In October 2003, the Commission released the first Report and Order and Further Notice of Proposed Rulemaking (pdf) , in which it established new policies and procedures to facilitate broader access to valuable spectrum resources through the use of spectrum leasing arrangements. The Report and Order adopted rules permitting licensees in the Wireless Radio Services holding exclusive use licenses to lease some or all of the spectrum usage rights associated with their licenses to third parties. (The Commission also streamlined procedures for approving license assignments and transfers of control.)
In September 2004, the Commission released the Second Report and Order, Order on Reconsideration, and Second Further Notice of Proposed Rulemaking (pdf) , in which it provided for immediate (i.e., overnight) processing of certain qualifying spectrum leasing arrangements. (It also adopted immediate processing procedures for qualifying license assignment and transfer transactions.) In addition, it established a new regulatory concept, "private commons," to provide additional access to spectrum in licensed bands. Finally, the Commission is seeking comment on additional steps it should take to further the development of advanced technologies that enable more efficient secondary markets in spectrum usage rights.
There are two general options for leasing spectrum usage rights:
Under this option, the licensee must retain both de jure control and de facto control over the spectrum that it leases to spectrum lessees for a defined period of time. There are two types of spectrum manager leases: 1) a short-term lease, which has an individual or combined term of not longer than one year, and 2) a long-term lease, which has an individual term, or a series of combined terms, of more than one year. The term of a lease cannot exceed the term of the license authorization (but can be extended at the time the licensee renews its license authorization).
The licensee must file a spectrum manager lease notification with the Commission using Form 608. Each such notification must be filed in advance of commencing any operations under the leasing arrangement. The Commission's general notification procedures require that the licensee submit the lease notification to the Commission at least 21 days in advance of operations, unless the lease is for one year or less in duration, in which case the licensee is required to submit the notification at least 10 days in advance of commencing operations. If, however, the particular spectrum leasing arrangement qualifies for the Commission's immediate processing procedures (based on establishing the requisite certifications in the notification), the notification will be processed overnight and operations may commence immediately thereafter.
Under this option, the licensee retains de jure control of the license while transferring de facto control of the leased spectrum and the associated rights to the spectrum lessee for a defined period of time. There are two types of de facto transfer leases: 1) a short-term lease, which has an individual or combined term of not longer than one year and 2) a long-term lease, which has an individual term, or a series of combined terms, of more than one year. The term of a lease cannot exceed the term of the license authorization (but can be extended at the time the licensee renews its license authorization).
The licensee and spectrum lessee must file an application for a de facto transfer lease using Form 608, and must obtain Commission approval prior to commencing operations. Applications for long-term leasing arrangements (those longer than one year) are processed pursuant to the 21-day general approval procedures (unless issues are raised requiring additional time for Commission review). If, however, the long-term leasing arrangement qualifies for the Commission's immediate processing procedures (based on establishing the requisite certifications in the application), or if the leasing arrangement is short-term (one year or less), approval will be granted overnight and operations may commence immediately thereafter.
A Spectrum Manager Lessee may enter into a Spectrum Manager Sublease arrangement provided the licensee has consented to the agreement.
A Long-Term de facto Transfer Lessee may enter into either a Spectrum Manager Sublease or a de facto Transfer Sublease arrangement provided the licensee has consented to the agreement. (Note: Spectrum lessees with a Short-Term de facto Transfer Lease are not permitted to enter into subleases.)
Sublease notifications and sublease applications are filed manually with the FCC on Form 608 (pdf) .
A licensee, spectrum lessee, or spectrum sublessee is permitted to make certain spectrum usage rights available to third-party users employing advanced communications technologies that involve device-to-device communications and do not involve the end-to-end physical network infrastructure of the licensee, spectrum lessee, or spectrum sublessee. The licensee, lessee, or sublessee must act as the manager of the private commons and must retain de facto control of the use of the spectrum by the third-party users.
