity, and inclusion. PIRATE Act ($5,000,000) In January 2020, the Preventing Illegal Radio Abuse Through Enforcement Act (PIRATE Act), P.L. 106-109, was signed into law. The PIRATE Act demonstrates that Congress views enforcement against pirate radio broadcasting as a priority. In addition to increasing the potential penalties for pirate broadcasting, the PIRATE Act imposes significant new responsibilities on the Commission. Among other things, the PIRATE Act requires the Commission to: (1) conduct annual enforcement 19 sweeps in the top five radio markets; (2) conduct follow-up monitoring to determine whether pirate broadcasters identified in the sweeps are still on the air; (3) publish a pirate radio broadcasting database that clearly identifies all licensed broadcasters operating in the AM and FM bands and all pirate radio broadcasters; and (4) submit an annual report to Congress summarizing the Commission’s implementation of the PIRATE Act and enforcement activities in the prior fiscal year. Additionally, the PIRATE Act specifically provides that the Commission must conduct the annual sweeps without decreasing or diminishing its regular pirate radio enforcement efforts. The budget includes an increase of $5,000,000 to the base for the implementation of this legislation, which includes hiring 15 FTEs. Virtual Desktop Infrastructure (VDI) Support ($2,500,000) The Commission recently migrated to a Virtual Desktop Infrastructure (VDI) solution to provide approximately 2000 users a more secure, stable and robust virtual desktop capability. The new capability supports critical Information Technology (IT) requirements of users in the traditional office environment, by replacing aging desktop solutions, as well as those of a remote workforce. The current single-session solution is ideal in full desktop environments. With the shift from working on premises as well as in remote locations, a multi-session architecture change will provide an efficient, scalable, and effective solution for delivering applications in a web browser for easier access while providing data security and consistency to the end users. Additional funding is required to support an optimized multisession technical design, increased Virtual Machine (VM) resource consumption, increased shared file storage utilization, and implementation and integration of a VM power management capability. This enhanced capability provides needed functionality benefits in support of the growing and evolving communication requirements of Commission staff. Regulatory IT and Cyber Security Compliance ($2,226,000) The Commission requires additional resources to address Executive Order 14028, “Improving the Nation’s Cybersecurity,” and for regulatory and federal mandates surrounding IT and cybersecurity. This request will help the FCC comply with OMB mandates, DHS Binding Operational Directives, and Emergency Directives. Without a continuous budget to specifically support cybersecurity, the FCC will continue to react to threats verses taking active measure to protect against them. The threat landscape is constantly shifting and the tools, capabilities and training needed to combat these threats continuously evolves. This increase will ensure FCC staff have appropriate tools and knowledge to address threats and continue to help achieve the FCC's mission and strategic objectives. Data & Fraud Detection Tool ($2,025,000) The Commission seeks to develop and implement a robust analytical and fraud predictive tool. The tool would allow analysts and investigators to identify potentially fraudulent activities and improper payments in Commission programs by identifying outliers and hotspots by incorporating data visualizations, such as heatmaps, bubble charts, and scatter plot charts. This investment will also enhance, optimize and redesign existing applications for improved user experience, faster performance, and extended functionality. 20 Application Development Teams ($1,040,000) The Commission requires new resources to support four to five IT development teams. This will enable the FCC IT Group to be more agile and responsive to development efforts requested by the Commission’s Bureaus and Offices. These development teams will minimize the ramp-up time required to begin each new IT development project and enable FCC IT to support concurrent development initiatives. Further, this approach will result in significant time-savings associated with initiating and executing contract modifications. Office of Inspector General ($200,000) This base increase for the Office of Inspector General’s (OIG) will allow the OIG to hire additional contractors. An increase in contractual services is needed because of added requirements, which will increase investigations, audits, and related services. One-Time Requests for New Investments ($1,080,000) Critical Infrastructure Upgrade ($1,080,000) In accordance with Executive Order 14028, “Improving the Nations Cybersecurity,” FCC requires an enterprise-wide application performance monitoring capability and replacement of old end user equipment. FCC needs a capability to proactively monitor, predict, report and alert on the performance and health of business systems and applications. Capability remediates observability issues experienced by FCC system and application owners as well as operations, security, and application development personnel. 21 Office of Inspector General Narrative The Office of the Inspector General’s (OIG or the Office) workload continues to increase in all mission-critical areas. The Office continues to focus on increasing mission responsibilities and ensuring appropriate staff levels to keep pace with the workload. OIG has increased its Full-Time Equivalent (FTE) staff over the past few budget years and this recruitment effort has permitted the Office to engage in a greater number of, and more complex, audits and investigations. We anticipate further growth in 2023. We plan to hire at least two 1811 criminal investigators in FY 2023 to support an expanded program of proactive investigations into E-rate and Lifeline providers and recipients and to provide additional law-enforcement capabilities we currently lack. We also plan to fill three staff level audit positions, two investigative attorney positions, and a data analyst position that are currently vacant. We continually gauge the relative merits of any audit and investigation prior to expending valuable resources. The OIG FY 2023 budget request of $12,131,000 reflects an $804,000 net increase over the FY 2022 annualized level of $11,327,000. The net increase is attributable to a 4.6 percent increase in salary and benefits, non-salary inflation, and $200,000 in additional contract costs. We anticipate an increase in contractual services is needed because of added requirements, which will drive additional investigations, audits, and related services. OIG Office of Audit (OA) conducts and contracts for the performance of independent and objective audits, inspections, evaluations, and related projects, designed to promote economy, effectiveness and efficiency in FCC programs and operations, and to prevent and detect fraud waste and abuse. As of September 30, 2021, OA had completed three projects and an additional seven projects were in process. OA plans to complete more than 50 audits, inspections, and evaluations over the next five years, not including the mandated audits of the COVID 19 Emergency Broadband Benefit Program, and any unforeseen special projects and Congressional requests. OIG Office of Investigation (OI) matters cover a wide range of topics touching on myriad aspects of the FCC’s mission and programs. Most significantly, our investigations often address allegations of criminal misconduct or civil fraud in the Commission’s Universal Service programs. We deal with complex investigations, large criminal conspiracies, and matters involving complex financial transactions throughout the United States and its territories. As of September 30, 2021, OI had 42 open cases. Working with the Department of Justice, in recent years, OI has recovered tens of millions of dollars of government funds and saved the government hundreds of millions of additional dollars, resulting from criminal and civil fraud cases that have been successfully prosecuted or settled. In the upcoming year, in addition to our ongoing activities, we also expect to conduct investigations to fulfill our mandate to deter and detect fraud, waste and abuse in the COVID 19 Telehealth program, the Emergency Broadband Benefit Program and the Emergency Connectivity Fund Program and other matters that are a direct result of changes to the FCC’s subsidy programs in response to the coronavirus pandemic. In compliance with the IG Reform Act of 2008, this FCC OIG FY 2023 budget request includes: ▪ A fair share ratio in the amount of $42,080 for contribution to the Council of the Inspectors General on Integrity and Efficiency (CIGIE), ▪ Funds to support IGNet Management Services, and ▪ Training funds in the amount of $90,638. 22 Universal Service Fund Activities and Costs The Commission is responsible for the overall management, oversight, and administration of the Universal Service Fund (USF). The Commission develops policies for the USF, and the Universal Service Administrative Company (USAC) collects and delivers funding through four programs – Schools and Libraries (E-Rate), Rural Health Care, Lifeline, and High Cost – focused on places where broadband and connectivity needs are critical. These programs serve people in rural, underserved, and difficult-to-reach areas. The Commission works with USAC, as administrator of the USF, to review USAC’s administrative expenses and also to oversee the effectiveness of USAC’s internal controls around USAC’s program management, procurements, information technology projects, and personnel processes. The descriptions below provide additional information about how the Commission’s various Bureaus and Offices work together as the agency carries out its USF management and oversight responsibilities. Office of Managing Director. The Office of Managing Director (OMD) is responsible for all USF management and administrative activities, including finance, accounting, procurement, information technology, and audits of beneficiaries and contributors. OMD provides instruction and oversight to USAC on these issues. Wireline Competition Bureau. The Wireline Competition Bureau (WCB) oversees USF policy and provides guidance on the applicability and interpretation of the Commission’s USF rules, orders, and directives to USAC and to stakeholders. WCB also is primarily responsible for USF rulemaking proceedings, appeals of USAC decisions, requests for waivers of the Commission’s USF rules, petitions for USF declaratory rulings, interactions with the Federal-State Joint Board on Universal Service, and preparation and publication of USF information in the Universal Service Monitoring Report. Wireless Telecommunications Bureau. The Wireless Telecommunications Bureau (WTB), in coordination with WCB, develops policy and procedures concerning the Mobility Fund and proposed 5G Fund, which represent universal service support mechanisms dedicated exclusively to mobile wireless services. Office of Economics and Analytics. The Office of Economics and Analytics (OEA), in coordination with WCB, oversees reverse auctions policy and implementation for distributing high-cost universal service support. Office of General Counsel. The Office of General Counsel (OGC) oversees issues relating to litigation and settlements and serves as the Commission’s chief legal advisor, including on issues pertaining to USF matters. Enforcement Bureau. If USAC or a Commission Bureau or Office identifies a possible violation of the Communications Act or a Commission rule, order, or directive, the matter is referred to the Enforcement Bureau (EB) for possible investigation and administrative enforcement action, including issuing forfeitures. EB pursues potential investigations of USF-related matters from other sources of information as well. In addition, EB is authorized to suspend and debar persons from participating in the universal service mechanisms upon a criminal conviction of or civil judgment for fraud against a USF program. 23 Office of Inspector General. The Office of Inspector General (OIG) conducts audits, evaluations, and inspections of USF programs and operations, as well as program service providers and beneficiaries designed to prevent and detect fraud, waste, and abuse. These oversight activities and related initiatives help promote economy, effectiveness, and efficiency of the USF. USF Activities The Commission’s continued budgetary and programmatic focus for the universal services programs includes: (1) promoting policies to help bring affordable, reliable, high-speed broadband to 100 percent of the country, (2) eliminating waste, fraud and abuse, and (3) promoting efficiency, accountability, and fiscal responsibility. With these priorities in mind, the Commission targets support to deliver, expand and maintain voice and broadband service to high cost and rural areas, low-income consumers, schools and libraries. On February 23, 2017, the Commission adopted rules for allocating nearly $2 billion, through a reverse auction, from the Connect America Fund, which aims to advance fixed broadband service to unserved and underserved areas across the country. Through an auction mechanism, the Commission sought the best deal for the American people with the available funds and, as of November 2020, has authorized $1.476 billion in support over 10 years to 193 winning bidders to provide fixed broadband and voice services to over 700,000 locations in 45 states. On December 7, 2020, the Commission announced that its Rural Digital Opportunity Fund auction (Auction 904) had closed, and up to $9.23 billion in support will be distributed over 10 years to approximately 180 winning bidders to provide fixed broadband and voice service to up to 5.22 million locations in 49 states, subject to approval of the long form applications for winning bidders. In October 2020, the Commission adopted the 5G Fund for Rural America to replace Mobility Fund Phase II. The 5G Fund Phase I auction will award up to $8 billion over 10 years to deploy 5G service in areas otherwise unlikely to receive timely 5G deployment. The 5G Fund Phase II auction budget is presently set at $1 billion plus the remainder of the Phase I budget. In the Lifeline program, the Commission’s goals are to: (1) continue implementation of the modernization of the Lifeline program to support affordable, high-speed internet access for our nation’s poorest families; and (2) ensure fiscal responsibility and combat waste, fraud, and abuse so Lifeline USF dollars spent reach the consumers Lifeline was created to help. Actions to accomplish these goals include using a unified interface to independently process eligibility verification and recertification of Lifeline subscribers, as well as interconnected verification with other agency and state eligibility databases to improve program controls. In the E-rate program, the Commission is committed to enhancing access to broadband and telecommunications services in eligible elementary and secondary schools and libraries. The E- rate program has a current cap of $4.46 billion per funding year, adjusted annually for inflation. Finally, under the Rural Healthcare program, the Commission remains committed to ensuring all Americans have access to advanced medicine and health care services no matter where they live. The Rural Healthcare program has a current cap of $612.02 million per funding year, adjusted annually for inflation. 24 The chart below shows the estimated costs that the Commission will incur in overseeing USF activities, which includes costs incurred by the OIG. (Dollars in Thousands) Fiscal Years FY 2021 FY 2022 FY 2023 FCC's USF Activities Cost1 $21,189 $21,613 $22,045 Full-Time Equivalent (FTEs) 104 104 104 1 Amount shown are projections based on actual cost. The chart below shows the total number of Commission FTEs working on USF activities by bureau and office for FY 2021 based on extrapolated data. Number of FCC FTEs Working On USF Activities By Bureau and Office FTEs Wireline Competition Bureau 54 Office of Economics & Analytics 20 Office of Inspector General 10 Enforcement Bureau 9 Wireless Telecommunications Bureau 3 Office of General Counsel 4 Office of the Managing Director 2 Media Bureau 1 Public Safety and Homeland Security Bureau 1 Total FTEs 104 Crosswalk of USF Outlays to FCC Strategic Goals In FY 2021, USF made outlays totaling $8.795 billion. These outlays were allocated to the following FY 2021 strategic goals: (Dollars in Millions) Applicable FY 2021 Strategic Goals Outlay Amount Percent Closing the Digitial Divide $7,539 85.7% Promoting Innovation $1,256 14.3% Total $8,795 100.0% As of September 30, 2021 25 Overall Status of Audit Recommendations The chart below shows the number of audit recommendations outstanding from various audits conducted by FCC’s Office of Inspector General (OIG) and the Government Accountability Office (GAO) at the end of each fiscal year. The numbers shown below exclude those recommendations for which the Commission has already submitted information to GAO and OIG requesting closure of the recommendation. The count also excludes those recommendations that the Commission has determined to close as not implemented. Outstanding Audit Recommendations 300 255 250 50 189 200 150 100 90 103 90 100 205 81 159 75 47 32 57 45 50 39 48 53 58 42 30 46 27 45 0 FY 2015 FY 2016 FY 2017 FY 2018 FY 2019 FY 2020 FY 2021 FY 2022 (12/31/21) OIG GAO 26 Crosswalk - Summary of Changes for Regulatory Fees (Dollars in Thousands) FY 2022 FY2022 FY 2023 FY 2023 FY 2023 FY 2023 FY 2023 Annualized Reversal of FY 2023 Non-Salary Base Salary One-Time Congressional CR One-Time Base Inflationary Increases Increase Requests Request Amount Requests Increase Chairwoman and $5,926 $0 $5,926 $0 $261 $49 $0 $6,236 Commissioners Consumer & Governmental $22,117 $0 $22,117 $1,785 $1,107 $87 $0 $25,096 Affairs Bureau Enforcement Bureau $38,795 $0 $38,795 $7,304 $1,950 $115 $0 $48,165 International Bureau $16,560 $0 $16,560 $1,022 $875 $25 $0 $18,483 Media Bureau $24,141 $0 $24,141 $204 $1,278 $36 $0 $25,658 Public Safety & Homeland $20,672 $0 $20,672 $1,067 $1,069 $50 $0 $22,858 Security Bureau Wireless Telecommunications $13,582 $0 $13,582 $2,726 $678 $31 $0 $17,016 Bureau Wireline Competition Bureau $33,421 $0 $33,421 $3,926 $1,743 $48 $0 $39,139 Office of Administrative Law $733 $0 $733 $0 $41 $2 $0 $775 Judges Office of Communications $2,134 $0 $2,134 $609 $113 $3 $0 $2,858 Business Opportunities Office of Economics and $51,274 -$33,683 $17,591 $4,209 $895 $138 $0 $22,833 Analytics Office of Engineering and $14,609 $0 $14,609 $622 $714 $50 $0 $15,995 Technology Office of General Counsel $17,477 $0 $17,477 $1,022 $857 $78 $0 $19,434 Office of Legislative Affairs $1,599 $0 $1,599 $0 $83 $4 $0 $1,686 Office of Managing Director $96,534 -$4,219 $92,315 $10,445 $1,385 $2,625 $1,080 $107,850 Office of Media Relations $2,238 $0 $2,238 $100 $113 $11 $0 $2,463 Office of Workplace Diversity $861 $0 $861 $609 $42 $4 $0 $1,515 Subtotal $362,673 -$37,901 $324,772 $35,650 $13,204 $3,355 $1,080 $378,061 Office of Inspector General $11,327 $0 $11,327 $200 $557 $47 $0 $12,131 TOTAL $374,000 -$37,901 $336,099 $35,850 $13,761 $3,402 $1,080 $390,192 The Commission’s other budget authorities are summarized on page 50. 27 This page is intentionally left blank 28 SPECTRUM AUCTIONS 29 This page is intentionally left blank 30 Spectrum Auctions Program - Explanation of Requested Change The Federal Communications Commission requests $132,231,000 for the Spectrum Auctions Program for FY 2023, which is a decrease of $2,264,000 from FY 2022 annualized CR level of $134,495,000, as detailed below. This level of funding will enable the Commission to continue its efforts to make more spectrum available for 5G, to continue the implementation of the Infrastructure Investment and Jobs Act of 2021, the Spectrum Pipeline Act of 2015 and certain provisions of the RAY BAUM’S Act, including the MOBILE NOW Act, as well as the Consolidated Appropriations Act of 2021; to continue the post-broadcast incentive auction (BIA) work related to displacement, repacking, and reimbursing from the TV Broadcaster Relocation Fund to broadcasters (TVBRF), multichannel video programming distributors (MVPDs), Low Power TV (LPTV), TV translator stations, and FM broadcast stations for reasonable relocation costs incurred because of the Commission’s broadcast incentive auction, and to upgrade and improve Commission’s auction infrastructure in preparation for future auctions. (Dollars in Thousands) FY 2022 FY 2023 TOTAL NET CHANGE Annualized CR Congressional Amount Percent Amount Request Spectrum Auctions Program Cost Recovery $134,495 $132,231 -$2,264 -1.7% Explanation of Changes FY 2022 Annualized CR Amount $134,495 FY 2022 One-time Reductions: New Headquarters Rent Savings -$378 Contract Cost Reduction -$8,300 Total - FY 2022 One-time Reductions -$8,678 -6.5% FY 2023 Base Before Adjustments $125,817 FY 2023 Base Adjustments (Inflationary Increases): Personnel Compensation $2,602 Non-Salary Inflationary $3,812 Subtotal - FY 2023 Base Adjustments $6,414 FY 2023 Total Request $132,231 TOTAL NET CHANGE -$2,264 -1.7% 31 Spectrum Auctions Program The Omnibus Budget Reconciliation Act of 1993, P.L. 103-66 (Act), required the Commission to auction licenses for portions of the electromagnetic spectrum used for certain services, replacing the former lottery process. The Act further requires the Commission 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. As of January 2022, the total amount generated for broader government use and deficit reduction since 1994 exceeds $233 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; extended through FY 2011 by the Deficit Reduction Act of 2005, P.L. 109-171; extended through FY 2012 by the DTV Delay Act (2012), P.L. 111-4; and extended through FY 2022 by the Middle Class Tax Relief and Job Creation Act of 2012, P.L. 112-96. The Commission’s authority to conduct new auctions and grant a license or permit under section 309(j) of the Communications Act expires September 30, 2022, except that, with respect to the electromagnetic spectrum identified under section 1004(a) of the Spectrum Pipeline Act of 2015, such authority shall expire on September 30, 2025, and with respect to the electromagnetic spectrum identified under section 90008(b)(2)(A)(ii) of the Infrastructure Investment and Jobs Act (P.L. 117- 58), such authority shall expire on the date that is 7 years after the date of enactment of that Act. The Commission is authorized to retain funds from auction revenues to develop, implement, and maintain the auctions program. These funds cover the personnel and administrative costs required to plan and execute spectrum auctions; operational costs to manage 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. This budget submission assumes that the auctions program will continue to recover the costs of conducting auction activities from spectrum license auction receipts as the Commission continues to use auctions as a licensing mechanism for spectrum-based communications services. The Commission’s FY 2022 annualized CR capped the auctions program obligations at $134,495,000. The Commission’s request of $132,131,000 for FY 2023 is a decrease of $2,264,000 or 1.7 percent. This is partly due to one-time reductions of $8,678,000 for contract and rent savings, offset in part by an estimated 4.6 percent increase in salary costs and an inflationary increase in non-salary costs. Funding at this level will enable the Commission to: • implement the Infrastructure Investment and Jobs Act (Infrastructure Act) by taking steps toward the potential auction of licenses in the 3.1-3.45 GHz band; • implement the Spectrum Pipeline Act of 2015 by, for example, taking steps to auction 30 megahertz identified pursuant to the Act and continuing the steps necessary to promote use of the 3.5 GHz band; • implement the Consolidated Appropriations Act of 2021 for 5G Act of 2020 by supporting the transition of the 3.45 GHz band and the relocation of secondary radiolocation users; 32 • continue ongoing activities and taking other steps necessary to implement the RAY BAUM’S Act, including the Making Opportunities for Broadband Investment and Limiting Excessive and Needless Obstacles to Wireless Act (MOBILE NOW Act) provisions regarding identifying, making licenses available through auction, and transitioning spectrum for mobile and fixed wireless broadband use in, among other bands, the 3.7 GHz-4.2 GHz range; • continue and close out post-BIA work related to displacement, repacking, and reimbursing from the TVBRF to broadcasters and MVPDs for their costs to implement the results of the BIA; and • upgrade and improve its auctions program infrastructure and security posture in preparation for future auctions authorized by the Infrastructure Act and the Spectrum Pipeline Act. In addition, as the demand for spectrum for new technologies extends to spectrum bands previously assigned for legacy applications, creative approaches must be found to accommodate existing licensees and operations while expanding opportunities for access by new users. Spectrum Pipeline Act of 2015, RAY BAUM’S Act, and Other Auction Program Improvements The Spectrum Pipeline Act of 2015 (Pipeline Act) requires the Commission to auction 30 megahertz of spectrum identified by the Secretary of Commerce for reallocation from Federal use to non- Federal use, shared use, or a combination thereof. The Pipeline Act also appropriates funds from the Spectrum Relocation Fund to support activities by Federal entities to improve the efficiency and effectiveness of Federal use of spectrum in order to make Federal spectrum available for non- Federal use, shared use, or a combination thereof. The Pipeline Act requires the FCC, as part of its role on the interagency Technical Panel established within the National Telecommunications and Information Administration (NTIA), to review Federal entities’ proposals for funds for these purposes. Additionally, the Pipeline Act requires the Commission to submit four reports to Congress. In November 2018, the Commission submitted a first report with an analysis of its new rules for the innovative Citizens Broadband Radio Service in the 3550-3700 MHz band. That same month, the Commission submitted a second report analyzing proposals to promote and identify additional bands that can be shared under such rules and identifying at least 1 gigahertz of spectrum between 6 GHz and 57 GHz for such use. By January 1, 2024, in coordination with the Assistant Secretary of Commerce for Communications and Information, the Commission must submit a third report that identifies at least an additional 50 megahertz of spectrum below 6 GHz for potential auction. Also, a fourth report which identifies at least another additional 50 megahertz of additional spectrum below 6 gigahertz for potential auction must be submitted by January 1, 2024 as well. The latter two reports must contain an assessment of the Federal operations in such spectrum, an estimated timeline for the competitive bidding process, and a proposed plan for balance between unlicensed and licensed use. The RAY BAUM’S Act amended the Pipeline Act to require notice and comment for certain Pipeline Act reports and to direct the Commission to undertake numerous rulemakings and initiatives related to potential repurposing, reallocation, sharing, or auction of spectrum bands. The latter directive included a requirement that the Commission work with NTIA to identify an additional 255 megahertz of spectrum for mobile and fixed wireless use by 2022. 33 To fulfill these statutory requirements and enhance the Commission’s ability to execute upcoming auctions, auctions funding will also be used for the following that entail extensive work to be performed during FY 2023: • 3.5 GHz Auction and Post-Auction Implementation – In 2018, the Commission updated its service rules for licenses in the 3550-3650 MHz portion of the 3.5 GHz band, which were licensed through an auction. Bidding in Auction 105 began on July 23, 2020 and concluded on August 25, 2020. On September 2, 2020, the Commission announced that 228 bidders won a total of 20,625 licenses, for $4.5 billion in net bids. Due to the characteristics of and use cases for licenses in this band, bidding in this auction had a novel set of requirements that required the Commission to develop new auction procedures and software. In addition, the nature of the licenses required significant software changes to accommodate the post-auction licensing process. Much of the work took place in FY 2020, but statutorily required work will by necessity continue through FY 2022 and may continue into FY 2023. Long-form license applications were filed just before the end of FY 2020. Since then, Commission staff have undertaken the statutorily required process to evaluate and grant such applications, where warranted; such work may extend into FY 2023 because of the large number of winning bidders that require careful review. In addition, the Commission will have an ongoing need to interface with the Spectrum Access System Administrators (SASs), which manage the dynamic spectrum sharing environment in the 3.5 GHz band, as well as the Environmental Sensing Capability (ESC) operators, which facilitate federal incumbent protection in the band. The Commission also will have an ongoing need to test and verify the operational capabilities of current and future SASs and ESCs, as discussed below. Successful implementation of the unique sharing model adopted in the band will provide the American consumer with access to additional spectrum resources. • 3.7-4.2 GHz Auction and Post-Auction Implementation – Bidding in Auction 107, an auction of flexible-use licenses for 280 megahertz of spectrum in this band, began on December 8, 2020 and concluded on February 17, 2021. On February 24, 2021, the Commission announced that the auction raised a total of $81.1 billion in net bids and $81.2 billion in gross bids, with 21 bidders winning all 5,684 licenses offered in the auction. Winning bidders were required to file post-auction long-form applications by March 10, 2021. Since then, Commission staff have undertaken the statutorily required process to evaluate and grant such applications, where warranted. The Commission will oversee the process of transitioning incumbent Fixed Satellite Services (FSS) out of the 280 megahertz that has been auctioned in order to enable new flexible- use licensees to deploy. Under the transition process adopted by the Commission, overseeing this process will involve Commission staff resources in FY 2022 and FY 2023. • 3.1-3.45 GHz Band – The Infrastructure Investment and Jobs Act of 2021 (P.L. 117-58), among other things, requires the Commission, in consultation with the Assistant Secretary of Commerce for Communications and Information, to begin a system of competitive bidding for frequencies within 3.1-3.45 GHz band identified for shared use by federal and non-federal users by the Departments of Commerce and Defense no sooner than November 30, 2024. The development of the auction and related work will require Commission staff resources in FY 2022 and FY 2023. 34 • 3.45-3.55 GHz Band – In a March 2021 Second Report and Order, the Commission reallocated the top portion of the band (3.45-3.55 GHz) to make 100 megahertz of spectrum available for flexible use and adopted a framework for the 3.45 GHz band that will enable robust commercial use by an array of service providers, while also ensuring that federal incumbents are still protected from harmful interference where and when they require continued access to the band. Pursuant to the requirements of the Commercial Spectrum Enhancement Act, the Commission commenced bidding in Auction 110—an auction of licenses in the 3.45 GHz band—on October 5, 2021. The Commission announced the conclusion of the auction and winning bidders on January 14, 2022. Performing post-auction activities, including transitioning incumbent secondary users, will require Commission staff resources in FY 2022 and potentially in FY 2023. • 2.5 GHz Band (2496-2690 MHz) – On July 10, 2019, the Commission released a Report and Order modernizing the 2.5 GHz band and making additional spectrum available for 5G and other advanced wireless services. To this end, the Commission eliminated the legacy Educational Broadband Service (EBS) eligibility requirements, educational use requirements, and leasing restrictions in the band. The Commission also established a priority filing window providing Tribal Nations with a one-time licensing opportunity for unassigned 2.5 GHz spectrum over their rural Tribal lands. The Commission has so far issued 335 licenses to eligible Tribal entities enabling them to address the communications needs of their communities. Finally, the Commission decided that any unassigned spectrum remaining post-window would be made available via competitive bidding in a future auction. On January 13, 2021, the Commission sought comment on procedures for this proposed auction; comments were due May 3, 2021, and reply comments were due May 27, 2021. On February 9, 2022, the Commission sought further comment on auction formats for this proposed auction; comments were due February 23, 2022. On March 21, 2022, the Commission adopted auction procedures and announced that bidding will begin on July 29, 2022. The auction is likely to conclude before the end of FY 2022, and certain post-auction activities requiring Commission staff resources, including those related to the Rural Tribal Priority Window, may continue into FY 2023. • Full Power Television Construction Permits – On November 19, 2021, the Commission sought comment on procedures for an auction of 27 construction permits for full power television stations. Comments and reply comments were due December 13 and 23, respectively. The auction will begin on June 7, 2022, and is likely to conclude in FY 2022. Conducting the auction and performing post-auction activities will require Commission staff resources in FY 2022 and potentially in FY 2023. • Other Auction Development and Implementation – The Commission needs to make additional changes to the auction bidding and licensing systems to prepare for auctions of spectrum bands that may become available for licensing based on spectrum planning currently underway, including other bands identified by the Mobile Now Act and the 30 megahertz required by the Pipeline Act. The Commission and its federal partners, including NTIA and the Department of Defense, are currently collaborating to explore additional mid-band 5G opportunities, including ongoing work streams in NTIA’s Policy and Plans Steering Group (PPSG). The PPSG provides a forum for the Commission and its federal partners to address spectrum policy issues that affect the use of spectrum by non-federal and federal users. The PPSG is exploring other bands that 35 could potentially be made available for commercial 5G use, including on a shared basis, consistent with statutory directives. This work has continued into FY 2021 and FY 2022 and the Commission expects activity will extend into FY 2023 as well. • SAS/ESC Testing for 3.5 GHz – The Spectrum Access System (SAS)/Environmental Sensing Capability (ESC) are necessary components to facilitate additional non-federal access to spectrum in the 3.5 GHz band and are necessary to protect incumbent Federal operations. Six SASs have been authorized for full commercial use in the 3.5 GHz band for five-year terms, and sensor deployment and coverage plans of four ESC operators have been approved. With SAS and ESC actions in FY 2021, the Commission has enabled commercial deployments in the 3550-3560 MHz band segment in Puerto Rico and American Samoa for the first time. The Commission will continue to monitor and analyze the operations of approved SASs and ESCs to ensure compliance with the rules. Several other entities have applied to be SAS administrators and ESC operators, and three SAS administrators are operating under conditional approval. The Commission will need to test and evaluate these new SASs and ESCs prior to approving them for use in the 3.5 GHz band. The Commission may also need to perform additional testing on existing SASs and ESCs to ensure that any future system upgrades or modifications comply with the rules. The Commission will also engage in additional research (e.g., spectrum monitoring) to refine its understanding of the spectral environment and facilitate more robust and efficient use of spectrum resources. This work will continue into FY 2023. • Optimization for New Spectrum Opportunities – The optimization team will help the Commission analyze and study options for using complex mathematical optimization techniques for making new spectrum licenses available through new auction formats including overlay licenses, transitioning incumbents out of repurposed spectrum bands while assuring continued service to their customers, and other ways to implement spectrum sharing scenarios, to ensure we are maximizing the amount of useful commercial spectrum. They will develop optimal band plans accommodating incumbent uses and demonstrate the value of additional clearing or sharing as necessary. This research will also provide statistical and technical computation, analysis, simulation, and modeling, including geographic data and mapping, related to auctions. • Spectrum Visualization Tools – Public Facing and Internal –The Commission continues to develop spectrum visualization tools to provide the public and government agencies with insights into how spectrum utilization could be modified to meet growing demand for wireless broadband services, including through licenses assigned by auction. These tools will help satisfy the public’s significant interest in understanding who has licensed rights to different spectrum bands at different locations and provide the ability to manipulate and analyze this data. Federal agencies also would benefit from this information as they consider sharing/relocation options. Additionally, it is critical for internal Commission teams to have robust data, including mapping, to understand coverage and operations across the country. For example, anticipation of the upcoming auction of overlay licenses in the 2.5 GHz band (Auction 108), on March 21, 2022, the Commission announced the launch of a mapping tool at can be used by potential bidders to help assess whether and to what extent there is unassigned 2.5 GHz spectrum available in any U.S. county. This work will continue in FY 2023. 