Emergency Communications: Required Auction of Public Safety Spectrum Could Harm First Responder Capabilities

First responders and others in 11 large metropolitan areas use radio systems operating in the T-Band since spectrum is limited in other bands. In 2012, FCC was required by statute to begin an auction of this T-Band public safety spectrum by February 2021 and to make the proceeds available to the National Telecommunications and Information Administration (NTIA) to develop and administer a grant program to help cover costs associated with relocating public safety users' radio systems.

GAO was asked to review issues related to the required T-Band auction. This report examines, among other things: (1) the challenges selected first responders and local governments anticipate facing in relocating public safety communications from the T-Band and (2) the actions FCC has taken both to help facilitate the required T-Band relocation and to address identified challenges. GAO reviewed FCC's March 2019 congressional briefing and analysis on T-Band spectrum and conducted case studies in four cities selected based on the number of public safety licenses in each area, among other things. GAO reviewed relevant statutes and regulations, FCC documents, and T-Band studies conducted by a public safety organization. GAO interviewed FCC officials and other stakeholders, including first responders in case study cities.

Public safety officials, such as police and fire fighters, in 11 metropolitan areas rely on radio systems that use the portion of spectrum known as the T-Band for mission critical voice communications. Selected stakeholders GAO interviewed, including first responders and officials in three of four areas selected as case studies, anticipate significant challenges in relocating public safety communications from the T-Band. For example, stakeholders in Boston, Los Angeles, and New York said the Federal Communications Commission (FCC) has not identified sufficient alternative spectrum. Additionally, two studies conducted by a public safety organization concluded these three areas and others may also have insufficient alternative spectrum (see figure below). Moreover, a recent FCC analysis showed that relocation options for public safety users are limited or nonexistent. Further, costs for relocating public safety users from the T-Band were calculated by FCC to be $5-to-$6 billion. Selected stakeholders said relocating their communication systems would require such things as new towers and radios as well as other infrastructure.

FCC has taken limited actions to address challenges and assist public safety users of the T-Band with the mandatory relocation. For example, FCC has taken steps to notify stakeholders, but officials told GAO they have not begun planning the auction. FCC officials acknowledged challenges the auction and relocation requirements present. FCC officials explained that public safety entities were licensed to operate on the T-Band in large metropolitan areas because other public safety spectrum was already heavily used. In March 2019, FCC briefed Congress on the auction's challenges and concluded that all T-Band auction scenarios would fail. Nonetheless, FCC officials said the agency will conduct the auction unless the law is amended. While FCC provided information to Congress, it did not suggest changes to law in this instance. Stakeholders in two metropolitan areas said the auction could result in substantial harmful effects on their ability to maintain continuous and effective communications during an emergency.

Congress should consider legislation allowing public safety users continued use of the T-Band spectrum.

During emergencies, reliable communications are critical for a rapid  response. Public safety users, including first responders—such as police  and firefighters—and state and local governments, use land mobile radio  (LMR) systems as the primary means to gather and share information  both for daily operations and emergency response efforts. In 11 large  U.S. metropolitan areas, public safety users have built and are operating  LMR systems in a portion of the radio frequency spectrum known as the  T-Band. Other users of the T-Band include business-industrial users of  LMR systems in those same metropolitan areas and television stations.

The Federal Communications Commission (FCC)—the agency that  regulates spectrum use for commercial and other nonfederal users— manages spectrum through allocation and assignment. Allocation  involves designating bands of spectrum for specific types of services or  classes of users, such as for land mobile radio or broadcasting use.  Assignment provides a license to a specific entity, like a wireless carrier  or a state or local government agency, to use a specific portion of  spectrum after it has been allocated. FCC uses a competitive-bidding  process, or auctions, to assign some licenses to entities that submit the  highest bids for licensing in specific bands. In 2012, FCC was required by  statute to commence the process for an auction by February 2021 of the  T-Band spectrum currently used for public safety and relocate public  safety operations from this portion of the band within 2 years of the  auction’s conclusion. In addition, the proceeds from this auction were required to be made available to the National Telecommunications and  Information Administration (NTIA) to make grants to cover costs for the  relocation of public safety entities. Relocated public safety users would  therefore need to build new LMR systems on an alternative spectrum  band. Public safety users relying on the T-Band and other public safety  organizations have expressed concern that relocating to other spectrum  could negatively affect public safety and render past investments in public  safety infrastructure, such as emergency radio communications systems,  useless. According to FCC, its spectrum auctions are intended, among  other things, to support the efficient assignment of spectrum licenses and  to provide funds to the U.S. Treasury, in certain cases, for specific  purposes such as deficit reduction and supporting other government  programs.

You asked us to review issues related to the requirement that public  safety users relocate their communications systems from the T-Band  spectrum. This report examines: (1) the challenges selected first  responders and local governments anticipate facing in relocating first  responder communications from the T-Band spectrum and (2) any actions  FCC and NTIA have taken to help facilitate the mandated T-Band  relocation and address identified challenges.

