******************************************************** NOTICE ******************************************************** This document was converted from WordPerfect or Word to ASCII Text format. Content from the original version of the document such as headers, footers, footnotes, endnotes, graphics, and page numbers will not show up in this text version. All text attributes such as bold, italic, underlining, etc. from the original document will not show up in this text version. Features of the original document layout such as columns, tables, line and letter spacing, pagination, and margins will not be preserved in the text version. If you need the complete document, download the WordPerfect version or Adobe Acrobat version, if available. ***************************************************************** FCC 00-154 Released: April 25, 2000 CALEA Section 103 Compliance and Section 107(c) Petitions CC Docket No. 97-213 1. This Public Notice provides instructions for carriers that may need to file with the Commission petitions for extension of the deadline for complying with the capability requirements of section 103 of the Communications Assistance for Law Enforcement Act (CALEA), as provided by CALEA section 107(c). As explained below, CALEA-compliant equipment and software has not become available as extensively as industry had expected in 1998. This might make it necessary for some carriers to file petitions to extend the compliance deadline. We are mindful that these filings will represent a burden on carriers, despite their best efforts to comply with the CALEA requirements. To lighten this burden as much as practicable, we have provided below a sample extension petition (Appendix A to this Public Notice) and line-by-line instructions for drafting a petition. In addition, we encourage carriers to file joint petitions with other similarly situated carriers, either via trade associations or ad hoc groups, and to participate in the FBI's Flexible Deployment Program. 2. CALEA Capability Requirements. CALEA was enacted in 1994 in order to enable law enforcement officials to conduct electronic surveillance effectively and efficiently in the face of rapid advances in telecommunications technology. Section 103 of CALEA ("assistance capability requirements") requires all telecommunications carriers to ensure that their facilities, equipment and services are capable of providing surveillance upon proper request of a law enforcement agency. 3. CALEA Capability Deadline. All telecommunications carriers (carriers) must comply with CALEA section 103 by June 30, 2000. If compliance is not reasonably achievable through application of available technology, the Commission may, upon petition by a carrier, grant an extension of up to two years pursuant to CALEA section 107(c), 47 U.S.C.  1006(c). However, carriers that fail to comply with section 103 by the deadline and fail to obtain an extension from the Commission (non-complying carriers) are subject to enforcement action under section 108 of CALEA. Carriers have an obligation to comply with section 103 by June 30, 2000, and, only if the need arises, they may file petitions with the Commission for extensions pursuant to the instructions contained herein. I. General Instructions 4. Consultation with the FBI. CALEA section 107(c)(2) requires the Commission to consult with the Attorney General when determining whether an extension of the compliance deadline is warranted. The Attorney General has delegated responsibility for CALEA to the Director of the Federal Bureau of Investigation (FBI). See 28 C.F.R.  0.85(o) (1999). As noted in paragraph 6 below, under certain circumstances a carrier's participation in the FBI's Flexible Deployment Program will satisfy the statutory requirement for the Commission to consult with the Attorney General. 5. Requirements for Extensions under Section 107(c). In order for the Commission to grant a carrier's petition for extension filed pursuant to section 107(c), the Commission must find that "compliance with [section 103's] assistance capability requirements . . . is not reasonably achievable through application of technology available within the compliance period." Petitioning carriers bear the burden of providing the information necessary for the Commission to make this finding. After receiving information from a petitioning carrier and consulting with the FBI, the Commission may grant or deny the petition. In granting the petition, the Commission can extend the compliance deadline no longer than two years from the date of grant. 6. The FBI's Flexible Deployment Program and the FCC's CALEA Section 107(c) Petition Process. A procedure established by the FBI as part of its deployment program can assist us in processing extension requests filed pursuant to section 107(c). The FBI has provided all telecommunications carriers an opportunity to participate in a Flexible Deployment Program, under which the FBI will review carrier extension proposals in light of the CALEA priorities of law enforcement agencies. For carriers serving geographic areas that do not have a history of demand by law enforcement for electronic surveillance services, the FBI may advise the Commission that extensions of the section 103 compliance deadline for these carriers would not unduly threaten the public safety. As a result, a carrier's participation in the FBI's Flexible Deployment Program enables the Commission to satisfy its statutory obligation to consult with the FBI, and assists the Commission in establishing the length of the petitioning carrier's extension based upon reasonable achievability. Accordingly, we encourage all carriers seeking extensions of the June 30, 2000 deadline to participate in the FBI's Flexible Deployment Program prior to filing a section 107(c) petition with the Commission. 