36 • Auction Application System (formerly known as Integrated Spectrum Auctions System (ISAS)) Enhancement/Modernization – The Commission must modify the application forms for participation in each auction in response to the auction’s unique requirements. Work to modernize the auction application system will provide the foundation for new implementations of the primary auctions application software, including providing the ability to customize the form to support future auctions based on novel license eligibility requirements and auction formats, while improving security. This work, including updates to implement new spectrum and auction policies will continue through FY 2022 and FY 2023. • Universal Licensing System (ULS) Modernization – In FY 2019 the Commission determined that it must modernize its licensing database and infrastructure to implement complex new service rules, as well as replace outdated technology to improve reliability, security, and access to data. The modernized system would enable the FCC to better support new auctions, inventory existing auction licenses, and re-auction spectrum. Early in FY 2020, the Commission initiated a multi-year, multi-million-dollar project to modernize ULS. The initial contract began development of market-based licensing and identification of requirements for the site-based and personal radio services. Focused on Short Term Authorizations for market- based licenses, the first incremental version of the system is planned for release in FY 2022. Modernization will continue under the follow-on contract in FY 2023 and FY 2024, working towards completion of market-based licensing, and delivery of site-based and personal radio service functionality. Post-Broadcast Incentive Auction Transition Work In the Incentive Auction Closing and Channel Reassignment Public Notice, released on April 13, 2017, the Commission announced the completion of the first-ever spectrum incentive auction and publicly released the results of the reverse auction, the forward auction, the assignment phase, and the channel reassignments for full power and Class A television stations that were required to change their TV channels during the 39-month relocation process that commenced as of the release of that Public Notice. The licensing process for the winning bidders for new flexible-use wireless spectrum licenses also commenced with the release of that public notice. The BIA made available 84 megahertz of low-band spectrum for commercial and unlicensed wireless use by repurposing a portion of the broadcast TV band. The total net winning bids of the auction were $19.3 billion. The auction proceeds from winning bidders of new spectrum licenses were used, among other things, to pay winning broadcast bidders in the reverse auction and, as directed in the Middle Class Tax Relief and Job Creation Act of 2012 and the Reimbursement Expansion Act of 2018 (REA), to fund $1.75 billion of the $2.7 billion TVBRF to reimburse full power, Class A, low power and translator television and FM radio broadcast stations and MVPDs for their reasonable expenses incurred as a result of stations being involuntarily relocated to new channels. All of the repacked broadcast TV stations transitioned off of their pre-auction channels as of September 2020, though not all had completed construction of their permanent facilities. The REA permits the Commission to continue the reimbursement program until July 3, 2023. Because of the complex nature of the post-BIA transition, including displacement of low power and TV translator stations, and the inclusion of low power and translator TV stations and FM stations as categories of broadcast stations eligible for reimbursement for the first time in the 2018 REA, 37 the Commission will continue to engage in a significant amount of post-auction activity. For example, the results of the BIA required 987 full-power and Class A broadcasters nationwide to relocate to create contiguous spectrum in the 600 MHz band that has been repurposed and auctioned for flexible wireless uses, and 957 of those stations are eligible for reimbursement from the TVBRF.3 In addition to these stations, on December 8, 2019, the Incentive Auction Task Force and Media Bureau announced that 87 FM stations and, on March 26, 2020, that 844 low power and translator TV stations (LPTV/translator stations), had also satisfied the eligibility requirements to participate in the TVBRF. As of February 15, 2021, 1824 full power and Class A stations had not completed construction of final facilities and therefore remained on interim facilities. This work will also require some MVPDs to modify their facilities to continue to carry the station’s signals and some FM stations to modify their facilities to allow for completion of the repack construction work. In addition, some repacked stations, who have already vacated their pre-auction channel, have ongoing construction to remove old antennas and equipment and take other follow-up efforts, the reasonable costs of which are also reimbursable from the TVBRF. The Commission established procedures necessary to bring each entity’s participation in the TVBRF to a close that involves two steps: an interim stage and a final stage, Final invoice filing deadlines for reimbursement from the TVBRF were set for October 8, 2021, for repacked full power and Class A TV stations assigned transition completion dates in the first half of the 39-month post-incentive auction transition schedule; March 22, 2022, for repacked full power and Class A TV stations assigned completion dates in the second half of the 39-month post-incentive auction transition schedule; and September 5, 2022, for LPTV/translator stations, FM stations, and MVPDs. The deadlines help ensure that all eligible invoices are processed, entities are able to complete the TVBRF close-out procedures, and close-out review and, as appropriate, verification and audit processes, can take place prior to July 3, 2023, when any unobligated amounts will be rescinded and deposited into the U.S. Treasury. The following are a list of highlights from the many activities that will continue to take place in FY 2023. • Licensing for Broadcasters Being Relocated – The Commission will continue to process applications and licenses to cover, as well as possible technical modifications determined to be necessary once the stations transition and test their new facilities, as described in more detail below. Certain full power and class A stations are using interim facilities while still in the process of completing construction of their permanent facilities. In such cases, stations met their phase deadline to cease operation on their pre-auction channel but not yet have fully transitioned to their new facilities. Construction of those new facilities, and the related Media Bureau consideration of all related applications and waivers, as well as submission of reimbursement invoices, is continuing for some of those stations beyond the end of the 39-month phase schedule. 3 As a result of the BIA, 987 full-power and Class A broadcast stations were assigned new channels and must be relocated during the 39-month transition period. Of those, 30 full-power stations were winning bidders in the reverse auction and are not eligible for reimbursement of relocation costs, but they nevertheless must file applications, licenses to cover, and/or waivers that will require processing by the Commission. The remaining 957 full-power and Class A stations that are being relocated are eligible for reimbursement from the TVBRF. 38 The process will therefore require Commission staff to continue to monitor broadcaster progress, identify and resolve transition-related problems and challenges, process applications, and review and verify information in FY 2023. Concluding the post-auction transition will also continue to require software, cloud computing resources, and assistance from skilled computer scientists, software engineers, and technology experts. • Displaced LPTV and TV Translator Station Licensing – A Special Displacement Window closed on June 15, 2018, for operating LPTV/translator stations displaced due to the new 600 MHz wireless band and the post-auction repacking process for full power and Class A stations. More than 2,000 applications were granted. Broadcast licensing for LPTV/translator stations is performed in two steps: (1) application review and grant of a CP and (2) application review and grant of a license to cover. The Commission will continue to process such applications as they are filed. • FM Station Licensing – FM radio spectrum was not subject to the post-Incentive Auction repacking process. Some FM stations with antennas on or near a tower supporting a repacked TV antenna may be affected if, for example, the FM antenna must be moved, temporarily or permanently, to make it possible for the co-located TV station to complete its construction of facilities on the tower. In such situations some FM stations must apply for a construction permit or special temporary authority to operate on an interim basis during a construction project on the station’s tower. • Reimbursements to Eligible TV and FM Stations and MVPDs – Reimbursements to eligible full power and Class A broadcasters and MVPDs started in FY 2018. In 2019, in response to the REA, the Commission expanded its reimbursement process to include LPTV/translator and FM stations pursuant to the REA and approved applications by stations in those categories for reimbursement in 2020 and 2019, respectively. • Fund Administration – The Commission has engaged a contractor (Fund Administrator) to assist in administering the TVBRF. The Fund Administrator has extensive experience in television broadcast engineering and federal funds management to review cost estimates. The Fund Administrator reviews the initial reimbursement estimates and the accompanying supporting documentation submitted by eligible entities to validate that the estimates reflect costs that may be reasonably incurred to relocate television service from a station’s original channel to its reassigned channel or, in the case of MVPDs, to continue to carry the broadcast signal of a reassigned broadcast station. Requests for additional information are sent to entities where reasonableness cannot be determined, where necessary documentation appears to be missing, or where the requested reimbursement appears to be excessive. • Reimbursement Process – The reimbursement process has two major components: (1) cost estimates and fund allocation and (2) invoice reimbursement processing. ▪ Cost Estimates and Fund Allocation – The Fund Administrator and Media Bureau review the initial reimbursement estimates, and the eligibility showings of the submitting entities, and the accompanying supporting documentation submitted to validate that the estimates reflect costs that may be reasonably incurred to relocate television service from a station’s original channel to its reassigned channel or, in the 39 case of FM stations, to reasonably minimize disruption of service during the repack, or in the case of MVPDs to continue to carry the signal of a repacked station. Based upon that review, an initial allocation based on such verified estimates is issued to stations found to be eligible for reimbursement. Once the initial allocation is made, the Fund Administrator reviews invoices for actual costs incurred by broadcasters and MVPDs and makes recommendations to the Commission as to their reasonableness. The Commission reviews and verifies those recommendations and pays approved invoices submitted by eligible stations and MVPDs. On February 24, 2022, the Commission announced a final allocation to increase the allocation for each participant from 92.5% to 100% of each entity’s verified estimates. As of March 15, 2022, the Commission had allocated a total of over $2.13 billion to broadcasters and MVPDs. ▪ Invoice Reimbursement Processing – Eligible TV and FM radio stations and MVPDs may only draw upon their allocated funds upon submission of actual invoices and other supporting documentation. The Fund Administrator reviews invoices for actual costs incurred by broadcasters and MVPDs and makes recommendations to the Commission as to their reasonableness. The Commission reviews those recommendations and pays approved invoices submitted by broadcasters and MVPDs. Reimbursement payments to all of these categories of recipients will continue in FY 2023 as reimbursement - eligible entities continue to submit their invoices. • Close Out Procedures for TV and FM Broadcasters and MVPDs – In February 2019, the Commission announced a two-step close out procedure and receive two close-out letters from the Media Bureau, including (1) an “interim close-out letter” when the station has submitted evidence of all incurred costs: and (2) a “final close-out letter” after all or nearly all entities eligible for reimbursement from the Fund have entered the close-out process. The final account close-out for each entity will occur no later than July 3, 2023, the statutory end of the reimbursement period, when all entities eligible for reimbursement from the Fund must have submitted all actually incurred costs. When the Commission announced the final allocation in February 2022, it announced a streamlined close-out procedure. Entities that had already completed the interim close-out process were permitted to enter the final close-out phase. Entities that initiate the close-out process after the final allocation proceed through a single-step close-out process, resulting in a resource savings for both the entities and the Commission. When an entity completes its construction project it will submit all remaining supporting documentation and requests for reimbursement to the Commission and inform the Commission that the submissions are complete. The entity will receive a financial reconciliation statement from the Fund Administrator that specifies verified, estimated amounts; allocated amounts; amounts requested for reimbursement; amounts disbursed by the Commission; and information outlining any additional amounts payable by the Commission to the entity or owed to the Commission by the entity. If an overpayment is discovered, the entity will be required to return the excess amount to the Commission and detailed instructions for prompt submission of such overpayments will be provided to the entity by the Commission. Each station will review the financial reconciliation statement for accuracy and completeness and, upon concurrence, return an executed version of the financial reconciliation statement to the Fund Administrator. The 40 Bureau will then provide the station with a close-out letter and issue any payments currently due, subject to the station’s available allocation. The close-out letter will serve as the official notice of account close-out, include a summary of any financial changes that occurred during the interim closing period, and remind entities of their ongoing document retention requirements. • Post-Implementation Site Visit Program. In 2014 the Commission stated its intent to conduct site visits to confirm the existence and proper use of equipment paid for from the TVBRF. Such review procedures are essential in preventing fraud, waste, and abuse, and thereby maximize the amount of money available for reimbursement. The post-implementation site visits to facilities of certain TVBRF participants to validate the existence and operational status of post- transition equipment for which the entity received reimbursement, and to ensure that such equipment is being used by the fund participant for its intended purpose. The Fund Administrator will visit a randomly selected, statistically valid sample of TVBRF participants and may select additional participants for site visits based on specific facts or circumstances. Site visits are expected to continue throughout 2022. Based on the results of these site visits, additional work may be required in FY 2023 until the expiration of the fund on July 3, 2023. • Audits, Data Validations, and Disbursement Validations – Audits, data validations, and site visits are essential tools in preventing waste, fraud, and abuse, and use of these measures will maximize the amount of money available for reimbursement. Throughout the reimbursement period, the Media Bureau together with the Fund Administrator performs disbursement validations in order to confirm that entities receiving reimbursement funding for third party services have in fact disbursed monies received from the Fund in a manner consistent with representations made to the Commission in the Reimbursement Form. Also, a third-party audit firm acting on behalf of the Commission may conduct audits of entities receiving disbursements from the Reimbursement Fund, and these audits may occur both during and following the Reimbursement Period. The Commission has determined that Commission staff and/or a third - party auditor will continue to validate expenses after the reimbursement period ends, consistent with the Commission’s obligation to recover improper payments, including after the close-out period. • Submission of Banking Information – The Commission requires all eligible entities who will receive TVBRF payments to provide detailed banking information that is both notarized on paper form and submitted in a secure electronic system. The Commission reviews this information prior to making any payments. Eligible entities may revise their banking information throughout the reimbursement period. 41 FCC Obligations in Support of the Auctions Program Pursuant to 47 U.S.C. §309(a), the Commission must provide its authorizing and appropriations committees in Congress with a detailed report of the FCC’s obligations in support of the auctions program for each fiscal year of operation. The following table shows available auction cash for recent fiscal years. Spectrum Auctions Activities Fiscal Years 2018 - 2022 Dollars in Thousands FY 2018 FY 2019 FY 2020 FY 2021 FY 20224 Beginning Cash Balance as of October 1 $8,620,648 $3,508,741 $3,378,640 $7,731,130 $84,938,157 Current Year Net Cash (3,929,722) 2,598,061 6,845,791 77,926,671 (66,966,934) Less: Deferred Revenue as of September 301 (1,158,650) (2,725,948) (2,491,088) (113,267) (14,962,698) Deposit Liability - Refunds as of September 302 (2,214) (2,214) (2,213) (606,377) (2,835) Accounts Payable3 (21,321) 0 0 0 0 Available Cash as of September 30 $3,508,741 $3,378,640 $7,731,130 $84,938,157 $3,005,690 1Cash associated with licenses that have not been granted as of stated date. 2Upfront auction deposits not refunded as of stated date. 3For FY 2018, the amount represents amount owed to Incentive Auction Reverse Auction Winners. 4 For FY 2022, the amounts shown are as of February 28, 2022. 42 Summary of Distribution of Resources - Spectrum Auctions Program SPECTRUM AUCTIONS COST RECOVERY REIMBURSABLE AUTHORITY INCLUDING OFFICE OF INSPECTOR GENERAL (Dollars in Thousands) FY 2022 FY 2023 FY 2021 Annualized Congressional Object Classification Description Actuals CR Amount Request Personnel Compensation & Benefits: Full-time & Other than full-time Permanent (11.1 & 11.3) $28,880 $31,871 $33,913 Personnel benefits (12.0) 9,890 10,153 10,756 Subtotal - Personnel Compensation & Benefits $38,770 $42,024 $44,669 Other Expenses: Benefits for former personnel (13.0) $8 $9 $8 Travel & transportation of persons (21.0) 0 285 297 Transportation of things (22.0) 2 9 9 Rent payments to GSA (23.1) 3,316 4,598 4,225 Communications, utilities, & misc. charges (23.3) 1,993 1,851 2,043 Printing and reproduction (24.0) 177 284 296 Other services from non-Federal sources (25.2) 18,603 38,577 31,842 Other goods & services from Federal sources (25.3) 1,295 797 830 Operation & maintenance of equipment (25.7) 59,581 45,822 47,747 Supplies and materials (26.0) 66 111 116 Equipment (31.0) 211 113 118 Insurance claims & interest (40.0) 6 15 31 Subtotal - Other Expenses $85,258 $92,471 $87,562 Total - Auctions Cost Recovery Reimbursable Authority $124,028 $134,495 $132,231 43 Spectrum Auctions Expenditures Report Section 309(j) of the Communications Act permits the Commission to use funds raised from auctions to fund its auctions program, including contracts for services and costs related to personnel performing work in support of Commission auctions authorized under that section. The FCC’s Office of General Counsel (OGC) and Office of Managing Director (OMD) provide direction to FCC employees attributing hours for this purpose. The House of Representatives and Senate Appropriations Committees review and set a yearly cap for the spectrum auctions program. The requested cap level for FY 2023 is $132,231,000 to fund the following activities: further the objective of making more spectrum available for commercial use; continue implementation of the Spectrum Pipeline Act of 2015 and certain provisions of the RAY BAUM’S Act, including the MOBILE NOW Act, as well as the Consolidated Appropriations Act of 2021, and the Infrastructure Investment and Jobs Act; continue post-BIA work to include the new additional requirements from the REA related to the TVBRF; and upgrade and improve auctions infrastructure in preparation for future actions. In addition, as the demand for spectrum for new technologies extends to spectrum bands previously assigned for legacy applications, creative approaches must be found to accommodate existing licensees and operations while expanding opportunities for access by new users. The Commission’s spectrum auctions program supports efficient licensing while also contributing significant funds to the U.S. Treasury for deficit reduction and providing direct support to other government programs. As of January 2022, the Commission had generated over $233 billion in auctions revenues since initiating the auctions program in 1994. During this period, auctions program expenses have been less than 1% of the Commission’s total auctions revenues. Spectrum auction planning, development, and implementation is performed agency-wide and is very information technology (IT) intensive, as reflected in our Auction Expenditure Justification Reports. For example, the Incentive Auction Task Force as well as the teams that implemented the auction and continue to transition that repurposed 280 megahertz of spectrum in the 3.7 GHz band from incumbent uses (including fixed satellite service) to flexible use, draw upon the resources and expertise of staff from across the Commission, including the Wireless Telecommunications Bureau, Media Bureau, International Bureau, Bureau of Consumer and Governmental Affairs, Office of Economics and Analytics, Office of Engineering and Technology, OMD, and OGC. Auctions funds also cover the program’s share of Commission operating expenses. The Commission uses these funds to enable successful auctions and expends them in a manner consistent with statutory requirements. Every auction is different and has specific requirements, which require careful attention to detail and planning. Since auction activities are performed agency-wide and are unique, allocating the appropriate amount of cost and overhead related to the auctions program is a challenge. In addition, the complexity of spectrum auctions has increased steadily as the Commission works through more difficult technical and policy issues related to the scarcity of vacant spectrum. Preparation for spectrum auctions generally requires sufficient time to design, develop, and implement secure, reliable, and effective auction application, bidding, and post-auction licensing systems. In the practice of cost accounting, costs are identified as one of the following: (1) direct cost, (2) indirect cost, or (3) generally allocated cost. The methodology for deriving the proportional 44 share of generally allocated administrative costs to be charged to the auctions program is based on the Commission’s time reporting system and Generally Accepted Accounting Principles. The allocation is based on the percentage of actual hours that employees worked to support the auction program plus the same proportional share of the employee’s indirect hours (leave hours). This full time equivalent (FTE) rate is applied to costs that benefit the Commission as a whole. The items that are allocated by the FTE rate include Commission-wide IT systems, guard service, administrative facility services, supplies, furniture, equipment, and human resources training activities. The FCC has maintained an average of 14 percent for this purpose, with minor deviations. The Commission continues to plan for future auctions, most notably auction for overlay licenses for white spaces in the 2.5 GHz band; reallocating and auctioning frequencies within 3.1-3.45 GHz band identified for shared use by federal and non-federal users by the Departments of Commerce and Defense; reallocating bands made available in the Spectrum Frontiers proceeding to terrestrial wireless use; auction of the spectrum required by the Spectrum Pipeline Act of 2015, and an auction of full power television construction permits. Other auctions that may continue to be a focus for the Commission in FY 2023 include re-auctions of certain licenses previously offered and not won or returned to the Commission. Commission staff will also oversee the reimbursement process and the work of a Relocation Payment Clearinghouse in the 3.45 GHz band. The Commission will also continue to leverage auctions expertise and infrastructure to support reverse auctions that allocate Universal Service funding in an efficient and effective manner. Specifically, the Commission adopted rules to make available through reverse auctions up to $20.4 billion in the Rural Digital Opportunity Fund to bring fixed broadband to unserved locations and has concluded the first auction under these rules. The first phase of the two-phase auction was completed in November 2020, awarding $9.2 billion in support. The Commission has also adopted rules to make available through reverse auctions up to $9 billion in the 5G Fund to support deployment of mobile broadband in unserved areas. In addition, the Commission is continually working to update and modernize its auction bidding and application systems to improve their speed, flexibility, reliability, and security to support timely new auctions when additional spectrum that could be made available is identified. In FY 2023, the Commission will continue implementation of the RAY BAUM’S Act, including working with NTIA to identify 255 megahertz of additional spectrum (subject to certain frequency and use requirements) for mobile and fixed broadband use; preparing annual reports on upcoming systems of competitive bidding; and coordinating with the Departments of Commerce and Defense on initiatives related to shared spectrum allocations, bidirectional sharing, and commercial wireless use in the 3100-3550 MHz bands; and monitoring post-auction operations in bands subject to spectrum sharing and/or transition to new flexible uses. In addition, a significant Commission auction focus in FY 2023 will be to continue post-broadcast incentive auction implementation. The auction required that 987 full power and Class A television stations be repacked into a new, smaller TV band, which involved reorganizing and assigning channels to the remaining broadcast television stations to create contiguous blocks of cleared spectrum suitable for flexible wireless use. The scope of the repacking component of this auction has made it a unique and computationally complex challenge that will continue to require substantial resources and engagement from the Commission until all stations are operating on their 45 permanent facilities and the reimbursement process has been completed. Such active oversight of the process will continue to require Commission staff resources to coordinate with broadcasters to monitor broadcaster progress, identify and resolve transition-related problems and challenges, process applications, review and verify information, undertake and complete the ongoing reimbursement program and, as appropriate, conduct subsequent verifications and audits of the reimbursements. For example, we will continue to make disbursements from the TVBRF to repacked full power and Class A TV stations and MVPDs, and, pursuant to the REA, to LPTV/translator stations and FM stations impacted by the post-auction repack that have become eligible for reimbursement as a result of the REA. In addition, although the repacked full power and Class A television stations were required to vacate their pre-auction channels by July 2020, there will be continuing application processing and license to cover filings and other transition processing required after that time for both full power and Class A stations, MVPDs, and LPTV/translator and FM stations. For example, LPTV/translator stations are not subject to the same construction deadlines as full power and Class A Stations, and a number of the full power and Class A stations that vacate their pre-auction channels are still operating on interim facilities while they continue to construct their permanent facilities. The post-auction transition also requires continued engagement of the Fund Administrator, which is overseen by Commission staff, to administer the reimbursement of up to $2.7 billion to the eligible broadcasters, MVPDs, LPTV/translator stations, and FM stations by reviewing cost estimates and invoices to prevent waste, fraud, and abuse. The reimbursement period for costs associated with the repack of full power and Class A stations and MVPDs, and the reimbursement of LPTV/translator stations and FM stations, is authorized by Congress to extend up to July 3, 2023. Finally, the Commission will continue to devote significant resources in FY 2023 towards implementation efforts to transition a 280-megahertz block of spectrum in the 3.7-4.0 GHz band, plus a 20-megahertz guard band, from incumbent use to new flexible-use now that the related auction is complete. All eligible incumbent space station operators elected to clear according to the following accelerated timeline: (1) clearing 120 megahertz (3.7-3.82 GHz) by December 5, 2021, and (2) clearing the remaining 180 megahertz (3.82-4.0 GHz) by December 5, 2023. If these deadlines are met, the incumbent space station operators will be eligible for accelerated relocation payments of up to $9.7 billion, to be paid by the new flexible-use licensees. Incumbent fixed- satellite service (FSS) and fixed service (FS) licensees, as well as incumbent earth station operators, may also seek reimbursement of reasonable relocation costs paid by flexible-use licensees as a condition on their license. Commission staff will establish a process for reviewing certifications by the incumbent space station operators who elected accelerated relocation to determine whether they have met their clearing deadlines and qualify for the accelerated relocation payments. Commission staff will also oversee the reimbursement process and the work of a Relocation Payment Clearinghouse, who will manage the intake, payout, and auditing of relocation funds, serve in an administrative role to mediate disputes related to such costs, and provide progress reports to the Commission. Likewise, Commission staff will oversee technical aspects of the transition being managed by an external Relocation Coordinator, who is tasked with establishing a timeline and taking actions necessary to migrate and filter incumbent earth stations to ensure continued, uninterrupted service during and following the transition. Should the Relocation Coordinator receive notice of any substantive 46 transition disputes between space station and earth station operators, it must notify Commission staff who will resolve such disputes. Commission staff will also handle any appeals of disputes mediated by the Relocation Payment Clearinghouse in the first instance. The actual and estimated FTE levels for the spectrum auctions program for FYs 2021 through 2023 are shown on page 16. At the end of the Spectrum Auctions section is a crosswalk showing how spectrum auctions program funds will be utilized in FY 2023. The following two schedules provide some details of the spectrum auctions program since its inception in 1994. These schedules also provide some perspective into how much money was collected/generated for the U.S. Treasury or for broader government use and the total cost for running the Commission’s spectrum auctions program. 47 Spectrum Auctions and Cash Collected/Generated by Fiscal Year Fiscal Years 1994 through January 2022 Number of Number of Licenses Amount Fiscal Year Auctions Won Collected/Generated 1994 2 604 $652,954 1995 2 129 $8,234,321 1996 6 2,026 $2,019,376 1997 4 1,614 $2,205,922 1998 2 1,388 $860,879 1999 6 1,693 $499,599 2000 8 4,403 $1,335,043 2001 4 3,447 $583,600 2002 7 7,036 $135,631 2003 7 3,144 $77,122 2004 5 267 $126,790 2005 6 2,803 $2,208,333 Thousands in Dollars 2006 5 1,284 $13,834,979 2007 5 290 $163,430 2008 3 1,144 $18,988,396 2009 2 115 $5,696 2010 3 4,788 $25,973 2011 3 126 $31,493 2012 1 93 $3,878 2013 2 3,197 $5,784 2014 2 186 $1,564,597 2015 2 1,713 $41,772,724 2016 0 0 $0 2017 1 2,776 $19,306,993 2018 2 41 $806 2019 3 5,880 $2,723,993 2020 2 34,767 $12,101,278 2021 2 5,781 $81,127,067 2022 1 4,041 $22,418,284 Totals 98 94,776 $233,014,941 Spectrum Auctions Program – Cash Collected/Generated vs. Expenditures Fiscal Years 1994 through January 2022 (Dollars in Millions) $233,015 $2,298 $0 $30,000 $60,000 $90,000 $120,000 $150,000 $180,000 $210,000 $240,000 $270,000 Amount Collected/Generated Cumulative Expenditures Cumulative Expenditures include the amount estimated for FY 2022. 