To address these objectives, we (1) reviewed FCC’s documents on the T- Band spectrum auction, including public notices and fact sheets; (2)  analyzed comments filed with FCC in response to a public notice on the  auction; and (3) reviewed FCC’s 2015–2018 and 2018–2022 strategic  plans. We also reviewed FCC’s March 2019 congressional briefing  materials and analysis on the T-Band relocation and auction. We  reviewed relevant reports from the National Public Safety  Telecommunications Council (NPSTC) on the T-Band spectrum auction,  the potential effect and cost of relocating public safety users, and  NPSTC’s assessment of the viability of relocation options. We  interviewed NPSTC representatives about these reports and their  analysis and concluded the methodology used to conduct the analysis  and the conclusions drawn based on the analysis were reasonable. We  also reviewed relevant statutes and regulations, including the Middle  Class Tax Relief and Job Creation Act of 2012 (the Act) and its provisions  related to the T-Band spectrum auction, and the grant program created  under the Act to help cover public safety entities’ relocation costs from the  T-Band spectrum. Additionally, we obtained data from FCC as of August  2018, for the purpose of reviewing T-Band spectrum licenses including  city and state in which the license was granted, licensee name, and type  of license (public safety, business-industrial, or television broadcast). We  then determined in which of the 11 metropolitan areas each public safety  license was located. We also conducted a literature search focused on  the T-Band spectrum auction’s requirements, spectrum relocation costs  for public safety, equipment compatibility with alternative spectrum, and  the effect of the T-Band spectrum’s relocation on neighboring  jurisdictions.

In addition, we interviewed officials from FCC and NTIA, which is an  agency within the Department of Commerce that is responsible for,  among other activities, managing the federal use of spectrum and  identifying additional spectrum for commercial use and administering  grant programs that further the deployment and use of broadband and  other technologies, and the First Responder Network Authority (FirstNet),  which is responsible for developing a nationwide, interoperable public  safety broadband network. We also interviewed officials from Department  of Homeland Security (DHS), which has responsibilities for emergency  communications. We also interviewed representatives from professional  organizations, industry groups, and business-industrial users of the T- Band to obtain their perspectives on topics related to the T-Band auction  requirement and how they might be affected by such a requirement.

We conducted case studies of four of the 11 metropolitan areas where  public safety users are assigned T-Band licenses: Boston, Dallas-Fort  Worth, Los Angeles, and New York City. We chose these locations by  reviewing FCC data on public safety license holders of T-Band spectrum  and by identifying and selecting regions that had a high (Boston, Los  Angeles, and New York City), and low (Dallas-Fort Worth) likelihood of  challenges relocating first responder communications based on the  number of public safety licenses in each area. In each location, we spoke  with the DHS emergency communications coordinator, representatives  from police or fire departments, and a representative of a public safety  communications system if one existed. We chose these groups by first  identifying organizations that submitted comments to FCC on the T-Band  auction and then selecting approximately three to five groups per location.  We did not necessarily speak with the same types of groups in each  location since the holders of T-Band licenses vary by location. While the  results of our case studies are not generalizable, they provide illustrative  examples of the challenges public safety officials may face in relocating.  A full list of the stakeholders we interviewed can be found in appendix I.

We conducted this performance audit from April 2018 to June 2019 in  accordance with generally accepted government auditing standards.  Those standards require that we plan and perform the audit to obtain  sufficient, appropriate evidence to provide a reasonable basis for our  findings and conclusions based on our audit objectives. We believe that  the evidence obtained provides a reasonable basis for our findings and  conclusions based on our audit objectives.

Effective communication is vital for first responders’ ability to respond to  emergencies, ensure the safety of both their personnel and the public,  and protect public and private property. For example, first responders use  public safety communications systems to gather information, coordinate a  response, and, if needed, request resources and assistance from  neighboring jurisdictions and the federal government. First responders  use several types of communications systems, such as LMR systems,  commercial wireless services, and the FirstNet network.

LMR systems. These systems are the primary means for first  responders to use voice communications to gather and share  information while conducting their daily operations and coordinating  their emergency response efforts. LMR systems are intended to  provide secure, reliable voice communications in a variety of  environments, scenarios, and emergencies.

Commercial wireless services. Public safety entities often pay for  commercial wireless services to send data transmissions such as  location information, images, and video.

FirstNet network. FirstNet is working to establish a nationwide,  dedicated broadband network for public safety use that is intended to  foster greater interoperability among first responders, support  important voice and data transmissions, and meet public safety  officials’ reliability needs on a priority basis, including call  “preemption.” FirstNet’s network is intended to complement LMR  systems with broadband capabilities and does not serve as a  substitute for mission-critical voice needs.

Communications systems must work together, or be interoperable, to  ensure effective communication. Emergency communications  interoperability refers to the ability of first responders and public safety  officials to use their radios and other equipment to communicate with  each other across agencies and jurisdictions when needed and as  authorized.

First responders’ LMR systems operate by transmitting voice  communications through radio waves at specific frequencies and  channels within the electromagnetic spectrum. FCC is responsible for  allocating spectrum for various purposes and assigning spectrum licenses  in a specific area and to a specific entity such as a police department or a  telecommunications company. As previously noted, an auction is one  mechanism that FCC may use to assign spectrum licenses. According to  FCC officials, due to certain restrictions in the Communications Act, FCC  has used administrative procedures, not auctions, to assign licenses for  public safety and non-commercial educational broadcast stations.