7. The FBI has encouraged carriers choosing to participate in the Flexible Deployment Program to submit proposed deployment schedule information by March 31, 2000, but has agreed to accept schedules submitted after that date. We expect that participation by carriers in the program will expedite and significantly aid the Commission in its statutory obligation to consult with the FBI on individual carriers' section 107(c) petitions. 8. CALEA Section 107(c) Petition Categories. All section 107(c) petitions must contain certain basic information, including the identity of the carrier's switching equipment (by manufacturer; type, make and model; software version or generic currently operating; Common Language Location Identification (CLLI) Code and geographic areas served; and the date or dates that the equipment will become compliant with section 103, to the extent such information is available to the carrier) and a brief statement or showing as to why the extension is necessary. Upon receipt of a section 107(c) petition, the Commission will place it in one of four categories, depending on what additional information is supplied: a) Category A: Petitions accompanied by a letter from the FBI's Flexible Deployment Program supporting the carrier's extension request based upon the deployment schedule the petitioning carrier submitted to the FBI (either originally or as amended). Commission staff should be able to process these Category A petitions more expeditiously than others. b) Category B: Petitions accompanied by a letter from the FBI's Flexible Deployment Program acknowledging receipt of a proposed deployment schedule from the petitioning carrier. Final Commission action on these Category B petitions will be deferred until the FBI has completed its consideration of the proposal. If the FBI approves the schedule, the petition will be reclassified as a Category A petition. If the FBI disapproves the schedule, the petition will be reclassified as a Category C or D petition, and the petitioning carrier must file with the Commission the additional information described below within 45 days of the date of the FBI letter disapproving the proposed CALEA deployment schedule. c) Category C: Petitions from carriers that choose not to participate in the FBI's Flexible Deployment Program, but can provide evidence from their equipment manufacturers that the carriers cannot obtain and activate CALEA-compliant features by June 30, 2000. These Category C petitions must include: (1) proof in the form of a letter from each of its switching equipment manufacturers, identifying itself as the equipment manufacturer for the petitioning carrier, and asserting that the section 103 compliance solutions will not be tested and installed for that carrier by the June 30, 2000 compliance date; and (2) a statement from each manufacturer that identifies the installment dates that it has negotiated with the petitioning carrier, stating when compliance with section 103 will be accomplished, broken down by switch platform if the petitioning carrier's recommended compliance date differs by switch platform. Letters from manufacturers submitted by carriers must include the name, title, and telephone number of the manufacturer's employee or officer who signed the letter, so that the Commission can verify the information contained therein. We also encourage Category C petitioners to include an explanation as to why they chose not to participate in the FBI's program. d) Category D: Unlike petitions in Categories A, B or C, petitions in "catchall" Category D will lack some of the elements that the other category petitions contain in support of their section 107(c) showings (e.g., participation in the FBI's Flexible Deployment Program, letters from manufacturers committing to installation dates). Accordingly, Category D petitions must provide alternative information sufficient for the Commission to find that section 103 compliance is not reasonably achievable through application of technology within the compliance period. At a minimum, a petitioner's showing must identify the manufacturers of the carrier's equipment; provide the names, addresses and telephone numbers of the manufacturers' representatives; provide, if available, the date when CALEA-compliant equipment will be tested and installed; and include a brief explanation as to why the information contained in paragraph 8(c) above is not available at this time. We also encourage Category D petitioners to include an explanation as to why the carrier chose not to participate in the FBI's Flexible Deployment Program. 5. Final Determination under CALEA Section 107(c). The Commission intends to make every effort to reach a final determination on all petitions by March 31, 2001. If the Commission dismisses or denies a petition, the Commission will grant the carrier a temporary extension of 45 days from the date of the letter or order conveying the decision for the carrier to come into compliance with section 103, file a complete and accurate petition, or seek other remedies (as specified in the decision). 