48 Crosswalk - Summary of Changes for Spectrum Auctions Program (Dollars in Thousands) FY 2023 FY 2023 Non-Salary FY 2023 FY 2022 FY 2023 Adjustments Salary Inflationary Estimates to Annualized Base to Base Increase Increase Congress Consumer & Governmental Affairs Bureau $177 $0 $177 $0 $7 $184 International Bureau $3 $0 $3 $0 $0 $3 Media Bureau $7,688 -$6,000 $1,688 $0 $71 $1,759 Wireless Telecommunications Bureau $4,158 $0 $4,158 $0 $174 $4,332 Office of Administrative Law Judges $2 $0 $2 $0 $0 $2 Office of Economics and Analytics $11,534 $0 $11,534 $0 $483 $12,017 Office of Engineering and Technology $53 $0 $53 $0 $2 $55 Office of General Counsel $1 $0 $1 $0 $0 $1 Office of Managing Director $68,678 -$2,720 $65,958 $0 $3,064 $69,022 Office of Media Relations $27 $0 $27 $0 $1 $28 Office of Workplace Diversity $13 $0 $13 $0 $1 $14 Compensation & Benefits $42,024 $42 $42,066 $2,602 $2 $44,669 Office of Inspector General $137 $0 $137 $0 $6 $143 TOTAL $134,495 -$8,678 $125,817 $2,602 $3,812 $132,231 49 New Budget Authorities Already Provided In fiscal years 2020, 2021, and 2022, the President and Congress provided new budget authorities to the Commission from the Coronavirus Aid, Relief, and Economic Security (CARES) Act (P.L. 116-136), the Consolidated Appropriations Act, 2021 (P.L. 116-260), the American Rescue Plan Act of 2021 (P.L. 117-2), and the Infrastructure Investment and Jobs Act (P.L. 117-58). The programs outlined below are a summary and status of these new budget authorities. COVID-19 Telehealth Program Due to the ongoing novel coronavirus 2019 disease (COVID-19) pandemic, the Commission established the COVID-19 Telehealth Program through a Report and Order released on April 2, 2020. The COVID-19 Telehealth Program is funded through a $200 million Congressional appropriation as part of the Coronavirus Aid, Relief, and Economic Security (CARES) Act, to immediately support eligible health care providers responding to the pandemic by providing funding for telecommunications services, information services, and connected devices necessary to provide critical connected care services whether for treatment of the COVID-19 disease or other health conditions during the COVID-19 pandemic. The COVID-19 Telehealth Program is an emergency funding program that is designed to provide flexibility for eligible health care providers that apply for and receive funding commitments, and then request reimbursement for eligible expenses that they have purchased and received from their service providers or vendors under the COVID-19 Telehealth Program. In order to seek funding under the CARES Act (Round 1), eligible health care providers were required to submit an application to the Commission, including information on the costs of the services and/or connected devices for which they plan to seek reimbursement. The Wireline Competition Bureau (Bureau), in consultation with the FCC’s Connect2Health Task Force, reviewed the COVID-19 Telehealth Program applications, as outlined in the Report and Order, selected participants, and made funding awards on a rolling basis to eligible applicants based on the estimated costs of the eligible items they intended to purchase with the COVID-19 Telehealth Program funds. Selected funding recipients received a funding commitment letter providing their award amount and additional information about certain COVID-19 Telehealth Program requirements and procedures. Consistent with the Report and Order, applications from areas that were hardest hit by COVID-19 and where funding had the most impact on addressing a community’s health care needs, were prioritized. In order to ensure as many applicants as possible received available funding under the CARES Act, the Bureau did not award more than $1 million to any single applicant. The Commission stopped accepting applications for Round 1 funding under the COVID-19 Telehealth Program on June 25, 2020. Awards were made until the appropriated Round 1 funding under the COVID-19 Telehealth Program was exhausted, which occurred on July 8, 2020. The Bureau issued $200 million in total COVID-19 Telehealth Program Round 1 funding commitments for 539 applications. After paying for and receiving the eligible services and/or connected devices from the service provider or vendor, funding recipients must submit to the Commission: a request seeking reimbursement; invoice documentation sufficient to identify the eligible items that were purchased and received, and the price paid; and, if applicable, a Letter of Authorization for those applicants that received a funding commitment on behalf of other eligible health care provider sites. Under 50 Round 1 of the COVID-19 Telehealth Program, the Commission reimburses funding recipients the full cost of the eligible services and/or connected devices received so long as the invoice submissions are accompanied by the required supporting documentation. After the reimbursement request is approved by the Commission, payment is issued by the U.S. Department of Treasury electronically to the bank account on file associated with the funding recipient. On December 27, 2020, the Consolidated Appropriations Act, 2021 was signed into law, which appropriated an additional $249.95 million to the Commission’s COVID-19 Telehealth Program (Round 2). This additional funding allowed the Commission to continue its efforts to expand telehealth and connected care throughout the country and enable patients to access necessary health care services while helping slow the spread of the disease. Per congressional directive, the Commission was required to seek comment on various ideas related to committing the new funding, including the criteria to use to evaluate applications and how to treat pending applications from Round 1. The Commission released a Public Notice seeking comment on these issues on January 6, 2021. On February 2, 2021, the Commission adopted a Report and Order finding that it was in the public interest to use the Universal Service Administrative Company (USAC) to administer the COVID-19 Telehealth Program going forward. On March 30, 2021, the Commission released a Report and Order and Order on Reconsideration setting forth additional details about the policies and procedures that would apply during Round 2. On April 15, 2021, the Bureau released a Public Notice announcing the duration of the Round 2 application filing window, which opened on April 29, 2021 and closed on May 6, 2021. On August 26, 2021, the Bureau released a Public Notice announcing the first group of funding to 62 awardees totaling $41.98 million for Round 2 of its COVID-19 Telehealth Program. Health care providers in each state, territory, and the District of Columbia, including those previously unfunded in Round 1, will use this funding to provide telehealth services during the coronavirus pandemic. The Bureau then released three additional Public Notices, on September 29, October 21, and November 9, committing over $150 million. Consistent with the Consolidated Appropriations Act, 2021, applicants who had not previously received a funding commitment had ten days to supplement their applications with any additional information that had not previously been included. That period began on November 9 and ended on November 19, and the Public Notice released on November 9 provided additional guidance for applicants who wanted to supplement their applications. After the 10-day supplemental period ended on November 19, 2021, applications were re-ranked, and funding was awarded to the highest-scoring remaining applications. On December 21, 2021 the Bureau released a Public Notice committing funding to an additional 68 applicants. On January 26, 2022, the Bureau released its sixth and final Public Notice, which committed funding to 100 applicants. In total, 447 awardees received over $256 million in funding commitments as part of Round 2 of the Program. 51 Broadband Deployment Accuracy and Technological Availability (Broadband DATA) Act and Broadband Deployment Locations Map The Commission has long recognized that precise, granular data on the availability of fixed and mobile broadband are vital to bringing digital opportunity to all Americans, no matter where they live, work, or travel. On March 23, 2020, the Broadband Deployment Accuracy and Technological Availability Act (Broadband DATA Act) was signed into law requiring the Commission to create a new set of broadband availability maps. Among other things, the Broadband DATA Act requires the Commission to collect standardized, granular data on the availability and quality of both fixed and mobile broadband Internet access services, to create a common dataset of all locations where fixed broadband Internet access service can be installed (the Broadband Serviceable Location Fabric or Fabric), and to create publicly available coverage maps. The Act further requires the Commission to establish processes for members of the public and other entities to (1) provide verified data for use in the coverage maps; (2) challenge the coverage maps, the broadband availability data submitted by service providers, and the Fabric; and (3) submit specific crowdsource information about the development and availability of broadband service. In July 2020, the Commission adopted a Second Report and Order and Third Further Notice of Proposed Rulemaking that took steps to implement requirements of the Broadband DATA Act, including the adoption of rules for the collection and verification of improved, more precise data on both fixed and mobile broadband availability. In January 2021, the Commission adopted a Third Report and Order that took key additional steps to ensure that both the new data collection itself, and the measures for verifying the accuracy of the data collected, will yield a robust and reliable data resource for the Commission, Congress, federal and state policymakers, and consumers to evaluate the status of broadband deployment throughout the United States. On December 27, 2020, the Consolidated Appropriations Act, 2021 was signed into law appropriating $98 million in funding for the implementation of the Broadband DATA Act. After receiving this funding, the Chairwoman established the Broadband Data Task Force (Task Force) in February 2021 to lead the cross-agency effort to implement the Act. Since then, the Task Force, working closely with multiple Commission Bureaus and Offices, has moved ahead with the complex and interrelated workstreams that must be accomplished as expeditiously as possible to enable the Commission to produce precise and consistent maps of broadband availability and thereby to assure that federal and state funding efforts can be predicated on such accurate information. In February 2021, the Commission retained an expert data architect to work with the Commission’s own data and IT systems specialists to design and build a prototype of a data flow structure and system for the Broadband Data Collection (BDC), and on July 2, 2021 awarded a contract to build that data platform. The Commission will rely on this platform to accept broadband availability coverage data submissions from service providers and other entities, map that data and make it public, receive, track, and resolve challenges to submitted data, and incorporate crowdsourced data from the FCC Speed Test app and other sources. The decision to contract with the same firm to build the IT platform and systems permitted development to begin immediately once the architecture was decided upon and IT system development and testing is moving ahead on schedule. On March 4, 2022, the Commission published detailed technical specifications for the submission of subscription, availability and supporting data into the BDC filing platform. 52 In March 2021, the Commission issued a Request for Information and, in June 2021, a subsequent Request for Proposal (RFP) to seek vendors capable of building the Fabric. Vendor proposals were due on July 1, 2021; however, the Commission received a pre-award protest filed with the U.S. Government Accountability Office (GAO) following the RFP response deadline, which the agency worked to quickly resolve by issuing a revised RFP to all offerors on August 13. Revised proposals were due on August 26 and, after expeditiously reviewing these highly technical and detailed responses in a manner consistent with government solicitation practices, the Commission awarded the contract for Fabric development on November 9. Since that time, a post-award protest was filed with GAO and Fabric development was stayed until a decision from GAO was issued on February 24, 2022, resolving the protest in the Commission’s favor. The Commission immediately lifted the stop work order and is working with the contractor to finalize the Fabric in advance of the planned June 30, 2022, opening of the filing window for the BDC, which was announced by the Commission on February 22, 2022. Broadband availability data as of June 30, 2022, must be filed by all fixed and mobile providers no later than September 1, 2022. The Commission is also working to address the remaining legal and policy issues associated with implementing the challenge, crowdsource and verification processes. This framework will empower consumers, state, local, and Tribal governments, and other parties to challenge, and thereby improve, the accuracy of the maps by sharing data with the Commission. On March 9, 2022, the Task Force, Wireless Telecommunications Bureau, Office of Economics and Analytics, and Office of Engineering and Technology released a detailed order, technical appendix, rules and technical data specifications setting forth technical requirements and specifications for the mobile challenge, verification, and crowdsource processes required by the Act. Individual consumers will also be able to submit mobile challenge and crowdsource data using mobile speed test apps, such as the FCC Speed Test app. To this end, in September 2021, the Commission executed a contract modification with the FCC Speed Test app developer to develop the additional functionality for the mobile challenge and crowdsource processes, and on March 9, published detailed technical specifications for the submission of mobile speed test data into the BDC. The Commission is also preparing stakeholders, including state, local, and Tribal government entities, to participate in the data collection, challenge, and verification process. In addition to engaging directly in discussions with a number of state and other governmental partners, on December 8, 2021, the Task Force, in conjunction with the FCC’s Office of Native Affairs and Policy, hosted an initial workshop for Tribal governments to provide information about the BDC program and technical assistance on the procedures that Tribes will use to submit primary availability data to the Commission. In addition, the Commission is engaged in additional procurement efforts to retain outside resources to assist in providing technical assistance to small internet service providers as well as to participants in the challenge process, as required under the Broadband DATA Act. On November 15, 2021, the Infrastructure Investment and Jobs Act (the IIJA) was signed into law. The IIJA amended the Broadband DATA Act to require the Commission to resolve challenges no later than 90 days after the date on which a final response by a provider to a challenge is complete, and to implement this new requirement as soon as possible after the date of enactment of the IIJA. The IIJA also appropriated $10 million to the Commission, in consultation with all relevant Federal agencies, for the creation of a Broadband Deployment Locations Map, a public resource that will show the locations of broadband infrastructure projects funded by the Federal Government. The Commission is working expeditiously to implement these and other relevant provisions of the IIJA. 53 Secure & Trusted Communications Network Reimbursement Program On March 12, 2020, the Secure and Trusted Communications Networks Act of 2019 (Secure Networks Act) was signed into law. The Secure Networks Act, among other measures, directed the Commission to establish the Secure and Trusted Communications Networks Reimbursement Program (Reimbursement Program) to fund the removal, replacement, and disposal of covered communications equipment or services that pose an unacceptable risk to the national security of the United States or the security and safety of U.S. persons from the networks of providers of advanced communications service. On December 10, 2020, the Commission adopted a Second Report and Order implementing the Secure Networks Act by establishing rules for the Reimbursement Program. The Reimbursement Program will provide funding allocations to eligible providers based on their estimated costs. Reimbursement Program recipients can then obtain funding disbursements from their allocation upon showing of actual expenses incurred. Reimbursement Program recipients will have one year from the initial disbursement to complete the permanent removal, replacement, and disposal of covered communications equipment or services with the potential for a general and individual extensions of time. Recipients of Reimbursement Program funds shall use these funds solely to: (1) permanently remove covered communications equipment and services from their networks; (2) replace the covered communications equipment and services with non-covered equipment or services; and (3) dispose of the covered communications equipment and services in accordance with the Secure Networks Act. On December 27, 2020, the Consolidated Appropriations Act, 2021 (Consolidated Appropriations Act), was signed into law. The legislation, among other things, appropriated $1.9 billion to “carry out” the Reimbursement Program. In addition, the legislation amended the Secure Networks Act, expanding program eligibility from providers of advanced communications service with two million or fewer customers to providers with ten million or fewer customers. The Consolidated Appropriations Act also amended the definition of a provider of advanced communications service to specifically include certain non-commercial education institutions and added a method for prioritizing funding that differs from the approach adopted by the Commission in the Second Report and Order. The Commission released a Third Report and Order, on July 14, 2021, implementing the changes required by the Consolidated Appropriations Act and making additional clarifications about the Reimbursement Program. Most notably, the Commission stated that the Reimbursement Program is limited to reimbursing the costs of removal, replacement, and disposal to communications equipment and service produced or provided by Huawei Technologies Company and ZTE Corporation that was obtained on or before June 30, 2020. On April 28, 2021, the Commission’s Wireline Competition Bureau (Bureau) announced the selection of a contractor as the Reimbursement Program Fund Administrator to assist with processing applications and administering the Reimbursement Program. On August 3, 2021, the Bureau released a public notice adopting final procedures for and providing eligible providers of advanced communications services with additional guidance regarding, the application filing and reimbursement process for the Reimbursement Program. The Bureau also finalized the information fields on the new FCC Form 5640, which participants must submit to request funding allocations and disbursements from the Reimbursement Program, as well as the procedures governing the submission of and any modifications made to that form. 54 The filing window to accept applications to participate in the Reimbursement Program opened on October 29, 2021 and closed on January 28, 2022. The Commission received 181 applications. The deadline by which the Bureau must either approve or deny the applications is June 15, 2022. Emergency Broadband Connectivity Fund-Emergency Broadband Benefit Program and Affordable Connectivity Fund-Affordable Connectivity Program On December 27, 2020, the Consolidated Appropriations Act, 2021 (Consolidated Appropriations Act), was signed into law. In the Consolidated Appropriations Act, Congress appropriated $3.2 billion for the Emergency Broadband Connectivity Fund for fiscal year 2021, to remain available until expended or six months after the end of the public health emergency. The Consolidated Appropriations Act directed the Commission to use that funding to establish the Emergency Broadband Benefit (EBB) Program, under which eligible low-income households may receive a discount off the cost of broadband service and certain connected devices during an emergency period relating to the COVID-19 pandemic, and participating providers can receive a reimbursement for such discounts. Enrollments in the EBB Program ceased on December 30, 2021 and the successor program, the Affordable Connectivity Program (ACP) began on December 31, 2021. On November 15, 2021, the Infrastructure Investment and Jobs Act , 2021 (Infrastructure Act), was signed into law. In the Infrastructure Act, Congress appropriated $14.2 billion for the Affordable Connectivity Fund, to remain available until expended. The Infrastructure Act directed the Commission to use that funding to establish the ACP, under which eligible low-income households may receive a discount off of the cost of broadband service and certain connected devices, and participating providers can receive a reimbursement for passing such discounts on to eligible households. To participate in the ACP, a provider must elect to participate, and either be designated as an eligible telecommunications carrier or be approved by the Commission. Participating providers make available to eligible households a monthly discount off the cost of an Internet service offering and associated equipment, up to $30.00 per month. On Tribal lands, the monthly discount may be up to $75.00 per month. Participating providers receive reimbursement from the ACP for the discounts provided. Participating providers that also supply an eligible household with a laptop, desktop computer, or tablet (connected device) may receive a single reimbursement of up to $100.00 for the connected device, if the charge to and payment from the eligible household for that device is more than $10.00 but less than $50.00. A participating provider may receive reimbursement for only one supported device per eligible household. Providers must submit certain certifications to the Commission to receive reimbursement from the ACP, and the Commission is required to adopt audit requirements to ensure provider compliance and prevent waste, fraud, and abuse. In implementing the ACP, the Infrastructure Act permits the Commission to apply rules contained in part 54 of the Commission’s rules, including those governing the Lifeline program. The Infrastructure Act further permits the Commission to avail itself of the Universal Service Administrative Company (USAC)’s, the administrator of the universal service support programs, services to administer the ACP. Specifically, the Infrastructure Act required the Commission to adopt rules implementing the ACP by January 14, 2022. 55 Consistent with the Infrastructure Act, the Commission adopted a Report and Order on January 14, 2022 adopting the rules and policies creating and governing the ACP. The Commission has established processes and systems to administer the ACP, including approval and election processes for broadband providers to participate, consumer application and enrollment processes, and provider reimbursement processes. Consumers can apply for the ACP through the National Verifier at acpbenefit.org or through service providers’ alternative verification processes. As of February 28, 2022 over 10.3 million households were participating in the in the ACP. The Commission will release enrollment data to inform its evolving awareness efforts, increase transparency in the ACP, and empower its outreach partners to better target awareness and enrollment efforts. Emergency Connectivity Fund To help schools and libraries provide connected devices, such as a laptop, tablet, or similar end- user devices, and broadband connectivity to students, school staff, and library patrons during the coronavirus disease (COVID-19) emergency period, Congress established a $7.171 billion Emergency Connectivity Fund (the Fund) to remain available until September 30, 2030, as part of the American Rescue Plan Act of 2021 (American Rescue Plan Act) signed into law on March 11, 2021. Per congressional directive, the Commission was required to promulgate rules providing for the distribution of funding from the Emergency Connectivity Fund to eligible schools and libraries for the purchase of eligible equipment and/or advanced telecommunications and information services for use by students, school staff, and library patrons at locations other than a school or library within 60 days from the date of enactment. Consistent with this congressional directive, on March 16, 2021, the Wireline Competition Bureau sought comment on the provision of support from the Emergency Connectivity Fund consistent with section 7402 of the American Rescue Plan Act. Subsequently, on May 10, 2021, the Commission established the Emergency Connectivity Fund Program and promulgated rules for the distribution of funding from the Fund. The initial Emergency Connectivity Fund Program application filing window opened on June 29, 2021 and closed on August 13, 2021. During the initial application filing window, eligible schools, libraries, and consortia of eligible schools and libraries, submitted requests for funding to purchase eligible equipment and services between July 1, 2021 and June 30, 2022 for use by students, school staff and library patrons who would otherwise lack sufficient access to connected devices and/or broadband connectivity to engage in remote learning during the COVID-19 emergency period. On August 25, 2021, the Commission announced that it received requests for $5.137 billion to fund 9.1 million connected devices and 5.4 million broadband connections during the first application filing window. The first application filing window attracted applications from all 50 states, American Samoa, Guam, Northern Mariana Islands, Puerto Rico, U.S. Virgin Islands and the District of Columbia – including schools and libraries in both rural and urban communities seeking funding for eligible equipment and services received or delivered between July 1, 2021 and June 30, 2022. In view of outstanding demand and the recent spike in coronavirus cases, the FCC opened a second application filing window for schools and libraries to request funding for connected devices and broadband connections for off-campus to meet the unmet needs of students, 56 school staff, and library patrons during the current school year (i.e., July 1, 2021 through June 30, 2022). The second Emergency Connectivity Fund Program application filing window opened on September 28 and closed on October 13, 2021. On October 25, 2021, the Commission announced that it received requests for nearly $1.3 billion during the second application filing window to fund nearly 2.4 million connected devices and over 564,000 broadband connections. Over $6.4 billion was requested by eligible schools, libraries, and consortia of eligible schools and libraries during the first two Emergency Connectivity Fund application filing windows. As of February 23, 2022, the Commission has issued ten waves of funding commitments totaling over $4.6 billion since the program was launched on June 29, 2021. Total commitments are supporting over 11,000 schools, 900 libraries, and 130 consortia for over 10.0 million connected devices and nearly 5 million broadband connections for students, school staff, and library patrons located in all 50 states, the District of Columbia, Guam, Northern Mariana Islands, Puerto Rico and the U.S. Virgin Islands. Summary Activities for New Budget Authorities Received from FY 2020 through FY 2022 (Dollars in Thousands) Amount Amount Obligated for Budget Amount Obligated for Program Authority Disbursed Program Use Administration Use COVID-19 Telehealth Program - Round 1 $200,000 $200,000 $0 $186,607 COVID-19 Telehealth Program - Round 2 $249,900 $243,274 $6,600 $16,115 Secure & Trusted Communications Network $1,900,000 $0 $7,768 $5,225 Reimbursement Program Emergency Broadband Connectivity Fund - $3,200,000 $2,791,353 $63,940 $2,234,744 Emergency Broadband Benefit Program Affordable Connectivity Fund - $14,200,000 $0 $36,853 $0 Affordable Connectivity Program Broadband DATA Act $65,000 $0 $0 $0 Emergency Connectivity Fund $7,171,000 $4,608,209 $108,110 $330,615 TOTAL - FY '20 - '22 New Budget Authorities $26,985,900 $7,842,836 $223,272 $2,773,307 Note: Amounts dedicated to OIG for COVID-19 Telehealth Program - Round 2 and Emergency Connectivity Fund are not included in the amounts shown above. The amounts shown are as of February 28, 2022. 57 Summary of Commission’s All Other Budget Authorities (Dollars in Thousands) Fiscal Years TOTAL New Budget Authorities Already Provided:1 2020 2021 2022 COVID-19 Telehealth Program2 $200,000 $249,950 $449,950 Secure & Trusted Communications Network Reimbursement Program3 $1,900,000 $1,900,000 Emergency Broadband Connectivity Fund - Emergency Broadband $3,200,000 $3,200,000 Benefit Program4 Broadband DATA Act5 $65,000 $65,000 Emergency Connectivity Fund6 $7,172,000 $7,172,000 Affordable Connectivity Fund7 $14,200,000 $14,200,000 TOTAL - New Direct Appropriations $200,000 $12,586,950 $14,200,000 $26,986,950 Fiscal Years TOTAL 2012 2018 2019 TV Broadcaster Relocation Fund (TVBRF):8 $1,750,000 $600,000 $400,000 $2,750,000 Fiscal Years NET Permanent Indefinite Appropriation & Unused 2021 2022 2023 CHANGE Carryover Funds: Credit Program Account9 $0 $29 $0 -$29 Universal Service Fund Oversight - OIG (unused $38 $4,603 $0 -$4,603 carryover funds)10 Total $38 $4,632 $0 -$4,632 1Refer to page 50 for a summary and status of these new budget authorities already provided. 2FY 2020 funds were provided by the Coronavirus Aid, Relief, and Economic Security (CARES) Act (P.L. 116-136) and FY 2021 funds were provided by the Consolidated Appropriations Act, 2021 (P.L. 116-260). Included in the FY 2021 funding was an allocation of $50 thousand to OIG for oversight. 3Funds were provided by the Consolidated Appropriations Act, 2021 (P.L. 116-260). 4Funds were provided by the Consolidated Appropriations Act, 2021 (P.L. 116-260) and not more than $64 million (2%) of the funding was made available for administrative use. 5Funds were provided by the Consolidated Appropriations Act, 2021 (P.L. 116-260) and an additional $33 million was also made available under the Commission's S&E - Regulatory Fees (Offsetting Collections) for a total of $98 million. 6Funds were provided by the American Rescue Plan Act of 2021 (P.L. 117-2) and not more than $143.42 million (2%) of the funding was made available for administrative use and $1 million to OIG for oversight. 7Funds were provided by the Infrastructure Investment and Jobs Act, (P.L. 117-58). 8The Middle Class Tax Relief and Job Creation Act of 2012 (2012 Act) mandated that the Commission reimburse reasonable channel relocation costs incurred by those qualified TV Broadcasters that will be affected by spectrum relocation. The 2012 Act also gave the Commission the authority to use $1.75 billion from Incentive Auction revenues to reimburse TV Broadcasters for relocation costs. Additional authority totaling $1 billion was provided to the Commission for this and for other purposes by the Consolidated Appropriations Act, 2018 (P.L. 115-141). The TVBRF is capped at $2.75 billion. 9A permanent indefinite appropriation for credit reform that becomes available pursuant to a standing provision of law without further action by Congress. FCC is working on closing out this fund and requested no funding for FY 2022 and estimates no funds for FY 2023. 10 Repressents unused carryover fund from prior fiscal years. Any remaining unused funds from FY 2022 will be carried over to FY 2023. 58 ECONOMY ACT REIMBURSABLE AGREEMENTS The Economy Act provides authority for Federal agencies to order goods and services from other Federal agencies and be reimbursed for costs of those goods and services. An interagency agreement is an arrangement in which one agency (Servicing Agency) provides goods or services to another agency (Requesting Agency) and receives reimbursement of costs incurred. Agencies can use interagency agreements to conduct a wide variety of operations. Interagency agreements can be routine in nature, involve the acquisition of goods or services necessary to maintain agency operations, or support a specific program. As the Servicing Agency, the Commission requested $4 million in Economy Act Reimbursable Agreements with other Federal agencies in FY 2022. The Commission estimates that in FY 2023, the FCC’s interagency reimbursable agreements will remain consistent at approximately $4 million. 59 This page is intentionally left blank 60 FEE COLLECTIONS 61 This page is intentionally left blank 62 Regulatory Fees Pursuant to 47 U.S.C. § 159, the Commission annually collects regulatory fees and retains them for Commission use to offset certain costs incurred by the Commission to carry out its functions. These regulatory fees apply to the current holders of licenses with the FCC as of a specific date and to other entities (e.g., cable television systems) which benefit from Commission regulatory activities that are not directly associated with the FCC’s application 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. Under the provisions of 47 U.S.C. § 159, the Commission has the authority to review its regulatory fees and to adjust the fees to reflect changes in its appropriation from year to year. The FCC may also add, delete, or reclassify services under certain circumstances. Additionally, pursuant to 47 U.S.C. § 159a, the Commission may charge up to a 25% late payment penalty and dismiss applications or revoke licenses for non-payment of the fees; the Commission may also waive, reduce, or defer payment of a fee for good cause. The Commission originally implemented the Regulatory Fee Collection Program by rulemaking on July 18, 1994. The most recent regulatory fee order was released by the Commission on August 26, 2021. Availability of Regulatory Fees The RAY BAUM’S Act of 2018 (2018 Act) requires the Commission to transfer all excess collections to the General Fund of the U.S. Treasury for the sole purpose of deficit reduction. On October 1, 2021, the Commission transferred over $3.7 million in excess collections from FY 2021 funds to the General Fund of the U.S. Treasury to be used for deficit reduction. The Commission receives an annual Salaries and Expenses appropriation. On March 1, 2013, the Office of Management and Budget (OMB) issued a report to Congress on sequestration for FY 2013. For the FCC, this translated into a $17 million reduction in new budgetary authority. The sequestered amount is currently maintained in the Commission’s no-year account, which indicates that the unobligated balances brought forward exclude $17 million in unavailable balances of funds temporarily sequestered in FY 2013. The FY 2023 request level for regulatory fees is $390,192,000, which is a net increase of $16,192,000 or 4.3 percent from the FY 2022 annualized level of $374,000,000. These regulatory fee levels will support Commission-wide goals that will allow the Commission to serve the American public in an efficient, effective, and responsive manner. The distribution of budget authority from offsetting collections from regulatory fees is illustrated in the following graph. 63 Historical Distribution of Appropriated Budget Authority – Regulatory Fees The following graph depicts the historical distribution of appropriated budget authority since FY 2012. Dollars in Millions $450 $384 $390 $400 $374 $374 $357 $340 $340 $340 $340 $44 $339 $339 $350 $17 $322 $17 $300 $250 $200 $323 $340 $340 $150 $100 $50 $0 2012 2013 2014 2015 2016 2017 2018 2019 2020 2021 2022 2023 Regulatory Fees (Collection Authority) Sequestered Amount HQs Move Request/Estimate For FYs 2016 and 2017, $44 million and $17 million, respectively, represent amounts provided for the necessary expenses associated with moving the FCC headquarters to a new facility to significantly reduce space consumption. In FY 2013, FCC's appropriated budget authority was reduced by $17 million due to the FY 2013 sequestration order implemented on March 1, 2013 as required by the Budget Control Act of 2011. The total amount shown for FY 2013 in the above graph includes the $17 million sequestered amount. The Commission’s other budget authorities are summarized on page 50. 64 Historical Appropriated Budget Authority – Spectrum Auctions Program The following graph depicts the historical appropriated budget authority for the spectrum auctions program since FY 2004. Dollars in Millions $140 $134 $132 $133 $134 $117 $117 $130 $120 $7 $3 $111 $100 $106 $99 $99 $80 $85 $60 $110 $114 $40 $20 $0 2004 to 2013 2014 2015 2016 2017 2018 2019 2020 2021 2022 2023 2012 Direct Authority (Appropriation) HQs Move (Appropriated) HQs Move (Non-Appropriated) FY 2022 represents the annualized CR amount. FY 2023 represents the requested amount. The increase in funding from FY 2019 is to implement the requirements of the RAY BAUM's Act. For FY 2016, $7 million represents an amount provided by appropriation for the necessary expenses associated with moving the FCC headquarters to a new facility to significantly reduce space consumption. For FY 2017, $3 million represents an amount the Commission reserved to ensure adequate funds are available based on GSA's initial estimates. Application Processing Fees Pursuant to 47 U.S.C. § 158, since FY 1987, the Commission has collected and deposited application processing fees, often referred to as Section 8 fees, into the General Fund of the U.S. Treasury. These fees are intended to recover a substantial portion of the costs of the Commission’s application 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 commercial 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). The most recent Order increasing application fees to reflect changes in the CPI index was adopted by the Commission on August 12, 2020 and released on August 26, 2020. This adjustment complies with the statutory formula set forth in Section 8(b). Application Processing Fee Collections (Section 8) and Regulatory Fee collections are summarized in the following graph. 65 Fee Collections Fiscal Years 2012 - 2023 $450 $416 $407 $402 $400 $400 $374 $380 $370 $371 $365 $44 $362 $364 $17 $350 $350 $300 $250 $374 $374 $390 $200 $349 $345 $347 $340 $340 $340 $322 $339 $339 $150 $100 $50 $25 $24 $25 $25 $23 $23 $28 $23 $25 $28 $26 $26 $0 2012 2013 2014 2015 2016 2017 2018 2019 2020 2021 2022 2023 Section 8 Actual Est. Section 8 Section 9 Actual Est. Section 9 HQs Move For FYs 2016 and 2017, $44 million and $17 million, respectively, represent amounts provided for the necessary expenses associated with moving the FCC headquarters to a new facility to significantly reduce space consumption. The Commission’s other budget authorities are summarized on page 50. The RAY BAUM’S Act of 2018 substantially amended Section 8 of the Communications Act (47 U.S.C. § 158) and provided an effective date of October 1, 2018 for those changes. Congress provided that application fees in effect on the day before the effective date of the RAY BAUM’S Act shall remain in effect until such time as the Commission adjusts or amends such fees. Moving forward after October 1, 2018, the Commission's next amendment of the schedule of application fees will be based on the updated requirements in Section 8 of the Communications Act as amended by the RAY BAUM'S Act. On December 29, 2020 the Commission released an order adjusting and amending application fees based on the requirements of the RAY BAUM’s Act. 66 PERFORMANCE PLAN 67 This page is intentionally left blank 68 PERFORMANCE PLAN Mission As specified in section one of the Communications Act of 1934, as amended, the Federal Communications Commission’s (FCC or Commission) 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.” 4 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.”5 About the Federal Communications Commission The FCC is an independent regulatory agency of the United States Government. The FCC is charged with regulating interstate and international communications by radio, television, wire, satellite, and cable. The Commission also regulates telecommunications, advanced communication services, and video programming to promote accessibility for people with disabilities, as set forth in various sections of the Communications Act. The FCC is directed by five Commissioners appointed by the President and confirmed by the Senate for five-year terms, except when filling the unexpired term of a previous Commissioner. Only three Commissioners can be from the same political party at any given time. The President designates one of the Commissioners to serve as the Chair. The FCC is organized by function. There are seven Bureaus and ten Offices. The Bureaus and the Office of Engineering and Technology process applications for licenses to operate facilities and provide communications services; analyze complaints from consumers and other licensees; conduct investigations; develop and implement regulatory programs; inform and educate consumers and conduct outreach, and organize and participate in hearings and workshops. Generally, the Offices provide specialized support services. The Bureaus and Offices are: • The Consumer & Governmental Affairs Bureau develops and implements consumer policies, including disability access and policies affecting Tribal nations and state and local governments. The Bureau also serves as the public face of the Commission through outreach and education and responds to consumer inquiries and informal complaints. The Bureau maintains collaborative partnerships with consumer-facing organizations and state, local, and Tribal governments in such areas as implementation of critical initiatives, implementation of new technologies, and emergency preparedness. In addition, the Bureau’s Disability Rights Office provides expert policy and compliance advice on accessibility with respect to various forms of communications for persons with disabilities. The Bureau also ensures public facing access to the Commission for persons with disabilities via a team of American Sign Language interpreters and accessible formats specialists. • The Enforcement Bureau enforces the Communications Act and the FCC’s rules. It acts to protect consumers, ensure efficient use of spectrum, further public safety, promote competition, resolve disputes, and protect the integrity of FCC programs and activities from fraud, waste, and abuse. 