Over the years, spectrum for public safety has expanded to new  frequency bands, as previously available frequencies became congested  and public safety needs for spectrum increased. As we have previously  reported, congestion results from growth in the overall number of users  and demand for spectrum dependent technologies and services.  Because of the increased demand for spectrum, in 1971 FCC authorized  public safety and business-industrial users to share a portion of the T- Band spectrum (470 to 512 megahertz) with television broadcast stations  in 11 metropolitan areas. The 11 metropolitan areas, which are  identified in figure 1, include almost all the most populous metropolitan  areas in the United States. The entire T-Band is not available for public  safety and business users in these 11 metropolitan areas to build and  operate LMR systems, and the amount of spectrum varies in each area.  FCC rules allow “base station transmitters”—the equipment that emits  radio signals to communicate with mobile units—to be located within 50  miles from the geographic center of each metropolitan area, as shown in  figure 1.

In 2012, as part of the Middle Class Tax Relief and Job Creation Act of  2012 (the Act), FCC was required by statute to reallocate the T-Band  spectrum currently used by public safety and commence the process for  an auction by February 22, 2021. As part of the reallocation of the T- Band for the 11 metropolitan areas listed above, the proceeds from the  required auction shall be available to NTIA to make grants to cover  relocation costs for the relocation of public safety entities. The grants are  to be funded by the auction proceeds for the purpose of helping cover  these users’ relocation costs. According to FCC officials, the Act does  not address the hundreds of business-industrial users also using the T- Band and does not set aside or identify replacement spectrum for public  safety users. DHS officials told us that the Act does not provide a formal  role for DHS in the T-Band spectrum auction or relocation of public safety  users. While one purpose of spectrum auctions is to recover the public  portion of the value of spectrum, FCC officials told us that the Act and its  legislative history do not explain the purpose of the T-Band auction and  relocation, and we confirmed the absence of legislative history for the  auction mandate.

According to FCC officials, there are approximately 925 public safety  entities with licenses in the T-Band. Each of these entities holds at least  one license, but in some cases may hold many licenses. For example, the  State of Texas holds one public safety license in the T-Band in the  Houston metropolitan area, while the New York City Police Department  has 180 licenses in the New York City metropolitan area. The number of  licenses held by each entity depends on the demand for the spectrum for  LMR systems and the availability of spectrum in other bands allocated for  public safety use. FCC estimates that public safety entities have  approximately 3,000 stations within the T-Band. Additionally, FCC said  that the T-Band also contains approximately 700 business-industrial  users that occupy about 1,700 stations.

T-Band Relocation Poses Significant Challenges, Including Uncertainty of Available Spectrum, High Cost, and Interoperability Concerns Lack of Available Alternative Spectrum in Major Metropolitan Areas

Public safety officials in three of our four selected metropolitan areas— Boston, Los Angeles, and New York City—told us that they have not been  able to identify alternative spectrum to relocate from the T-Band, a  situation that raises questions about the feasibility of the auction and  relocation. For example, all of the officials we interviewed from New  York City police, fire, and emergency management departments said  there is no spectrum available for them to relocate to. The officials noted  that the New York City Police Department is the largest municipal police  department in the country and that it relies on the T-Band to dispatch  police for 911 calls. Additionally an official from Pasadena in the Los  Angeles metropolitan area said that the spectrum allocated for public  safety in the region is already crowded and that officials are unsure of  where to relocate their emergency communication operations. Public  safety officials from Boston, Los Angeles, and New York City metropolitan  areas also said that FCC has not provided a plan or identified alternative  spectrum for relocation.

In 2013, in anticipation of the mandatory T-Band auction, FCC published  a notice and solicited public comment to gather information on when,  how, and under what circumstances to relocate public safety and  business-industrial users of the T-Band. At that time, FCC asked  commenters what alternative spectrum bands were potentially available  for relocation of T-Band’s public safety users, and whether these users  could relocate to other public safety bands including the 700 and 800  MHz bands.

In response to FCC’s request for comment, NPSTC conducted an  analysis and reported in 2013 that the 11 different metropolitan areas  would face different likelihoods of relocating to alternative spectrum.  NPSTC analyzed FCC data on T-Band licenses to determine the number  of public safety licenses that would need to be relocated, and then  compared the need for licenses to the available licenses in other  spectrum bands that FCC has allocated for public safety use. Based on  that analysis NPSTC concluded the following.

In five of the 11 metropolitan areas, relocating public safety users  from the T-Band would not be possible. Specifically, in addition to  identifying the three metropolitan areas we discuss above (Boston,  Los Angeles and New York City), NPSTC concluded that at least two  other metropolitan areas (Chicago and Philadelphia) lacked sufficient  spectrum in any band to relocate public safety’s existing T-Band  operations.

For the other six metropolitan areas (Pittsburgh, San Francisco,  Washington, D.C., Dallas-Fort Worth, Houston, and Miami) NPSTC’s  analysis found that these areas might have sufficient spectrum to  relocate T-Band users, with the 700 MHz narrowband offering the  greatest potential. These metropolitan areas have fewer public safety  T-Band licensees needing to relocate. Representatives from a trade  organization that represents business-industrial users of the T-Band  told us that in five of these six metropolitan areas, business-industrial  users hold more than half of T-Band licenses. Specifically, the  representatives noted that approximately 95 percent of T-Band users  in the Houston metropolitan area are business-industrial users and  that in Pittsburgh, Washington, D.C., Dallas-Fort Worth, and Miami  metropolitan areas more than 50 percent of the T-Band users are  business-industrial users.

