Statement of Intent Between the FCC and the Department of Industry of Canada — Reconfiguration of Spectrum Use in the UHF Band

The Federal Communications Commission (FCC) of the United States of America and the Department of Industry of Canada (Industry Canada), hereinafter collectively referred to as the "Agencies", hereby set out their respective intents for the reconfiguration of the spectrum use for over-the-air television broadcasting and mobile broadband services in the UHF band.

Considering the need for additional spectrum allocations for mobile broadband service within each country, as well as the substantial benefits of harmonizing spectrum allocations in order to provide as much usable spectrum as possible to both countries;

Considering the importance of over-the-air television broadcasting^{Footnote 1} in both countries;

Considering that over-the-air television broadcasting has historically been jointly planned and coordinated by the Agencies, in order to make efficient use of spectrum in both countries;

Considering that a joint and simultaneous channel reassignment process for over-the-air television broadcasting would be the most effective means to generate a spectrally efficient joint digital television (DTV) allotment plan for both countries, and maximize the amount of spectrum that can be repurposed for mobile broadband;

Considering that there is currently in force an Agreement between the Government of the United States of America and the Government of Canada relating to the TV broadcasting service, effected by exchange of notes at Washington, DC, November 3, 1993 and January 5, 1994 (the existing Agreement), and that the Agencies have reached understandings reflected in a 2000 Letter of Understanding between the FCC and IC Relating to Digital Television Broadcasting, as modified in 2004, and a 2008 Exchange of Letters between the FCC and IC Relating to Digital Television Broadcasting;

Considering that the FCC intends to hold an "incentive auction", a process in which broadcasters in the United States will offer to voluntarily relinquish some or all of their spectrum usage rights through a "reverse auction", and a "forward auction" for mobile broadband licenses;

Considering that the Agencies each intend to reconfigure spectrum use in the bands used for over-the-air television broadcasting by allocating a portion of contiguous spectrum, excluding channel 37, for use by mobile broadband service, beginning with channel 51 and extending downward;

Considering that representatives of the Agencies intend to continue discussions with a view to developing a sharing arrangement for digital television broadcasting in the low VHF, high VHF and UHF bands^{Footnote 2} and an implementation plan^{Footnote 3} for the transition of TV station facilities to a new DTV allotment plan, within 30 days after the completion and validation of the FCC incentive auction;

Considering that representatives of the Agencies intend to continue discussions with a view to developing a frequency sharing arrangement for the use of mobile broadband service within the repurposed spectrum of the UHF band, within 90 days after the completion and validation of the FCC incentive auction;

Taking the above into account, the Agencies intend to administratively apply the provisions set out in this statement, in order to facilitate the reconfiguration of the spectrum use in the UHF band for over-the-air television broadcasting and mobile broadband services:

1. The Agencies each intend to implement this reconfiguration as specified by the following principles:
   • 1.1 The Agencies intend to repurpose a minimum of 42 MHz of spectrum for mobile broadband service. ^{Footnote 4}
   • 1.2 The Agencies expect that the television broadcast assignments listed in Appendix 2 and Appendix 3 will be subject to reassignment, consistent with the following criteria.
     • 1.2.1 Canadian assignments listed in Appendix 2 that are selected for reassignment will be given a replacement digital channel within the same designated frequency band as the original channel of low VHF (54-72 MHz, 76-88 MHz), high VHF (174-216 MHz) or UHF (470-698 MHz). ^{Footnote 5}
     • 1.2.2 U.S. assignments listed in Appendix 3 that are selected for reassignment will be given a replacement digital channel within the same designated frequency band as the original channel of low VHF (54-72 MHz, 76-88 MHz), high VHF (174-216 MHz) or UHF (470-698 MHz), unless the FCC specifically permits a change to a different frequency band.
     • 1.2.3 TV stations that change frequency bands would be reassigned only to a lower frequency band.
   • 1.3 The Agencies intend to ensure a broadcasting assignment for each Canadian TV station listed in Appendix 2.
   • 1.4 The Agencies intend to ensure a broadcasting assignment for each U.S. station listed in Appendix 3, with the exception of the U.S. stations which the FCC determines will cease operation as determined by the FCC incentive auction. 
   • 1.5 The Agencies intend to ensure that each broadcasting assignment referred to in paragraphs 1.3 and 1.4 has an interference-free service population based on the mutually acceptable techniques and factors contained in Appendix 1.
   • 1.6 Through the reconfiguration process, the Agencies intend to generate:
     • 1.6.1 A joint DTV allotment plan containing contiguous TV channel assignments, to be subsequently used by the Agencies for future implementation.
     • 1.6.2 A joint contiguous band plan for mobile broadband service, to be subsequently implemented and used by the Agencies for their domestic licensing. For the purposes of this Statement of Intent, the term "band plan for mobile broadband service" covers the largest contiguous frequency range ^{Footnote 6} assigned for mobile broadband service in the band 470-698 MHz, in any area of the United States, as a result of the incentive auction.
   • 1.7 In the United States, a limited amount of overlapping between U.S. assignments for television and the band plan for mobile broadband service in the band 470-698 MHz band may be allowed.
     • 1.7.1 Canadian television stations would not be allotted channels in mobile broadband spectrum.
     • 1.7.2 To limit the potential for inter-service interference into areas of Canada arising from U.S. television assignments overlapping or adjacent to the mobile service, these assignments would comply with the mutually acceptable techniques and factors contained in Appendix 4.
   • 1.8 The Agencies expect that the joint repurposing process will determine the amount of spectrum to be repurposed, the resulting joint DTV allotment plan, and the resulting band plan for mobile broadband use, relying on principles and parameters as specified in this Statement of Intent and on the results of the incentive auction.
   • 1.9 The Agencies intend to use joint coordination considerations, as well as the mutually acceptable techniques and coordination factors contained in Appendix 1, to reconfigure DTV allotments.
2. In the new joint DTV allotment plan, the Agencies intend to grant Associate Primary status, as defined in this paragraph, to the assignments for the facilities in the border zone designated by an "*" in Appendix 2 and 3. Specifically, stations with Associate Primary status would be protected from primary operations and secondary operations, and would not be required to protect secondary operations. Protection criteria and parameters for Associate Primary assignments are outlined in Appendix 1.
3. The Agencies intend to work jointly prior to, during, and following the FCC's incentive auction process, until the transition of the final broadcasting reassignment has been completed. During this time, the Agencies intend to continue to coordinate and share data necessary to facilitate the joint, collaborative process of reconfiguring the TV broadcast bands. This data is likely to include, but may not be limited to, the results of computer simulations, simulation software, channel lists and interference analysis data.
4. The Agencies intend to finalize the contents of Appendix 2 and 3 within 30 days of the signature of this Statement of Intent. The Agencies intend that any mutually-decided changes to the methodology used in the reconfiguration process and in Appendix 2 or 3, if required, should be made before the end of the period during which the FCC will accept applications from U.S. broadcasters to participate in the reverse auction.
5. The Agencies intend, prior to the commencement of the incentive auction, to conduct joint validation of the procedures and data related to such factors as TV coverage and interference, constraint file generation, inter-service interference (ISIX) between TV and wireless services, and criteria for the selection of the band plan clearing target.  The results of this validation process are to be subject to independent pre-auction verification and testing reviewable by both Agencies in order to assure that the results are consistent with the provisions herein. Prior to the start of the incentive auction, the Agencies plan to verify and confirm the technical parameters and procedures that would be used during the auction to determine television reassignments and repurposing of spectrum, but such technical parameters and procedures would not be subject to revision once the incentiveauction commences.
6. The Agencies intend to bring the joint DTV allotment plan and joint contiguous band plan for mobile broadband service (described respectively in paragraphs 1.6.1 and 1.6.2) into effect only when both Agencies have validated the plansand provided written confirmation that they are acceptable. The Agencies intend to complete this validation and written confirmation within 5 days after the final TV channel reassignment lists become available, and prior to the public release by the Agencies of the respective lists of channel reassignments for U.S. and Canadian stations.  Should any deviations from the provisions herein be identified, the Agencies would work cooperatively toward a mutually acceptable resolution, such as making appropriate corrections to the TV channel reassignment lists to resolve any identified discrepancies.
7. The Agencies intend to implement the reconfiguration of spectrum use in the UHF band (470-698 MHz) only if the results of the FCC incentive auction are validated and confirmed in accordance with the provisions herein.

Either Agency should give to the other Agency at least 90 days written notice of its intention to cease cooperation pursuant to this Statement of Intent.

Attachments:

Appendix 1 — Planning Factors for Television Station Reconfiguration
Appendix 2 — Canada Baseline Analog and Digital/Digital Equivalent Television Assignments
Appendix 3 — United States Baseline Analog and Digital Television Assignments
Appendix 4 — Planning Factors for Limiting Inter-service Interference (ISIX)

Appendix 1 — Planning Factors for Television Station Reconfiguration

Appendix 2

Appendix 3

 Appendix 4 — Planning Factors for Limiting Inter-Service Interference (ISIX)

To maximize the amount of spectrum available for wireless mobile servicenationwide, TV stations in the United States may be assigned channels withinthe repurposed mobile broadband spectrum, resulting in market variation. Suchchannel assignments of television stations could create wireless impairments,which would be measured in terms of the infringed percent of population in thewireless license area with predicted interference from television services, orthe restricted percent of population in the wireless license area withpredicted interference to television services. Technical parameters forcalculating inter-service interference are shown in Tables 1 through 3 below. 

The smallest geographic areas used for calculating interference between wirelessand television services are counties for the United States and Tier 4 licenseareas for Canada. A county or Tier 4 license area with wireless impairmentabove the threshold of 10% would be considered wholly impaired, i.e., 100% ofthe county or Tier 4 license area population is counted for the purposes ofmeasuring the extent of wireless impairment and setting the clearing target.

The Agencies intend that the impact of U.S. market variation on Canada will be limited to the equivalent of one paired 5+5 MHz spectrum block nationwide, that is, a total MHz-pops quantity of the country's population times 10 MHz. Wireless impairments are to be calculated on a nationwide aggregated basis for each country, with population in certain areas assigned a weighting factor. For the United States, the weighting factors for populations in various license areas are based on an index of area-specific prices from prior Commission auctions. In calculating the impairments to population in Canada, a weighting factor of 2.4 will be used.

Additionally, no Canadian TV assignment is to be made in the first TV channel adjacent to the guard band between the TV spectrum and the repurposed mobile broadband spectrum, except as noted in Table 4-1.

The thresholds in Table 4-2 and Table 4-3 below are provided based on the degree of spectral overlap between the 6 MHz DTV channel and the 5 MHz wireless channel. A negative spectral overlap indicates the separation, in megahertz, between the channel edges. Overlaps of +5 to +1 MHz are considered co-channel and overlaps of 0 to −5 MHz are considered adjacent channel relationships.