Federal Register / Vol. 86, No. 108 / Tuesday, June 8, 2021 / Rules and Regulations 30389 

Rule No. Rule title 

State 

effective 

date 

EPA 

effective 

date 

Final rule 

citation/date Comments 

33.1–15–25–03 ....... Emission reduction measures required to 

make reasonable progress toward the 

national visibility goal.

7/1/2020 7/8/2021 [insert Federal Register citation], 

6/8/2021.

33.1–15–25–04 ....... Monitoring, recordkeeping, and reporting 7/1/2020 7/8/2021 [insert Federal Register citation], 

6/8/2021.

* * * * * 

[FR Doc. 2021–11888 Filed 6–7–21; 8:45 am] 

BILLING CODE 6560–50–P 

FEDERAL COMMUNICATIONS 

COMMISSION 

47 CFR Parts 1 and 27 

[AU Docket No. 21–62; DA 21–567; FR ID 

29366] 

Certification Adopted for Auction of 

Flexible-Use Service Licenses in the 

3.45–3.55 Band for Next-Generation 

Wireless Services (Auction 110) 

AGENCY: Federal Communications 

Commission. 

ACTION: Final action; requirement and 

procedure. 

SUMMARY: In this document, the Office 

of Economics and Analytics and the 

Wireless Telecommunications Bureau 

adopt a certification that will be 

required of each applicant to participate 

in the upcoming auction of flexible-use 

licenses in the 3.45–3.55 GHz band 

(Auction 110). 

DATES: The Commission will publish a 

document in the Federal Register 

announcing the effective date of the 

certification requirement. 

FOR FURTHER INFORMATION CONTACT: 

Auction 110 Information: Mary Lovejoy 

or Andrew McArdell at 202–418–0660. 

SUPPLEMENTARY INFORMATION: This is a 

summary of the Auction 110 

Certification Requirement Public Notice, 

released on May 19, 2021. The complete 

text of the Auction 110 Certification 

Requirement Public Notice, including 

attachments and any related documents, 

is available on the Commission’s 

website at www.fcc.gov/auction/110 or 

by using the search function for AU 

Docket No. 21–62, DA 21–567, on the 

Commission’s Electronic Comment 

Filing System (ECFS) web page at 

www.fcc.gov/ecfs. Alternative formats 

are available to persons with disabilities 

by sending an email to FCC504@fcc.gov 

or by calling the Consumer & 

Governmental Affairs Bureau at (202) 

418–0530 (voice), (202) 418–0432 

(TTY). 

1. By the Auction 110 Certification 

Requirement Public Notice, the Office of 

Economics and Analytics (OEA) and the 

Wireless Telecommunications Bureau 

(WTB) adopt a certification that will be 

required of each applicant to participate 

in the upcoming auction of flexible-use 

licenses in the 3.45–3.55 GHz band 

(Auction 110). Specifically, each 

applicant for Auction 110 will be 

required to certify in its short-form 

application that it has read the public 

notice describing the procedures for the 

auction and that it has familiarized itself 

both with the auction procedures and 

with the requirements for obtaining a 

license and operating facilities in the 

3.45–3.55 GHz band. 

2. In the Auction 110 Comment Public 

Notice, 86 FR 18000 (April 7, 2021), 

released March 18, 2021, the 

Commission sought comment on a range 

of proposed procedures for conducting 

Auction 110, including a proposal to 

require each participant in Auction 110 

to certify in its short-form application, 

under penalty of perjury, that it has read 

the public notice adopting procedures 

for the auction and that it has 

familiarized itself both with the auction 

procedures and with the requirements 

for obtaining a license and operating 

facilities in the 3.45–3.55 GHz band. As 

with other certifications required to be 

made in an auction application, a failure 

to make the certification would render 

the application unacceptable for filing, 

and the application would be dismissed 

with prejudice. 

3. The Commission proposed to 

establish this requirement to help 

ensure that each applicant has reviewed 

the procedures to become a qualified 

bidder and participate in the auction 

process and that it has investigated and 

assessed technical and business factors 

that may be relevant to its use of the 

licenses being offered. The Commission 

reasoned that this requirement would 

promote an applicant’s successful 

participation and would minimize its 

risk of auction defaults. 