Our interviews with selected local officials confirmed that public safety  users in Dallas-Fort Worth (our fourth selected metropolitan area) have  had success transitioning off the T-Band. Two of the three public safety  licensees we talked with told us they had already transitioned off the T- Band and noted that it was unrelated to the required T-Band auction. For  example, an official from the City of Dallas, which holds one public safety  license in the T-Band, told us that in 2012 the city began replacing  existing radios with new radios that did not operate on the T-Band. The  official said the city stopped operating on the T-Band in 2013 and  relocated operations onto another spectrum band where most of the city’s  public safety communications operated. Another T-Band public-safety  licensee from the Dallas-Fort Worth metropolitan area told us that  although it has active licenses they were unaware of the required auction  or need to relocate from the T-Band.

FCC and DHS officials told us the analysis conducted by NPSTC was a  good source of information about the potential negative effects of the T- Band auction on public safety users, including numbers related to  licensing and potential cost. DHS officials told us that NPSTC has broad  expertise in emergency communications, noting that it is a member of two  federally supported organizations that promote the interoperability of  emergency communications—the Public Safety Advisory Committee and  SAFECOM. Additionally, SAFECOM worked with another federally  supported emergency communications advisory group—the National  Council of Statewide Interoperability Coordinators—to create a publicly  available document on the T-Band auction and the potential effects on  public safety and cited the NPSTC’s report in the assessment. The document, notes that insufficient spectrum alternatives leave few options  for identifying replacement spectrum in several major metropolitan areas.

Selected representatives from industry groups whose members are  business-industrial T-Band users in the 11 T-Band metropolitan areas,  such as the American Petroleum Institute and the Utilities Technology  Council, also said they anticipate that there would not be alternative  spectrum available if required to relocate. For example, representatives  with the American Petroleum Institute said that there are staff at major  refineries that use the T-Band on a daily basis for all plant operations  including emergency response (firefighters and hazardous materials),  control room, engineering, and maintenance, and that relocating to new  spectrum would be challenging given the lack of available spectrum.  These representatives noted that most of the refineries that use the T- Band are located in Houston, but there are also some facilities in the San  Francisco, Los Angeles, and Philadelphia metropolitan areas.

Relocation Costs Could be in the Billions of Dollars

Public safety officials in Boston, Los Angeles, and New York City agreed  that relocating LMR operations from one spectrum band to another can  be costly, complicated, and time intensive given infrastructure and  equipment needs. These officials told us that transitioning from the T- Band requires identifying and acquiring new sites to build towers,  purchasing new radios, testing new systems, building other infrastructure,  and training personnel on the new systems.

NPSTC calculated in its 2013 report that the cost to relocate public safety  operations in the 11 metropolitan areas would be approximately $5.9  billion. Their calculation includes the costs for the total estimated number  of new towers, cables, antennas, and mobile, portable, and vehicular  radios.  In 2016, after updating its analysis, NPSTC’s second report  confirmed that the conclusions from the 2013 report remain valid.  According to FCC officials, in early 2019 they analyzed the costs for  relocating public safety users from the T-Band and estimated the total  cost would be between $5 and $6 billion.

Officials from nearly all of the public safety entities we interviewed in the  Boston and New York City metropolitan areas cited the NPSTC reports as  the best source of publicly available cost calculations for relocating public  safety users from the T-Band. Officials from nearly all of the public  safety entities we interviewed in Boston, Los Angeles, and New York City  told us that estimating relocation costs is and will remain difficult until  alternative spectrum is identified. However a few selected public safety  users provided us with high-level cost estimates for replacing LMR  system components. For example, an official in Pasadena said a  conservative estimate for those components would be $13 to $14 million;  while public safety officials in New York City estimated component costs  would be at least $1.8 billion. According to public safety officials in Morris  County, New Jersey, and Yonkers, New York, the financial burden may  be greater for less populated areas, despite the higher anticipated actual  cost for more populated areas. For instance, public safety officials in  Morris County, New Jersey, told us they estimated $30 million in  relocation costs, which exceeds the county’s total annual capital project  budgets (approximately $20 to 25 million).

