Communications Assistance for Law Enforcement Act

What are the current filing procedures for SSI Plans?

Effective June 29, 2023, CALEA System Security and Integrity Plans (SSI Plans) are required to be submitted electronically through the Commission’s CALEA Electronic Filing System (CEFS). On May 15, 2023, the Public Safety and Homeland Security Bureau (Bureau) released an order amending the Commission’s rules to require electronic filing of new and updated System Security and Integrity Policies and Procedures (SSI Plans) by covered entities under the Communications Assistance for Law Enforcement Act (CALEA). Subsequently, the Bureau released a Public Notice announcing the June 29, 2023 effective date for mandatory electronic filing of CALEA SSI Plans for entities subject to CALEA requirements, and that public notice and related CALEA SSI Plan frequently asked questions can be found below on this webpage too.

Parties submitting paper filings after mandatory filing takes effect will receive a notification to submit the SSI Plan electronically through CEFS. CEFS is available at: https://www.fcc.gov/cefs and the CEFS Manual can be found here: https://www.fcc.gov/cefs/user-manual.

How do I file a SSI Plan, including an update to an already paper-filed SSI Plan?

Pursuant to 47 CFR § 1.20005 of the Commission’s rules, all providers subject to CALEA must file SSI Plans prior to commencing service and, within 90 days of a carrier's merger or divestiture or a carrier's amendment of its existing policies and procedures through the CALEA Electronic Filing System (CEFS). After filing a SSI Plan in CEFS. filers will receive an email indicating the SSI Plan has been reviewed and accepted. As of June 29, 2023, the CALEA System Security and Integrity Plans (SSI Plans) are required to be submitted electronically through CEFS.

Paper-filed SSI Plans: SSI Plans previously filed by paper are not required to be resubmitted in CEFS, unless and until the substance of the filers’ SSI Plan needs to be updated according to the Commission’s rules.

SSI Plan Updates: Filers updating a previously-filed SSI Plan are required to re-submit their entire complete SSI Plan. SSI Plan updates must include the pages with changed information inserted into the document along with all the other pages that are unchanged from the previous SSI Plan so that the submission is a complete and current SSI Plan.

Compliance with the Commission’s Rules: If amended plans only consist of an Appendix or other selected pages with changed information, filers will receive a request to resubmit the entire SSI Plan to comply with the Commission’s rules. See 47 CFR § 1.20003 - 1.20005.

Paper-filed SSI Plans after June 29, 2023: Parties submitting paper filings after mandatory filing takes effect will receive a notification to submit the SSI Plan electronically through the CALEA Electronic Filing System (CEFS), CEFS is available at: https://www.fcc.gov/cefs.

When will CEFS electronic filing become mandatory?

June 29, 2023.

To whom do I send electronic courtesy copies?

Electronic courtesy copies are not necessary since submission of SSI Plans to the new CALEA Electronic Filing System (CEFS) became mandatory on June 29, 2023. CEFS is a secure, confidential electronic filing system for covered entities to submit their SSI Plans that lessens paperwork burdens on SSI Plan filers.

If requested, please send electronic courtesy copies to FCC-CALEAinquiries@fcc.gov. Also, electronic copies of SSI Plans should be sent as password protected documents consistent with the Commission’s rules for emailing confidential documents. Submissions may be broken into multiple emails when necessary. See Commission’s rules for emailing confidential documents.

Is a certain format required for SSI Plans?

No specific template. The Commission does not require a specific template for these filings. However, all SSI Plans must contain all information listed under 47 CFR §§ 1.20003 and 1.20004 of the Commission’s Rules. An updated SSI plan checklist is available online to provide guidance for filers: CALEA Checklist

File Name. Before uploading your SSI Plan to CEFS, be sure to include the following descriptive elements in the file name: "XYZ Company System Security and Integrity Plan” or “XYX Company SSI Plan."

What do I need to know about the new CALEA Electronic Filing System (CEFS)?