Notifications for Private Commons arrangements are filed manually with the FCC on Form 608 (pdf) .
Like the FCC Form 601, the Form 608 is a multi-use form with a main form and several schedules. For complete information and instructions on filing the spectrum leasing form, please refer to the paper copy of the Form 608 (pdf) .
Except for applications and notifications involving spectrum subleases and private commons arrangements, and the few radio services that are permitted by the rules to file on paper, § 1.913(d), all spectrum leasing applications and notifications must be filed electronically via ULS. Electronic filing is easy!! Through the use of an application wizard, the form is completed in a question and answer format. Based on answers to questions at the beginning of the filing, ULS automatically presents the filer with the additional questions needed to complete the application or notification.
The application and the notification process for subleasing and private common arrangements is a manual one and is filed using a hard copy of Form 608 (pdf) .
The filing purposes for spectrum leasing arrangements are similar to the FCC Form 601:
Submission of the 608 "Main Form" is required for every filing. It obtains information pertaining to the type of application or notification, the parties involved and their eligibility and qualifications, and the required certifications and signatures.
Schedule A is used to report "designated entity" information, if applicable, in order to determine if unjust enrichment provisions are applicable.
Schedule B obtains information on the terms of new spectrum leasing and subleasing arrangements.
Schedule C, applicable to spectrum leasing and subleasing arrangements involving geographic-based licenses, is used to add, modify, or delete technical location data for International Coordination, Environmental Assessment, or Quiet Zone Location.
Schedule D is used in the event of a Transfer of Control of a Spectrum Lessee or Sublessee.
Schedule E provides supplemental date information for a spectrum leasing arrangement, such as the commencement and expiration dates, and it is used to cancel a spectrum leasing arrangement or extend the term of a spectrum lease or sublease.
Schedule F is used when a geographic-based licensee is leasing a portion of the licensed spectrum or a defined portion of the licensed geographic area.
Schedule G is used when a geographic-based licensee is leasing an undefined portion of the licensed geographic area.
Schedule H is used when a microwave licensee is leasing one or more individual microwave links.
Schedule I is used to provide notification of a new private commons arrangement, as well as any modification, extension, or cancellation of an existing private commons arrangement. All private commons notifications must be filed manually.
In addition to the Form 608 filing purposes stated above, there are three types of filings that are not associated with specific purpose codes. First, to indicate that a spectrum lease arrangement never commenced, users may file a cancellation of the spectrum lease, and where appropriate on the application, indicate that the lease never commenced. Second, users may convert from a short-term de facto to a long-term de facto spectrum leasing arrangement by applying for a new spectrum lease and then canceling the original lease. And lastly, users may assign a spectrum lease by applying for a new lease and then canceling the original lease.
The chart below outlines the parties responsible for completing, certifying, and submitting the notification or application for spectrum leasing. Note that filings for spectrum subleasing or private commons arrangements are a manual process; they can not be filed in ULS.