6. Preliminary Determination under CALEA Section 107(c). In view of the likelihood that, prior to June 30, 2000, the Commission will not be able to render a final determination on all timely filed petitions for extensions of the compliance deadline, the Commission may render a preliminary determination on extensions if certain petitioners satisfy the requirements of section 107(c), under either one of the following circumstances: a) Category A or B petitions: The petitioner has chosen to participate in the FBI's Flexible Deployment Program, and has filed a fully completed extension petition with the Commission by May 31, 2000, along with a copy of the letter from the FBI acknowledging receipt of its proposed deployment schedule or approving its schedule; OR b) Category C petitions: The petitioner does not seek to participate in the FBI's Flexible Deployment Program, but has obtained agreement from its equipment manufacturers to supply equipment permitting the petitioner to come into CALEA compliance by a date certain. A fully completed extension petition must be filed with the Commission by May 31, 2000, along with letters from the equipment manufacturers setting forth information evidencing such agreement, as specified in paragraph 8(c) of these General Instructions. Petitioners who supply the above-described materials will be deemed to have provided sufficient information to permit the Commission to make a preliminary and expeditious determination that compliance with the current deadline is not reasonably achievable through application of technology available within the compliance period. Accordingly, such petitioners may receive up to a nine- month extension of time to comply with section 103 until March 31, 2001 or until superseded by a final determination, if they file and substantiate their requests, as described above, by May 31, 2000. In the event a category B petitioner receives notice from the FBI rejecting or modifying its proposed CALEA deployment schedule after the June 30, 2000 deadline, the Commission will end petitioner's preliminary determination extension 45 days from the date of the FBI's notice. If the petitioner files with the Commission an amended petition that satisfies the requirements of paragraphs 8(c) or 8(d) above before the 45-day extension expires, the preliminary determination extension may be restored. 3. Category D petitioners may also receive a preliminary determination under CALEA section 107(c), resulting in similar extensions of time, under similar conditions. The grant of such determination, however, cannot be presumed by the filing of a petition. Rather, the carrier must include with its petition, under separate heading, a request and justification for a preliminary determination. The Commission will decide whether to extend preliminary determination extension treatment on a case-by-case basis, and will notify such petitioners of its decision as soon as possible. To ensure consideration of a request for such a preliminary determination prior to June 30, 2000, the fully completed petition (including the alternative information) must be filed with the Commission by May 31, 2000. 4. Confidential Treatment of CALEA Capability Compliance Information. Pursuant to section 0.457(g) of the Commission's rules, the detailed information provided by petitioning carriers to enable the Commission to find that section 103 compliance by the deadline is not reasonably achievable, will not be made routinely available for public inspection. Information not available for public inspection includes that which correlates switch locations, types, software and expected CALEA compliance dates. Petitioning carriers need not expressly request confidential treatment in order that the information submitted with their petitions be withheld from public disclosure. However, they must segregate the confidential information in an attachment(s) to the petition, and mark those attachments, "Confidential Not for Public Inspection." II. Petition Drafting Instructions 5. Line-by-Line Instructions for Drafting Extension Petitions (please refer to Appendix A of this Public Notice): a) Carrier, affiliate, and location information. The heading of the petition should clearly state the carrier's name and Telephone Relay Service (TRS) identification code; identify the filing as a CALEA extension petition; and indicate whether the facilities covered by the petition are wireline (Common Carrier Bureau or CCB), terrestrial wireless (Wireless Telecommunications Bureau or WTB), cable (Cable Services Bureau or CSB), or satellite (International Bureau or IB) (see infra para. 15). 