According to public safety users in the Boston, Los Angeles, and New  York City metropolitan areas, costs for relocating LMR systems from the  T-Band depend on a variety of factors including (1) equipment, (2)  infrastructure, and (3) real estate.  1.  Equipment. Transitioning to another spectrum band could require  public safety users to purchase new equipment such as radios. Some  radios can only operate on one spectrum band, so moving to a new  band requires purchasing new radios that can operate on that band.  Alternatively, users could purchase multi- band radios, which can  operate on more than one radio frequency band. According to public  safety officials we spoke with, multi-band radios might be the best  option since it is not clear which frequencies they will ultimately be  relocated to. However, they also noted that multi-band radios are  substantially more expensive than single band radios. For example,  officials with the Boston Fire Department told us a regular radio costs  approximately $5,000 each while multi-band radios cost up to $8,000.  These officials told us that relocating from the T-Band would mean  replacing approximately 1,800 radios with multi-band units, meaning  that just replacing the Boston Fire Department’s handheld and  portable radios could cost more than $14 million. Additionally, public  safety officials in Boston and New York City added that local building  codes in those areas require buildings of a certain size to install  equipment that amplifies wireless signals throughout a building and  improves coverage. These systems help first responders, such as  police and firefighters, communicate with each other in large  buildings.  2.  Infrastructure. Infrastructure costs could include new radio towers  and antennas and fiber-optic cable systems. Because different radio  frequencies have different characteristics and can cover different  distances, depending on to which spectrum band public safety users  are relocated, circumstances may require more radio towers and  antennas. For example, officials with the Boston Fire Department told  us that if space were available and they were to relocate from the T- Band to the 800 MHz public safety band, they would need additional  radio towers. Specifically, these officials said their current system  consists of 42 receivers and five transmitting sites and estimated that  a system in the 800 MHz band would likely require up to 60 receivers  and five-to-nine transmit sites. FCC officials told us that based on the  characteristics of other spectrum bands allocated to public safety,  users may need to build between two and three times as much  infrastructure to provide the same coverage. The officials noted this  would substantially increase relocation costs. Additionally, public  safety officials in Boston and New York City told us they are able to  use the T-Band to communicate in the tunnels beneath each city  because of infrastructure investments like the T-Band specific  radiating cables, which allow first responder’s radios to work  underground. Officials from New York City police, fire, emergency- management department and the mayor’s office said that relocating to  a new spectrum would require installing a new radiating cable system  in hundreds of miles of subway, train, and vehicle tunnels. These  officials estimated that replacing the radiating cable infrastructure  alone would take at least a decade and cost over $1 billion. Officials  added that replacing the infrastructure would involve closing subway  lines for extended periods of time as the new cables are installed.  3.  Real estate. Costs associated with buying or leasing new real-estate  sites for towers and other radio equipment will also affect the cost  estimate for public safety users. Officials from Boston, Los Angeles,  and New York City told us that because of the characteristics of  different spectrum bands, building a replacement system might  require additional sites. Additionally, officials with New York City told  us that identifying locations and negotiating leases for radio towers  and spaces for other equipment including radio cabinets would likely  be difficult due to the scarcity of and high costs of appropriate sites in  New York City.

Public safety officials in Boston, Los Angeles, and New York City added  that relocating from the T-Band would require building and operating  parallel systems to avoid disrupting emergency communications. This  project would require some duplication of investments—for example,  radio towers, radio cabinets, and antennas, among other equipment and  infrastructure—during the transition. For example, officials in New York  City police, fire, and emergency-management departments told us they  would need to build a dual system that could require at least twice as  much space for equipment. They also noted that the current sites are rent  free because of existing arrangements, but they believe that it is unlikely  that landlords will provide additional space rent free. These officials told  us that even if FCC identified available spectrum for them to relocate to,  they would be unable to build and test the systems in the 2-year time  frame required by statute. For example, New York City officials  estimated buildout and testing could take over a decade, which they  indicated would also substantially increase the city’s cost.

Public safety stakeholders in the Boston, Los Angeles, and New York City  metropolitan areas told us that it is difficult to estimate the time needed to  build new LMR systems, but estimates ranged from 2 to more than 10  years from the time that alternative spectrum was identified. They noted  that these time frames would also depend on the availability of funding  and on the complexity of the new systems to be designed, built, and  tested. FCC officials also told us that the time and expense of relocating  hundreds of licensees at thousands of sites is difficult to predict due to  many local factors. For instance, FCC officials cited their ongoing  experience relocating public safety licensees within the 800 MHz band  which was originally estimated to take 3 years. However, based on  certain factors such as the geographic location and interdependencies of  communications systems, this relocation effort remains incomplete after  14 years.

Potential Difficulties in Maintaining Interoperability and Reliability of Emergency Communications on Alternative Spectrum

Public safety stakeholders we talked to told us that the T-Band is  important for the interoperability of public safety equipment and said that  maintaining interoperability on alternative spectrum would be a challenge.  Boston officials told us interoperability is vital for public safety and the T- Band is the key for their interoperability capabilities. For example, these  officials said the LMR systems that allow almost 170 local, county, state,  and federal law enforcement agencies to communicate with each other  use the T-Band. The officials said this network of LMR systems is the only  way for all these entities to communicate on a daily basis and is also used  for command and control for crisis response at major events such as the  Boston Marathon. These officials credited this system on the T-Band for  the successful response to the 2013 Boston Marathon bombing. Officials  said the LMR system allowed first responders in neighboring jurisdictions  to provide additional communication equipment and personnel during the  ensuing manhunt. Similarly, officials from New York City told us the T- Band now provides the foundation for all first responder communications  in the area. Officials said the September 11, 2001, terrorist attacks  demonstrated the loss of life that can occur when first responders are  unable to communicate with each other because there was no system in  place to allow police, fire, and emergency medical services to easily  communicate. As a result, officials said New York City has spent  countless hours and millions of dollars to improve interoperability, and  that the interoperable system currently in place is based on the T-Band.

In December 2018, we reported that it is vital for first responders—such  as police officers and firefighters—to have (1) timely communications; (2)  sufficient capacity to handle the communications; and (3) interoperable  communications systems that enable first responders to connect with  their counterparts in other agencies and jurisdictions, even if their  counterparts’ systems or equipment vendors differ. As noted previously,  public safety users rely on LMR systems as their primary means to gather  and share information. For public safety users that rely on the T-Band for  interoperable communications and that lack alternative spectrum to build  new interoperable systems, losing access to the T-Band would mean  public safety officials in multiple large metropolitan areas would be unable  to communicate with first responders within their community, neighboring  jurisdictions, and the federal government.