CEFS is a secure, confidential electronic filing system for covered entities to submit their SSI Plans without jeopardizing the sensitivity of these records and will lessen paperwork burdens on SSI Plan filers. CEFS facilitates timely filing of new SSI Plans and updated SSI Plans and should minimize errors leading to insufficient filings that require re-submission. CEFS links to the Commission Registration System (CORES) to reduce the need for filers to re-enter basic information that CORES users have already provided to the Commission. The system will allow users to file SSI Plans electronically and, once they have electronically filed a plan in CEFS, to log back in to CEFS and retrieve and view that filing. Be sure to collect any information you might need to input for your covered entity’s information because CEFS sessions time out after 30 minutes.

In the future, CEFS could potentially be expanded for electronic filing of confidential petitions for extension of time to comply with CALEA requirements filed under 47 U.S.C. § 1006(c) and CALEA technical impossibility and cost recovery petitions filed under 47 U.S.C. § 1008(b)

If I have an SSI plan on file, do I need to refile it in CEFS?

Covered entities that have already filed their SSI plans by paper are not required to resubmit those paper filed SSI Plans electronically in CEFS. However, pursuant to the CALEA rules, a SSI Plan would need to be refiled if there has been a change to information contained in a previously-filed SSI Plan. CALEA requirements have not changed with the availability of the new electronic filing system. The CEFS User Manual includes detailed instructions for access to CEFS and filing System Security and Integrity (SSI) Plans and can be found here: https://www.fcc.gov/cefs/user-manual.

How can I access CEFS?

If your FCC User Registration is already associated with the FCC Registration Number (FRN), you can log into CEFS at https://www.fcc.gov/cefs.

If your FCC User Registration is not set up yet, please refer to the CEFS Manual instructions (link above).

How do I file a request for confidential treatment of a SSI Plan?

Please note that requests for confidential treatment can be submitted electronically with your SSI Plan directly to CEFS.  Requests that materials or information be withheld from public inspection should contain a statement of the reasons and facts for withholding the materials from inspection that address the criteria in 47 CFR § 0.459(b) of the Commission’s rules.  If requesting confidential treatment, such requests must identify the specific information for which confidential treatment is sought.  For guidance about how confidentiality requests must be properly substantiated, refer to https://www.fcc.gov/document/eb-issues-reminder-about-acceptable-confidentiality-requests.

General guidance can be found here as well: https://www.fcc.gov/document/instructions-regarding-submission-confidential-materials.

When a courtesy copy of the confidential document or other material is required or is requested by FCC staff, filers are encouraged to send an electronic version of the document or material to the point of contact specified, at FCC-CALEAinquiries@fcc.gov. Please note that the document must be password protected and the password communicated to FCC staff via telephone or in a separate email. Submissions may be broken into multiple emails when necessary.

Do I need to submit Form 445?

No. FCC Form 445 was used to monitor the progress of telecommunications carriers that provide facilities-based broadband Internet access or interconnected VOIP services in complying with CALEA and the Commission's requirement for such facilities and services. FCC Form 445 was a one-time filing requirement in 2006.

Do I need to submit a copy of the SSI Plan in the Electronic Comment Filing System (ECFS)?

No. Filers will be required to file SSI Plans directly in CEFS, which is a secure, confidential electronic filing system, and not through the Electronic Comment Filing System (ECFS), which is a repository for docketed proceedings that is publicly available. The Commission has recognized that SSI plans are sensitive in nature. See Communications Assistance for Law Enforcement Act, Report and Order, 14 FCC Rcd 4151, 4177, para. 57 (1999).

Is it acceptable to submit one set of SSI plans for affiliated carriers?

A single SSI Plan for multiple commonly-owned companies is acceptable, if the policies and contact information are the same for all carriers. The names of each covered entity must be included in the SSI Plan.