4. This certification is designed to 

bolster applicants’ efforts to educate 

themselves to the greatest extent 

possible about procedures for auction 

participation and to ensure that, prior to 

submitting their short-form 

applications, applicants understand 

their obligation to stay abreast of 

relevant, forthcoming information. By 

ensuring familiarity with the 

Commission’s rules and procedures 

governing Auction 110, OEA and WTB 

are also taking steps to help bidders 

avoid the consequences to them 

associated with defaults, as well as the 

consequences for other applicants, the 

public, and the Commission associated 

therewith. This certification, along with 

the other certifications required 

pursuant to § 1.2105(a) of the 

Commission’s rules, helps ensure that 

auction applicants are sincere about 

their interest in the auction, and it may 

discourage the filing of frivolous 

applications that waste Commission 

resources. 

5. For these reasons, OEA and WTB 

will require each Auction 110 applicant 

to certify as follows in its short-form 

application: 

That the applicant has read the public notice 

adopting procedures for the auction and that 

it has familiarized itself both with the 

auction procedures and with the 

requirements for obtaining a license and 

operating facilities in the 3.45–3.55 GHz 

band. 

An applicant will provide this 

certification under penalty of perjury, 

consistent with § 1.2105(a) of the 

Commission’s rules. 

6. This action is taken by the Office 

of Economics and Analytics, jointly 

with the Wireless Telecommunications 

Bureau, pursuant to §§ 0.21(m) and 

0.131(c) of the Commission’s rules. This 

requirement is an information collection 

that is subject to approval by the Office 

of Management and Budget (OMB), 

pursuant to the Paperwork Reduction 

Act of 1995, Public Law 104–13. 

Accordingly, this requirement will 

apply to applicants for Auction 110 only 

if it has been approved by OMB and 

notice of such approval has been 

published in the Federal Register prior 

to the opening of the short-form 

application window for Auction 110. 

Supplemental Final Regulatory 

Flexibility Analysis 

7. As required by the Regulatory 

Flexibility Act of 1980, as amended 

(RFA), a Supplemental Initial 

Regulatory Flexibility Analysis 

(Supplemental IRFA) was incorporated 

in the Auction 110 Comment Public 

Notice released in March 2021. The 


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30390 Federal Register / Vol. 86, No. 108 / Tuesday, June 8, 2021 / Rules and Regulations 

Commission sought public comment on 

the proposals in the Auction 110 

Comment Public Notice, including 

comments on the Supplemental IRFA. 

One comment was filed addressing the 

Supplemental IRFA. The Auction 110 

Certification Requirement Public Notice 

establishes a certification requirement to 

be used for Auction 110 and 

supplements the Initial and Final 

Regulatory Flexibility Analyses 

completed by the Commission in the 

3.1–3.55 GHz Report and Order (R&O) 

and Further Notice of Proposed 

Rulemaking (FNPRM), 85 FR 64062, 

October 2, 2020, and 85 FR 66888, 

October 21, 2020, 3.45 GHz Second 

Report and Order, 86 FR 17920, April 7, 

2021, and other Commission orders 

pursuant to which Auction 110 will be 

conducted. This present Supplemental 

Final Regulatory Flexibility Analysis 

(Supplemental FRFA) conforms to the 

RFA. 

8. Need for, and Objectives of, the 

Rules. The Auction 110 Certification 

Requirement Public Notice implements 

an element of the auction procedures for 

those entities that seek to bid to acquire 

licenses in Auction 110, which will be 

the Commission’s third auction of midband spectrum in furtherance of the 

deployment of fifth-generation (5G) 

wireless, the Internet of Things (IoT), 

and other advanced spectrum-based 

services. 

9. To promote the efficient and fair 

administration of the competitive 

bidding process for all Auction 110 

participants, OEA and WTB adopt a 

procedure requiring each Auction 110 

applicant to certify that it has read the 

public notice adopting procedures for 

the auction and that it has familiarized 

itself both with the auction procedures 

and with the requirements for obtaining 

a license and operating facilities in the 

3.45–3.55 GHz band, consistent with the 

proposal made in the Auction 110 

Comment Public Notice. 