4 47 U.S.C. § 151. 5 Id. 69 • The International Bureau administers the FCC’s international telecommunications and satellite programs and policies, including licensing and regulatory functions. The Bureau promotes pro- competitive policies abroad, coordinates the FCC’s global spectrum activities, and advocates for U.S. interests in international communications and competition. The Bureau works to promote high- quality, reliable, interconnected, and interoperable communications infrastructure on a global scale. • The Media Bureau recommends, develops, and administers the policy and licensing programs relating to electronic media, including broadcast, cable, and satellite television in the United States and its territories. • The Public Safety and Homeland Security Bureau develops and implements policies and programs to strengthen public safety communications and interoperability, homeland security, national security, emergency management and preparedness, disaster management, and network reliability and resiliency. These efforts include rulemaking proceedings that promote more efficient use of public safety spectrum, improve public alerting mechanisms, enhance the nation’s 911 emergency calling system, and establish frameworks for communications prioritization during crises. The Bureau also maintains 24/7 operations capability and promotes Commission preparedness to assist the public, first responders, the communications industry, and all levels of government in responding to emergencies and major disasters where reliable public safety communications are essential. Finally, the Bureau coordinates the Commission’s national security mission and consults with the Defense Commissioner pursuant to 47 CFR § 0.181 of the Commission’s rules. • The Wireless Telecommunications Bureau is responsible for wireless telecommunications programs and policies in the United States and its territories, including licensing and regulatory functions. Wireless communications services include cellular, paging, personal communications, mobile broadband, and other radio services used by businesses and private citizens. • The Wireline Competition Bureau develops, recommends, and implements policies and programs for wireline telecommunications, fixed (as opposed to mobile) broadband and telephone lines, striving to promote the widespread development and availability of these services. The Bureau has primary responsibility for the Universal Service Fund which helps connect all Americans to communications networks. • The Office of Administrative Law Judges is composed of one judge (and associated staff) who presides over hearings and issues decisions on matters referred by the FCC. • The Office of Communications Business Opportunities promotes diversity, competition, and innovation in the provision and ownership of telecommunications and information services by supporting opportunities for small businesses, as well as women-owned and minority-owned communications businesses. • The Office of Economics and Analytics provides objective economic analysis to support Commission policy making and implements agency-wide data practices and policies, including implementing significant economically-relevant data collections. The Office also manages the FCC’s auctions in support of and in coordination with the FCC’s Bureaus and Offices. 70 • The Office of Engineering and Technology advises the FCC on technical and engineering matters. This Office develops and administers FCC decisions regarding spectrum allocations and unlicensed devices and coordinates use of the spectrum with the Executive Branch. The Office also oversees the Commission’s equipment authorization program to ensure compliance with technical rules and its experimental licensing program to promote new and innovative technologies and services. • The Office of the General Counsel serves as the FCC’s chief legal advisor. • The Office of the Inspector General conducts and supervises audits and investigations relating to FCC programs and operations. • The Office of Legislative Affairs serves as the liaison between the FCC and Congress, as well as other Federal agencies. • The Office of the Managing Director administers and manages the FCC. • The Office of Media Relations informs the media of FCC decisions and serves as the FCC’s main point of contact with the media. • The Office of Workplace Diversity develops, coordinates, evaluates, and recommends to the Commission policies, programs, and practices that foster a diverse workforce, and promotes and ensures equal employment opportunity (EEO) for all employees and applicants without regard to race, color, religion, sex (including pregnancy and gender identity), sexual orientation, national origin, age, disability (mental, intellectual, or physical), marital status, parental status, political affiliation, genetic information (including medical history), or any other basis protected by law. Strategic Goals 1. Pursue a “100 Percent” Broadband Policy: The COVID-19 pandemic put a spotlight on the serious broadband gaps that exist across the country, including in rural infrastructure, affordability for low-income Americans, and at-home access for students. This continuing digital divide means millions of Americans do not have meaningful access to essential infrastructure for 21st century success. In response to the COVID-19 pandemic and the challenges that many Americans face, the agency should advance access to communications that are essential for Americans to work remotely, learn remotely, receive healthcare, and engage in commerce. To this end, the FCC will pursue policies to help bring affordable, reliable, high-speed broadband to 100 percent of the country. 2. Promote Diversity, Equity, Inclusion and Accessibility. The FCC will seek to gain a deeper understanding of how the agency’s rules, policies, and programs may promote or inhibit advances in diversity, equity, inclusion, and accessibility. The FCC will pursue focused action and investments to eliminate historical, systemic, and structural barriers that perpetuate disadvantaged or underserved individuals and communities. In so doing, the FCC will work to ensure equitable and inclusive access and facilitate the ability of underserved individuals and communities to leverage and benefit from the wide range of opportunities made possible by digital technologies, media, communication services, and next-generation networks. In addition, the FCC recognizes that it is more effective when its workforce reflects the experience, 71 judgement, and input of individuals from many different backgrounds. Advancing equity is core to the agency’s management and policymaking processes and will benefit all Americans. 3. Empower Consumers: Consumers who are well informed about their rights and what they’re buying are more confident and more likely to participate in the digital economy. The FCC will tackle new challenges to consumer rights and opportunities stemming from the COVID-19 pandemic, plans for post-COVID recovery, and digital transitions. The FCC also will pursue effective enforcement and new approaches to protect consumers from unwanted and intrusive communications, phone-based scams, telephone privacy issues, and other trends that affect consumers. The FCC will work to enhance competition and pursue policies that protect the competitive process to improve consumer choice and access to information. The FCC will work to foster a regulatory landscape that fosters media competition, diversity, and localism. The FCC also must work to ensure the availability of quality, functionally equivalent communications services for persons with disabilities. 4. Enhance Public Safety and National Security: The FCC will pursue policies to promote the availability of secure, reliable, interoperable, redundant, and rapidly restorable critical communications infrastructure and services. The FCC also will promote the public’s access to reliable 911 and emergency alerting and support public safety’s access to first responder communications. The FCC will work in coordination with Federal and state, local, Tribal, and territorial government partners, and industry stakeholders to support disaster response and to ensure the nation’s defense and homeland security. 5. Advance America’s Global Competitiveness: The FCC will take action to promote investment and advance the development and deployment of new communications technologies, such as 5G, that will allow the nation to remain a global leader in an increasingly competitive, international marketplace. The FCC will identify incentives and policies to close security gaps and accelerate trustworthy innovation. The FCC will work with its federal partners to advocate for US interests abroad. 6. Foster Operational Excellence: The FCC should be a model for excellence in government by effectively managing its resources, maintaining a commitment to transparent and responsive processes that encourage public involvement and decision-making that best serves the public interest, and encouraging a culture of collaboration both internally and across government agencies. What the FCC Commits to Accomplish in FY 2023 To implement its strategic goals, the FCC has identified several underlying strategic objectives. Each strategic objective has associated performance goals and targets. Strategic Goal 1: Pursue a “100 Percent” Broadband Policy Strategic Objective 1.1: Pursue policies to help bring affordable, reliable, high-speed broadband to 100 percent of the population, including rural areas, and Tribal lands as well as for low-income Americans and students. 72 Performance Goals and Targets: 1.1.1 Evaluate and report on the availability of broadband services throughout the country. • Consistent with the RAY BAUM’S Act, evaluate and prepare a biennial report on the state of the communications marketplaces based on various data collected by the Commission, including FCC Form 477 and the Broadband Data Collection, which is being implemented pursuant to the Broadband DATA Act. • Consistent with Section 706 of the Telecommunications Act of 1996, evaluate and prepare an annual report based on various data collected by the Commission to assess whether advanced telecommunications capability is being deployed to all Americans in a reasonable and timely fashion. • Implement the Broadband DATA Act by collecting and mapping broadband coverage data submitted by providers and incorporating stakeholder feedback through challenge and other processes. • Ensure data collected and used to monitor voice and broadband marketplaces through the Broadband Data Collection, FCC Form 477, the Measuring Broadband America program, and other avenues are accurate, reliable, and useful to the Commission, Congress, the industry, and the public by analyzing data after each filing to identify potential issues and working with filers as appropriate to clarify or resolve such issues. 1.1.2 Support and facilitate the development, deployment, and adoption of broadband services across multiple platforms. • Promote affordable access to reliable broadband networks in American’s rural, insular, and high-cost areas, and to people of color and others who have been historically underserved, persons who live in rural areas, persons with disabilities, and persons otherwise affected by persistent poverty, discrimination, or inequality. • Improve access to healthcare in American’s rural, insular, and high-cost areas, and to people of color and others who have been historically underserved, persons who live in rural areas, persons with disabilities, and persons otherwise affected by persistent poverty, discrimination, or inequality through the COVID-19 Telehealth Program and the Rural Healthcare Program. • Support and study the impact of provisioning telehealth and connected care services through the Connected Care Pilot Program. • Ensure low-income Americans have access to affordable broadband services through the Affordable Connectivity and Lifeline programs. • Ensure that students as well as school staff and library patrons with unmet needs have access to connected devices and broadband services for off campus use through implementation of the Emergency Connectivity Fund. • Connect schools and libraries by providing affordable access to broadband services through the E-Rate program. • Carry out rulemakings, spectrum reallocations, and license application reviews as needed to ensure that the growing demand for broadband services, including satellite-delivered broadband, is met. • Provide support in multi-lateral and bi-lateral settings for deployment of broadband satellite systems, including through support to international regulators to develop licensing processes that foster deployment. 73 • Continue streamlining and updating rules for licensing submarine cables to facilitate timely deployment of undersea broadband facilities. • Ensure competitive access to critical infrastructure to facilitate broadband deployment. 1.1.3 Work in partnership with state, local, Tribal, and other governments, and consumer and industry groups, to ensure that broadband networks are deployed to all American consumers, including those in Tribal, rural, insular, and high-cost areas. • Implement rules and procedures designed to expand broadband service to rural and Tribal areas through the use of licensed spectrum and unlicensed operations, including in the 2.5 GHz, 3.5 GHz, 5.9 GHz, and 6 GHz bands. • Explore ways to increase the availability of broadband services in rural and Tribal communities and spectrum access by small carriers. • Ensure that state, local, and Tribal governments, and consumer and industry groups, are aware of and prepared to participate in the Broadband Data Collection program. • Carry out cross border coordination activities to eliminate any broadband coverage gap due to cross border interference and ensure that the spectrum is used in an efficient manner along the United States’ border areas, consistent with the Unites States’ bilateral and multilateral obligations. • Continue to work in partnership with state, local and Tribal governments to implement and administer the Rural Digital Opportunity Fund, Connect America Fund Phase II, Rate of Return carrier reform and all other active high-cost initiatives to further our efforts to ensure that broadband networks are deployed in American’s rural, insular, and high-cost areas, and to people of color and others who have been historically underserved, persons who live in rural areas, persons with disabilities, and persons otherwise affected by persistent poverty, discrimination, or inequality. Strategic Objective 1.2: Provide opportunities for innovation in broadband services and technologies by modernizing Universal Service Fund (USF) programs to better facilitate affordable broadband deployment and meaningful access to essential services for all Americans. Performance Goals and Targets: 1.2.1 Efficiently support broadband deployment where it is most needed by implementing USF mechanisms that are grounded in sound policy. • Make significant progress to address the results of the Rural Digital Opportunity Fund auction. • Make significant progress towards establishing policies to support the preservation and expansion of mobile wireless voice and broadband services. • Continue to implement the Bringing Puerto Rico Together and Connect U.S. Virgin Islands (USVI) Fund programs. 1.2.2 Continue reform and modernization of universal service programs to reflect technological developments and changes in the market. • Make progress to monitor the reform of high cost support to unserved areas in Alaska. 74 • Continue to evaluate service requirements of high-cost support recipients to ensure funding for reasonable comparable services in rural, insular, and high-cost areas. • Foster certainty among providers that receive high-cost support by administering a process to update deployment obligations to reflect real-world conditions. • Implement measures to promote greater program efficiencies, certainty, and predictability for rate-of-return carriers. • Support the Commission’s broadband deployment efforts by disseminating information about the auctions process through workshops to small businesses, including those owned by people of color, women, veterans, LGBTQ+, and persons with disabilities. Strategic Objective 1.3: Advance access to communications that are essential for Americans to work remotely, learn remotely, receive healthcare remotely, and engage in commerce and precision agriculture. Performance Goals and Targets: 1.3.1 Ensure a competitive and vibrant unlicensed ecosystem that fosters competition and innovation and that supports home networks, business private networks, public networks, and Wi-Fi enabled hotspots. • Develop and implement flexible spectrum authorization policies that are designed to help avoid excessive concentration of spectrum license holdings in the United States, such as shared uses, including unlicensed, license-lite and license by rule operations which promote competition, innovation, investment, entrepreneurship, and consumer benefits. • Advocate adoption of spectrum authorization and other flexible, technology neutral, and market-oriented spectrum policies internationally. • Take enforcement action in appropriate cases against violations of spectrum-related rules, such as interference and unauthorized uses of frequencies. 1.3.2 Expedite processes to allow new services and devices to come to market. • Ensure effective policies are in place to promote and protect competition and remove barriers to investment. • Provide opportunities for innovative and experimental uses of spectrum. • Conduct effective and timely spectrum licensing and equipment authorization activities. 1.3.3 Foster an environment that will encourage investment in broadband networks and services by existing providers while encouraging participation in broadband markets by new and non-traditional participants. • Coordinate with stakeholders to identify impediments towards broadband investment or deployment. • Continue working on policies to reduce or eliminate rules that may be discouraging investment in newer, non-time division multiplexing (TDM) based technologies. Strategic Objective 1.4: Communicate information about FCC programs and policies to help bring affordable, reliable, high-speed broadband to 100% of the country. 75 Performance Goals and Targets: 1.4.1 Launch a national consumer awareness and education campaign focusing on broadband adoption with specific emphasis on people of color and others who have been historically underserved, persons who live in rural areas, persons with disabilities, and persons otherwise affected by persistent poverty, discrimination, or inequality, and also at-home access for students. • Create a series of new, innovative, and accessible guides, animated videos, and publications, including translation for low English proficiency populations. • Develop an outreach program of events and webinars, and email messaging campaigns to build awareness and knowledge about the benefits of broadband in rural and other underserved communities, and to people of color and others who have been historically underserved, persons who live in rural areas, persons with disabilities, and persons otherwise affected by persistent poverty, discrimination, or inequality. 1.4.2 Launch locally-focused and targeted programs of consumer and governmental outreach activities and events based on FCC’s efforts to extend service through the universal service fund and other initiatives to promote new deployment. • Coordinate the timing of geographically focused micro-outreach campaigns in concert with new carrier deployment. • Develop an outreach program of events, local partnership engagements, email campaigns, and webinars to build awareness and knowledge about the benefits of broadband in areas where new carrier deployment has or soon will occur. Strategic Goal 2: Promote Diversity, Equity, Inclusion and Accessibility Strategic Objective 2.1: Pursue focused action, policies, and investments to eliminate historical, systemic, and structural barriers that perpetuate disadvantaged or underserved individuals and communities. Performance Goals and Targets: 2.1.1 Perform outreach and conduct programs related to communications issues that will promote education and awareness about historical, systemic, and structural barriers that perpetuate disadvantaged or underserved individuals and communities. • Conduct quarterly dialogue sessions with representatives of national, regional, and local consumer advocacy organizations as well as representatives from state, local, and Tribal governments to socialize new and existing Commission policies and develop future areas for collaboration on digital equity and inclusion. Such sessions can be in the form of webinars that focus on separate Commission initiatives and policies. • Host a workshop in conjunction with the Communications Equity and Diversity Council to disseminate information about the digital divide and related issues, with a focus on small businesses, including those owned by people of color, women, veterans, LGBTQ+, and persons with disabilities. • Create interactive programs in conjunction with the Communications Equity and Diversity Council to educate underserved communities about the benefits of broadband. 76 • Leverage language translation capacity to target consumer education materials, campaigns, and alerts for multi-lingual audiences and persons with disabilities. 2.1.2 Identify historical, systemic, and structural barriers experienced by disadvantaged, marginalized or underserved individuals and communities, and take measures to ensure equitable and inclusive access to digital technologies, media, communications services, and next generation networks. • Consistent with the Infrastructure Investment and Jobs Act, adopt rules to facilitate equal access to broadband internet access service, including measures that prevent digital discrimination of access based on income level, race, ethnicity, color, religion, or national origin. • Consistent with the Infrastructure Investment and Jobs Act, identify necessary steps for the Commission to take to eliminate digital discrimination of access to broadband internet access service. • Work in partnership with state, local, Tribal, and other governments, consumer and industry groups and the Communications Equity and Diversity Council and the Disability Advisory Committee to identify historical, systemic and cultural barriers experienced by disadvantaged, marginalized or underserviced individuals and communities. • Work in partnership with state, local, Tribal, and other governments, consumer and industry groups, and the Communications Equity and Diversity Council to explore strategies to accelerate the entry of small businesses, including those owned by women and minorities, into the media, digital news and information, and audio and video programming industries, including as owners, suppliers and employees. • Consistent with the Infrastructure Investment and Jobs Act, develop model policies and best practices that can be adopted by states and localities to ensure that broadband internet access service providers do not engage in digital discrimination. • Consistent with the Infrastructure Investment and Jobs Act, work in partnership with the Attorney General to ensure that Federal policies promote equal access to robust broadband internet access service by prohibiting deployment discrimination. Strategic Objective 2.2: Seek to gain a deeper understanding of how the agency’s rules, policies, and programs may promote or inhibit advances in diversity, equity, inclusion, and accessibility. Performance Goals and Targets: 2.2.1 Conduct outreach to the Commission’s counterparts throughout various levels of government as well as other stakeholders to better understand how the Commission can promote diversity, equity, inclusion, and accessibility through its rules, policies, and programs. • Coordinate and work with state, local and Tribal governments to leverage the knowledge and interests of the governments closest to consumers and their communities. • Establish, maintain, and leverage effective strategic partnerships with national, local, and grassroots entities to build awareness on Commission input opportunities for stakeholders prior to and during policymaking processes. • Evaluate opportunities to advance consideration of diversity, equity, inclusion, and accessibility in policymaking functions. 77 • Work with federal partners to ensure numbering policies promote accessibility for persons with disabilities. 2.2.2 Ensure that the FCC cultivates an inclusive culture that encourages collaboration, flexibility, and fairness. • Continue agency-wide efforts to be a model EEO employer ensuring equal employment opportunity to all employees and applicants for employment without regard to race, color, religion, sex (including pregnancy and gender identity), sexual orientation, national origin, age, disability, marital status, parental status, political affiliation, genetic information, or any other basis protected by law, such as retaliation, reprisal, and equal pay. • Develop a Diversity Equity Inclusion and Accessibility Strategic Plan consistent with Executive Order to identify actions to advance DEIA in the FCC's workforce and remove any potential barriers to DEIA in the FCC's workforce. • Process informal and formal EEO complaints in a timely manner and consistent with the requirements of the Equal Employment Opportunity Commission’s (EEOC) Management Directive 110. • Prepare and timely submit all annual EEO reports to the EEOC and other regulatory bodies as required. • Ensure that all employees timely complete training regarding EEO matters. • Work collaboratively with FCC -University to update, as necessary, training modules regarding Prohibited Personnel Practices and Whistleblower Disclosures. • Continue agency program of providing reasonable accommodation for employees with disabilities in accordance with applicable laws and regulations. • Process 95% of employee requests for reasonable accommodation from employees within 20 days of receipt. • Continue agency-wide anti-harassment efforts, including reports and training programs on a recurring basis. • Continue the agency’s alternative dispute resolution (ADR) program promoting the use of conflict prevention and ADR techniques and training opportunities for supervisors, managers, and employees regarding the benefits and leveraging of ADR techniques and strategies. • Respond to all requests for mediation and/or conflict resolution assistance pursuant to the FCC’s ADR Handbook. • Provide ADR training for employees and supervisor and managers on a recurring basis. Strategic Goal 3: Empower Consumers Strategic Objective 3.1: Remove impediments to consumer participation in the digital economy and tackle new challenges to consumer rights and opportunities stemming from the COVID-19 pandemic, plans for post-COVID recovery, and digital transitions. Performance Goals and Targets: 3.1.1 Pursue policies and effective enforcement to protect consumers from unwanted and intrusive communications, phone-based scams, telephone privacy issues, and other trends affecting consumers. 78 • Ensure continued voice service provider implementation of SHAKEN/STIR Caller ID authentication framework and/or robocall mitigation programs to reduce high-impact fraudulent robocalls. • Work on identifying a Caller ID authentication framework or other robocall mitigation solutions in connection with the non-IP portion of the network to reduce high-impact fraudulent robocalls. • Facilitate the development of solutions that identify the makers of robocalls, mechanisms for caller ID validation, and tools to reduce high-impact fraudulent robocalls. • Review filings in and ensure effective use of the Robocall Mitigation Database. • Develop and enforce policy measures to combat unlawful robocalling while also protecting consumer privacy and the ability to make lawful calls. • Improve safeguards around the process to allocate telephone numbers to providers of Voice over Internet Protocol service. • Continue to release unwanted call complaint data to the public for use in combatting unlawful telemarketing and robocalling. • Provide unwanted call complaint data internally to inform policy and potential enforcement of telemarketing and robocall violations. • Increase, diversify and distribute print and online consumer education materials focusing on emerging and existing scams, by identifying partners and potential partners for distribution of materials in assorted community venues (e.g., libraries, schools). • Work with other Federal agencies, as well as state and local governments, on combatting unlawful robocalls. • Investigate alleged violations of rules designed to protect consumers, including allegations concerning robocalls; take appropriate enforcement action. Promote cooperation with other countries on combatting unlawful robocalls, including through the sharing of best practices for combatting unlawful robocalls. • Enter into agreements with other countries where productive on the means and mechanisms of combatting unlawful robocalls. • Coordinate with the State Department on diplomatic means and mechanisms to combat unlawful robocalls from other countries into the United States. • Facilitate, through education and awareness activities and resources, the voluntary adoption of best practices for preventing, or mitigating the risk of unlawful robocalls to hospitals and health systems. • Reduce financial incentives to engage in robocalling by working with all carriers requesting assistance with tariff and contract revisions. • Reduce incentives to engage in phantom robocalling to toll-free numbers. • Conduct a comprehensive program of consumer education and awareness activities to reach consumers (through outreach events, train-the-trainer sessions, and establishment of strategic partnerships with community-serving entities) to identify and combat unlawful telemarketing and robocalls and to further refine the methods to report illegal telemarketing and robocalls to provide the Commission with a more complete, real-time data set about the prevalence of such calls. Evaluate the newly operational Reassigned Numbers Database and promote the database to further enhance its usefulness in protecting both callers and consumers and consider additional pro-consumer uses for the database. • Consistent with the Infrastructure Investment and Jobs Act, revise the Commission’s public complaint process to accept complaints from consumers or other members of the public that relate to digital discrimination. 79 3.1.2 Ensure the availability of quality, functionally equivalent communications services for persons with disabilities. • Develop Internet Protocol Captioned Telephone Service (IP CTS) performance goals and service quality metrics. • Decide applications and shift conditional certification for Internet-based Telecommunications Relay Service (TRS) providers to permanent status. • Investigate complaints involving violations of the Commission’s TRS rules and take appropriate enforcement action. • Undertake initiatives to expedite the consistent roll-out of real-time text technology, which supplants antiquated TTY technology for individuals with disabilities who are text-reliant. • Pursue a goal of 100 percent of mobile devices being hearing-aid compatible. • Consider proposals to improve access to functionally equivalent communications services for incarcerated individuals with disabilities. • Continue implementation of new hearing aid compatibility rules to ensure consumers can take advantage of the latest technical developments and standards for determining hearing aid and compatibility of wireless handsets. • Work to develop policies in connection with text-to-988. 3.1.3 Work to enhance competition and pursue policies that protect the competitive process to improve consumer choice and access to information. • Provide consumers with up-to-date, user-friendly online, print, and video publications concerning their rights, responsibilities, and service options so that they can make informed decisions. • Monitor trends in consumer complaints and work with interested consumer, industry, and government stakeholders to identify marketplace practices that negatively affect consumer interests and competition. 3.1.4 Implement actions to ensure that individuals with disabilities can access video programming. • Ensure that transitions to new technologies and standards continue to provide consumers with disabilities with access to video programming through closed captioning, audio description, accessible emergency information, and accessible user interfaces and video programming guides and menus. • Extend audio description requirements to enable a greater number of individuals who are blind or visually impaired to be connected, informed, and entertained by television programming. • Undertake appropriate initiatives to close accessibility gaps with regard to closed captioning and user interface settings. • Increase awareness of accessibility requirements by engaging in outreach to industry and consumers. 3.1.5 Implement actions to protect incarcerated individuals and their families to ensure access to affordable communications services. 80 • Adopt and implement caps on interstate and international inmate calling services and ancillary charges. • Continue to monitor the market for interstate inmate calling services (ICS) to ensure just, accessible, and reasonable rates and practices. • Review annual reports from ICS providers and pursue enforcement or rulemaking actions necessary to ensure that calling services for incarcerated individuals are just and reasonable. Strategic Goal 4: Enhance Public Safety and National Security Strategic Objective 4.1: Keep the public safe by promoting and pursuing policies and initiatives to ensure the availability of secure, reliable, interoperable, resilient, and rapidly restorable critical communications infrastructures and services. Performance Goals and Targets: 4.1.1 Adopt public safety spectrum policies that facilitate interoperable communications by first responders. • Analyze existing rules to determine whether the process for establishing interoperability agreements between Federal agencies and state, local, territorial, and Tribal public safety agencies on Federal and non-Federal channels can be made more efficient. • Evaluate and establish a means for renewing the license held by the First Responder Network Authority (FIRSTNET). • Encourage the enhancement and use of redundant communications, such as amateur radio, family radio, and general mobile radio services, to support public safety communications during disasters and emergencies. 4.1.2 Implement an integrated regulatory framework that promotes faster emergency response, leverages technological advancements, and promotes the rapid deployment of innovative public safety communications, such as Next Generation 911 (NG911). • Monitor benchmarks regarding direct 911 dialing and notification requirements for Multi- Line Telephone Systems (MLTS). • Monitor dispatchable location requirements for MLTS, fixed telephony, interconnected VoIP, TRS, and mobile text adopted in 2019 pursuant to Section 506 of the RAY BAUM’S Act. • Continue to implement the Congressional mandate for states and territories to report annually on 911 fee expenditures to help ensure that 911 fees collected by states and territories are used to fund 911 expenses and facilitate the advancement of NG911. • Evaluate how wireless 911 calls may be routed more rapidly to the proper 911 call center to ensure that 911 callers can be located expeditiously by public safety answering points (PSAPs) and emergency responders. • Advance 911 location services by continuing to implement the Commission’s 2015 Location Accuracy rules and monitoring whether Commercial Mobile Radio Services providers are meeting their horizontal location accuracy benchmarks to provide x/y location within 50 meters or dispatchable location for 80% of all wireless 911 calls, and vertical location 81 accuracy requirement to provide z-axis location within 3 meters or dispatchable location for wireless 911 calls in FY 2022. • Support PSAPs in updating the Master PSAP registry and providing notice to carriers when a given PSAP is text-to-911 capable. • Maintain public-facing communication mechanisms, such as the Public Safety Support Center and specific FCC email accounts that support PSAPs and emergency responders. • Implement section 902 of the Don’t Break Up the T-Band Act of 2020, which (1) directs the Commission to adopt rules that define what uses of 911 fees by states and taxing jurisdictions constitute fee diversion, and (2) establish a federal advisory committee to study 911 fee diversion and develop recommendations to Congress to end this practice. 