Public safety officials in Boston, Los Angeles, and New York City told us  that the characteristics of the T-Band spectrum are ideal for reliable  emergency communications and that moving to another spectrum band  may present a challenge to reliability. Since different frequencies of radio  waves have different characteristics, jurisdictions typically use the  spectrum that is best suited for their particular location. The officials told  us that the T-Band’s characteristics allow radio signals to penetrate  buildings and across varied terrain and require less infrastructure  investments, such as radio towers, than other frequency bands assigned  for public safety use. Los Angeles County officials cited the  characteristics of the T-Band as the primary advantage the current radio  system has over other systems operating on other spectrum bands. They  explained that the characteristics make it more suitable for challenging  terrain on the forested, mountainous, and coastal areas of the county,  than similarly equipped radio systems operating in other frequency bands.

FCC Has Taken Limited Actions to Help Facilitate the Mandated Spectrum Auction and Address Relocation Challenges; NTIA Is Awaiting FCC Action before Designing a Grant Program FCC Has Taken Some Preliminary Steps to Prepare for the Auction but Has Not Taken Additional Action

FCC has taken some preliminary steps to help facilitate the mandated  relocation of public safety users from the T-band, such as imposing a T- Band license freeze, requesting public comments, and creating a fact  sheet to notify stakeholders of the spectrum auction and prepare for the  auction.

In April 2012, FCC froze the processing of applications for new or  expanded T-Band radio operations in an effort to avoid adding to the cost  and complexity of the mandated public safety relocation. Affected  applications included those seeking: (1) new T-Band licenses; (2)  modifications to existing licenses by adding or changing frequencies or  locations within the T-Band; (3) modifications to existing licenses by  changing technical parameters—such as increases in bandwidth, power  level, antenna height, or area of operation—in a manner that expands the  station’s spectral or geographic footprint; and (4) any other modification  that could increase the degree to which the 470–512 MHz band currently  is licensed. Both public safety and business-industrial users we  interviewed expressed concerns about the license freeze and said it has  caused some uncertainty and in limited cases has affected their ability to  maintain existing systems. For example, public safety officials from one  department we interviewed in the Boston metropolitan area said the  freeze has affected users’ ability to replace aging equipment, which has  led to poor communications in the area. Additionally, representatives from  one business-industrial user told us that Hurricane Harvey destroyed one  of its LMR sites and that the entity was having trouble rebuilding a site  elsewhere since FCC considers this action a major change and thus  affected by the license freeze. FCC staff told us that the public notice  announcing the license freeze specifically advised affected parties that  they could request a waiver in unusual circumstances where the public  interest so warrants, and that that no such request appears to have been  filed in this instance.

In addition, as discussed earlier, FCC sought public comment in February  2013 to gather information and specific proposals for reallocating and  auctioning the T-Band. FCC officials said they continue to evaluate  auction proposals from these comments. In October 2014, FCC released  a report and order making 24 channels in the 700 MHz narrowband,  previously held in reserve, available for public safety users. FCC  concluded that given the significant increase in demand for 700 MHz  narrowband spectrum, particularly in urban areas, these channels should  be made available for use. Public safety users of the T-Band were given  priority to these new channels if they committed to return an equal  amount of T-Band channels and obtained the concurrence of the relevant  regional-planning committees. According to NPSTC’s 2016 report, these  24 additional channels are beneficial but insufficient to relocate all current  users of the T-Band. The report notes that channel insufficiency is  particularly challenging in the five metropolitan areas where T-Band  usage is the highest—Boston, Chicago, Los Angeles, New York City, and  Philadelphia. Furthermore, one public safety official in the Los Angeles  metropolitan area raised concerns about potential radio interference if  relocated to another frequency. The official said that currently, because  the T-Band is not used by neighboring jurisdictions, the city does not  currently have to worry about frequency interference. By contrast, the 700  and 800 MHz band is currently occupied by public safety in neighboring  Riverside and San Diego Counties. This means, according to the official,  that building a new system operating in the 700-800 MHz band could  potentially introduce interference issues.

FCC also created a fact sheet in July 2016 with basic information on the  statutory relocation requirement. The T-Band fact sheet states that the  relocation shall be completed within 2 years of the auction’s completion  date: the exact timing of the relocation deadline will depend on when the  auction concludes. FCC officials told us the T-Band fact sheet is the only  formal T-band auction guidance that they have provided. However,  officials said that they have also met with several licensees to discuss T- Band issues. For example, according to officials, FCC has met with public  safety entities from areas such as Los Angeles, Chicago, Boston, and  New York City. DHS officials told us that while they have no formal role in  the T-Band auction and relocation of public safety users, they provide this  fact sheet when they are asked for details about the T-Band auction as a  way to help raise awareness about the auction and relocation  requirements. Although FCC has made efforts to provide guidance and  information to T-band users regarding the mandated auction, as we  discuss earlier in the report, we found that not all T-Band users we  interviewed are aware of the upcoming auction or the need to relocate  from the T-Band.