• When a filer, including a TTP, is filing electronically in CEFS on behalf of multiple commonly owned companies with the same CALEA Point of Contact, the filer must first be associated to the FCC Registration Number (FRN) of each commonly owned company they are attempting to file for in CEFS.
• To make the association, the filer must submit an FRN association request for each commonly owned company through CORES.
• Once the association is completed, an automated email is sent to the requesting user notifying them their username is now associated to the FRN.
• A filer can also tell if an FRN has been successfully associated to their account if they go into CEFS and are able to see the requested FRN in the their drop down choices. If an FRN that you have requested does not show up on CEFS for you, then the Request has not been approved yet.
• To expedite the FRN association approval request process, you may contact the company that owns the FRN review your request inside of CORES. Only the owner of the FRN can approve the association request.
• If the filer does not have appropriate FRN associations for all of the affiliates, he/she will need to file SSI Plans separately in CEFS.

What are the requirements for telecommunications providers to use Trusted Third Parties (TTPs) for CALEA compliance?

Telecommunications carriers remain responsible for ensuring they are meeting all their obligations under CALEA even when employing a TTP.  TTPs are entities that provide CALEA compliance services to telecommunications providers, such as accessing the network to conduct call intercepts and providing information to US law enforcement. CALEA requirements apply to telecommunications providers themselves, not the TTPs. There is no registration requirement to provide TTP services.

• When a filer, including a TTP, is filing electronically in CEFS on behalf of multiple commonly owned companies with the same CALEA Point of Contact, the filer must first be associated to the FRNs of each commonly owned company they are attempting to file for in CEFS.
• To make the association, the filer must submit an FRN association request for each commonly owned company through CORES.
• Once the association is completed, an automated email is sent to the requesting user notifying them their username is now associated to the FRN.
• A filer can also tell if an FRN has been successfully associated to their account if they go into CEFS and are able to see the requested FRN in the their drop down choices. If an FRN that you have requested does not show up on CEFS for you, then the Request has not been approved yet.
• To expedite the FRN association approval request process, you may contact the company that owns the FRN review your request inside of CORES. Only the owner of the FRN can approve the association request.
• If the filer does not have appropriate FRN associations for all of the affiliates, he/she will need to file SSI Plans separately in CEFS.

What should I do if I have technical questions or issues?

Filers experiencing technical difficulties using the CEFS system or CORES should call the FCC Licensing Support Center at 877-480-3201, or submitting an online help request form.

Contact the FBI

The FCC encourages all carriers to consult with the FBI if they have questions about their CALEA compliance plans. Carriers may contact the FBI's CALEA Implementation Program at the National Domestic Communications Assistance Center (NDCAC), directly at the following address or phone number:

FBI Quantico Engineering Research Facility (ERF) NDCAC, Building 27958A Quantico, VA 22135, Toll Free Telephone: (855) 306-3222 or (540) 361-4600. Also see https://ndcac.fbi.gov/calea/about-calea

Contact the FCC

The FCC also encourages all carriers to contact the Commission with any questions regarding their SSI Plans. Courtesy copies of SSI plans should be emailed directly to points of contact listed above (in FAQ section).

Carriers and their representatives may send questions not addressed in the FAQ section above to FCC-CALEAinquiries@fcc.gov and our CALEA Team will respond as soon as possible.

CALEA Petitions

In addition to reviewing SSI Plans under CALEA, the FCC also reviews special petitions. Under 47 U.S.C § 1006(b), any person may petition the Commission to issue technical standards for capability assistance that the person believes are deficient, known as a “deficiency petition.” These petitions may be filed via ECFS in the appropriate docket. Under 47 U.S.C § 1006(c), covered entities may file petitions for extension of time to comply with the CALEA assistance capability provisions. Also, under 47 U.S.C. § 1008(b)(1), a carrier and other interested parties may file a petition with the Commission and an application with the Department of Justice (DOJ) to request that DOJ pay the costs of the carrier's CALEA compliance with respect to any equipment, facility, or service installed or deployed after January 1, 1995. Under this section of CALEA, telecommunications carriers and other interested persons may petition for a determination of whether an assistance capability is “reasonably achievable,” and the Commission must reach a determination on such petitions within one year. Due to the cost shifting relief sought by this petition, it is known as a “cost recovery petition.”

Only cost recovery petitions require filing fees. For information about costs of filing petitions, refer to the CALEA Headlines section below.