4.1.3 Combat the malicious or illegal use of communications equipment, such as jammers or contraband cellphones in correctional facilities by developing reforms and examining other technological solutions. • Take steps to implement new rules or facilitate other solutions to reduce the use of contraband cellphones in correctional facilities. • Collaborate with Federal and state, local, Tribal, and territorial stakeholders and explore, identify, and employ technological solutions to detect, identify, and locate communications equipment used for malicious intent jeopardizing national security or safety of life and property. 4.1.4 Take measures to facilitate the rapid restoration of critical communications during disasters, emergencies, and significant events. • Identify opportunities for and participate in pre-disaster coordination and planning with Federal partners, state, local, Tribal, and territorial entities, communications industry, and utilities providers to identify and prioritize restoration of key communications infrastructure. • Pursue a framework that facilitates infrastructure and service restoration; that encourages the provision of innovative solutions to fill vital public safety communications gaps; and that promotes communications redundancy and resilience during restoration and recovery efforts. • Work quickly and effectively with government counterparts in Mexico and Canada to address interference issues affecting critical communications infrastructure and services along the U.S. border. Strategic Objective 4.2: Promote the public’s access to reliable 911 and emergency alerting and support public safety’s access to first responder communications. Performance Goals and Targets: 4.2.1 Promote the nationwide availability of reliable and effective 911, Enhanced 911 (E911), and NG911 service by developing and implementing policies that will ensure the reliability, resiliency, and security of communications networks, particularly for 911 and NG911 networks. • Further delineate, through Commission rules or policies, the technical responsibilities of participants in the NG911 ecosystem, including: originating service providers, covered 911 service providers, third party providers, Emergency Services IP networks (ESInets) and PSAPs. 82 • Promote compliance with the Commission’s rules by taking action, where appropriate, on complaints and referrals concerning the Commission’s 911, E911 and NG911 rules. • Investigate cases involving violations of the FCC’s rules related to 911, E911 and NG911 service and take appropriate enforcement action on apparent violations. • Promote technical assistance as appropriate to PSAPs and other state, local, and territorial government entities on issues related to 911, E911, and NG911 reliability. • Collaborate with state, Tribal, and territorial government entities in reviewing and exploring major 911 reliability issues in their jurisdictions. 4.2.2 Collect and analyze outage information for communications networks and 911/NG911 networks by working with stakeholders to understand and address problems. • Engage Field Offices as appropriate on complaints raising public safety interference issues within one calendar day of filing through the FCC’s Radio Frequency Service Interference Complaint Portal. • Review service provider compliance with the Commission’s outage reporting obligations and reports on individual outages and refer compliance issues for enforcement action where appropriate to ensure that consumers have continued access to communications services during an emergency. • Implement submarine cable outage reporting requirements to capture significant disruptions to submarine cable communications, including outages with national security implications. 4.2.3 Analyze and report on major outages to assess practices in order to prevent future outages. • Publish incident reports after significant outages to get timely information to the public outages and recovery efforts. • Based on an analysis of aggregated outage data, publicly share “lessons learned” regarding voluntary best practices and other measures providers can take to help prevent similar outages in the future. 4.2.4 Fulfill the FCC’s responsibilities under the National Preparedness System, including support to Emergency Support Function #2 (ESF#2) – Communications. Provide situational awareness of the status of communications services and infrastructure; coordinate with industry, the utilities sector, and other Federal, state, Tribal and territorial partners to facilitate communications protection, resilience, response, and restoration during times of crisis. • Respond to and support, when applicable, requests for information and assistance from Federal, state, local, territorial, and Tribal public safety officials, law enforcement, and national security partners within one day during significant disasters and incidents. • Activate the Disaster Information Reporting System (DIRS) as necessary to collect information from service providers on the status of communications and use that information to provide daily situational awareness reports to ESF #2 agencies. • Take pro-active steps to expedite the processing of Special Temporary Authorizations during disasters and major incidents. • Implement, assess, and promote wireless resiliency, including cooperation among wireless service providers and other stakeholders (including backhaul providers, power companies and local public safety representatives) in advance of and during disasters. 83 • Share network outage and infrastructure status information with Federal and state partners to improve situational awareness. • Coordinate with other regulators, sector-specific agencies, and ESF#14 (Cross-Sector business and Infrastructure) to identify ways to harmonize communications infrastructure restoration practices across sectors including the utilities sector. • Maintain up-to-date contacts and relationships with Tribal Nations, state, local, and territorial governments, disability groups, and consumer organizations to facilitate the dissemination of critical updates and information in the event of an emergency or disaster. 4.2.5 Strengthen access to emergency services and emergency public information sources during emergencies by supporting improved preparedness, reliability of communications networks, and disaster management practices. • Work in partnership with other Federal agencies, as well as state, local, territorial, and Tribal governments to: share information on communications network status; identify and publish best practices and lessons learned for disaster preparedness and network reliability and resiliency through Public Notices and through the FCC’s website; and coordinate efforts to respond to network degradation or failure during disasters emergencies, or significant events to promote security and the safety of life and property. • Participate in interagency continuity of operations (COOP) and continuity of government (COG) planning and exercises. • Work in partnership with PSAPs and other emergency call centers to encourage the use of text-to-911, including real-time text, for use by people with disabilities. • Complete the modernization of the DIRS to reduce burden on service providers that provide information on the status of communications during disasters. • During incidents in which ESF#2 and DIRS are activated, use information about the status of communications submitted by service providers in DIRS to provide daily public reports with certain aggregated data. • Streamline the Commission’s rules that address communications prioritization and update as necessary to reflect evolving technology and communications usage by national security and incident response officials. • Work in partnership with other Federal agencies and the North American Numbering Plan Administrator to oversee implementation of 988 as the 3-digit code for the National Suicide Prevention Lifeline. • Work in partnership with other Federal agencies and the North American Numbering Plan Administrator to allow text messaging to the 988 code as well as voice calls. 4.2.6 Work to ensure the continued availability of timely emergency alerts. Facilitate the effectiveness and reliability of the Emergency Alert System (EAS) and Wireless Emergency Alerts (WEA), including through encouraging the development of new alerting capabilities that leverage emerging technologies. • Support any Federal Emergency Management Agency-initiated tests of the EAS and WEA to ensure continued effectiveness of these alert and warning systems. • Further explore, through the rulemaking process and other available means, improvements to WEA based on advancements in technology, market developments, and evolving public safety stakeholders’ needs. 84 • Take measures to ensure the Alert Reporting System is available and effective in reducing the paperwork burden on State Emergency Communications Committees, the voluntary entities that administer the EAS at the state level, and in allowing the Commission and other authorized stakeholders to have accurate knowledge of how EAS alerts are propagated at the state, local, and national levels. • Continue to take enforcement action against pirate radio stations, which do not carry EAS alerts and may disrupt the distribution of EAS alerts. Strategic Objective 4.3: Leverage Commission expertise, situational awareness, and authorities to mitigate national and homeland security risks in coordination with interagency partners. Performance Goals and Targets: 4.3.1 Support national security initiatives, and law enforcement and first responder operational activities during steady state, major disasters, emergencies, and significant events. • Provide consultative support to the Defense Commissioner pursuant to section 0.181 of the Commission’s rules. • Coordinate with interagency partners to ensure an accurate and up-to-date list of covered communications equipment or services concerning entities determined to pose an unacceptable risk to the national security of the United States or the security and safety of United States persons. • Conduct determinations, as warranted, for designating entities as national security threats to the integrity of communications networks or the communications supply chain for purposes of ensuring the prohibition on universal service funds from being used to obtain equipment or services produced or provided by companies that pose a threat to national security. • Coordinate within the Commission and with inter-agency partners to ensure that Commission positions are represented in all dialogue pertaining to national security and public safety issues impacting or impacted by communications. • Provide Federal, state, Tribal, territorial, and local partners with critical information pertaining to the potential misuse of spectrum, communications infrastructure, and licensee status. • Conduct risk assessments and investigations of threats to and vulnerabilities of communications services and networks and support broader information sharing and analysis to raise awareness of risks to the nation’s communications infrastructure. • Actively participate with Interagency partners and state, local, Tribal, and territorial stakeholders in planning for high-profile events that could be at risk of terrorist attacks, e.g., National Special Security Events (NSSE) and Special Event Assessment Rating (SEAR). • Continue to modernize the FCC’s capabilities to conduct over-the-air evaluations of radiofrequency spectrum in coordination with public safety and national security partners. • In support of interagency partners and federal law enforcement, develop and maintain spectrum baselines, as requested, including the National Capital Region, to facilitate identification of communications that denote potential criminal or terrorist activity. • Leverage existing, and new sources of infrastructure data to identify and analyze risks to interdependent and interconnected communications, and better enable emergency management officials at the Federal and state, local, Tribal, and territorial levels to perform disaster response operations. 85 4.3.2 Identify and implement methods to mitigate risks to communications reliability, resilience, and security. • Coordinate and collaborate with appropriate government entities, the private sector to identify and develop measures to mitigate security risks to U.S. communications. • Pursuant to the Secure and Trusted Communications Networks Act of 2019, maintain and update a List of Covered Equipment and Services posing an unacceptable risk to the national security of the United States or the security and safety of the American people. • Prohibit the use of any federal subsidy administered by the FCC that provides funds to be used for the capital expenditures necessary for the provision of advanced communications service, including the Universal Service Fund, to purchase, obtain, maintain, improve, modify, or otherwise support any equipment or services on the FCC’s List of Covered Equipment and Services. • Establish a program to reimburse eligible providers of advanced communications services for reasonable expenses incurred in removing, replacing, and disposing of communications equipment or services that poses a threat to the national security of the United States and the security and safety of United States persons, and equipment and services from any company posing a national security threat to the integrity of communications networks or the communications supply chain. • Identify and implement methods that foster vendor diversity and the development and deployment of open radio access network technology. • Continue to examine communications priority services rules and programs, including the Telecommunications Service Priority and Priority Access Service rules. • In coordination with other Federal agencies, advocate for mitigating risks and securing the communications supply chain with other countries. • Review licenses for all satellite services for adherence to best practices and established guidelines for orbital debris mitigation and safe space operations. • In coordination with other Federal agencies as needed, ensure that FCC regulations and licensing practices reflect and utilize the latest advancements in debris mitigation practices and assessment methods. 4.3.3 Employ FCC authorities in coordination with interagency partners to assess and mitigate national security, law enforcement, foreign policy, or trade policy risks related to applicants’ foreign ownership, as part of the Commission’s overall public interest analysis of applications. • Coordinate with the relevant Executive Branch agencies, seeking their review and recommendations on applications and petitions with foreign ownership for any national security, law enforcement, foreign policy, or trade policy concerns. • As appropriate, use the Commission’s regulatory authorities to condition the grant of applications on the applicants’ compliance with the terms of relevant national security and law enforcement mitigation agreements. • As appropriate, use the Commission’s regulatory authorities to assess and determine whether revocation or termination of an authorization or license is appropriate in light of any national security or law enforcement concerns. • As appropriate, continue to facilitate a more streamlined and transparent review process for coordinating applications and petitions with the Executive Branch agencies. 86 • Based on the Commission’s regulatory authority, the FCC will issue the Standard Questions applicants will be required to submit to the Executive Branch agencies prior to or at the same that that they file applications or petitions with the Commission. Strategic Goal 5: Advance America’s Global Competitiveness Strategic Objective 5.1: Promote investment and advance the development and deployment of new communications technologies, such as 5G, that will allow the nation to remain a global leader in an increasingly competitive, international marketplace. Performance Goals and Targets: 5.1.1 Evaluate and report on the competitive environment for communications services. • Consistent with the RAY BAUM’S Act, evaluate and prepare a unified report on the state of the communications marketplaces based on various data collected by the Commission, including FCC Form 477 and the Broadband Data Collection, which is being implemented pursuant to the Broadband DATA Act 5.1.2 Ensure effective policies are in place to promote and protect competition and remove barriers to investment. • Develop and promulgate Commission policies designed to promote competitive choices for wireless, satellite, and wireline voice and data service providers, for domestic and international services and for multichannel video programming. • Promote compliance with rules designed to maximize competitive choices by taking enforcement action in appropriate cases. • Review, process, and resolve applications for transfer of control and assignment of licenses in a timely manner • Encourage broadcaster innovation in delivering new services. • Evaluate policies designed to help avoid excessive concentration of spectrum license holdings in the United States in order to promote competition, lower prices, and a vibrant telecommunications system. 5.1.3 Pursue spectrum policies to achieve the effective and efficient use of spectrum. • Work to make available additional mid-band and other spectrum to facilitate deployment of next-generation services. • Hold spectrum auctions as directed through statutory mandate, including to make more spectrum available for 5G and other next-generation services. • Administer the transition of secondary, non-federal radiolocation operations out of 100 megahertz of recently auctioned spectrum in the 3.45-3.55 GHz band. • Administer the transition of 280 megahertz of spectrum in the C-Band (3.7-4.2 GHz) for terrestrial 5G service while avoiding disruption of existing satellite services that use the C- Band. • Identify additional frequency bands for unlicensed operations to promote innovative uses of unlicensed technologies. 87 • Coordinate effectively with Federal agencies regarding identifying and acting upon opportunities to expand access to spectrum for wireless broadband. • Ensure that the FCC’s decision-making process includes, where appropriate and practicable, consultation with Tribal Nations regarding potential impact and concomitant new and enhanced opportunities and outcomes of spectrum allocation and license assignment policies. • Review internal proposals to improve the efficiency of spectrum use. • Promote compliance with rules designed to maximize the effective and efficient use of spectrum by taking enforcement action in appropriate cases. • Process all Spectrum Pipeline Plans submitted by Federal agencies for potential relocation of their radio operations to other bands within 120 days to encourage repurposing of Federal spectrum to commercial use. • Meet the statutory requirements of the MOBILE NOW Act by evaluating and reporting on spectrum use on a timely basis and repurposing and reallocating spectrum to support next generation mobile broadband. • Support the Commission’s spectrum use efforts by disseminating information about the assignment and use of spectrum to small businesses, including those owned by people of color, women, veterans, LGBTQ+, and persons with disabilities. Develop innovative spectrum sharing opportunities and mechanisms that may permit multiple categories of users to co-exist in close proximity, enabling more intensive use of the spectrum. • Authorize the use of more spectrally efficient technologies. 5.1.4 Allow new services and technologies to come to market by expediting processes. • Initiate action on 50% of incoming waiver requests within 6 months, and 90% within one year. • Resolve at least 8,000 applications filed by television and radio licensees during FY 2023. • Continue the review process of television stations seeking to renew their licenses for another 8-year term by requiring all television stations in at least 15 states to file renewal applications by set deadlines. • Resolve 90% of equipment authorization inquiries in less than 30 days to ensure timely authorization of innovative and compliant products in the marketplace. • Conduct semi-annual meetings with Telecommunication Certification Bodies to review test procedures and provide training on new technologies. • Act on 90% of applications for routine experimental licenses within 90 days of receipt. • Take enforcement action in appropriate cases against violations of spectrum-related rules, such as interference, unauthorized use of frequencies, and marketing of unauthorized equipment. • Investigate and prioritize actions on allegations of violations of the Commission’s spectrum licensing and equipment authorization rules and take appropriate enforcement action on 95% of apparent violations within one year. • Process at least 95% of routine spectrum license applications within 90 days of receipt. 5.1.5 Continue post-incentive auction (IA) repacking, displacement, and reimbursement efforts for broadcasters. • Continue post-IA broadcast transition for the FM broadcast stations implicated by the transition of full power and Class A stations, and the low power (LPTV) and TV translator 88 stations provided displacement relief as a result of the repack in order to make spectrum available for deployment of mobile broadband services by carriers who purchased it in the IA. • Continue administering reimbursements from the $2.75 billion TV Broadcaster Relocation Fund for eligible costs incurred by full power, Class A, LPTV, TV translator and FM stations, and multichannel video programming distributors in a manner that assures prompt payment, equity, and fairness among eligible stations, and minimizes the possibility of waste, fraud, and abuse. • Investigate and initiate action where appropriate on potential violations of the post-IA reimbursement rules. Strategic Objective 5.2: Help the U.S. government promote responsible global development and deployment abroad. Performance Goals and Targets: 5.2.1 Promote effective oversight and foster investment in 5G networks by considering actions that address problems in the marketplace. Make fact-based decisions, relying on economic analysis, ongoing fact-gathering initiatives and data analysis. • Take action informed by data and economic analysis to address gaps in the 5G marketplace, as appropriate. 5.2.2 Work to promote a high-quality, secure, and globally interconnected communications infrastructure through international telecommunications and satellite programs and policies. • Work with the Commission’s counterparts in other countries and advise on best practices in communications policy. • In coordination with other Federal agencies, develop and advance spectrum proposals for the next World Radiocommunication Conference (WRC) and take steps necessary to implement the results of the WRC-19 during FY 2023. • In coordination with other Federal agencies, seek to promote policies and regulations that are consistent with FCC regulatory rules and policies at the International Telecommunication Union. • In coordination with other Federal agencies, encourage other countries to use only trusted vendors when developing 5G networks. • Update of Commission rules regarding orbital debris standards and practices. • Approve regional recommendations in the International Telecommunication Union promoting harmonized frequency arrangements for mobile broadband systems providing economies of scale and facilitating deployment and cross-border coordination. • Advance studies in the International Telecommunication Union that support U.S. industry priorities and foster an international regulatory environment for the development of new technologies and radiocommunication services in preparation for the next World Radiocommunication Conference. • Attend and advance studies in international and standards development organizations and promote the adoption of international standards consistent with U.S. and FCC goals and policies. 89 • Enhance effective collaboration with other Federal agencies to foster the innovative use of spectrum through the introduction of new technologies and services. • In coordination with other Federal agencies, promote the development and deployment of open radio access network technology in other countries. • In coordination with the State Department, advocate U.S. positions in cross border and international spectrum harmonization and other activities to ensure that the Unites States’ bilateral and multilateral obligations are consistent with the domestic policies. • In coordination with other Federal agencies promote the development of internal regulatory frameworks for space activities that foster private sector deployment while ensuring effective regulatory supervision. Strategic Goal 6: Foster Operational Excellence Strategic Objective 6.1: Be a model for excellence in government by effectively managing the FCC’s resources, maintain a commitment to transparent and responsive processes that encourage public involvement and serves the public good. Performance Goals and Target 6.1.1 Continue to provide information about the status of matters pending before the FCC by developing and posting information online and communicating with stakeholders. • Conduct meetings and outreach with stakeholders, including state, local, and Tribal governments and their representative organizations, including underserved communities that have been systematically denied a full opportunity to participate in aspects of economic, social, and civic life, as well as the state Members of Federal-State Joint Boards, to ensure that the Commission understands their positions. • Respond to 95% of informal consumer complaints within one business day of receipt. • Develop and execute strategies for continued improvement and enhancement of the FCC’s informal complaint process regarding user experience and sharing of reliable complaint data. • Continue to promote the Public Safety Support Center as a resource for public safety stakeholders to submit complaints and contact complainants, or otherwise initiate action to resolve complaints impacting emergency services within one day of receipt of the complaint. • Improve access to information related to wireless licenses and authorizations, including continuation of efforts to modernize and streamline the FCC’s Universal Licensing System (ULS) and completing the transition to electronic licensing in ULS and the Antenna Structure Registration system. • Publish latest available data on broadband deployment funded with high-cost support. • Continue to ensure that the FCC domestic transfer of control webpage is accurate and up-to- date, so as to inform all stakeholders of the status of pending transactions from the time of filing until the date of Commission action. • Continue to timely update the FCC’s submarine cable webpage to inform the public, other Federal, state, and local government agencies, and all stakeholders of the total number of submarine cable licenses granted by the FCC to date and the most recent pending and granted submarine cable licenses. • Review 100% of incumbent local exchange carriers (LEC) tariffs filed on 15 days’ notice in the Electronic Tariff Filing System in FY 2023. 90 • Review competitive LEC tariffs within 30 days after they are filed in the Electronic Tariff Filing System and act on any rates, terms, or conditions that violate the Commission’s rules or are otherwise unjust and unreasonable. • Ensure that all new data collections are updated in the FCC data inventory and in the OMB data inventory in accordance with OMB guidelines to the greatest extent practicable. 6.1.2 Ensure that FCC regulations solve real problems at a reasonable cost by implementing the principles of regulation and requirements for regulatory impact analysis articulated in Executive Order 13563 of January 18, 2011 (Improving Regulation and Regulatory Review), and Executive Order 12866 of October 4, 1993 (Regulatory Planning and Review). • Engage in best practices of economic analysis of Commission actions. • Conduct at least two workshops or training classes for staff on analytical methods and best practices to perform economic analysis of Commission actions. 6.1.3 Ensure the Commission’s ability to meet its Mission Essential Functions (MEF) and other critical activities during emergencies and disasters affecting FCC facilities and/or staff. • Provide adequately trained FCC staff to meet public safety and national security requirements. • Participate in national-level interagency exercises to validate COG, COOP, and disaster response capabilities. • Provide analytical support for continuity of operations and disaster response actions when requested. • Provide remote call center functionality as a critical pathway for public input during emergencies and as a tool for situational awareness about communications network functionality. • Provide adequately trained staff to record and report on FCC staff availability and MEF performance during continuity of operations and disaster response actions. • Improve and maintain ability for Commission leadership to communicate via multiple paths (e.g., cellular, satellite, HF) during incidents that may impact segments of the communications grid. • Work with the interagency national security community to examine steps to improve the resiliency of national security communications requirements of all agencies. 6.1.4 For each program objective, the Office of the General Counsel will work to ensure that the Commission adheres to all legal requirements in its operations by providing timely and accurate legal advice and representation regarding proposed and existing policies and rules within the FCC’s purview. • Provide timely and accurate legal advice to Bureaus, Offices, and the Commission with respect to pending proceedings. • Promptly respond to all requests for legal advice relating to the Commission’s operations. • Provide FCC staff with advice relating to government ethics and ensure that all ethics inquiries are addressed in a timely manner. • Vigorously defend FCC rules, policies, and operations against legal challenge. 91 6.1.5 For each program objective, the Office of Economics and Analytics will support the Commission by providing expertise, guidance, and assistance to the Bureaus and other Offices in applying the principles of economic and data analysis. • Advise the Office of the Chair of emerging economic trends and issues relevant to the FCC’s mission. • Continue an active economic research program to bring state-of-the-art economic analysis to bear on matters relevant to the Commission. • Ensure consistent and timely public interest analysis of applications for transfer of control and assignment of licenses. • Ensure that analyses concerning mergers and transactions cite relevant facts, sources of information, and convey the basis for findings. • Provide expertise, guidance, and assistance to the Bureaus and Offices upon request on matters involving economic and data analysis, and the collection and management of data. Strategic Objective 6.2: Effectively manage and modernize, as appropriate, the FCC’s information technology (IT), financial, record keeping, facilities, and human capital resources to best achieve the FCC’s mission. Performance Goals and Targets: 6.2.1 Make information readily available to agency management for decision-making by improving Commission systems and processes. • Maintain dashboards and information management systems, including systems to monitor field investigations, commercial radio and public safety complaints, consumer protection complaints, and records retention while maintaining confidentiality necessary to protect the integrity of ongoing Commission investigations and to comply with relevant laws (e.g., Privacy Act). • Participate in ongoing dialogue with FCC Bureaus and Offices to provide information on enforcement-related issues in an efficient and timely manner. • Conduct quarterly meetings of the Data Governance Board, which includes leadership from the Office of the Chair, the Office of the Managing Director, the Office of Economics and Analytics, and program offices, to ensure that information obtained by implementing the Foundations for Evidence-Based Policymaking Act is readily available to support decision- making by the Commission. • Promote and comply with the Foundations of Evidence-Based Policy Act through a newly designed/modernized ULS database optimized to reduce redundancy, improve access, and provide statistical evidence to support policymaking. 6.2.2 Carry out the agency’s mission by upgrading and enhancing technology, tools and processes used by Commission staff. • Enhance access to real-time data for decision-making, reduce operating and maintenance costs and meet increased demand loads of public filings by continuing to migrate outdated technology-based systems and applications to cloud-based environments. 92 • Provide IT support for the administrative transition and physical move of the FCC’s headquarters to its new building location. • Explore technological tools to enhance accessibility, productivity, and accountability in the Federal workforce and commence migration to next-generation desk top services and end- user computing environment. • Employ project management principles and timeline tools for the planning and preparation, as well as the conducting of Commission auctions, to improve the Commission’s ability to assure the quality and timeliness of its auctions. • Implement enhanced application, system, database, and infrastructure monitoring capabilities and develop an improved method of informing stakeholders of Commission-wide system issues and outages. • Participate in agency-wide working groups to identify possible upgrades or enhancements to technology and tools to facilitate staff’s ability to carry out the agency’s mission. • Update the FCC’s IT Strategic Plan. • Continue taking steps to modernize the FCC’s auction application system, by integrating a new application type into the system. • Continuously update the FCC’s bidding systems to enable the auction of licenses for new services identified by statute that will facilitate the deployment of new technologies to the public. • Continue efforts to modernize the FCC’s ULS and Licensing and Management System (LMS) database. • Continue to enhance the FCC’s Consumer Complaint Center to efficiently and effectively process and respond to informal consumer complaints and inquiries. • Review existing staffing and communications processes, and explore more efficient, effective ways to communicate with stakeholders, provide enhanced transparency, facilitate meetings, and receive and respond to requests for status updates (such as electronic licensing and online dashboards reflecting status of proceedings and requests). • Ensure full compliance with the provisions of section 508 of the Rehabilitation Act, requiring the Commission to provide accessible information and communication technology to its employees with disabilities and work collaboratively and cooperatively with the Office of Managing Director regarding initiatives aimed to address accessibility needs of employees with disabilities. • Continue to implement the Foundations for Evidence-Based Policymaking Act by making our data publicly available and open by default, and maintaining an inventory of data assets, to the maximum extent practicable. 6.2.3 Maintain a high level of cybersecurity readiness and presence by providing FCC staff with a secure digital infrastructure. • Ensure that all FCC staff and contractors timely complete cybersecurity training. • Continue making upgrades to the security of the FCC’s IT systems. • Integrate enhanced credential validation and session management tools in the design and construction of the modernized ULS. 6.2.4 Ensure that all financial operations are helping control or contain costs, providing high quality customer service, and improving the effectiveness and efficiency of Commission operations by conducting a program of continuous review and evaluation. 93 • Coordinate on budget planning and execution to help ensure that auction, spectrum, and licensing activities are conducted effectively and efficiently. 6.2.5 Expand opportunities for professional staff to improve their skills and knowledge, with the goal of ensuring that the highest quality analysis is applied to Commission policymaking. • Research and prepare white papers for publication. • Provide an environment for outside experts, especially those focused on relevant areas, to present their research before Commission economists and other experts. 6.2.6 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 by developing workforce recruitment initiatives that foster a workforce whose diversity reflects the diverse makeup of the Nation. • Continue the collaborative and cooperative work of the Office of Workplace Diversity and the Associate Managing Director-Human Resource Management regarding recruitment strategies in furtherance of a diverse applicant pool for all agency employment opportunities. 6.2.7 Ensure that the FCC’s recruitment, development, and retention strategies for professionals at the FCC further and promote a diverse applicant pool for internship and career opportunities. • Continue the Early Career Staff Diversity Initiative to advance equitable opportunities for underrepresented undergraduate, graduate, and law school students by providing a select number of paid internships to law, graduate, or undergraduate students who may otherwise be financially unable to participate in unpaid internships at the FCC. • Continue and bolster agency-wide efforts to increase the diversity of the applicant pool for the Commission’s internship, Attorney Honors, and Honors Engineering Programs, including but not limited to outreach efforts to minority serving institutions, such as Historically Black Colleges and Universities, Hispanic Serving Institutions, and Tribal Colleges and Universities. • Continue to pursue and enhance strategic partnership and collaboration with internal and external affinity groups to increase awareness about available internship and career opportunities. • Examine the agency’s recruitment, development, and retention strategies for economists and engineers, and as warranted, develop a proposal for improvement and/or enhancement of the strategies. Strategic Objective 6.3: Ensure that the Universal Service Fund (USF) programs are well managed, efficient, and fiscally responsible and reduce fraud, waste, and abuse. Performance Goals and Targets: 6.3.1 Reduce the potential for fraud, waste, and abuse in the USF programs. 