1) Carriers that are parent, holding or affiliate companies of other carriers may include the TRS numbers of all of their affiliates on the same petition. If, however, the affiliates are regulated by more than one FCC Bureau, we would encourage separate petitions. For example, if a local exchange carrier (LEC) has a Commercial Mobile Radio Service (CMRS) carrier affiliate using terrestrial wireless facilities, it may file a separate petition for the LEC with the Common Carrier Bureau, and a separate petition for the CMRS carrier with the Wireless Telecommunications Bureau. If the affiliate does not have its own TRS number, the TRS number of the parent, holding or affiliated carrier may be used. 2) Carriers with affiliates and subsidiaries that rely on one or more carriers for switching services, such as host switching services, should be listed on the same petition with the carriers that provide to them the switching services. For example, carrier "X" possesses the host switching platform for carriers "Y" and "Z," who serve their customers with services from switching facilities that are engineered to be remote switching facilities off of carrier "X's" host switching platform. Since the remote switches used by carriers "Y" and "Z" utilize the stored program control features of carrier X to send and receive traffic on behalf of their subscribers, the CALEA solution for carriers "Y" and "Z" are reliant upon CALEA compliance by carrier "X." Thus, carriers "Y" and "Z" must file their petitions along with the petition from carrier "X," because compliance by carrier "X" equals compliance by carriers "Y" and "Z." 3) Carriers may obtain their TRS codes from the FCC's Carrier Locator, January 2000, edition, by downloading the appropriate files (LOCAT-99.ZIP and LOCAT-99.PDF) from the FCC-State Link internet site at http://www.fcc.gov/ccb/stats. Carriers may also purchase a hard copy by calling the International Transcription Service, Inc., at (202) 857-3800. d) All petitions must list the equipment, facilities and services that are the subject of the extension petition. The switch-specific information should be placed in an attachment to the petition, and referenced in the petition's text (e.g., "See Attachment A for a list of switching platforms and their locations for which an extension is requested.") The attachment must be marked at the top of each page: "Confidential Not For Public Disclosure" pursuant to the instructions in paragraph 12, above. e) All petitions must specify the length of extension requested. If the desired extensions vary by carriers, subsidiary, affiliate or switch platform, place the requested extensions in an attachment to the petition, and reference the attachment (e.g., "Petitioner requests various extensions explained in Attachment A to this petition."). Carriers should include enough time to purchase, test, and install hardware and software required for CALEA compliance. Under section 107(c)(3) of CALEA, the Commission cannot grant extensions longer than two years. Should a Flexible Deployment schedule involve periods longer than two years, the carrier should take note of the end of the extension period and seek a further extension at that time; CALEA sections 107(b)(5) and 109(b) provide carriers with additional options. f) All petitions must explain why the carrier could not obtain equipment and software in sufficient time to be CALEA-compliant by June 30, 2000 (see paragraph 8, above). g) For Category A, B and C petitions, include a copy of the FBI's letter accepting the carrier's deployment schedule, or a copy of the FBI's letter confirming the carrier's participation with the FBI's Flexible Deployment Program, or the letters from equipment manufacturers, as described in paragraph 8 above. The letters should be marked at the top: "Confidential Not For Public Disclosure." h) The final paragraph must contain contact information: name, telephone number, FAX number, address, and e-mail address of the employee or officer authorized to negotiate CALEA-related matters with the Commission. III. Filing Instructions 9. Consolidation of Petitions. We encourage joint filings by similarly situated carriers, and single filings by parent and holding companies that include their subsidiary and affiliate carriers, to minimize the number of petitions filed. Similarly, we believe that filings by trade associations or other industry groups may be particularly helpful in consolidating information, lessening the burden on carriers, and facilitating prompt resolution by the Commission. We would encourage industry groups to list carriers using similar equipment, rather than having each carrier file separate petitions. However, in responding to these consolidated petitions, the Commission reserves the right to act on the petitions in whole or in part and may request additional information from individual carriers if the need arises. 10. Section 107(c) petitions will generally be processed by staff of the operating Bureaus that oversee the type of facilities involved. Thus, while we urge carriers to consolidate their filings to the greatest extent possible, we also encourage those that have wireline, wireless, cable and satellite operations to file separate petitions covering their operations in each of these four categories, to facilitate processing by the respective responsible Bureaus (see supra para. 13a). 11. Time for Filing. There is no deadline for filing section 107(c) petitions, but petitions filed after May 31, 2000 will not qualify for preliminary determination extensions. Category A and B petitioners are encouraged to file CALEA section 107(c) petitions with the Commission as soon as they receive the FBI letter accepting the petitioning carrier's deployment schedule. 12. Since manufacturers are still developing CALEA compliance solutions for the six additional punch list items (see supra note 3), we will not consider at this point petitions for extension of the September 30, 2001, deadline for compliance with the punch list items. 