10. This requirement is an element of 

the more specific implementation of the 

competitive bidding rules contemplated 

by parts 1 and 27 of the Commission’s 

rules and the underlying rulemaking 

decisions regarding the 3.45–3.55 GHz 

band, including the 3.45 GHz Second 

Report and Order, and relevant 

competitive bidding orders, and are 

fully consistent therewith. 

11. Summary of Significant Issues 

Raised by Public Comments in Response 

to the Supplemental IRFA. One party— 

the Rural Wireless Association (RWA)— 

filed comments that address issues 

raised in the Supplemental IRFA. RWA 

argues that the Commission’s analysis in 

the Auction 110 Comment Public 

Notice’s Supplemental IRFA 

underestimates the costs that small and 

rural entities incur when participating 

in a Commission auction. RWA states 

that, contrary to the Commission’s 

expectations, RWA members regularly 

consult attorneys, engineers, and 

consultants to participate in 

Commission auctions, incurring costs of 

$100,000 on average per auction. RWA 

provides no support for this cost figure. 

Nor does RWA clarify what portion of 

this figure represents costs associated 

with applying to participate in the 

auction and/or whether the figure may 

be an aggregate amount for all of its 

trade association members. RWA claims 

that the educational materials provided 

by the Commission are insufficient, as 

some materials are not provided until 

after the short-form application 

deadline. 

12. Response to Comments by the 

Chief Counsel for Advocacy of the Small 

Business Administration. Pursuant to 

the Small Business Jobs Act of 2010, 

which amended the RFA, the 

Commission is required to respond to 

any comments filed by the Chief 

Counsel for Advocacy of the Small 

Business Administration (SBA) and to 

provide a detailed statement of any 

changes made to the proposed 

procedures as a result of those 

comments. The Chief Counsel did not 

file any comments in response to the 

procedures that were proposed in the 

Auction 110 Comment Public Notice. 

13. Description and Estimate of the 

Number of Small Entities to Which the 

Rules Will Apply. The RFA directs 

agencies to provide a description of, 

and, where feasible, an estimate of the 

number of small entities that may be 

affected by the rules and policies 

adopted herein. The RFA generally 

defines the term ‘‘small entity’’ as 

having the same meaning as the terms 

‘‘small business,’’ ‘‘small organization,’’ 

and ‘‘small governmental jurisdiction.’’ 

In addition, the term ‘‘small business’’ 

has the same meaning as the term small 

business concern under the Small 

Business Act. A ‘‘small business 

concern’’ is one which: (1) Is 

independently owned and operated, (2) 

is not dominant in its field of operation, 

and (3) satisfies any additional criteria 

established by the SBA. 

14. As noted above, Regulatory 

Flexibility Analyses were incorporated 

into the 3.1–3.55 GHz R&O and FNPRM 

and the 3.45 GHz Second Report and 

Order. These decisions provide the 

underlying authority for the procedures 

proposed in the Auction 110 Comment 

Public Notice and are adopted herein for 

Auction 110. In those regulatory 

flexibility analyses, the Commission 

described in detail the small entities 

that might be significantly affected. In 

the Auction 110 Certification 

Requirement Public Notice, OEA and 

WTB hereby incorporate by reference 

the descriptions and estimates of the 

number of small entities from the 

previous Regulatory Flexibility 

Analyses in the 3.1–3.55 GHz R&O and 

FNPRM and the 3.45 GHz Second 

Report and Order. 

15. Description of Projected 

Reporting, Recordkeeping, and Other 

Compliance Requirements for Small 

Entities. The Commission designed its 

auction application process to minimize 

reporting and compliance requirements 

for applicants, including small business 

applicants. In the first part of the 

Commission’s two-stage auction 

application process, parties desiring to 

participate in an auction file a 

streamlined, short-form application in 

which they certify under penalty of 

perjury as to their qualifications. 