94 • Investigate and prioritize actions on allegations of violations of the USF rules, including contributions, and take appropriate enforcement action. • Continue implementation of policies to simplify and remove waste in the FCC’s USF programs. • Coordinate and share information with USAC on a regular basis to proactively identify and remediate opportunities for fraud, waste, and abuse in all USF programs. • Review and accept for filing within 14 days of a complete application, domestic section 214 transactions between incumbent telephone companies receiving high-cost USF support through different mechanisms to address potential harm to the Commission’s goal of ensuring that limited USF resources are distributed efficiently. • Coordinate with USAC to implement a fraud risk management framework that aligns with Government Accountability Office (GAO) best practices and begin work to tailor framework for each of the universal service programs. • Continue engagement with other federal funding agencies to share information and coordinate efforts to facilitate efficiency and effectiveness in USF funding. • Administer the Urban Rates Survey to collect information on pricing and establish benchmarks for reasonable costs of service funded through the high-cost programs. 6.3.2 Ensure that the USF programs are administered efficiently and effectively by reviewing the administrative costs of the programs. • Review internal proposals to improve the efficiency of the administration of universal service programs. • Review all USAC IT projects commenced in FY 2022 to promote efficiency and effectiveness in USAC’s operations. 6.3.3 Take steps to ensure that communications systems funded with USF programs are secure and resilient. • Continue to ensure USF recipients refrain from using USF support to purchase, obtain, maintain, improve, modify, or otherwise support equipment and services from companies posing a national security threat to the integrity of communications networks or the communications supply chain, and from using USF support for any equipment and services included on the Commission’s List of Covered Equipment and Services. 95 This page is intentionally left blank 96 FISCAL YEAR 2023 REQUIREMENTS BY BUREAUS AND OFFICES 97 This page is intentionally left blank 98 Offices of the Chairwoman and Commissioners FY 2022 FY 2023 Offices of the Chairwoman and FY 2021 Annualized CR Congressional Commissioners Actuals Amount Request Full-Time Equivalents (FTEs) 22 22 23 11 - Personnel compensation $3,027,897 $3,594,000 $3,791,133 12 - Personnel benefits 970,017 1,169,500 1,233,648 13 - Benefits for former personnel 0 0 0 Subtotal - Personnel Costs $3,997,914 $4,763,500 $5,024,781 21 - Travel & transportation of persons $28,198 $287,000 $299,054 22 - Transportation of things 0 0 0 23 - Rent, Communications, and Utilities 453,897 870,784 907,357 24 - Printing and reproduction 0 0 0 25 - Other contractual services 155 5,100 5,146 26 - Supplies and materials 0 0 0 31 - Equipment 0 0 0 40 - Insurance claims and interest 0 0 0 Subtotal - Non-Personnel Costs $482,250 $1,162,884 $1,211,557 TOTAL $4,480,164 $5,926,384 $6,236,338 The FCC is directed by five Commissioners who are appointed by the President and confirmed by the Senate for five-year terms, except when filling an unexpired term. The President designates one of the Commissioners to serve either as the Chairman or Chairwoman. 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 or Chairwoman serves as the Chief Executive Officer of the Commission, supervising all FCC activities, delegating responsibilities to Offices and Bureaus, and formally representing the Commission before the Congress and the Administration. 99 Consumer and Governmental Affairs Bureau FY 2022 FY 2023 Consumer and Governmental Affairs FY 2021 Annualized CR Congressional Bureau Actuals Amount Request Full-Time Equivalents (FTEs) 111 109 119 11 - Personnel compensation $15,181,103 $15,091,404 $17,283,556 12 - Personnel benefits 5,114,415 4,944,512 5,644,497 13 - Benefits for former personnel 0 0 0 Subtotal - Personnel Costs $20,295,518 $20,035,916 $22,928,053 21 - Travel & transportation of persons $0 $62,000 $64,604 22 - Transportation of things 0 0 0 23 - Rent, Communications, and Utilities 470,504 791,860 825,118 24 - Printing and reproduction 0 0 0 25 - Other contractual services 361,749 1,225,922 1,277,411 26 - Supplies and materials 0 1,000 1,042 31 - Equipment 0 0 0 40 - Insurance claims and interest 0 0 0 Subtotal - Non-Personnel Costs $832,253 $2,080,782 $2,168,175 TOTAL $21,127,771 $22,116,698 $25,096,228 The Consumer and Governmental Affairs Bureau develops and implements consumer protection policies, including disability access, on behalf of the Commission. Through its outreach and education programs, as well as its Tribal and inter-governmental affairs initiatives, the Bureau enhances the public’s understanding of the Commission’s work and facilitates the Agency’s relationships with other governmental agencies and organizations. The Bureau also serves as the public face of the Commission through the call center and online complaint portal, where consumers can submit inquiries and informal complaints to the Commission regarding communications issues. Consistent with controlling laws and regulations and in accordance with its delegated authority, the Bureau performs the following duties and responsibilities: ▪ Initiating and directing the policy development and coordination of matters pertaining to consumers and governmental affairs, consistent with the priorities of the Commission; ▪ Advising the Chairman or Chairwoman and Commissioners on matters of general consumer and disability policy; ▪ Protecting consumers from illegal robocalls by enabling voice providers to block robocalls and by implementing the Telephone Consumer Protection Act and the TRACED Act to protect consumers when they receive illegal robocalls, while educating consumers about robocall-blocking tools, sharing consumer protection best practices, and collecting and tracking consumer complaints to ensure the agency has up-to-date and reliable information to aid with future enforcement actions; 100 ▪ Communicating with the general public regarding Commission policies, programs, and activities to facilitate public education and participation in the Commission’s decision- making processes; ▪ Handling informal consumer inquiries and complaints consistent with Commission regulations, including facilitating the negotiation and resolution of certain classes of informal complaints; ▪ Collaborating with, advising, and assisting state, local, and Tribal governments, and other governmental agencies and industry groups, on consumer and inter-governmental matters including disability access, emergency preparedness, broadband access and deployment and implementation of new technologies; ▪ Developing, recommending, and administering policies, rules, procedures and programs regarding consumer and disability policy and any other related issues affecting consumer policy; ▪ Consulting with federally recognized Tribal governments on a formal government-to- government basis, and engaging with Tribal governments, representatives and organizations representing those constituencies through meetings, trainings and other outreach, to facilitate a dialogue on telecommunications issues on Tribal lands and how the FCC’s rules, policies and programs impact the provision of communications services on Tribal lands and in Native homeland communities; ▪ Providing outreach to other federal regulatory agencies, for the purpose of fostering an understanding of FCC programs, policies, rules, and decisions; ▪ Providing outreach to state and local government officials for the purpose of fostering an understanding of FCC programs, policies, rules, and decisions of particular importance to state and local governments; ▪ Representing the Commission on consumer and inter-governmental-related committees, working groups, task forces, and conferences within and outside the Agency; ▪ Providing expert advice and assistance within the Commission and to consumers and industry regarding compliance with applicable disability and accessibility requirements, rules, and regulations; ▪ Serving as the focal point within the Commission for collaborating with multiple stakeholders and consumer advocacy groups to plan, develop, and implement multimedia consumer outreach campaigns, events, and programs; ▪ Researching, developing, coordinating, and distributing educational materials in multiple media and languages, online and in print to inform consumers about the Commission’s rules, procedures, policies, and programs; ▪ Coordinating all sign language interpreting requests for the Agency, producing Braille and other alternative formats of Commission materials, and ensuring they are available to Commission employees and members of the public; ▪ Coordinating with the Office of Managing Director to ensure compliance with section 508 of the Rehabilitation Act, which requires the Commission to procure and maintain accessible information and communication technologies for Commission employees with disabilities and members of the public using these FCC resources; and, 101 ▪ Coordinating with the Chairwoman, Commissioners, Bureaus and Offices, and other federal agencies to provide Tribal perspectives on regulatory policies impacting the provision and deployment of telecommunications services on Tribal lands and to Tribal, Native Alaska and Hawaii homeland communities 102 Enforcement Bureau FY 2022 FY 2023 FY 2021 Enforcement Bureau Annualized CR Congressional Actuals Amount Request Full-Time Equivalents (FTEs) 188 185 212 11 - Personnel compensation $27,115,612 $27,362,821 $32,963,851 12 - Personnel benefits 9,302,409 8,697,372 10,351,204 13 - Benefits for former personnel 0 0 0 Subtotal - Personnel Costs $36,418,021 $36,060,193 $43,315,056 21 - Travel & transportation of persons $55,953 $112,580 $117,308 22 - Transportation of things 0 0 0 23 - Rent, Communications, and Utilities 1,604,523 1,752,592 1,826,201 24 - Printing and reproduction 0 0 0 25 - Other contractual services 247,065 246,200 256,540 26 - Supplies and materials 55,888 97,200 101,282 31 - Equipment 169,839 526,475 2,548,587 40 - Insurance claims and interest 0 0 0 Subtotal - Non-Personnel Costs $2,133,268 $2,735,047 $4,849,919 TOTAL $38,551,289 $38,795,240 $48,164,975 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: ▪ Investigating and resolving complaints regarding, for example: o The Telephone Consumer Protection Act, which generally prohibits unauthorized robocalls, and the Truth in Caller ID Act, which prohibits unlawful spoofing; o Compliance with statutory and regulatory provisions, including complaints filed under section 208 of the Communications Act; o Compliance with section 301 of the Communications Act requiring an FCC license or authorization for the operation of a broadcast station and wireless systems; o Accessibility to communications services and equipment for persons with disabilities; o Compliance with section 333 of the Communications Act for radiofrequency interference; o Compliance with section 302 of the Communications Act for the authorization of radiofrequency equipment and devices; 103 o Compliance with radiofrequency licensing rules and regulations, including reporting obligations; o Compliance with the Commission’s Emergency Alert System rules; o Compliance with the Commission’s equal employment opportunity (EEO) rules; o Compliance with the statute and rules regarding paid programming and sponsorship ID; 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; including compliance with tower construction environmental and historic preservation requirements; o False distress signals; o Title III licensees and permittees; o Pole attachments filed under section 224 of the Communications Act; o Transmission of 911 calls to public safety entities, 911 outage-related communications with public safety entities, and notifications to the Commission of outages and public safety related filings; 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. ▪ Policing Integrity: o Investigating violations of the Communications Act, the Commission’s rules, and other laws bearing on Universal Service Fund (USF) programs and contributions. Such investigations may involve coordination with the FCC’s Inspector General, the U.S. Department of Justice, and other law enforcement agencies. o Overseeing proceedings suspending or debarring parties from USF programs. ▪ Protecting Consumers: o Investigating unlawful marketing and billing practices, including unauthorized robocalling, caller ID spoofing, cramming, phone and text harassment; and unlawful disclosure of customer proprietary network information. ▪ Safeguarding Competition: o Enforcing merger conditions and unfair or anti-competitive practices that violate the law. ▪ Securing Networks: o Investigating interference or misuse of critical infrastructure. ▪ Mediating and settling disputes between service providers, upon request. 104 ▪ 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 with other federal agencies for National Security Special Events and the National Response Framework for Emergency Support Function #2 (ESF # 2) — Communications. FCC personnel, with PSHSB coordination and EB management, deploy to FEMA field offices to support communications recovery and restoration. ▪ Handling Congressional, Freedom of Information Act and other correspondence relating to or requesting specific enforcement actions, specific complaints, or other specific matters within the responsibility of the Bureau. 105 International Bureau FY 2022 FY 2023 FY 2021 International Bureau Annualized CR Congressional Actuals Amount Request Full-Time Equivalents (FTEs) 83 83 88 11 - Personnel compensation $11,822,191 $12,355,066 $13,819,557 12 - Personnel benefits 3,959,905 3,604,170 4,036,882 13 - Benefits for former personnel 0 0 0 Subtotal - Personnel Costs $15,782,096 $15,959,236 $17,856,439 21 - Travel & transportation of persons $10 $25,367 $26,439 22 - Transportation of things 0 0 0 23 - Rent, Communications, and Utilities 296,469 571,860 596,022 24 - Printing and reproduction 0 0 0 25 - Other contractual services 4,900 3,500 3,648 26 - Supplies and materials 0 0 0 31 - Equipment 0 0 0 40 - Insurance claims and interest 0 0 0 Subtotal - Non-Personnel Costs $301,379 $600,727 $626,109 TOTAL $16,083,475 $16,559,963 $18,482,548 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 Bureau assumes the principal representational role for Commission activities in international organizations. The 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 Chairwoman 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 services and facilities (including submarine cables), and domestic and international satellite systems; ▪ Coordinating with executive branch agencies certain applications and petitions involving foreign ownership; 106 ▪ 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 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; ▪ 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; and, ▪ 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. 107 Media Bureau FY 2022 FY 2023 FY 2021 Media Bureau Annualized CR Congressional Actuals Amount Request Full-Time Equivalents (FTEs) 130 127 133 11 - Personnel compensation $17,677,222 $17,997,508 $19,142,043 12 - Personnel benefits 5,825,067 5,295,042 $5,632,482 13 - Benefits for former personnel 0 0 $0 Subtotal - Personnel Costs $23,502,289 $23,292,550 $24,774,525 21 - Travel & transportation of persons $393,928 $15,000 $15,630 22 - Transportation of things 0 0 0 23 - Rent, Communications, and Utilities 97,478 737,100 768,058 24 - Printing and reproduction 0 0 0 25 - Other contractual services 0 96,213 100,254 26 - Supplies and materials 0 0 0 31 - Equipment 0 0 0 40 - Insurance claims and interest 0 0 0 Subtotal - Non-Personnel Costs $491,406 $848,313 $883,942 TOTAL $23,993,695 $24,140,863 $25,658,467 The Media Bureau plays a key role in promoting innovation and competition in the media marketplace. The 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: ▪ Process applications for authorization, assignment, transfer, and renewal of licensed media services, including AM, FM, full and low power television, and related matters; ▪ Conduct rulemaking proceedings concerning the legal, engineering, and economic aspects of the media industry; ▪ Resolve waiver petitions, declaratory rulings, and adjudications related to the media industry; and, ▪ Ensure the smooth transition of full power, Class A, translator, LPTV and FM stations as a result of the Incentive Auction repack and efficiently process the reimbursement claims from these stations submitted to the $2.75 billion TV Broadcaster Relocation Fund. 108 Public Safety and Homeland Security Bureau FY 2022 FY 2023 Public Safety and Homeland Security FY 2021 Annualized CR Congressional Bureau Actuals Amount Request Full-Time Equivalents (FTEs) 98 98 104 11 - Personnel compensation $14,629,727 $15,045,562 $16,750,267 12 - Personnel benefits 4,869,835 4,439,834 4,871,378 13 - Benefits for former personnel 0 0 0 Subtotal - Personnel Costs $19,499,562 $19,485,396 $21,621,645 21 - Travel & transportation of persons $71,089 $75,000 $78,150 22 - Transportation of things 0 0 0 23 - Rent, Communications, and Utilities 301,897 526,844 548,971 24 - Printing and reproduction 0 0 0 25 - Other contractual services 523,904 520,078 541,921 26 - Supplies and materials 6,500 4,500 4,689 31 - Equipment 81,865 60,000 62,520 40 - Insurance claims and interest 0 0 0 Subtotal - Non-Personnel Costs $985,255 $1,186,422 $1,236,251 TOTAL $20,484,817 $20,671,818 $22,857,896 The Public Safety and Homeland Security Bureau (PSHSB) advises and makes recommendations to the Commission, acts for the Commission under delegated authority, and coordinates within the Commission on all matters pertaining to public safety, homeland security, national security, emergency management and preparedness, disaster management, and related matters. The Bureau also performs the following functions: ▪ Develops, recommends, and administers policy goals, objectives, regulations, programs, and plans for the Commission in the areas of 911, enhanced 911, and Next Generation 911; licensing and operation of public safety radio services; priority emergency communications; alert and warning systems; Continuity of Government (COG) and Continuity of Operations (COOP); national security, emergency management and preparedness; disaster management coordination and outreach; communications infrastructure protection; reliability, resiliency, operability and interoperability of networks and communications systems; the Communications Assistance for Law Enforcement Act (CALEA); and network security; ▪ Intakes and processes applications for public safety allocated spectrum and related requests; ▪ Recommends and develops emergency plans, policies, and preparedness programs covering: (1) reporting and situational awareness of communications status during an emergency; (2) Commission functions during emergency conditions, and (3) the provision of service by communications service providers during emergency conditions; ▪ Under the direction of the Defense Commissioner, coordinates the Commission’s role in homeland security, national security, emergency management and preparedness, defense 109 mobilization, COG planning, and other functions as may be delegated during a national emergency; plans and maintains readiness to lead response for major communications disruptions as directed by the President; ▪ Administers Commission recordkeeping and information collection requirements pertaining to public safety issues; ▪ Oversees public safety-related Federal Advisory Committee; ▪ Serves as the point of contact for the U.S. Government in matters of international spectrum monitoring and interference resolution; 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 24-hour Operations Center, Sensitive Compartmented Information Facilities (SCIF) and central spectrum monitoring and analysis center; ▪ Acts on emergency requests for Special Temporary Authority (STA) during non-business hours; ▪ Represents the Commission on interagency bodies supporting public safety and national security missions; ▪ Protects U.S. homeland security and national security through efforts to maintain the integrity of the U.S. telecommunications supply chain; and, ▪ Performs such other functions and duties as may be assigned or referred to it by the Commission or the Defense Commissioner. 110 Wireless Telecommunications Bureau FY 2022 FY 2023 FY 2021 Wireless Telecommunications Bureau Annualized CR Congressional Actuals Amount Request Full-Time Equivalents (FTEs) 150 145 158 11 - Personnel compensation $9,736,038 $9,887,082 $12,544,367 12 - Personnel benefits 3,287,250 2,967,530 3,714,098 13 - Benefits for former personnel 0 0 0 Subtotal - Personnel Costs $13,023,288 $12,854,612 $16,258,465 21 - Travel & transportation of persons $0 $8,184 $8,528 22 - Transportation of things 0 0 0 23 - Rent, Communications, and Utilities 212,172 425,098 442,952 24 - Printing and reproduction 0 0 0 25 - Other contractual services 168,596 292,077 304,344 26 - Supplies and materials 0 1,800 1,876 31 - Equipment 0 0 0 40 - Insurance claims and interest 0 0 0 Subtotal - Non-Personnel Costs $380,768 $727,159 $757,700 TOTAL $13,404,056 $13,581,771 $17,016,165 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 present and future wireless communications and spectrum needs in the United States; ▪ Establishing rules and procedures that will support the deployment of 5G and the next generations of service by a variety of mobile providers; ▪ Promoting access, efficiency, and innovation in the use of the electromagnetic spectrum through licensing procedures and policies; ▪ Promoting investment in wireless communications infrastructure, including broadband; ▪ Ensuring choice and opportunity in the development of wireless communication services and related markets; 111 ▪ Reviewing wireless applications, including those to assign or transfer licenses and for service and facility authorizations, in a manner that facilitates competition in the provision of mobile wireless services to the benefit of consumers; ▪ Promoting the integration and interconnection of wireless communications networks with other communications networks and facilities; ▪ In coordination with the Office of Economics and Analytics, serving as a staff resource with regard to the development and implementation of spectrum policy through auctions, and developing, recommending, and administering policies and rules concerning the licensing of spectrum through auctions; ▪ In coordination with the Wireline Competition Bureau and the Office of Economics and Analytics, developing and recommending policies, programs, rules, and procedures concerning the use of market-based mechanisms, including competitive bidding, to distribute universal service support; and, ▪ In conjunction with the International Bureau and the Office of Engineering and Technology, representing the United States’ spectrum interests and serving as an expert resource on spectrum and infrastructure policy matters in international forums. In addition to the above, the Bureau’s activities also include: ▪ Developing and coordinating policy; ▪ Conducting rulemaking and licensing work; ▪ Acting on rule waiver requests, requests for special temporary authority, and other types of licensing matters; ▪ Facilitating the development and efficient operation of electronic systems for submission of applications for licenses and registration; ▪ Determining the resource impact of existing, planned, or recommended Commission activities concerning wireless communications; and, ▪ Reviewing and coordinating orders, programs, and actions initiated by other Bureaus and Offices in matters affecting wireless communications to ensure consistency of overall Commission policy. 112 Wireline Competition Bureau FY 2022 FY 2023 FY 2021 Wireline Competition Bureau Annualized CR Congressional Actuals Amount Request Full-Time Equivalents (FTEs) 153 156 172 11 - Personnel compensation $22,907,778 $24,835,502 $29,235,717 12 - Personnel benefits $7,761,641 7,449,910 8,719,339 13 - Benefits for former personnel 0 0 0 Subtotal - Personnel Costs $30,669,419 $32,285,412 $37,955,056 21 - Travel & transportation of persons $0 $25,650 $26,727 22 - Transportation of things 0 0 0 23 - Rent, Communications, and Utilities 512,707 983,606 1,024,917 24 - Printing and reproduction 0 0 0 25 - Other contractual services 0 126,809 132,135 26 - Supplies and materials 991 0 0 31 - Equipment 0 0 0 40 - Insurance claims and interest 0 0 0 Subtotal - Non-Personnel Costs $513,698 $1,136,065 $1,183,779 TOTAL $31,183,117 $33,421,477 $39,138,835 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 related operations, drawing on relevant legal, economic, technological, legislative and regulatory expertise, information, and developments. The Bureau has the following duties and responsibilities: ▪ Working to ensure that all Americans have access to robust and affordable broadband and voice services; ▪ Working to ensure access to affordable broadband connectivity for low-income consumers, schools, school districts, libraries, and rural health care providers; ▪ Working to establish the nation’s largest ever program to help households nationwide afford broadband service by providing qualified households discounts on their Internet service bills and an opportunity to receive a discount on a computer or tablet; ▪ Working to provide health care providers funding for telecommunications services, information services, and devices to provide telehealth services in response to the pandemic; ▪ Working to close the homework gap by connecting students inside and outside the classroom; ▪ Working to ensure that universal service funding contributions are equitable and sustainable. 113 ▪ Managing and overseeing the universal service fund administrator, the Universal Service Administrative Company (USAC), including the audit and appeals process. ▪ Working to sustain the Internet’s foundation of openness so that all Americans can create without permission, build community beyond geography, organize without physical constraints, consume content of their choice, and share ideas; ▪ Working to safeguard the security and integrity of the nation’s communications networks and communications supply chain; ▪ Developing and coordinating wireline telecommunications policy; ▪ Handling adjudicatory and rulemaking proceedings affecting wireline telecommunications service providers, VoIP providers, broadband providers, and inmate calling services providers; ▪ Preparing for Commission consideration draft orders responding to petitions, filed pursuant to the Communications Act, seeking Commission forbearance from applying certain of its regulations or provisions of the Communications Act; ▪ 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; ▪ Taking action on requests for waiver or interpretation of rules or statutes, where appropriate, affecting wireline telecommunications; ▪ Making determinations regarding lawfulness of carrier tariffs; ▪ Administering U.S. numbering policy (including local number portability) and developing and implementing call authentication policies to end illegal robocalls; ▪ Administering consumer proprietary network information policy for telecommunications carriers; ▪ Taking action on applications filed pursuant to section 214 of the Communications Act for authorization to transfer domestic service and facility authorizations or to discontinue services or the operation of facilities; ▪ Reviewing wireline provider performance; ▪ Overseeing the Act’s incumbent local exchange carrier network change disclosure process to ensure that interconnecting competitive local exchange carriers have timely and sufficient notice of planned network changes; ▪ Regulating the rates, terms, and conditions for pole attachments, except in states that have preempted Commission authority; ▪ Administering accounting requirements for incumbent local exchange carriers; ▪ Interacting with the public; local, state, Tribal, and other government agencies; industry groups; and other stakeholders on wireline communications regulation and related matters; ▪ Fulfilling Congressional directives to report on the availability of advanced telecommunications capability to all Americans and how best to achieve the goals of universal deployment, adoption, availability, affordability, and equitable access to broadband throughout the United States; and 114 ▪ Reviewing and coordinating orders, programs, data collections, reports, and other actions initiated by other Bureaus and Offices in matters affecting wireline communications to ensure consistency with overall Commission policy 115 Office of Administrative Law Judges FY 2022 FY 2023 FY 2021 Office of Administrative Law Judges Annualized CR Congressional Actuals Amount Request Full-Time Equivalents (FTEs) 4 4 4 11 - Personnel compensation $507,550 $520,414 $551,701 12 - Personnel benefits 161,540 173,664 $183,189 13 - Benefits for former personnel 0 0 $0 Subtotal - Personnel Costs $669,090 $694,078 $734,890 21 - Travel & transportation of persons $0 $2,000 $2,084 22 - Transportation of things 0 0 0 23 - Rent, Communications, and Utilities 16,139 30,960 32,260 24 - Printing and reproduction 0 0 0 25 - Other contractual services 1,245 6,000 6,252 26 - Supplies and materials 0 0 0 31 - Equipment 0 0 0 40 - Insurance claims and interest 0 0 0 Subtotal - Non-Personnel Costs $17,384 $38,960 $40,596 TOTAL $686,474 $733,038 $775,486 The Office of Administrative Law Judges (OALJ) hears and conducts all adjudicatory cases designated for formal evidentiary hearing, other than those designated to be heard by the Commission or individual Commissioners. The Office may also conduct other hearings which the Commission may assign in accordance with the Administrative Procedure Act (APA). OALJ functions substantially as 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. OALJ has the following responsibilities: Adjudicative ▪ Prepares and maintains hearing calendars, showing time and place of hearings; ▪ Presides over and conducts formal proceedings and adjudications; ▪ Acts on motions, petitions, and other pleadings filed in proceedings; ▪ Conducts on-the-record prehearing conferences; ▪ Issues subpoenas, administers oaths, examines witnesses, makes findings of fact, and rules upon evidentiary questions; and, ▪ Prepares and issues Initial Decisions. 116 Administrative ▪ Prepares reports, statistical data, and other information requested or received 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; ▪ Upon request of the Chairwoman, serves as liaison for the Commission in securing advice or information from representatives of agencies, bar associations, and interested persons in connection with Office practices and hearing procedures; and, ▪ Exercises such further authority as may be assigned by the Commission pursuant to section 5(c) of the Communications Act of l934, as amended. 117 Office of Communications Business Opportunities FY 2022 FY 2023 Office of Communications Business FY 2021 Annualized CR Congressional Opportunities Actuals Amount Request Full-Time Equivalents (FTEs) 10 10 13 11 - Personnel compensation $1,517,570 $1,680,460 $2,242,358 12 - Personnel benefits 508,148 371,642 531,035 13 - Benefits for former personnel 0 0 0 Subtotal - Personnel Costs $2,025,718 $2,052,102 $2,773,393 21 - Travel & transportation of persons $0 $4,500 $4,689 22 - Transportation of things 0 0 0 23 - Rent, Communications, and Utilities 39,870 76,488 79,700 24 - Printing and reproduction 0 0 0 25 - Other contractual services 0 500 521 26 - Supplies and materials 0 0 0 31 - Equipment 0 0 0 40 - Insurance claims and interest 0 0 0 Subtotal - Non-Personnel Costs $39,870 $81,488 $84,910 TOTAL $2,065,588 $2,133,590 $2,858,303 The Office of Communications Business Opportunities (OCBO) promotes diversity, competition, and innovation in the provision and ownership of telecommunications and information services by supporting opportunities for small businesses, as well as women-owned, and minority-owned communications businesses. A principal function of OCBO is to lead, advise, and assist the Commission, including its component Bureau and Office managers, supervisors, and staff, by ensuring the agency fully considers the competitive concerns of small businesses, women, and minorities in notice and comment rulemakings. In accordance with this function, OCBO: ▪ Conducts independent analyses of the Commission’s policies and practices to ensure those policies and practices fully consider the interests of small businesses, women-owned, and minority-owned communications businesses; and, ▪ Advises the Commission, Bureaus, and Offices of their responsibilities under the Congressional Review Act provisions regarding small businesses. The Office has the following duties and responsibilities: ▪ Serving, through its Director, as the principal small business policy advisor to the Commission; ▪ Developing and recommending Commission-wide goals and objectives for addressing the concerns of small businesses, women-owned, and minority-owned communications businesses; 118 ▪ Promoting increased awareness within the Commission of the impact of policies on small businesses, women-owned, and minority-owned communications businesses; and, ▪ 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, women-owned, and minority-owned business interests are fully considered in agency actions; ▪ Developing, implementing, and evaluating programs and policies that promote participation by small businesses, women-owned, and minority-owned businesses in the communications industry; ▪ Developing, recommending, coordinating, and administering objectives, plans, and programs to encourage participation by small businesses, women-owned, and minority- owned communications businesses in the decision-making process; ▪ Acting as the principal channel for disseminating information regarding the Commission’s activities and programs affecting small businesses, women-owned, and minority-owned communications businesses; ▪ Acting as the Commission’s liaison to other federal agencies on matters relating to small businesses, women-owned, and minority-owned businesses in the communications industry. 119 Office of Economics and Analytics FY 2022 FY 2023 FY 2021 Office of Economics and Analytics Annualized CR Congressional Actuals Amount Request Full-Time Equivalents (FTEs) 111 122 134 11 - Personnel compensation $11,425,547 $13,129,314 $14,695,759 12 - Personnel benefits 3,876,326 4,184,054 4,721,138 13 - Benefits for former personnel 0 0 0 Subtotal - Personnel Costs $15,301,873 $17,313,368 $19,416,897 21 - Travel & transportation of persons $0 $54,000 $56,268 22 - Transportation of things 0 0 0 23 - Rent, Communications, and Utilities 117,213 216,299 225,384 24 - Printing and reproduction 0 0 0 25 - Other contractual services 5,856,829 33,690,200 3,134,023 26 - Supplies and materials 0 0 0 31 - Equipment 0 0 0 40 - Insurance claims and interest 0 0 0 Subtotal - Non-Personnel Costs $5,974,042 $33,960,499 $3,415,675 TOTAL $21,275,915 $51,273,867 $22,832,572 The Office of Economics and Analytics (OEA) works with Bureaus and other Offices, including those of the Chairwoman and other Commissioners, to develop and implement communications policies in all areas of the Commission’s authority and responsibility, and to ensure the highest quality of economic and data analysis. The Office and its staff: ▪ Work collaboratively with other Bureaus and Offices on rulemakings, transaction reviews, statutory reports, and adjudications in the areas of economic and data analysis for significant communications policy issues, and especially with respect to analysis of the economic impact of Commission policies, rules, and proposals; ▪ Administer Commission auctions of spectrum licenses and universal service support and advise Bureaus and other Offices on policies related to auctions and competitive bidding; ▪ Administer and support significant, economically-relevant data collections used by a variety of Bureaus and other Offices, such as Form 477 , and support Bureaus and Offices with their use of the data generated by these collections; ▪ Oversee and manage significant portions of the implementation of the Broadband Data Collection required by the Broadband DATA Act, including the development of the BDC System, the development of the Broadband Serviceable Location Fabric, and the technical assistance contracts; ▪ Develop, recommend, and implement policies for data management across the Commission, in conjunction with the Bureaus and other Offices; 120 ▪ Support the implementation of the Evidence Act, including the Open, Public, Electronic and Necessary (OPEN) Government Data Act and the Federal Data Strategy ▪ Provide expert advice to the Chairwoman, Commissioners, and Bureau and Office Chiefs; ▪ Include and support the Commission’s Chief Economist; and, ▪ Coordinate the development, research, and publication of Working Papers by staff to release research aside from formal Commission actions, with a focus on issues of ongoing and future potential priorities for the Commission. 