FCC has not set a timeline for initiating the auction but has stated that it is  committed under any scenario to ensure the continuity of T-Band  licensee’s public safety mission-critical communications. According to  FCC officials, as of March 2019, almost all T-Band licensees continue to  operate on the T-Band spectrum, and FCC officials cited multiple factors  for the limited progress in preparing for the T-Band auction:

FCC has not determined how to address challenges stakeholders  identified in response to FCC’s 2013 request for public comment,  including the lack of available spectrum to relocate and the cost. For  example, officials told us that they are taking a wait-and-see approach  to see how many T-Band licensees relocate prior to the auction.  However, as noted previously, FCC officials told us their analysis of  other spectrum bands shows insufficient spectrum for relocating  public safety entities from the T-Band. The officials told us that public  safety operates on the T-Band in large metropolitan areas where  other public safety spectrum is heavily used and that this reason is  why the T-Band was allocated for LMR in these areas in the first  place.

The T-Band auction has raised complicated relocation questions. For  example, select industry groups we spoke to whose members are  business-industrial T-Band users expressed concern about the  uncertainty of the spectrum auction requirements, since the Act was  silent on business-industrial users, but they are constrained by the  license freeze from replacing aging equipment. FCC previously told us  that it had not determined whether business-industrial users would be  required to relocate. However, in April 2019, FCC officials told us that  it intends to implement the auction following the statute’s language.  FCC officials stated that the Act does not expressly require it to  auction spectrum licensed to business-industrial users, but officials  also stated that FCC may decide that it has the authority to auction  that spectrum under a different statutory provision. Before conducting  the auction, FCC must issue a notice, which includes a public  comment period, to determine the auction procedures and  requirements. FCC officials told us they have not progressed beyond  the preliminary conceptual stages and do not have a precise timeline  for the pre-auction process or auction. The officials explained that if  business-industrial users relocate, they would face similar relocation  challenges to that of public safety users and the Act does not mention  them as eligible for relocation grants. According to FCC officials,  licenses for business-industrial users outnumber those of public safety  users on the T-Band in some areas.

According to FCC officials and a FirstNet official, public safety users  on the T-Band may subscribe to services on FirstNet’s nationwide  public safety broadband network, which offers some voice  functionality. However, officials said the network currently does not  accommodate the need of public safety users for mission-critical voice  functionality. For example, FCC officials told us that FirstNet’s  network is not a substitute for mission critical voice systems operated  by public safety licensees in the T-Band because the network does  not support such capabilities and because there is no plan or  schedule in place for the network to begin offering such services.

According to an official at FirstNet, this network is intended to  complement LMR systems with broadband capabilities, not replace  LMR systems in the near future. In the interim, public safety users  electing to use FirstNet’s broadband network will need to continue to  use LMR networks for their mission critical voice needs while  evaluating whether their future voice needs require continued  maintenance of their LMR networks or whether FirstNet broadband  services could fulfill their wireless communications requirements.

FCC Officials Said That T- Band Spectrum Has Potentially Low Auction Value; NTIA Is Awaiting FCC Action

The amount of proceeds that may be generated from the T-Band  auction—which are, according to FCC, expected to be the sole source of  federal funding to help cover the relocation costs incurred by public safety  entities—is likely to be less than the total relocation costs. FCC officials  told us the T-Band has potentially low value because of limited demand  by potential bidders in the auction. For example, FCC officials estimated  that revenue for the entire T-Band would not exceed $2 billion. To reach  this amount would require public safety and business-industrial users to  relocate from the T-Band, which according to FCC estimates could cost  between $9 and $10 billion. As discussed previously, representatives  from a trade organization told us that in five of 11 metropolitan areas  where public safety uses the T-Band, business-industrial users hold more  than half of T-Band licenses. Because of the high numbers of business-  industrial users in the T-Band, there may be less spectrum to auction than  perhaps initially contemplated when the Act was passed, which would  ultimately affect auction proceeds. If FCC were to decide that it has the  authority to auction spectrum utilized by business industrial users under a  different statutory provision, as explained above, proceeds would be  higher.

As discussed above, NTIA is to make grants to cover relocation costs for  the relocation of public safety entities in accordance with the Middle Class  Tax Relief Act. However, NTIA officials told us that the agency has no  dedicated funding to administer such a program and must wait for auction  proceeds to stand one up. The officials also said that only when the  auction concludes will NTIA know the total amount available and how  best to disburse those funds for relocating agencies. Thus, designing a  grant program, notifying eligible parties of available grants, evaluating  applications, and issuing awards must all take place during the statutory  2-year relocation period. If agencies require the funds before they can  move to other frequencies, it is unlikely that this migration can meet the  two-year deadline. NTIA officials also stated that until they design the  grant program, they do not have any relevant information to provide  public safety stakeholders. NTIA officials said they would provide  information on the grant program and begin making grants as soon as  possible given the statutory requirement for public safety users to relocate  within 2 years of the auction’s conclusion.

According to NTIA officials, because the requirements for NTIA’s grant  program for public safety relocation costs have not yet been specified, it  is unclear what expenses will be covered. As previously discussed, FCC  and NPSTC each calculated the cost for relocating public safety users in  the 11 metropolitan areas and each arrived at an estimate between $5  and $6 billion. FCC officials said because of the high relocation costs and  likely low value of the T-Band’s being auctioned, there is a strong  likelihood auction proceeds would not cover public safety relocation costs.  Although the Act stipulates that auction proceeds shall be made available  through grants in such sums necessary to cover costs for the relocation of  public safety entities from the T-Band spectrum, FCC officials said the Act  did not address what would happen if the auction generated insufficient  funds to cover relocation costs. Consequently, public safety stakeholders  from Boston, Los Angeles, and New York City expressed concern about  moving forward with relocating. These stakeholders identified the  uncertainty of what spectrum would ultimately be auctioned as one of the  main reasons they were concerned they would be unable to fully cover  their relocation costs.