Eligibility to participate in an auction is 

based on an applicant’s short-form 

application and certifications, as well as 

its upfront payment. The Auction 110 

Certification Requirement Public Notice 

adds to the existing certifications that 

are required under the Commission’s 

competitive bidding rules a certification 

that is specific to Auction 110. 

16. Typically, the auction procedures 

informs prospective applicants that they 

are expected to familiarize themselves 

with the Commission’s general 

competitive bidding rules, Commission 

decisions regarding competitive bidding 

procedures, application requirements, 

obligations of Commission licensees, 

and the Commission’s service rules for 

the frequency band available in the 

auction, and that they must be 

thoroughly familiar with the 

procedures, terms, and conditions 

contained in the public notice adopting 

procedures for the auction. OEA and 

WTB therefore do not expect that the 

certification requirement adopted in the 

Auction 110 Certification Requirement 

Public Notice will increase the need for 

small entities to hire attorneys, 

engineers, consultants, or other 

professionals because it does not 

increase the level of education or due 

diligence beyond what was required of 

applicants prior to the adoption of the 

certification requirement, and thus it 

should not increase an applicant’s 

burden in complying with the 

additional certification requirement. 

The public notice adopting the 

procedures for Auction 110 will be 

made publicly available on the Auction 

110 web page, and the 3.45 GHz Second 

Report and Order is already publicly 

available on both the Commission’s 

main website and the Auction 110 web 


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Federal Register / Vol. 86, No. 108 / Tuesday, June 8, 2021 / Rules and Regulations 30391 

page. OEA and WTB believe that these 

materials are sufficient to ensure that 

Auction 110 applicants can certify 

truthfully that they have read the 

auction procedures and familiarized 

themselves with the relevant rules and 

requirements. 

17. RWA does not provide evidence 

that outside consultants are needed to 

enable an entity to certify truthfully that 

it has read the public notice adopting 

the procedures for the auction and that 

it has familiarized itself both with the 

auction procedures and with the 

requirements for obtaining a license and 

operating facilities in the 3.45–3.55 GHz 

band. Instead, RWA claims that small 

entity bidders cannot make complex 

decisions on the future impacts of 

auction bidding, participation, and 

winning bidder compliance 

requirements without outside counsel. 

In doing so, RWA appears to conflate 

compliance with auction procedures (in 

this case, certifying that they have read 

the public notice adopting procedures 

for Auction 110 and familiarized 

themselves with those procedures and 

the service rules for the 3.45–3.55 GHz 

band) with the development of bidding 

strategies and compliance with the 

relevant service rules. The Commission 

does not believe that outside 

consultants of this sort are necessary for 

an applicant to comply with this 

certification requirement. 

18. Steps Taken to Minimize the 

Significant Economic Impact on Small 

Entities, and Significant Alternatives 

Considered. The RFA requires an 

agency to describe any significant, 

specifically small business, alternatives 

that it has considered in reaching its 

approach, which may include the 

following four alternatives (among 

others): (1) the establishment of 

differing compliance or reporting 

requirements or timetables that take into 

account the resources available to small 

entities; (2) the clarification, 

consolidation, or simplification of 

compliance and reporting requirements 

under the rule for such small entities; 

(3) the use of performance rather than 

design standards; and (4) an exemption 

from coverage of the rule, or any part 

thereof, for such small entities. 

19. The Commission has taken steps 

to minimize any economic impact of its 

auction procedures on small entities 

through, among other things, the many 

free resources the Commission provides 

to potential auction participants. 

Consistent with the past practices in 

prior auctions, small entities that are 

potential participants will have access 

to the public notice adopting the 

procedures for Auction 110 prior to the 

opening of the application window, and 

already have access to the 3.45 GHz 

Second Report and Order on both the 

Commission’s main website and the 

Auction 110 web page. The Commission 

makes this information publicly 

available and easily accessible and 

without charge to benefit all potential 

Auction 110 applicants, including small 

entities, thereby lowering their 

administrative costs to comply with the 

Commission’s competitive bidding 

rules. 

20. Small entities and other auction 

participants may seek clarification of, or 

guidance regarding, the Auction 110 

procedures and the service rules for the 

3.45–3.55 GHz band rules prior to the 

Auction 110 application window. 