121 Office of Engineering and Technology FY 2022 FY 2023 FY 2021 Office of Engineering and Technology Annualized CR Congressional Actuals Amount Request Full-Time Equivalents (FTEs) 76 74 79 11 - Personnel compensation $9,631,614 $10,088,730 $11,112,456 12 - Personnel benefits 3,406,322 3,332,512 3,644,838 13 - Benefits for former personnel 0 0 0 Subtotal - Personnel Costs $13,037,936 $13,421,242 $14,757,294 21 - Travel & transportation of persons $241 $13,000 $13,546 22 - Transportation of things 0 0 0 23 - Rent, Communications, and Utilities 202,567 382,334 398,392 24 - Printing and reproduction 0 0 0 25 - Other contractual services 589,006 629,467 655,904 26 - Supplies and materials 2,405 13,300 13,859 31 - Equipment 110,561 150,000 156,300 40 - Insurance claims and interest 0 0 0 Subtotal - Non-Personnel Costs $904,780 $1,188,101 $1,238,001 TOTAL $13,942,716 $14,609,343 $15,995,295 The Office of Engineering and Technology administers all non-federal spectrum allocations; authorizes spectrum for experimental, unlicensed, and industrial, scientific, and medical equipment use; and provides expert advice on a broad array of technical and engineering issues before the Commission, including recommendations on technical standards for spectrum users and radiofrequency equipment and parts or components thereof. The Office’s responsibilities include: ▪ 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 radio communications and the development of technologies 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 122 improved techniques, including cooperative studies with other staff units and consultant and contract efforts as appropriate; ▪ Advising the Commission and other Bureaus/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; ▪ Administering Parts 2 (Frequency allocations, radio treaty matters, and equipment authorization procedures), 5 (Experimental radio service), 15 (Unlicensed radio frequency devices), and 18 (Industrial, scientific and medical equipment) 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; ▪ 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; ▪ Managing the Commission’s equipment authorization program to ensure radio equipment compliance with its technical rules. Maintaining a test facility with appropriate and latest equipment to perform technical analyses to facilitate introduction of new services and technology and compliance testing of devices subject to the Commission’s technical rules; ▪ Managing the Commission’s experimental licensing program to promote new and innovative technologies and services; ▪ 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. Serves as the Agency liaison to National Telecommunications and Information Administration (NTIA) within the Department of Commerce for coordinating policy decisions and frequency assignments between Federal agency and non-Federal spectrum users; and, ▪ Preparing technical assistance for legislation and reviewing recommendations for rule changes and rulemaking proposals initiated by other offices affecting Bureau programs and operations. 123 Office of General Counsel FY 2022 FY 2023 FY 2021 Office of General Counsel Annualized CR Congressional Actuals Amount Request Full-Time Equivalents (FTEs) 72 72 79 11 - Personnel compensation $11,537,495 $11,790,314 $13,223,828 12 - Personnel benefits 3,832,503 3,838,794 4,284,375 13 - Benefits for former personnel 0 0 0 Subtotal - Personnel Costs $15,369,998 $15,629,108 $17,508,203 21 - Travel & transportation of persons $240 $22,400 $23,341 22 - Transportation of things 0 0 0 23 - Rent, Communications, and Utilities 275,697 526,034 548,127 24 - Printing and reproduction 0 0 0 25 - Other contractual services 1,436,332 1,299,798 1,354,390 26 - Supplies and materials 0 0 0 31 - Equipment 0 0 0 40 - Insurance claims and interest 0 0 0 Subtotal - Non-Personnel Costs $1,712,269 $1,848,232 $1,925,858 TOTAL $17,082,267 $17,477,340 $19,434,061 As chief legal advisor to the Commission and its various components, the Office of General Counsel performs the following duties and responsibilities: ▪ 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 and other dispute-resolution matters; ▪ Ensures consistent and timely public-interest analysis of mergers and other transactions and provides antitrust, corporate, and technical expertise; ▪ Protects the Commission’s regulatory and pecuniary interests in actual and potential bankruptcy cases; ▪ Advises the Commission on efforts to address waste, fraud and abuse and recoup improper payments in False Claims Act investigations, litigation, and settlement negotiations; ▪ Assists and makes recommendations to the Commission with respect to matters handled via adjudication (including the Commission’s review of initial decisions by Administrative Law Judges), as well as with respect to such other matters that, 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; 124 ▪ Prepares for the Commission procedural rules of general applicability and makes recommendations concerning the interpretation and implementation of such rules; ▪ 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; ▪ Serves as principal advisor to the Commission in the administration of laws and regulations regarding government ethics, the Freedom of Information, Privacy, Government in the Sunshine, and Alternative Dispute Resolution Acts; ▪ Manages and directs the Attorney Honors Program, the agency’s primary hiring and recruitment vehicle for entry level attorneys; and, ▪ Exercises such authority as may be assigned or referred to it by the Commission pursuant to section 5© of the Communications Act of 1934, as amended, as well as the Commission’s rules. 125 Office of Legislative Affairs FY 2022 FY 2023 FY 2021 Office of Legislative Affairs Annualized CR Congressional Actuals Amount Request Full-Time Equivalents (FTEs) 8 8 8 11 - Personnel compensation $1,084,077 $1,151,588 $1,214,753 12 - Personnel benefits 384,347 358,790 378,470 13 - Benefits for former personnel 0 0 0 Subtotal - Personnel Costs $1,468,424 $1,510,378 $1,593,223 21 - Travel & transportation of persons $0 $0 $0 22 - Transportation of things 0 0 0 23 - Rent, Communications, and Utilities 46,174 88,584 92,327 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 40 - Insurance claims and interest 0 0 0 Subtotal - Non-Personnel Costs $46,174 $88,584 $92,327 TOTAL $1,514,598 $1,598,962 $1,685,550 The Office of Legislative Affairs informs the Congress of the Commission’s decisions, facilitates responses to Congressional letters and 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 the agency’s technical assistance for submission to Congress or other government agencies; ▪ Tracking, monitoring, and analyzing legislation impacting the Commission, and providing technical assistance to Congressional staff, as necessary; ▪ Preparing and coordinating Commission and Bureau responses to Congressional inquiries on legislative, regulatory, or policy matters by Congressional committees and individual Members of Congress, including tracking inquiries and setting response times; ▪ Prepare the FCC Chairwoman and all Commission-designated witnesses for appearances before the United States Congress; ▪ Coordinating briefings for Congressional Members and staff on issues before the Commission; ▪ Communicating and consulting with Congressional Members and staff on the Commission’s policy agenda; ▪ Assisting the staffs of Members of Congress in responding to constituent concerns; and, 126 ▪ Assisting the Office of Managing Director in the preparation of annual reporting requirements to Congress, including the annual submission of the Commission’s budget. 127 Office of the Managing Director FY 2022 FY 2023 FY 2021 Office of the Managing Director Annualized CR Congressional Actuals Amount Request Full-Time Equivalents (FTEs) 184 181 194 11 - Personnel compensation $24,460,768 $23,249,874 $26,258,847 12 - Personnel benefits 6,883,953 7,504,930 8,534,497 13 - Benefits for former personnel 51,600 51,600 53,767 Subtotal - Personnel Costs $31,396,321 $30,806,404 $34,847,111 21 - Travel & transportation of persons $0 $311,500 $324,583 22 - Transportation of things 9,659 57,104 59,502 23 - Rent, Communications, and Utilities 15,638,838 20,505,123 18,946,820 24 - Printing and reproduction 1,086,330 1,225,310 1,276,773 25 - Other contractual services 50,839,796 42,097,832 50,804,034 26 - Supplies and materials 422,651 700,127 729,532 31 - Equipment 244,829 133,615 139,227 32 - Land & Structures 477,944 485,571 505,965 40 - Insurance claims and interest 60,842 211,177 216,217 Subtotal - Non-Personnel Costs $68,780,889 $65,727,359 $73,002,653 TOTAL $100,177,210 $96,533,763 $107,849,764 The Managing Director is appointed by the Chairwoman with approval of the Commissioners. Under the supervision and direction of the Chairwoman, the Managing Director serves as the Commission’s Chief Operating Officer 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 organization and operations, information technology systems and cybersecurity, and personnel and contract management; ▪ Providing input to Commission policy development and rulemakings on operational requirements, implementation risks and feasibility, software and systems requirements, fraud prevention and audit considerations, and financial and budgetary impacts; ▪ Managing all budget and financial operations within the Commission, including: collection of approved regulatory fees for agency operations; overseeing funding allocations and performance management for the operations of the Commission’s Bureaus and Offices; managing of auction proceeds; accounting for other monies received by the Commission including licensing fees, forfeitures, and other actions; and providing financial oversight of the Universal Service Fund (USF), Telecommunications Relay Service (TRS) Fund, and the North American Numbering Plan (NANP) Fund; ▪ Formulating and implementing management and operational policies, programs, and directives for the Commission consistent with the authority delegated by the Commission 128 and the Chairwoman and recommending to the Chairwoman and the Commission major changes in such policies and programs; ▪ Advising the Chairwoman and the Commission on management, organizational, and operational matters; reviewing and evaluating the programs and procedures of the Commission; and initiating action or making recommendations as may be necessary to administer the Communications Act most effectively in the public interest; and, ▪ Assist the Chairwoman in carrying out the administrative and executive responsibilities delegated to the Chairwoman as the administrative head of the agency. 129 Office of Media Relations FY 2022 FY 2023 FY 2021 Office of Media Relations Annualized CR Congressional Actuals Amount Request Full-Time Equivalents (FTEs) 12 11 12 11 - Personnel compensation $1,604,668 $1,535,988 $1,699,351 12 - Personnel benefits 556,269 430,762 480,761 13 - Benefits for former personnel 0 0 0 Subtotal - Personnel Costs $2,160,937 $1,966,750 $2,180,112 21 - Travel & transportation of persons $0 $3,900 $4,064 22 - Transportation of things 0 0 0.00 23 - Rent, Communications, and Utilities 50,937 97,720 101,824.24 24 - Printing and reproduction 0 0 0.00 25 - Other contractual services 155,088 162,361 169,180.16 26 - Supplies and materials 0 4,042 4,211.76 31 - Equipment 7,025 3,655 3,808.00 40 - Insurance claims and interest 0 0 0 Subtotal - Non-Personnel Costs $213,050 $271,678 $283,088 TOTAL $2,373,987 $2,238,428 $2,463,200 The FCC’s Office of Media Relations is the agency’s liaison to the news media. It provides information to the public about the work of the FCC, manages content on the Commission’s website, oversees the release of FCC documents, leads the agency’s social media accounts, and manages external-facing and event audio/visual services. The Office’s duties and responsibilities include: ▪ Serving as the agency’s primary liaison to the news media; ▪ Producing press releases, fact sheets, speeches, and other public relations materials; ▪ Managing and creating content for the FCC's social media sites, including Twitter, Facebook, Instagram, LinkedIn, YouTube, and others; ▪ Managing the Commission’s website, working with other Bureaus and Offices to create and manage website content, overseeing and implementing the look and feel of the FCC.gov homepage, managing the use and display of images, and overseeing the agency’s web standards and guidelines; ▪ Overseeing and directing primary video content for official Commission activities and events– including the monthly Open Commission Meeting – which is used for public outreach, educational outreach and support of Commission priorities, and includes all public meetings; ▪ Serving as primary media relations liaison for the Office of the Chairwoman; 130 ▪ Facilitating the release of all Commission announcements, Public Notices, Orders, and other information including producing the Daily Digest of Commission releases; and Producing, writing, directing, and editing videos to be displayed through official FCC channels, and external requests for remote event participation. Photographing FCC staff for official use on the FCC website and social media. 131 Office of Workplace Diversity FY 2022 FY 2023 FY 2021 Office of Workplace Diversity Annualized CR Congressional Actuals Amount Request Full-Time Equivalents (FTEs) 5 5 8 11 - Personnel compensation $463,370 $587,918 $1,089,889 12 - Personnel benefits 166,963 172,986 321,483 13 - Benefits for former personnel 0 0 0 Subtotal - Personnel Costs $630,333 $760,904 $1,411,372 21 - Travel & transportation of persons $0 $2,000 $2,084 22 - Transportation of things 0 0 0 23 - Rent, Communications, and Utilities 14,498 30,048 31,310 24 - Printing and reproduction 0 0 0 25 - Other contractual services 40,273 67,703 70,548 26 - Supplies and materials 0 0 0 31 - Equipment 0 0 0 40 - Insurance claims and interest 0 0 0 Subtotal - Non-Personnel Costs $54,771 $99,751 $103,942 TOTAL $685,104 $860,655 $1,515,314 The Office of Workplace Diversity develops, coordinates, evaluates, and recommends to the Commission policies, programs, and practices that foster a diverse workforce, and promotes and ensures equal employment opportunity (EEO) for all employees and applicants. A principal function of the Office is to lead, advise, and assist the Commission, including 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; the Rehabilitation Act of 1973 as amended; Age Discrimination in Employment Act of 1967, as amended; Executive Order 11478; the Genetic Information Nondiscrimination Act 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 Chairwoman 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; 132 ▪ Developing, implementing, and evaluating programs and policies to foster a workforce whose composition reflects the diverse makeup of the Nation, enhances the mission of the Commission, and demonstrates the value and effectiveness of a diverse workforce and work environment that is inclusive and accessible; ▪ 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 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, equity, inclusion and accessibility 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 EEO compliance program. Responsibilities in this area include processing complaints alleging discrimination, issuing final agency decisions on EEO complaints within the Commission, and providing consulting services to employees and applicants for employment on EEO matters; ▪ Developing and administering the Commission’s program of reasonable accommodation for employees with disabilities in accordance with applicable laws and regulations; ▪ Developing and administering the Commission’s program of Alternative Dispute Resolution to provide mediation services and to promote the use of dispute prevention and alternative dispute techniques; ▪ Representing the Commission at meetings with other public and private groups and organizations on matters concerning workforce diversity and equal employment opportunity; and, ▪ Maintaining liaison with and soliciting views of organizations within and outside the Commission on matters relating to equal opportunity and workforce diversity, equity, inclusion, and accessibility. 133 Office of Inspector General FY 2022 FY 2023 FY 2021 Office of Inspector General Annualized CR Congressional Actuals Amount Request Full-Time Equivalents (FTEs) 47 60 60 11 - Personnel compensation $6,525,610 $7,820,163 $8,246,552 12 - Personnel benefits 2,199,507 2,388,424 2,519,430 13 - Benefits for former personnel 0 0 0 Subtotal - Personnel Costs $8,725,117 $10,208,587 $10,765,982 21 - Travel & transportation of persons $0 $66,001 $68,773 22 - Transportation of things 0 0 0 23 - Rent, Communications, and Utilities 178,857 343,130 357,541 24 - Printing and reproduction 0 0 0 25 - Other contractual services 92,873 675,205 903,405 26 - Supplies and materials 67 554 576 31 - Equipment 0 33,323 34,723 40 - Insurance claims and interest 302 0 0 Subtotal - Non-Personnel Costs $272,099 $1,118,213 $1,365,018 TOTAL $8,997,216 $11,326,800 $12,131,000 The FCC’s OIG was established in compliance with the Inspector General Act of 1978 (Public Law 94-454), as amended. OIG conducts and supervises audits, inspections and investigations relating to FCC programs and operations. OIG provides management feedback, leadership, and recommends policies for activities designed to promote economy, efficiency, and increase the effectiveness of the administration. Further, the OIG works to both prevent and detect fraud, waste, and abuse in such programs and operations. 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 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, waste, 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 134 administration of or preventing and detecting fraud and abuse in its programs and operations; ▪ 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; and, ▪ Reporting expeditiously to the Attorney General whenever the Inspector General has reasonable grounds to believe there has been a violation of Federal criminal law. 135 This page is intentionally left blank 136 APPENDICES 137 This page is intentionally left blank 138 Fiscal Year 2023 Budget Estimates to Congress Summary - Requested Resources DISTRIBUTION OF BUDGET AUTHORITY (Dollars in Thousands) FY 2022 FY 2023 Change to FY 2021 Annualized Congressional Budget Actuals CR Amount Request Authority FCC - Without Office of Inspector General (OIG): Authority to Spend Offsetting Collections: Total - Regulatory Fees (Offsetting Collections)1 $329,112 $362,673 $378,061 $15,388 Authority to Spend Other Offsetting Collections: Spectrum Auctions Cost Recovery Reimbursement $124,028 $134,358 $132,088 -$2,270 Economy Act Reimbursable Agreements $937 $4,000 $4,000 $0 Total - Other Offsetting Collections $124,965 $138,358 $136,088 -$2,270 Total Budget Authority - FCC Without OIG $454,077 $501,031 $514,149 $13,118 FCC - Office of Inspector General: Authority to Spend Offsetting Collections: Total - Regulatory Fees (Offsetting Collections) $8,997 $11,327 $12,131 $804 Authority to Spend Other Offsetting Collections: Spectrum Auctions Cost Recovery Reimbursement $0 $137 $143 $6 Total Budget Authority - Office of Inspector General $8,997 $11,464 $12,274 $810 TOTAL - FCC with Office of Inspector General TOTAL - Regulatory Fees (Offsetting Collections) $338,109 $374,000 $390,192 $16,192 TOTAL - Spectrum Auctions Cost Recovery Reimbursement $124,028 $134,495 $132,231 -$2,264 TOTAL - Economy Act Reimbursable Agreements $937 $4,000 $4,000 $0 TOTAL - Budget Authority Request $463,075 $512,495 $526,423 $13,928 1The Commission’s other budget authorities are summarized on page 50. 139 Fiscal Year 2023 Budget Estimates to Congress Summary - Requested Resources OUTLAYS (Dollars in Millions) FY 2022 FY 2023 FY 2021 Annualized Congressional Actuals CR Amount Request FCC - Without Office of Inspector General: New Offsetting Collections: Regulatory Fees1 $329 $363 $378 Spectrum Auctions Cost Recovery Reimbursement $124 $134 $132 Economy Act Reimbursable Agreements $1 $4 $4 Subtotal - Outlays from Offsetting Collections Authority (FCC) $454 $501 $514 FCC - Office of Inspector General (OIG): New Offsetting Collections: Outlays from New Offsetting Collections Authority (OIG) $9 $11 $12 TOTAL OUTLAYS - Offsetting Collections Authority $463 $512 $526 1The Commission’s other budget authorities are summarized on page 50. FULL-TIME EQUIVALENTs (FTEs) FY 2022 FY 2023 FY 2021 Annualized Congressional Actuals CR Amount Request Total Compensable Work Years: Full-Time Equivalents (FTEs) Employment 1,464 1,472 1,600 Proposed Distribution: Offsetting Collections - Commission without OIG 1,225 1,209 1,337 Offsetting Collections - Office of Inspector General 47 60 60 Subtotal - Regulatory Fees (Offsetting Collections) 1,272 1,269 1,397 Spectrum Auctions Program 192 203 203 TOTAL FTEs - COMMISSION 1,464 1,472 1,600 The FTE numbers include the Spectrum Auctions Program FTEs. 140 Fiscal Year 2023 Budget Estimates to Congress Summary - Distribution of Resources REGULATORY FEES – OFFSETTING COLLECTIONS (INCLUDING OIG) (Dollars in Thousands) FY 2022 FY 2023 FY 2021 Annualized Congressional Object Classification Description Actuals CR Amount Request Personnel Compensation & Benefits: Full-time & Other than full-time Permanent (11.1 & 11.3) $190,856 $197,724 $225,866 Personnel benefits (12.0) 63,066 61,324 69,803 Subtotal - Personnel Compensation & Benefits $253,922 $259,048 $295,669 Other Expenses: Benefits for former personnel (13.0) $52 $52 $54 Travel & transportation of persons (21.0) 550 1,090 1,136 Transportation of things (22.0) 10 57 60 Rent payments to GSA (23.1) 15,872 23,693 22,269 Communications, utilities, & misc. charges (23.3) 4,658 5,263 5,484 Printing and reproduction (24.0) 1,086 1,225 1,277 Other services from non-Federal sources (25.2) 20,582 49,870 20,236 Other goods & services from Federal sources (25.3) 8,301 3,444 3,588 Operation & maintenance of equipment (25.7) 31,434 27,831 35,895 Supplies and materials (26.0) 489 823 857 Equipment (31.0) 614 907 2,945 Land and structures (32.0) 478 486 506 Insurance claims & interest (40.0) 61 211 216 Subtotal - Other Expenses $84,187 $114,952 $94,523 Total Obligations from Regulatory Fees $338,109 $374,000 $390,192 Total Resources from Regulatory Fees 1 $338,109 $374,000 $390,192 1 The Commission’s other budget authorities are summarized on page 50. 141 Fiscal Year 2023 Budget Estimates to Congress Summary - Distribution of Resources SPECTRUM AUCTIONS COST RECOVERY REIMBURSABLE AUTHORITY (INCLUDING OIG) (Dollars in Thousands) FY 2022 FY 2023 FY 2021 Annualized Congressional Object Classification Description Actuals CR Amount Request Personnel Compensation & Benefits: Full-time & Other than full-time Permanent (11.1 & 11.3) $28,880 $31,871 $33,913 Personnel benefits (12.0) 9,890 10,153 10,756 Subtotal - Personnel Compensation & Benefits $38,770 $42,024 $44,669 Other Expenses: Benefits for former personnel (13.0) $8 $9 $8 Travel & transportation of persons (21.0) 0 285 297 Transportation of things (22.0) 2 9 9 Rent payments to GSA (23.1) 3,316 4,598 4,225 Communications, utilities, & misc. charges (23.3) 1,993 1,851 2,043 Printing and reproduction (24.0) 177 284 296 Other services from non-Federal sources (25.2) 18,603 38,577 31,842 Other goods & services from Federal sources (25.3) 1,295 797 830 Operation & maintenance of equipment (25.7) 59,581 45,822 47,747 Supplies and materials (26.0) 66 111 116 Equipment (31.0) 211 113 118 Insurance claims & interest (40.0) 6 15 31 Subtotal - Other Expenses $85,258 $92,471 $87,562 Total - Auctions Cost Recovery Reimbursable Authority $124,028 $134,495 $132,231 142 Fiscal Year 2023 Budget Estimates to Congress Summary – Distribution of Resources GOVERNMENT/OTHER REIMBURSABLE AUTHORITY (Dollars in Thousands) FY 2022 FY 2023 FY 2021 Annualized Congressional Object Classification Description Actuals CR Amount Request Personnel Compensation & Benefits: Full-time & Other than full-time Permanent (11.1 & 11.3) $266 $350 $350 Personnel benefits (12.0) 79 90 90 Subtotal - Personnel Compensation & Benefits $345 $440 $440 Other Expenses: Travel & transportation of persons (21.0) $0 $50 $50 Other services from non-Federal sources (25.2) 578 2,735 2,735 Operation & maintenance of equipment (25.7) 0 425 425 Supplies and materials (26.0) 3 50 50 Equipment (31.0) 11 300 300 Subtotal - Other Expenses $592 $3,560 $3,560 Total Government/Other Reimbursable Authority $937 $4,000 $4,000 CREDIT PROGRAM ACCOUNT (Dollars in Thousands) FY 2022 FY 2023 FY 2021 Annualized Congressional Object Classification Description Actuals CR Amount Request Other Expenses: Other services from non-Federal sources (25.2) $0 $29 $0 Total Credit Program $0 $29 $0 Note: The Commission is currently working with OMB to close out the Credit Program. OIG has no Credit Program funds. 143 Fiscal Year 2023 Budget Estimates to Congress Summary – Distribution of Resources TV BROADCASTER RELOCATION FUND (Dollars in Thousands) FY 2022 FY 2023 FY 2021 Annualized Congressional Object Classification Description Actuals CR Amount Request Grants, subsidies, and contributions (41.0) $143,000 $772,289 $0 Subtotal - Other Expenses $143,000 $772,289 $0 Total TV Broadcaster Relocation Fund $143,000 $772,289 $0 Note: The Middle Class Tax Relief and Job Creation Act of 2012 (2012 Act) mandated that the Commission reimburse reasonable channel relocation costs incurred by those qualified TV Broadcasters that will be affected by spectrum relocation. The 2012 Act also gave the Commission the authority to use $1.75 billion from Incentive Auction revenues to reimburse TV Broadcasters for relocation costs. Additional authority totaling $1 billion was provided to the Commission for this and for other purposes by the Consolidated Appropriations Act, 2018, Public Law 115-141. The TV Broadcaster Relocation Fund is capped at $2.75 billion. The amount shown for FY 2022 is an estimated carryover of funds that is available until July 3, 2023. Any remaining unused funds from FY 2021 will be carried over to FY 2022 and any remaining unused funds from FY 2022 will be carried over to FY 2023. OFFICE OF INSPECTOR GENERAL – UNIVERSAL SERVICE FUND (Dollars in Thousands) FY 2022 FY 2023 FY 2021 Annualized Congressional Object Classification Description Actuals CR Amount Request Other Expenses: Travel & transportation of persons (21.0) $6 $13 $0 Other services from non-Federal sources (25.2) 32 4,458 0 Other goods & services from Federal sources (25.3) 0 16 0 Equipment (31.0) 0 115 0 Subtotal - Other Expenses $38 $4,603 $0 Total Universal Service Program $38 $4,603 $0 Note: The Office of Inspector General (OIG) - Universal Service Fund (USF) represents carryover funds. These resources are presented in a separate schedule apart from the Salaries & Expenses account and funded from amounts transferred from the USF in FY 2008, as permitted in appropriations language for that year. No new budget authority is requested by the OIG in FYs 2021 and 2022. The carryover balances will be used to continue the USF oversight by OIG. Any remaining unused funds from FY 2021 will be carried over to FY 2022 and any remaining unused funds from FY 2022 will be carried over to FY 2023. 144 Fiscal Year 2023 Budget Estimates to Congress Summary – Distribution of Resources REGULATORY FEES – OFFSETTING COLLECTIONS (EXCLUDING OIG) (Dollars in Thousands) FY 2022 FY 2023 FY 2021 Annualized Congressional Object Classification Description Actuals CR Amount Request Personnel Compensation & Benefits: Full-time & Other than full-time Permanent (11.1 & 11.3) $184,330 $189,904 $217,619 Personnel benefits (12.0) 60,867 58,936 67,282 Subtotal - Personnel Compensation & Benefits $245,197 $248,840 $284,902 Other Expenses: Benefits for former personnel (13.0) $51 $52 $54 Travel & transportation of persons (21.0) 550 1,024 1,067 Transportation of things (22.0) 10 57 60 Rent payments to GSA (23.1) 15,693 23,350 21,912 Communications, utilities, & misc. charges (23.3) 4,658 5,263 5,484 Printing and reproduction (24.0) 1,086 1,226 1,277 Other services from non-Federal sources (25.2) 20,489 49,334 19,477 Other goods & services from Federal sources (25.3) 8,301 3,305 3,444 Operation & maintenance of equipment (25.7) 31,434 27,831 35,895 Supplies and materials (26.0) 488 822 856 Equipment (31.0) 614 874 2,910 Land and structures (32.0) 478 486 506 Insurance claims & interest (40.0) 61 211 216 Subtotal - Other Expenses $83,914 $113,834 $93,158 Total - Obligations from Regulatory Fees $329,111 $362,674 $378,060 Total - Resources from Regulatory Fees 1 $329,111 $362,674 $378,060 1The Commission’s other budget authorities are summarized on page 50. 145 Fiscal Year 2023 Budget Estimates to Congress Summary – Distribution of Resources SPECTRUM AUCTIONS COST RECOVERY REIMBURSEMENT AUTHORITY (EXCLUDING OIG) (Dollars in Thousands) FY 2022 FY 2023 FY 2021 Annualized Congressional Object Classification Description Actuals CR Amount Request Personnel Compensation & Benefits: Full-time & Other than full-time Permanent (11.1 & 11.3) $28,880 $31,871 $33,913 Personnel benefits (12.0) 9,890 10,153 10,755 Subtotal - Personnel Compensation & Benefits $38,770 $42,024 $44,669 Other Expenses: Benefits for former personnel (13.0) $8 $8 $9 Travel & transportation of persons (21.0) 0 285 297 Transportation of things (22.0) 2 9 10 Rent payments to GSA (23.1) 3,316 4,598 4,225 Communications, utilities, & misc. charges (23.3) 1,993 1,851 2,043 Printing and reproduction (24.0) 177 284 296 Other services from non-Federal sources (25.2) 18,605 38,447 31,705 Other goods & services from Federal sources (25.3) 1,295 791 825 Operation & maintenance of equipment (25.7) 59,581 45,822 47,747 Supplies and materials (26.0) 64 109 116 Equipment (31.0) 211 113 118 Insurance claims & interest (40.0) 6 15 31 Subtotal - Other Expenses $85,258 $92,334 $87,419 Total - Auctions Cost Recovery Reimbursable Obligations $124,028 $134,358 $132,088 146 Fiscal Year 2023 Budget Estimates to Congress Summary – Distribution of Resources REGULATORY FEES – OFFSETTING COLLECTIONS (OFFICE OF INSPECTOR GENERAL) (Dollars in Thousands) FY 2022 FY 2023 FY 2021 Annualized Congressional Object Classification Description Actuals CR Amount Request Personnel Compensation & Benefits: Full-time & Other than full-time Permanent (11.1 & 11.3) $6,526 $7,820.16 $8,247 Personnel benefits (12.0) 2,200 2,388 2,519 Subtotal - Personnel Compensation & Benefits $8,726 $10,208 $10,766 Other Expenses: Travel & transportation of persons (21.0) $0 $66 $70 Rent payments to GSA (23.1) 178 343 357 Other services from non-Federal sources (25.2) 93 537 759 Other goods & services from Federal sources (25.3) 0 139 145 Supplies and materials (26.0) 0 1 1 Equipment (31.0) 0 33 34 Subtotal - Other Expenses $272 $1,119 $1,365 Total - Obligations from Regulatory Fees $8,997 $11,327 $12,131 Total - Resources from Regulatory Fees $8,997 $11,327 $12,131 SPECTRUM AUCTIONS COST RECOVERY REIMBURSABLE AUTHORITY (OFFICE OF INSPECTOR GENERAL) (Dollars in Thousands) FY 2022 FY 2023 FY 2021 Annualized Congressional Object Classification Description Actuals CR Amount Request Other Expenses: Other services from non-Federal sources (25.2) $0 $132 $138 Other goods & services from Federal sources (25.3) 0 5 5 Subtotal - Other Expenses $0 $137 $143 Total - Auctions Cost Recovery Reimbursable Obligations $0 $137 $143 147 Fiscal Year 2023 Budget Estimates to Congress Summary – Distribution of Resources OTHER NEW BUDGET AUTHORITIES ALREADY PROVIDED (Dollars in Thousands) Fiscal Year of Budget Authority FY 2020 FY 2021 FY 2022 Secure & Trusted Emergency Commun- COVID-19 Telehealth Emergency Affordable Broadband ications Broadband Program/Fund Name Program Connectivity Connectivity Connectivity Network DATA Act Fund Fund Fund Reimbur- sement Round 1 Round 2 Fund Object Classification Description Personnel Compensation & Benefits: Full-time & Other than full-time Permanent (11.1 & 11.3) $0 $0 $0 $0 $0 $0 $0 Personnel benefits (12.0) 0 0 0 0 0 0 0 Subtotal - Personnel Compensation & Benefits $0 $0 $0 $0 $0 $0 $0 Other Expenses: Other services from non-Federal sources (25.2) $0 $6,600 $63,940 $6,477 $0 $108,110 $36,853 Other goods & services from Federal sources (25.3) 0 0 0 0 0 0 0 Operation & maintenance of equipment (25.7) 0 0 60 1,291 0 0 0 Grants, Subsidies, & Contributions (41.0) 200,000 243,274 2,791,353 0 0 4,608,209 0 Subtotal - Other Expenses1 $200,000 $249,874 $2,855,353 $7,768 $0 $4,716,320 $36,853 Total Obligations $200,000 $249,874 $2,855,353 $7,768 $0 $4,716,320 $36,853 1Refer to page 50 for additional information. Total Obilgations as of February 28, 2022. 148 Fiscal Year 2023 Budget Estimates to Congress Summary - Distribution of Resources by Strategic Goals (Dollars in Thousands) Closing the Protecting Reforming Strategic Goals (FY 2021) Digital Promoting Consumers & the FCC’s Divide Innovation Public Safety Processes TOTAL Regulatory Fees: FY 2021 Actuals $107,615 $70,062 $84,883 $75,549 $338,109 Spectrum Auctions Program FY 2021 Actuals $43,153 $9,312 $250 $71,313 $124,028 Other New Budget Authorities Already Provided1 FY 2021 Actuals $2,369,520 $0 $6,457 $361 $2,376,338 1 Refer to page 50 for a summary and status of these new budget authorities that were already provided. Promote Fiscal Year 2022 -2023 Pursue a Diversity, Enhance Advance "100 Equity, Public America's New Strategic Goals Percent" Inclusion Safety and Global Foster Broadband and Empower National Competitive- Operational Policy Acessibility Consumers Security ness Excellence TOTAL Regulatory Fees: FY 2022 Annualized CR $90,484 $8,711 $57,932 $54,330 $87,978 $74,565 $374,000 Less: FY 2022 One-Time Investment Requests -$413 -$181 -$180 -$180 $0 -$1,625 -$2,579 Less: FY 2022 New HQ Rent Savings $0 -$232 $0 $0 $0 -$2,090 -$2,322 Less: Broadband DATA Act Funding Reduction -$33,000 $0 $0 $0 $0 $0 -$33,000 FY 2023 Base Level $57,071 $8,298 $57,752 $54,150 $87,978 $70,850 $336,099 FY 2023 Adjustments to Base: Salary Increase $5,006 $344 $1,754 $1,686 $3,088 $1,883 $13,761 Non-Salary Inflationary Increase $1,238 $85 $434 $417 $763 $465 $3,402 Base Increase from New Initiatives $9,794 $2,462 $4,786 $5,641 $2,549 $10,618 $35,850 Subtotal $16,038 $2,891 $6,974 $7,744 $6,400 $12,966 $53,013 FY 2023 One-Time Investment Requests $0 $0 $0 $0 $0 $1,080 $1,080 FY 2023 Budget Estimates $73,109 $11,189 $64,726 $61,894 $94,378 $84,896 $390,192 Spectrum Auctions Program FY 2022 Annualized CR $64,489 $5,986 $400 $400 $9,342 $53,878 $134,495 Less: Reduction to Base & New HQ Rent Savings -$8,481 -$17 -$1 -$1 -$26 -$152 -$8,678 FY 2023 Base Level $56,008 $5,969 $399 $399 $9,316 $53,726 $125,817 FY 2023 Adjustments to Base: FY 2023 Salary Inflationary Increase $946 $65 $332 $319 $584 $356 $2,602 FY 2023 Non-Salary Inflationary Increase $1,387 $95 $486 $467 $855 $522 $3,812 FY 2023 Budget Estimates $58,341 $6,129 $1,217 $1,185 $10,755 $54,604 $132,231 Other New Budget Authorities Already Provided1 FY 2022 Enacted $14,200,000 $0 $0 $0 $0 $0 $14,200,000 1Refer to page 50 for a summary and status of these new budget authorities that were already provided. 149 Fiscal Year 2023 Budget Estimates to Congress Allocation of Obligations by Budget Object Class Code (Dollars in Thousands) Base FY 2022 FY 2022 Non-Payroll Adjustments FY 2023 FY 2021 Annualized One-Time FY 2023 Inflationary & One-Time Congressional Budget Object Class Codes and Descriptions Actuals CR Amount Reductions Base Pay Increase Increase Requests Request 11 Personnel Compensation $190,856 $197,724 -$2,310 $195,414 $10,457 $0 $19,996 $225,866 12 Benefits $63,066 $61,324 -$690 $60,634 $3,305 $0 $5,863 $69,803 13 Benefits for former personnel $52 $52 $0 $52 $0 $2 $0 $54 21 Travel & transportation of persons $550 $1,090 $0 $1,090 $0 $46 $0 $1,136 22 Transportation of things $10 $57 $0 $57 $0 $2 $0 $60 23.1 Rent payments to GSA $15,872 $23,693 -$2,322 $21,371 $0 $898 $0 $22,269 23.3 Communications, utilities, & misc. charges $4,658 $5,263 $0 $5,263 $0 $221 $0 $5,484 24 Printing and reproduction $1,086 $1,225 $0 $1,225 $0 $51 $0 $1,277 25.2 Other services from non-Federal sources $20,582 $49,870 -$30,683 $19,187 $0 $849 $200 $20,236 25.3 Other goods & services from Federal sources $8,301 $3,444 $0 $3,444 $0 $145 $0 $3,588 25.7 Operation & maintenance of equipment $31,434 $27,831 -$1,896 $25,935 $0 $1,089 $8,871 $35,895 26 Supplies and materials $489 $823 $0 $823 $0 $35 $0 $857 31 Equipment $614 $907 $0 $907 $0 $38 $2,000 $2,945 32 Land and structures $478 $486 $0 $486 $0 $20 $0 $506 40 Insurance claims & interest $61 $211 $0 $211 $0 $5 $0 $216 Regulatory Fees Budget Authority Request $338,109 $374,000 -$37,901 $336,099 $13,762 $3,401 $36,930 $390,192 Spectrum Auction Cost Recovery Reimbursement $124,028 $134,495 $0 $134,495 $2,602 $3,812 -$8,678 $132,231 Reimbursables - Government/Other $937 $4,000 $0 $4,000 $0 $0 $0 $4,000 TOTAL Budget Authority Request $463,074 $512,495 -$37,901 $474,594 $16,364 $7,213 $28,252 $526,423 Note: The Commission’s other budget authorities are summarized on page 50. 