13. Method of Filing. Petitioning carriers should file an original and five (5) copies with the Secretary, Federal Communications Commission, 445 12th Street, SW, Washington, D.C. 20554. Petitioners should also file a 3«" diskette containing an electronic copy of the petition and its attachments with the Commission (Microsoft Word version 6.0 or later, or Adobe PDF format), along with the paper copies. a) The Secretary will deposit one of the paper copies in a drop box established for the FBI. The FBI will dispatch a courier to pick up the petition copies from the drop box. b) Petitioning carriers may not file their petitions with the Commission electronically. The Commission is currently not equipped with encryption capability to ensure the confidential treatment of information as it is transmitted to the FCC. 3. Public Notice. Upon receipt of a petition, the Commission will issue a public notice announcing the filing and specifying a date by which comments regarding the petition may be submitted. All comments should be served on the carrier, and an extra copy filed with the Commission for the FBI. As noted in paragraph 12 above, the information provided by petitioners to substantiate their requests will not be made routinely available for public inspection, and petitioners do not need to request confidential treatment separately. Parties seeking access to such information must request such access pursuant to 47 C.F.R.  0.461 of the Commission's rules. 4. Ex Parte Treatment. Petitions filed pursuant to CALEA section 107(c) are classified as "permit but disclose" proceedings for purposes of the Commission's ex parte rules. See generally 47 C.F.R.  1.1200-1.1216. As a "permit but disclose" proceeding, ex parte presentations will be governed by the procedures set forth in section 1.1206 of the Commission's rules applicable to non-restricted proceedings, 47 C.F.R.  1.1206. Parties making oral ex parte presentations are reminded that memoranda summarizing the presentation must contain a summary of the substance of the presentation and not merely a listing of the subjects discussed. More than a one or two sentence description of the views and arguments presented is generally required. See 47 C.F.R.  1.1206(b)(2). Other rules pertaining to oral and written presentations are set forth in section 1.1206(b) as well. 5. Further information. For further information concerning petitions under section 107(c) of CALEA, contact David Ward (Common Carrier Bureau), 202-418-2336, ; James Heimbach (Cable Services Bureau), 202-418-0055 ; Karl Kensinger (International Bureau), 202-418-0773 ; or John Spencer (Wireless Telecommunications Bureau), 202-418-1310 . Action by the Commission on April 21, 2000. Commissioner Furchtgott-Roth concurring and issuing a statement. Commissioner Ness issuing a statement. - FCC - Appendix A: Sample CALEA Section 107(c) Petition Before the Federal Communications Commission Washington, D.C. In the Matter of: ) ) The Communications Assistance ) (Name of Petitioner, or Parent) For Law Enforcement Act (CALEA), ) (Names of Petitioner Subsidiaries) Section 107(c) Extension of Capability ) (TRS Number(s) of Petitioner) Requirements ) (Choose one: CCB, CSB, IB, WTB) PETITION FOR EXTENSION [TEMPLATE] 1. (Name of Petitioner-Parent, and each subsidiary or affiliate that the Petitioner-Parent represents) (or in the case of joint or consolidated petitions, the names of the carriers), hereinafter "Petitioner," hereby requests an extension of CALEA section 103 capability requirements, 47 U.S.C.  1002, pursuant to CALEA section 107(c), 47 U.S.C.  1006(c). 2. Explanation as to why the carrier could not obtain equipment and software in sufficient time to be operational by June 30, 2000. 3. Petitioner requests an extension for the equipment, facilities and services listed in Attachment A, as stated therein. 4. Petitioner attaches the following information to support its petition for an extension under CALEA section 107(c): a. For Category A petitions, petitioner must attach the letter from the FBI's Flexible Deployment Program that contains the FBI's recommendation regarding the extension's length, and the new compliance date. b. For Category B petitions, petitioner must attach the letter from the FBI's Flexible Deployment Program that contains a confirmation from the FBI that the petitioning carrier filed information with the FBI's Flexible Deployment Program. c. For Category C petitions, petitioner must attach the letters from all of its manufacturers, and provide the information described in paragraph 8(c) (General Instructions). d. For Category D petitions, petitioner must attach information described in paragraph 8(d) (General Instructions). 5. The final paragraph must contain contact information: name, telephone number, FAX number, address, and e-mail address of the employee or officer authorized to discuss CALEA-related matters with the Commission. 6. The petition must be signed by an officer or employee designated by the carrier to be responsible for its content. If the petition is filed on behalf of multiple carriers, it may be signed by an agent of those carriers, such as a trade association representative, who is authorized by each carrier listed on the petition to verify the accuracy of the information provided. 7. Attachments or appendices containing confidential information as described in paragraph 12 (General Instructions) must be marked at the top of each page: "Confidential Not For Public Disclosure."