Additionally, an FCC Auctions Hotline 

will provide small entities one-on-one 

access to Commission staff for 

information about the auction process 

and procedures. The FCC Auctions 

Technical Support Hotline is another 

resource that provides technical 

assistance to applicants, including small 

entities, on issues such as access to or 

navigation within the electronic FCC 

Form 175 and use of the bidding system. 

21. The Commission also makes 

various databases and other sources of 

information, including the auctions 

program web pages and copies of 

Commission decisions, available to the 

public without charge, providing a lowcost mechanism for small entities to 

conduct research prior to and 

throughout the auction. 

22. These procedures for the conduct 

of Auction 110 constitute the more 

specific implementation of the 

competitive bidding rules contemplated 

by parts 1 and 27 of the Commission’s 

rules and the underlying rulemaking 

decisions regarding the 3.45–3.55 GHz 

band, including the 3.45 GHz Second 

Report and Order and relevant 

competitive bidding decisions, and are 

fully consistent therewith. 

23. Report to Congress. The 

Commission will send a copy of the 

Auction 110 Certification Requirement 

Public Notice, including the 

Supplemental FRFA, in a report to 

Congress pursuant to the Congressional 

Review Act. In addition, the 

Commission will send a copy of the 

Auction 110 Certification Requirement 

Public Notice, including the 

Supplemental FRFA, to the Chief 

Counsel for Advocacy of the SBA. 

Federal Communications Commission. 

Erik Salovaara, 

Assistant Chief, Auctions Division, Office of 

Economics and Analytics. 

[FR Doc. 2021–11694 Filed 6–7–21; 8:45 am] 

BILLING CODE 6712–01–P 

FEDERAL COMMUNICATIONS 

COMMISSION 

47 CFR Part 54 

[WC Docket Nos. 18–143, 10–90, 14–58; FCC 

19–95; FRS 30653] 

The Uniendo a Puerto Rico Fund and 

the Connect USVI Fund, Connect 

America Fund, ETC Annual Reports 

and Certifications 

AGENCY: Federal Communications 

Commission. 

ACTION: Final rule; announcement of 

effective date. 

SUMMARY: In this document, the Federal 

Communications Commission 

(Commission) announces that the Office 

of Management and Budget (OMB) has 

approved, for a period of three years, an 

information collection associated with 

the rules for the Connect America Fund 

contained in the Commission’s Uniendo 

a Puerto Rico Fund and Connect USVI 

Fund Order, FCC 19–95. This document 

is consistent with the Uniendo a Puerto 

Rico Fund and Connect USVI Fund 

Order, which stated that the 

Commission would publish a document 

in the Federal Register announcing the 

effective date of the new information 

collection requirements. 

DATES: The amendments to § 54.313(e) 

introductory text, (e)(2) introductory 

text and paragraphs (n) and (o) 

published at 84 FR 59937, November 7, 

2019 are effective June 8, 2021. 

FOR FURTHER INFORMATION CONTACT: 

Suzanne Yelen, Wireline Competition 

Bureau at (202) 418–7400 or TTY (202) 

418–0484. For additional information 

concerning the Paperwork Reduction 

Act information collection requirements 

contact Nicole Ongele at (202) 418–2991 

or via email: Nicole.Ongele@fcc.gov. 

SUPPLEMENTARY INFORMATION: The 

Commission submitted revised 

information collection requirements for 

review and approval by OMB, as 

required by the Paperwork Reduction 

Act (PRA) of 1995, on March 8, 2021, 

which were approved by OMB on May 

10, 2021. The information collection 

requirements are contained in the 

Commission’s Uniendo a Puerto Rico 

Fund and Connect USVI Fund Order, 

FCC 19–95 published at 84 FR 59937, 

November 7, 2019. The OMB Control 

Number is 3060–0986. If you have any 

comments on the burden estimates 

listed in the following, or how the 

Commission can improve the 

collections and reduce any burdens 

caused thereby, please contact Nicole 

Ongele, Federal Communications 

Commission, 45 L Street NE, 


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