FCC Plans to Proceed with the T-Band Auction Unless There Is a Statutory Change

FCC officials stated that they recognize that the T-Band auction and  relocation requirement present challenges for FCC and public safety  entities—and potentially business-industrial users—particularly since  spectrum for relocating all public safety users is limited to non-existent.  However, these officials said they will design and conduct the spectrum  auction, as required, unless the law is changed. In this case, FCC officials  told us they provided Congress with information on the challenges  associated with the auction. While FCC provided information to Congress,  it did not suggest changes to law in this instance. As such, officials told us  in March 2019 they were in the process of briefing key congressional  committees on the challenges associated with the T-Band auction based  on FCC analysis. According to this analysis, all T-Band auction scenarios  would fail. FCC ran auction scenarios that looked at different options for  relocating users and auctioning the T-Band used by public safety. These  scenarios included relocating only public safety users, relocating public  safety and business-industrial users, relocating public safety users, and  reorganizing business-industrial users within the T-Band. In 2018, bills  were introduced in both the House of Representatives and the Senate to  repeal the requirement for FCC to reallocate and auction the T-Band.  These bills were not enacted and expired at the end of the 115th  Congress. However, in January 2019, a bill was introduced—and  subsequently referred to a House subcommittee—to repeal the T-Band  relocation and auction requirements. As of June 2019, no further action  has taken place on the legislation.

According to FCC’s strategic plan, one of FCC’s priorities is to protect  public safety, and in particular, take steps to assist and safeguard the  communications of our nation’s law enforcement officers and first  responders. However, auctioning the T-Band spectrum, as FCC has  been mandated to do, could hamper its ability to safeguard these  communications.

As mentioned above, the Act and its legislative history do not discuss the  purpose of the T-Band auction. Public safety stakeholders in Boston, Los  Angeles, and New York City told us they believe that there may have  been an assumption the FirstNet network could absorb public safety  users, but at this time the network does not support mission-critical voice  capabilities first responders need. According to stakeholders in the  Boston and New York City metropolitan areas, if the provision requiring  the auction of public safety users’ T-band spectrum remains in effect and  if the auction takes place, they could experience substantial harmful  effects on their ability to maintain continuous and effective  communications during an emergency. Officials representing seven public  safety entities told us they favored Congress’ repealing the required T- Band auction for this very reason. For example, public safety officials in  New York City said they believe the T-Band auction would severely  negatively affect their ability to respond to emergencies and could lead to  the loss of lives. In addition, officials with the Boston police department  told us the T-Band is the lifeblood of police communications and the only  way for almost 170 law enforcement departments in the Boston metropolitan area to communicate with one another on a daily basis and  during major events. These officials said that auctioning the T-Band and  forcing them to relocate and build a new system over several years would  disrupt critical public safety communications and be disastrous.

Since the passage of legislation requiring the relocation of public safety  users from, and auction of, the T-band radio spectrum, the potential  consequences of these actions have become far more apparent. If FCC  conducts such an auction, it is unclear that all public safety users in the  affected areas will be able to relocate. If alternative spectrum is not  available, public safety would be jeopardized in some of the nation’s  largest metropolitan areas. Even if alternate available spectrum can be  found, public safety users are likely to bear significant costs associated  with relocating and reestablishing interoperability. These costs could go  well beyond the revenue produced by such an auction.

Congress should consider legislation allowing public safety users  continued use of the T-Band radio spectrum. (Matter for Consideration 1)

We provided a draft of this report to the Department of Commerce, DHS,  and FCC for review and comment. DHS and FCC provided technical  comments, which we incorporated as appropriate. The Department of  Commerce indicated that it did not have comments.

We are sending copies of this report to the appropriate congressional  committees, the Secretaries of Commerce and Homeland Security, and  the Chairman of FCC. In addition, the report is available at no charge on  the GAO website at http://www.gao.gov.

If you or members of your staff have any questions about this report,  please contact me at (202) 512-2834 or goldsteinm@gao.gov. Contact  points for our Offices of Congressional Relations and Public Affairs may  be found on the last page of this report. Major contributors to this report  are listed in appendix II.

Appendix II: GAO Contact and Staff Acknowledgments

In addition to the individual named above, David Sausville (Assistant  Director); Aaron Kaminsky (Analyst in Charge); Camilo Flores; Ray  Griffith; Delwen Jones; Josh Ormond; Kelly Rubin; and Jessica Walker  made key contributions to this report.

In 11 large metropolitan areas, critical communications for police, firefighters, and others take place in the T-Band part of the radio spectrum. For example, the NYPD dispatches 911 calls via the T-Band.

Starting in 2021, public safety T-Band will be auctioned as required by law. Public safety organizations must move their communications to another part of the spectrum within 2 years of the auction's end.

In 3 of the 4 metropolitan areas we examined, officials said they haven't found a T-Band alternative. A recent FCC study also found few options.

We recommended Congress consider allowing public safety organizations to keep using the T-Band.