| SPECTRUM MANAGER LEASE | |
|---|---|
| APPLICATION PURPOSE | FILING RESPONSIBILITIES |
| New Lease or Extend the Term of a Lease | Completed by Licensee, certified by Licensee and Lessee and submitted into ULS by Licensee. |
| Modification or Administrative Update of a Lease | Completed by Licensee, certified by Lessee and submitted into ULS by Licensee. |
| Cancel a Lease | Completed, certified and submitted into ULS by Licensee. |
| Transfer of Control of a Lessee (Pro Forma and Non Pro Forma) | Completed by Licensee, certified by Transferor and Transferee and submitted into ULS by Licensee. |
| SPECTRUM MANAGER SUBLEASE | |
|---|---|
| APPLICATION PURPOSE | FILING RESPONSIBILITIES |
| New Sublease or Extend the Term of a Sublease | Completed by Licensee, certified by Lessee and Sublessee and manually submitted to the FCC by the Lessee. |
| Modification or Administrative Update of a Sublease | Completed by Licensee, certified by Sublessee and manually submitted to the FCC by the Lessee |
| Cancel a Sublease | Completed by the Licensee, certified by the Lessee and manually submitted to the FCC by the Lessee. |
| Transfer of Control of a Sublessee (Pro Forma and Non Pro Forma) | Completed by Licensee, certified by Transferor and Transferee and manually submitted to the FCC by the Lessee. |
| DE FACTO TRANSFER LEASE | |
|---|---|
| APPLICATION PURPOSE | FILING RESPONSIBILITIES |
| New Lease or Extend the Term of a Lease | Completed by Licensee and the Lessee, certified by both parties and submitted into ULS by Licensee. |
| Modification or Administrative Update of a Lease | Completed, certified and submitted into ULS by Lessee. |
| Cancel a Lease | Completed, certified and submitted into ULS by Licensee. |
| Transfer of Control of a Lessee (Pro Forma) | Completed by Lessee and Transferor, certified by Transferor and Transferee and submitted into ULS by Transferor. |
| Transfer of Control of a Lessee (non Pro Forma) | Completed by Lessee, Transferor, and Transferee, certified by Transferor and Transferee and submitted into ULS by Transferor. |
| DE FACTO TRANSFER SUBLEASE | |
|---|---|
| APPLICATION PURPOSE | FILING RESPONSIBILITIES |
| New Sublease or Extend the Term of a Sublease | Completed by Lessee and Sublessee, certified by both parties and manually submitted to the FCC by the Lessee. |
| Modification or Administrative Update of a Sublease | Completed, certified manually submitted to the FCC by the Lessee. |
| Cancel a Sublease | Completed, certified and manually submitted to the FCC by the Lessee. |
| Transfer of Control of a Sublessee (Pro Forma) | Completed by Sublessee and Transferor, certified by Transferor and Transferee and manually submitted to the FCC by the Lessee. |
| Transfer of Control of a Sublessee (non Pro Forma) | Completed by Sublessee, Transferor, and Transferee, certified by Transferor and Transferee and manually submitted to the FCC by the Lessee. |
| PRIVATE COMMONS ARRANGEMENTS | |
|---|---|
| APPLICATION PURPOSE | FILING RESPONSIBILITIES |
| License - New, Extend the Term, or Cancel a Private Commons Arrangement | Completed, certified and manually submitted to the FCC by the Lessee. |
| Spectrum Manager Lease - New, Extend the Term, or Cancel a Private Commons Arrangement | Completed by Licensee, certified by Lessee and manually submitted to the FCC by the Lessee. |
| Spectrum Manager Sublease - New, Extend the Term, or Cancel a Private Commons Arrangement | Completed by Licensee, certified by Sublessee and manually submitted to the FCC by the Lessee. |
| de facto Transfer Lease - New, Extend the Term, or Cancel a Private Commons Arrangement | Completed, certified and manually submitted to the FCC by Lessee. |
| de facto Transfer Sublease - New, Extend the Term, or Cancel a Private Commons Arrangement | Completed, certified manually submitted to the FCC by the Lessee. |
ULS license and application searches have been modified to include spectrum leasing arrangements and a new specialized search has been added for leases.
For the few applicants who are permitted to file notifications and applications manually (§ 1.913(d)) and for all notifications and applications for subleases and Private Commons, the completed FCC Form 608 (pdf) must be mailed to the FCC.
For the current fee amount, see the Wireless Fee Filing Guide.
Spectrum leasing is available in the radio services listed below. It is important to note that some radio services have restrictions on leasing activity. It is the applicant's responsibility to review all rules relating the spectrum leasing before filing an application.
| Universal Licensing System |
|---|
| Online Filing |
| License Search |
| Lease Search |
| Application Search |
| Form 608 |
|
Main Form and Instructions (pdf) |
| Filing Procedures |
|
Public Notice DA 06-1723 (pdf) |