150 EXHIBITS AND REPORTS 151 This page is intentionally left blank 152 Award Spending Estimates As required by OMB Circular A-11, Section 32.1, the following chart summarizes the Commission’s award estimates for FYs 2022 and 2023. (Dollars in Thousands) FY 2022 Estimated Salary Spending for Non-SES/SL/ST Positions $232,254 Estimate Percentage of Award Spending for Non-SES/SL/ST 2.47% FY 2022 Estimated Award Spending for Non-SES/SL/ST $5,737 FY 2023 Estimated Salary Spending for Non-SES/SL/ST Positions $246,643 Estimate Percentage of Award Spending for Non-SES/SL/ST 2.47% FY 2023 Estimated Award Spending for Non-SES/SL/ST $6,092 Estimated Increase in FY 2023 Award Spending for Non-SES/SL/ST $355 153 Universal Service Fund Exhibit Under the Telecommunications Act of 1996, telecommunications carriers that provide interstate and international telecommunications services are required to contribute funds for the preservation and advancement of universal service. The contributions generally provided, in turn, by each carrier's subscribers, are used to provide services eligible for universal service support as prescribed by the FCC. Administrative costs of the program are provided from carrier contributions. For budgetary purposes, the USF consist of four universal service support mechanisms. In addition, in Fiscal Year 2020 the Commission adopted the final rules for the Connected Care Pilot Program, to provide $100 million in funding to selected applicants for select pilot projects covering 85% of the eligible costs of broadband connectivity, network equipment, and information services necessary to provide connected care services to the intended population over a three year period. Public Law 117-103 temporarily suspended the application of the Antideficiency Act to the Federal USF programs authorized under section 210 of the Communications Act of 1934, through December 31, 2022. The Antideficiency Act requires that funds be available before incurring an obligation on behalf of the Federal Government. Program and Financing (in millions of dollars) 2021 Actual 2022 Est. 2023 Est. Obligation by program activity: 0001 Universal service fund $8,592 $15,253 $14,417 0002 Program support $200 $224 $232 0900 Total new obligations (object class 41.0) $8,792 $15,477 $14,649 Budgetary resources 1000 Unobligated balance carried forward, start of year ($9,715) ($8,870) ($15,530) 1010 Unobligated balance transfer to other accounts $0 $0 $0 1021 Recoveries of prior year unpaid obligations $402 $779 $696 1033 Recoveries of prior year paid obligations $45 $0 $0 1050 Unobligated balance (total) ($9,268) ($8,091) ($14,834) Budget authority: Mandatory 1201 Appropriation(special fund) - Receipt $9,190 $8,038 $8,179 1201 Appropriation(special fund) - Interest $0 $0 $0 1220 Appropriation transferred to other accounts $0 $0 $0 1260 Appropriation, mandatory (total) $9,190 $8,038 $8,179 Spending authority from offsetting collections, mandatory: 1850 Collected (total) $0 $0 $0 1900 Budget authority (total) $9,190 $8,038 $8,179 1930 Total budgetary resources available ($78) ($53) ($6,655) 1941 Unexpired unobligated balance, end of year ($8,870) ($15,526) ($21,305) Change in obligated balances: 3000 Unpaid obligated balance, start of year $15,627 $15,275 $21,442 3010 Obligation incurred, unexpired accounts $8,792 $15,477 $14,649 3020 Total outlays (gross) ($8,742) ($8,531) ($8,290) 3030 Unpaid obligation transferred to other accounts $0 $0 $0 3040 Recoveries of prior year obligations ($402) ($779) ($696) 3050 Unpaid obligated balance, end of year (net) $15,275 $21,442 $27,105 3100 Obligation balance, start of year $15,627 $15,275 $21,442 3200 Obligation balance, end of year $15,275 $21,442 $27,105 Budget authority and outlays net: 4090 Budget authority gross: $9,190 $8,038 $8,179 4100 Outlays from new mandatory authority $4,498 $4,037 $4,138 4101 Outlays from new mandatory balances $4,244 $4,494 $4,152 4110 Total outlays (net) $8,742 $8,531 $8,290 Offsets against gross budget authority and outlays 4123 Offsetting collection from Non-Federal sources ($45) $0 $0 4143 Recoveries of prior year paid obligations, unexpired accounts $45 $0 $0 4160 Budget authority net (mandatory) $9,190 $8,038 $8,179 4170 Outlays net (mandatory) $8,697 $8,531 $8,290 4180 Budget authority net (total) $9,190 $8,038 $8,179 4190 Outlays net (total) $8,697 $8,531 $8,290 Memorandum (non-add) entries: 5000 Total investments, start of year: Federal securities: Par value $0 $0 $0 5001 Total investments, end of year: Federal securities: Par value $0 $0 $0 Unexpended balance memorandum entires 5311 Direct unobligated balance, start of year ($9,715) ($8,870) $0 5314 Mandatory unobligated balance, start of year ($9,715) ($8,870) $0 5321 Direct unobligated balance, end of year ($8,870) $0 $0 5324 Mandatory unobligated balance, end of year ($8,870) $0 $0 5331 Direct obligated balance, start of year $15,627 $15,275 $0 5334 Mandatory obligated balance, start of year $15,627 $15,275 $0 5341 Direct obligated balance, end of year $15,275 $0 $0 5344 Mandatory obligated balance, end of year $15,275 $0 $0 154 Telecommunications Relay Service Fund Exhibit As part of the Americans with Disabilities Act of 1990 Congress amended the Communications Act of 1934 (Act) to direct the Commission "to ensure that interstate and intrastate telecommunications relay services (TRS) are available, to the extent possible and in the most efficient manner, to hearing and speech-impaired individuals in the United States." Section 225 of the Act also directs the Commission to prescribe regulations that "generally provide that costs caused by interstate telecommunications relay services shall be recovered from all subscribers for every interstate service and costs caused by intrastate telecommunications relay service shall be recovered from the intrastate jurisdiction." The shared-funding mechanism requires providers of interstate telecommunications services to contribute to a fund that reimburses TRS providers for the cost of providing interstate TRS. All telecommunications service providers and certain other providers of telecommunications contribute to the TRS Fund based on a percentage of their end-user telecommunications revenues. These companies include, but are not limited to, wireline phone companies, wireless phone companies, paging service companies and certain Voice over Internet Protocol (VoIP) providers. Program and Financing (in millions of dollars) 2021 Actual 2022 Est. 2023 Est. Obligation by program activity: 0001 Telecommunications relay services $1,428 $1,430 $1,435 0002 Program support $19 $20 $20 0900 Total new obligations (object class 41.0) $1,447 $1,450 $1,455 Budgetary resources 1000 Unobligated balance carried forward, start of year $346 $463 $486 1011 Unobligated balance transfer from other accounts $0 $0 $0 1021 Recoveries of prior year unpaid obligations $2 $5 $5 1050 Unobligated balance (total) $348 $468 $491 Budget authority: Mandatory 1201 Appropriation(special fund) - Receipt $1,562 $1,468 $1,483 1221 Appropriation transferred from other accounts $0 $0 $0 1260 Appropriation, mandatory (total) $1,562 $1,468 $1,483 1930 Total budgetary resources available $1,910 $1,936 $1,974 1941 Unexpired unobligated balance, end of year $463 $486 $519 Change in obligated balances: 3000 Unpaid obligated balance, start of year $31 $32 $119 3010 Obligation incurred, unexpired accounts $1,447 $1,450 $1,455 3020 Total outlays (gross) ($1,444) ($1,358) ($1,371) 3031 Unpaid obligation transferred from other accounts [027-5183] $0 $0 $0 3040 Recoveries of prior year obligations ($2) ($5) ($5) 3050 Unpaid obligated balance, end of year (net) $32 $119 $198 3100 Obligation balance, start of year $31 $32 $119 3200 Obligation balance, end of year $32 $119 $198 Budget authority and outlays net: 4090 Budget authority gross: $1,562 $1,468 $1,483 4100 Outlays from new mandatory authority $1,190 $1,154 $1,165 4101 Outlays from new mandatory balances $254 $204 $206 4110 Total outlays (net) $1,444 $1,358 $1,371 Offsets against gross budget authority and outlays 4160 Budget authority net (mandatory) $1,562 $1,468 $1,483 4170 Outlays net (mandatory) $1,444 $1,358 $1,371 4180 Budget authority net (total) $1,562 $1,468 $1,483 4190 Outlays net (total) $1,444 $1,358 $1,371 Unexpended balance memorandum entires 5311 Direct unobligated balance, start of year $346 $464 $0 5314 Mandatory unobligated balance, start of year $346 $464 $0 5321 Direct unobligated balance, end of year $464 $0 $0 5324 Mandatory unobligated balance, end of year $464 $0 $0 5331 Direct obligated balance, start of year $31 $32 $0 5334 Mandatory obligated balance, start of year $31 $32 $0 5341 Direct obligated balance, end of year $32 $0 $0 5344 Mandatory obligated balance, end of year $32 $0 $0 155 GAO – IG Act Audit List Good Accounting Obligation in Government Act Report In accordance with the Good Accounting Obligation in Government Act (GAO-IG Act), the Federal Communications Commission (FCC or Commission) provides the following report. The report describes the Commission’s actions on outstanding public recommendations of the Government Accountability Office (GAO) and the Commission’s Office of the Inspector General (OIG), which have remained unimplemented for one year or more as of the date on which the annual budget justification is submitted. The first section of the report provides information on the status of implementing GAO public recommendations designated by the GAO as Open or Closed, Unimplemented. The second section of the report provides information on the status of implementing OIG’s recommendations for which the Commission has not completed final action. In accordance with the GAO-IG Act, both sections provide the required reporting elements for recommendations published not less than one year before the date on which the annual budget justification is submitted. The GAO-IG Act also requires agencies to include a statement describing the status of implementing public recommendations open less than one year. For the GAO and OIG recommendations meeting this parameter, as of February 21, 2021, the Commission is in the process of implementing those recommendations, awaiting closure of the recommendations by the GAO or OIG, or awaiting discussions with the GAO or OIG on further actions to be implemented, if any, to close the recommendations. The GAO-IG Act requires agencies to disclose discrepancies between its report and reports issued by the GAO and OIG. The Commission is not aware of any discrepancies between this report and public reports issued by the GAO relating to public recommendations designated by the GAO as Open or Closed, Unimplemented. Further, the Commission is not aware of any discrepancies between this report and the semiannual reports submitted by the OIG under Section 5 of the Inspector General Act of 1978 (5 U.S.C. App.). FCC Report on Outstanding GAO and OIG Recommendations 1. GAO Recommendations • Implementation Status of GAO Public Recommendations Designated by the GAO as “open” or “closed, unimplemented.” The reporting details are provided in Section 1. As required by the GAO-IG Act, the details include the implementation status of each public recommendation, to include a timeline for full implementation, as applicable; e.g., for several recommendations, the Commission believes it has completed final action and is awaiting GAO concurrence and closure of the recommendations. The Commission did not include recommendations that were over four years old that GAO and the FCC agreed to label as “closed, unimplemented” because GAO agreed to close those recommendations. 156 2. OIG Recommendations • Implementation Status of OIG Public Recommendations for which Final Action Has Not Been Completed. The reporting details are provided in Section 2. As required by the GAO-IG Act, the details include the implementation status of each public recommendation, to include a timeline for implementation, as applicable; e.g., for several recommendations, the Commission believes it has completed final action and is awaiting OIG concurrence and closure of the recommendations. 157 Section 1 - Implementation Status of GAO Public Recommendations Designated by the GAO as Open or Closed, Unimplemented Rec. No. Report Timeline for Full Justification for Decision Not to Report Title Issued Date in GAO Recommendation Number Implementation Implement Report TELECOMMUNICATIONS Following the establishment of TRS's RELAY SERVICE: performance goals, the Chairman of the GAO-15- FCC Should Strengthen Its Federal Communications Commission should 04/29/2015 2 FY 2022 Implementation is in progress 409 Management of Program to conduct a robust risk assessment that can help Assist Persons with Hearing or FCC design a comprehensive internal-control Speech Disabilities system. To address control weaknesses and related At this time the FCC has not adopted a self- TELECOMMUNICATIONS: program-integrity risks we identified in enforcing mechanism and it should be noted GAO-17- Additional Action Needed to Lifeline, the Chairman of FCC should require Expect to be Closed 05/30/2017 1 that the current disbursement level is 538 Address Significant Risks in Commissioners to review and approve, as as Not Implemented significantly lower than the current budgeted FCC's Lifeline Program appropriate, spending above the budget in a amount for the Lifeline Program. timely manner. To address control weaknesses and related program-integrity risks we identified in TELECOMMUNICATIONS: The FCC has resumed approving compliance Lifeline, the Chairman of FCC should GAO-17- Additional Action Needed to Expect to be Closed plans in limited circumstances but at this 05/30/2017 3 establish time frames to evaluate compliance 538 Address Significant Risks in as Not Implemented time has not established a time frame for this plans and develop instructions with criteria for FCC's Lifeline Program FCC reviewers how to evaluate these plans to issue. meet Lifeline's program goals. 158 Section 1 - Implementation Status of GAO Public Recommendations Designated by the GAO as Open or Closed, Unimplemented Rec. Report Issued No. in Timeline for Full Justification for Decision Report Title Recommendation Number Date GAO Implementation Not to Implement Report To address our findings regarding the USF, the TELECOMMUNICATIONS: Chairman of FCC should take action to respond GAO-17- Additional Action Needed to to USAC requests for guidance and address Implementation is in progress 05/30/2017 7 pending requests concerning USF contribution FY 2022 538 Address Significant Risks in requirements to ensure the contribution factor is FCC's Lifeline Program based on complete information and that USF pass-through charges are equitable. The Chairman of the Federal Communications Commission should develop and implement BROADBAND INTERNET: GAO-18- methods--such as a targeted data collection--for FCC’s Data Overstate Access on 09/07/2018 1 FY 2023 Implementation is in progress 630 collecting and reporting accurate and complete Tribal Lands data on broadband access specific to tribal lands. The Chairman of the Federal Communications Commission should develop a formal process BROADBAND INTERNET: GAO-18- to obtain tribal input on the accuracy of FCC’s Data Overstate Access on 09/07/2018 2 FY 2023 Implementation is in progress 630 provider-submitted broadband data that Tribal Lands includes outreach and technical assistance to help tribes participate in the process. The Chairman of the Federal Communications Commission should obtain feedback from tribal BROADBAND INTERNET: stakeholders and providers on the effectiveness GAO-18- FCC’s Data Overstate Access on 09/07/2018 3 of FCC's 2012 statement to providers on how to FY 2023 Implementation is in progress 630 Tribal Lands fulfill their tribal engagement requirements to determine whether FCC needs to clarify the agency's tribal engagement statement. 159 Section 1 - Implementation Status of GAO Public Recommendations Designated by the GAO as Open or Closed, Unimplemented Rec. Report Issued No. in Timeline for Full Justification for Decision Report Title Recommendation Number Date GAO Implementation Not to Implement Report Rather than attempting to distinguish particular high-bandwidth IoT INTERNET OF THINGS: applications, we believe the best The Chairman of FCC should track the growth GAO-18- FCC Should Track Growth to Expect to be Closed as Not approach is to monitor growth of overall 11/16/2017 1 in high bandwidth IoT devices, such as video 71 Ensure Sufficient Spectrum Implemented traffic statistics and forecasts, and how streaming devices and optical sensors. Remains Available they affect aggregate spectrum requirements for all applications and services. We maintain a database of all unlicensed devices that are certified to comply with the Commission's INTERNET OF THINGS: technical rules. However, it would not GAO-18- FCC Should Track Growth to The Chairman of FCC should track the growth Expect to be Closed as Not be practical to determine which of these 11/16/2017 2 71 Ensure Sufficient Spectrum in IoT devices relying on unlicensed spectrum. Implemented devices qualify as IoT. For example, Remains Available any Wi-Fi router could be used to connect with devices such as a wireless baby video monitor, or it might not be used for such a purpose. INFORMATION SECURITY: FCC Improved Its Electronic GAO-19- Recommendations in this report are non-public. Comment System, but Needs to 09/26/2019 multiple FY 2023 Implementation is in progress 247SU Nine (9) of the recommendations remain open. Remedy Additional Control Weaknesses The Chairman of the Federal Communications Commission should determine and execute a methodology for collecting and analyzing WIRELESS INTERNET: data—such as conducting a new pilot program FCC Should Assess Making GAO-19- regarding off-premises wireless access or Off-School-Premises Access 07/29/2019 1 FY 2022 Implementation is in progress 564 analyzing other data—to assess the potential Eligible for Additional Federal benefits, costs, and challenges of making off- support premises wireless access eligible for E-rate program support, and publish the results of this analysis. 160 Section 1 - Implementation Status of GAO Public Recommendations Designated by the GAO as Open or Closed, Unimplemented Rec. Report Issued No. in Timeline for Full Justification for Decision Report Title Recommendation Number Date GAO Implementation Not to Implement Report TRIBAL BROADBAND: The Chairman of FCC should collect data on the GAO-19- FCC Should Undertake Efforts extent that tribal entities are obtaining and 11/14/2018 1 FY 2023 Implementation is in progress 75 to Better Promote Tribal Access accessing spectrum and use this information as to Spectrum FCC implements ongoing spectrum initiatives. The Chairman of FCC should analyze data to TRIBAL BROADBAND: better understand the extent that unused GAO-19- FCC Should Undertake Efforts spectrum licenses exist over tribal lands, such 11/14/2018 2 FY 2023 Implementation is in progress 75 to Better Promote Tribal Access as by analyzing the data for a sample of tribal to Spectrum lands, and as appropriate use this information to inform its oversight of the secondary market. The Chairman of FCC should make information TRIBAL BROADBAND: on spectrum-license holders more accessible GAO-19- FCC Should Undertake Efforts and easier to understand for interested parties, 11/14/2018 3 FY 2023 Implementation is in progress 75 to Better Promote Tribal Access including tribal entities, to promote their ability to Spectrum to purchase or lease spectrum licenses from other providers. The Chairman of FCC should ensure that TELECOMMUNICATIONS: FCC’s Office of Managing Director follows the FCC Should Take Additional leading practices in GAO’s fraud risk GAO-20- Action to Manage Fraud Risks in 11/18/2019 1 framework related to a dedicated entity’s FY 2022 Implementation is in progress 27 Its Program to Support Broadband Service in High- management of its antifraud activities, such as Cost Areas serving as the repository of knowledge on fraud risks and coordinating antifraud initiatives. TELECOMMUNICATIONS: The Chairman of FCC should plan regular FCC Should Take Additional fraud-risk assessments tailored to the high-cost GAO-20- Action to Manage Fraud Risks in 11/18/2019 2 program and assess these risks to determine the FY 2022 Implementation is in progress 27 Its Program to Support program’s fraud risk profile, as provided in Broadband Service in High- Cost Areas GAO’s fraud risk framework. 161 Section 1 - Implementation Status of GAO Public Recommendations Designated by the GAO as Open or Closed, Unimplemented Rec. Report Issued No. in Timeline for Full Justification for Decision Report Title Recommendation Number Date GAO Implementation Not to Implement Report TELECOMMUNICATIONS: The Chairman of FCC should design and FCC Should Take Additional implement an antifraud strategy for the high- GAO-20- cost program with specific control activities, Action to Manage Fraud Risks in 11/18/2019 3 FY 2023 Implementation is in progress 27 Its Program to Support based upon the results of fraud-risk assessments Broadband Service in High- and a corresponding fraud risk profile, as Cost Areas provided in GAO’s fraud risk framework. TELECOMMUNICATIONS: FCC Should Take Additional The Chairman of FCC should assess the model- GAO-20- Action to Manage Fraud Risks in based support mechanism to determine the 11/18/2019 4 FY 2028 Implementation is in progress 27 Its Program to Support extent to which it produces reliable cost Broadband Service in High- estimates. Cost Areas TELECOMMUNICATIONS: FCC Should Take Additional The Chairman of FCC should consider whether GAO-20- Action to Manage Fraud Risks in to make use of the model-based support 11/18/2019 5 FY 2028 Implementation is in progress 27 Its Program to Support mechanism mandatory depending on the results Broadband Service in High- of the assessment. Cost Areas EMERGENCY ALERTING: The Chairman of FCC should develop specific, Agencies Need to Address measurable goals and performance measures for GAO-20- Pending Applications and 02/06/2020 1 its efforts to monitor the performance of new FY 2023 Implementation is in progress 294 Monitor Industry Progress on WEA capabilities, such as enhanced System Improvements geotargeting and expanded alert message length. The Chairman of FCC should develop, in 5G DEPLOYMENT: coordination with NTIA and other relevant GAO-20- FCC Needs Comprehensive stakeholders, specific and measurable 06/29/2020 1 FY 2025 Implementation is in progress 468 Strategic Planning to Guide Its performance goals—with related strategies and Efforts measures—to manage spectrum demands associated with 5G deployment. 162 Section 1 - Implementation Status of GAO Public Recommendations Designated by the GAO as Open or Closed, Unimplemented Rec. Report Issued No. in Timeline for Full Justification for Decision Report Title Recommendation Number Date GAO Implementation Not to Implement Report The Chairman of FCC should develop specific 5G DEPLOYMENT: and measurable performance goals—with GAO-20- FCC Needs Comprehensive 06/29/2020 2 related strategies and measures—to determine FY 2025 Implementation is in progress 468 Strategic Planning to Guide Its the effects 5G deployment and any mitigating Efforts actions may have on the digital divide. The Chairman of FCC should direct and coordinate with the Chief Executive Officer of USAC to comprehensively assess fraud risks to the E-rate program, including implementing TELECOMMUNICATIONS: their respective plans for developing periodic FCC Should Take Action to GAO-20- fraud risk assessments, examining the suitability Better Manage Persistent Fraud 09/16/2020 1 FY 2022 Implementation is in progress 606 of existing fraud controls, and compiling fraud Risks in the Schools and risk profiles following the timelines described in Libraries Program this report. The assessments should be informed by the key fraud risks identified in this report from closed court cases, prior risk assessments, and OIG reports, among other sources. The Chairman of FCC should ensure that FCC TELECOMMUNICATIONS: and USAC follow the leading practices in FCC Should Take Action to GAO’s Fraud Risk Framework when designing GAO-20- Better Manage Persistent Fraud 09/16/2020 2 and implementing data-analytics activities to FY 2022 Implementation is in progress 606 Risks in the Schools and prevent and detect fraud as part of their Libraries Program respective antifraud strategies for the E-rate program. The Chairman of FCC should direct the Chief TELECOMMUNICATIONS: Executive Officer of USAC to clearly define FCC Should Take Action to GAO-20- and fully document the data fields in all relevant Better Manage Persistent Fraud 09/16/2020 3 FY 2022 Implementation is in progress 606 E-rate program computer systems to help Risks in the Schools and improve FCC’s ability to understand and use Libraries Program data to manage fraud risks. 163 Section 1 - Implementation Status of GAO Public Recommendations Designated by the GAO as Open or Closed, Unimplemented Rec. Report Issued No. in Timeline for Full Justification for Decision Report Title Recommendation Number Date GAO Implementation Not to Implement Report TELECOMMUNICATIONS: FCC Should Enhance The Chairman of FCC should revise the high- GAO-21- Performance Goals and 10/30/2020 1 cost performance goals so that they are FY 2023 Implementation is in progress 24 Measures for Its Program to measurable and quantifiable. Support Broadband Service in High-Cost Areas TELECOMMUNICATIONS: The Chairman of FCC should ensure high-cost FCC Should Enhance performance measures align with key attributes GAO-21- Performance Goals and 10/30/2020 2 of successful performance measures, including FY 2023 Implementation is in progress 24 Measures for Its Program to ensuring that measures clearly link with Support Broadband Service in performance goals and have specified targets. High-Cost Areas TELECOMMUNICATIONS: The Chairman of FCC should ensure the high- FCC Should Enhance cost performance measure for the goal of GAO-21- Performance Goals and minimizing the universal service contribution 10/30/2020 3 FY 2023 Implementation is in progress 24 Measures for Its Program to burden on consumers and businesses takes into Support Broadband Service in account user-fee leading practices, such as High-Cost Areas equity and sustainability considerations. The Chairman of FCC should publicly and TELECOMMUNICATIONS: periodically report on the progress it has made FCC Should Enhance for its high-cost program’s performance goals, GAO-21- Performance Goals and 10/30/2020 4 for example, by including relevant performance FY 2023 Implementation is in progress 24 Measures for Its Program to information in its Annual Broadband Support Broadband Service in Deployment Report or the USF Monitoring High-Cost Areas Report. TELECOMMUNICATIONS: The Chairman of FCC should develop and FCC Has Implemented the implement a plan to educate eligible consumers GAO-21- Lifeline National Verifier but 1/28/2021 1 about the Lifeline program and Verifier FY 2022 Implementation is in progress 235 Should Improve Consumer requirements that aligns with key practices for Awareness and Experience consumer education planning. 164 Section 1 - Implementation Status of GAO Public Recommendations Designated by the GAO as Open or Closed, Unimplemented Rec. Report Issued No. in Timeline for Full Justification for Decision Report Title Recommendation Number Date GAO Implementation Not to Implement Report TELECOMMUNICATIONS: The Chairman of FCC should provide tribal FCC Has Implemented the organizations with targeted information and GAO-21- Lifeline National Verifier but 1/28/2021 2 tools, such as access to the Verifier, that equip FY 2022 Implementation is in progress 235 Should Improve Consumer them to assist residents of tribal lands with their Awareness and Experience Verifier applications. TELECOMMUNICATIONS: FCC Has Implemented the The Chairman of FCC should identify and use GAO-21- Lifeline National Verifier but 1/28/2021 3 performance measures to track the Verifier’s FY 2022 Implementation is in progress 235 Should Improve Consumer progress in delivering value to consumers. Awareness and Experience The Chairman of FCC should ensure that it has TELECOMMUNICATIONS: quality information on consumers’ experience FCC Has Implemented the GAO-21- with the Verifier’s manual review process, and Lifeline National Verifier but 1/28/2021 4 FY 2022 Implementation is in progress 235 should use that information to improve the Should Improve Consumer consumer experience to meet the Verifier’s Awareness and Experience goals. The Chairman of FCC should ensure that the TELECOMMUNICATIONS: Verifier’s online application and support FCC Has Implemented the website align with characteristics for leading GAO-21- Lifeline National Verifier but 1/28/2021 5 federal website design, including that they are FY 2022 Implementation is in progress 235 Should Improve Consumer accurate, clear, understandable, easy to use, and Awareness and Experience contain a mechanism for users to provide feedback. TELECOMMUNICATIONS: FCC Has Implemented the The Chairman of FCC should convert the GAO-21- Lifeline National Verifier but 1/28/2021 6 Verifier’s online application, checklifeline.org, FY 2023 Implementation is in progress 235 Should Improve Consumer to a “.gov” domain. Awareness and Experience 165 Section 2 - Implementation Status of OIG Public Recommendations for which Final Action Has Not Been Completed Rec. Report Issued No. in Timeline for Full Justification for Decision Report Title Recommendation Number Date OIG Implementation Not to Implement Report We recommend that FCC’s Managing Director, CIO and Public Safety and Homeland Security 12-AUD- Bureau perform a comprehensive review of FY 2012 A-130 Audit 03/12/2014 4.1 FY 2023 Implementation is in progress 12-20 current DIRS processes to determine the appropriate placement of DIRS maintenance responsibilities within the FCC. We recommend WCB develop and implement a 13-AUD- plan that ensures the closure of pending appeals FY 2014 WCB Audit 07/29/2015 4.1 FY 2022 Implementation is in progress 12-29 in a timely manner and prioritizes the resolution of appeals filed 2010 and earlier. Require that USAC obtain written statements Audit of National Lifeline from state commissions and ETCs to confirm 15-AUD- FY 2022 Accountability Database 03/26/2018 2.2 that their staff and agents who have NLAD Implementation is in progress 10-09 (NLAD) access rights have successfully completed background investigations. Require that USAC obtain written statements from state commissions, contractors, and ETCs Audit of National Lifeline confirming that their staff and agents who are 15-AUD- Accountability Database 03/26/2018 2.4 granted access rights for NLAD have completed FY 2022 Implementation is in progress 10-09 (NLAD) appropriate training to reduce the possibility that PII will be accessed, used, or disclosed inappropriately. Perform an assessment of the USF-LL Program to determine whether additional regulatory Recommendation has been 18-AUD- implemented and FY 2017 IPERIA Audit 05/15/2018 1 changes are necessary to reduce the gross Implementation is in progress 01-02 submitted to the OIG for improper payment rate to or below the IPERIA closure. threshold of less than 10 percent of outlays. 161 Section 2 - Implementation Status of OIG Public Recommendations for which Final Action Has Not Been Completed Rec. Report Issued No. in Timeline for Full Justification for Decision Report Title Recommendation Number Date OIG Implementation Not to Implement Report Modify the PQA assessment procedures to Recommendation has been 19-AUD- implemented and FY 2018 IPERIA Audit 06/03/2019 4 target the USF-HC Program rules and Implementation is in progress 02-01 submitted to the OIG for significant risks of improper payments. closure. Recommendation has been Direct USAC management to develop guidance, 19-AUD- implemented and FY 2018 IPERIA Audit 06/03/2019 6 consistent with OMB Memorandum M-18-20, Implementation is in progress 02-01 submitted to the OIG for for analyzing the results of PQA procedures. closure. Reissue the AFR and disclose complete and accurate USF-LL Program payment information available and known to management as of the AFR reissue date, or provide notification to the Recommendation has been 20-AUD- implemented and FY 2019 IPERIA Audit 06/15/2020 5 appropriate oversight entities that the payment Implementation is in progress 01-01 submitted to the OIG for data in the AFR did not disclose, at a minimum, closure. the actual USF-LL improper payment amount of $205 million and improper payment rate of 26.88 percent. Work with USAC to develop procedures (e.g., Recommendation has been robust risk assessment, internal control and 20-AUD- implemented and FY 2019 IPERIA Audit 06/15/2020 10 monitoring activity) to identify and manage the Implementation is in progress 01-01 submitted to the OIG for risk of improper payments in the USF-LL closure. Program’s service providers operations. Modify the risk assessment to focus on FCC rules for the TRS Fund that are susceptible to a Recommendation has been 20-AUD- significant risk of improper payments, such as implemented and FY 2019 IPERIA Audit 06/15/2020 11 Implementation is in progress 01-01 certification of eligible users, certification of submitted to the OIG for TRS providers, and NDBEDP reimbursements closure. for eligible individuals and authorized services. 162 Section 2 - Implementation Status of OIG Public Recommendations for which Final Action Has Not Been Completed Rec. Report Issued No. in Timeline for Full Justification for Decision Report Title Recommendation Number Date OIG Implementation Not to Implement Report Develop policies and procedures that (a) acknowledge the interdependent relationships between FCC, the TRS Fund Administrator, and Recommendation has been TRS providers; (b) address the responsibilities 20-AUD- implemented and FY 2019 IPERIA Audit 06/15/2020 12 of each party to manage risks of improper Implementation is in progress 01-01 submitted to the OIG for payments; and (c) describe methodologies used closure. to obtain assurance that each party manages its risks of improper payments appropriately and as intended. Direct USAC management to use the Recommendation has been Beneficiary and Contributor Audit Program 20-AUD- implemented and FY 2019 IPERIA Audit 06/15/2020 14 (BCAP)27 results or a modified version of Implementation is in progress 01-01 submitted to the OIG for BCAP to project the estimated improper closure. payments rate in the USF-HC Program. Work with USAC to refine the process for implementing the USF-S&L sampling plan to ensure it is consistent with the sampling plan FCC submitted to OMB. In accordance with OMB M- 18-20, Part I.D.1 1 develop a process Recommendation has been to consult with OMB when a departure from the 20-AUD- implemented and FY 2019 IPERIA Audit 06/15/2020 17 sampling plan submitted to OMB arises. The Implementation is in progress 01-01 submitted to the OIG for process should either reflect the effect of closure. unanticipated significant errors in the sample, refine the sampling plan for adjustments made to sample size because of costs, or for other changes made to the sampling plan or the USF- S&L Program. 163 Section 2 - Implementation Status of OIG Public Recommendations for which Final Action Has Not Been Completed Rec. Report Issued No. in Timeline for Full Justification for Decision Report Title Recommendation Number Date OIG Implementation Not to Implement Report The Beneficiary develop a formal process and controls to ensure finding requests for category 19-AUD- Audit of Pekin Public School 04/05/2020 1 two equipment include only items that meet the FY 2022 Implementation is in progress 02-03 District 108 (E-rate) needs of the school district and are expected to be utilized during the finding year. The Beneficiary formalize its competitive bidding process by establishing competitive bidding and procurement policies and procedures in accordance with program rules 19-AUD- Audit of Pekin Public School and regulations. The Beneficiary should 04/05/2020 3 FY 2022 Implementation is in progress 02-03 District 108 (E-rate) implement controls designed to safeguard against unfair practices and conflicts of interests and ensure school district compliance with applicable E-rate program rules and regulations. The Beneficiary should also retain E-rate documentation in compliance with 47 C.F.R. Section 54.516(a)(1). Specifically, the 19-AUD- Audit of Pekin Public School 04/05/2020 4 Beneficiary must retain vital records that FY 2022 Implementation is in progress 02-03 District 108 (E-rate) support the bid evaluation process, including details pertaining to the price comparison and qualitative analysis of the bid responses. The Beneficiary should develop a formal policy and implement a process with the appropriate controls to ensure equipment procured with E-rate program funds are utilized Recommendation has been 19-AUD- Audit of Centralia City School at the location requested, per the corresponding implemented and 12/11/2020 1.1 FCC Form 471, for a minimum of three years. Implementation is in progress 02-02 District (E-Rate) submitted to the OIG for closure. If a school is permanently or temporarily closed, the Beneficiary should file an FCC Form 500 to notify and obtain approval from USAC for an equipment transfer. 164 Section 2 - Implementation Status of OIG Public Recommendations for which Final Action Has Not Been Completed Rec. Report Issued No. in Timeline for Full Justification for Decision Report Title Recommendation Number Date OIG Implementation Not to Implement Report The Beneficiary develop a policy, process, and related controls to ensure complete and accurate physical asset and inventory records Recommendation has been are maintained. The policy, process, and 19-AUD- Audit of Centralia City School implemented and 12/11/2020 2.1 Implementation is in progress controls should be designed to ensure that submitted to the OIG for 02-02 District (E-Rate) documentation maintained to track category closure. two equipment procured with E-rate program funds is complete, accurate, and retained for a period of ten years after purchase. Continue to coordinate with the TRS Fund administrator to develop a DATA Act project plan. The TRS Fund project plan should include an expected timeline and steps to implement necessary changes to systems and 19-AUD- FY 2019 DATA Act business processes to capture, link, reconcile, 11/08/2019 2 FY 2022 Implementation is in progress 08-05 Performance Audit and report on award-level financial and spending information. The TRS Fund Administrator, in coordination with the FCC, should develop and execute a project plan that conforms with Steps 1 through 8 of the DATA Act Implementation Playbook (Version 2.0). The annual FISMA evaluation report is intended to improve the effectiveness of the FCC’s information security program controls in the areas of Risk Management, Configuration FYs 2016-2020 FY 2016-2020 Federal Management, Identity and Access FISMA Information 12/20/2020 multiple Management, and Information Security FY 2022 Implementation is in progress EVALUATION Security Modernization Act of Continuous Monitoring. As of 12/31/21, total Reports 2014 (FISMA) Evaluation FY 2016-2020 FISMA recommendations that are unimplemented for one year or more = Nine (9) out of a total of 123 total recommendations issued. 165 Response to Congressional Inquiries Concerning GAO Recommendation 166 167 168 169 170 171 172 173 174 175 176