80_FR_60742 80 FR 60548 - Improving 911 Reliability; Reliability and Continuity of Communications Networks, Including Broadband Technologies

80 FR 60548 - Improving 911 Reliability; Reliability and Continuity of Communications Networks, Including Broadband Technologies

FEDERAL COMMUNICATIONS COMMISSION

Federal Register Volume 80, Issue 194 (October 7, 2015)

Page Range60548-60552
FR Document2015-25459

In this document the Federal Communications Commission (Commission) clarifies annual reliability certification requirements for Covered 911 Service Providers in response to a Petition for Reconsideration. Specifically, the Commission clarifies that Covered 911 Service Providers may implement and certify an alternative measure for any of the elements specified in the certification as long as they provide an explanation of how such alternative measures are reasonably sufficient to mitigate the risk of failure. This clarification provides flexibility for Covered 911 Service Providers, including those with Internet protocol (IP)-based networks, to certify alternative measures in lieu of diversity audits and tagging of critical 911 circuits as long as they explain how such alternatives will mitigate risk at least to a comparable extent as the measures specified in the Commission's rules.

Federal Register, Volume 80 Issue 194 (Wednesday, October 7, 2015)
[Federal Register Volume 80, Number 194 (Wednesday, October 7, 2015)]
[Rules and Regulations]
[Pages 60548-60552]
From the Federal Register Online  [www.thefederalregister.org]
[FR Doc No: 2015-25459]



[[Page 60548]]

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FEDERAL COMMUNICATIONS COMMISSION

47 CFR Part 12

[PS Docket No. 13-75; PS Docket No. 11-60; FCC 15-95]


Improving 911 Reliability; Reliability and Continuity of 
Communications Networks, Including Broadband Technologies

AGENCY: Federal Communications Commission.

ACTION: Final rule.

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SUMMARY: In this document the Federal Communications Commission 
(Commission) clarifies annual reliability certification requirements 
for Covered 911 Service Providers in response to a Petition for 
Reconsideration. Specifically, the Commission clarifies that Covered 
911 Service Providers may implement and certify an alternative measure 
for any of the elements specified in the certification as long as they 
provide an explanation of how such alternative measures are reasonably 
sufficient to mitigate the risk of failure. This clarification provides 
flexibility for Covered 911 Service Providers, including those with 
Internet protocol (IP)-based networks, to certify alternative measures 
in lieu of diversity audits and tagging of critical 911 circuits as 
long as they explain how such alternatives will mitigate risk at least 
to a comparable extent as the measures specified in the Commission's 
rules.

DATES: Effective November 6, 2015.

FOR FURTHER INFORMATION CONTACT: Eric P. Schmidt, Attorney Advisor, 
Public Safety and Homeland Security Bureau, (202) 418-1214 or 
eric.schmidt@fcc.gov.

SUPPLEMENTARY INFORMATION: This is a summary of the Commission's Order 
on Reconsideration in PS Docket No. 13-75 and PS Docket No. 11-60, 
released on July 30, 2015. The full text of this document is available 
for public inspection during regular business hours in the FCC 
Reference Center, Room CY-A257, 445 12th Street SW., Washington, DC 
20554, or online at https://www.fcc.gov/document/911-reliability-certification-order-reconsideration.

Synopsis of Order on Reconsideration

I. Introduction

    1. In December 2013, the Commission adopted rules requiring 911 
communications providers to take reasonable measures to provide 
reliable service, as evidenced by an annual certification.\1\ Covered 
entities must certify whether they have implemented specified best 
practices or reasonable alternative measures with respect to critical 
911 circuit diversity, central office backup power, and diverse network 
monitoring. These rules responded to significant, but avoidable, 
vulnerabilities in 911 network architecture, maintenance, and operation 
revealed during a June 2012 derecho storm that left 3.6 million people 
in six states without 911 service for several hours to several days. In 
light of these preventable failures, the Commission determined that the 
discharge of its statutory responsibility for promoting the safety of 
life and property no longer justifies relying solely on the 
implementation of key best practices on a voluntary basis. The 
Commission added, however, that its adoption of a mandatory 
certification process seeks to maximize flexibility and account for 
differences in network architectures without sacrificing 911 service 
reliability.
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    \1\ Improving 911 Reliability; Reliability and Continuity of 
Communications Networks, Including Broadband Technologies, PS Docket 
Nos. 13-75, 11-60, Report and Order, 28 FCC Rcd 17476 (2013), 
available at http://transition.fcc.gov/Daily_Releases/Daily_Business/2013/db1212/FCC-13-158A1.pdf (911 Reliability Order).
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    2. In this Order on Reconsideration, the Commission revises its 
rules to clarify certain 911 reliability certification requirements in 
response to a ``Motion for Clarification or, in the Alternative, 
Petition for Partial Reconsideration'' filed by Intrado, Inc.\2\ In so 
doing, we rely on two guiding principles from the 911 Reliability 
Order. First, ensuring reliability of 911 service is a critical aspect 
of our statutory mandate to act for the purpose of promoting safety of 
life and property. Second, while all Americans have an expectation of 
reliable 911 service, appropriate actions to improve and maintain 
reliability may vary by service provider and location.
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    \2\ Intrado, Inc., Motion for Clarification or, in the 
Alternative, Petition for Partial Reconsideration, PS Docket Nos. 
13-75, 11-60 (Feb. 18, 2014) (Intrado Petition).
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    3. Specifically, we clarify that under section 12.4 of the 
Commission's rules, Covered 911 Service Providers may implement and 
certify an alternative measure for any of the specific certification 
elements, as long as they provide an explanation of how such 
alternative measures are reasonably sufficient to mitigate the risk of 
failure. We believe that this should include an explanation of how the 
alternative will mitigate such risk at least to a comparable extent as 
the measures specified in our rules. While it may be possible that an 
alternative measure that cannot be shown to be comparable in reducing 
the risk of failure could be deemed reasonably sufficient in a 
particular case, a provider advancing such an alternative measure will 
face a heavy burden in demonstrating why comparability cannot be 
achieved, how the risk of failure has been reduced, and why, given the 
level to which the risk has been reduced, the measure taken to achieve 
this result should be regarded as reasonably sufficient to address the 
vulnerabilities at issue. Accordingly, we revise our rules to eliminate 
ambiguities arising from the instructions in sections 12.4(c)(1)(ii) 
and 12.4(c)(3)(ii) for making the alternative certification for the 
circuit auditing and network monitoring requirements, respectively.

II. Background

A. 911 Reliability Order

    4. The 911 Reliability Order adopted section 12.4 of our rules, 
which defines the scope of Covered 911 Service Providers and sets forth 
the elements for an annual certification requirement with respect to 
circuit auditing, backup power, and network monitoring. As pertinent 
here, under the circuit auditing portion of the certification, the 
elements specified by the rules require Covered 911 Service Providers 
to certify annually whether they have (1) audited the physical 
diversity of critical 911 circuits or equivalent data paths to any 
public safety answering point (PSAP) served, (2) tagged such circuits 
to reduce the probability of inadvertent loss of diversity between 
audits, and (3) eliminated all single points of failure in critical 911 
circuits or equivalent data paths serving each PSAP. If a Covered 911 
Service Provider has not implemented the third element (i.e., the 
elimination of all single points of failure), it must certify whether 
it has taken alternative measures to mitigate the risk of critical 911 
circuits that are not physically diverse or is taking steps to 
remediate any issues that it has identified with respect to 911 service 
to the PSAP. Respondents also may certify that the circuit auditing 
requirement is not applicable because they do not operate any critical 
911 circuits. The network monitoring portion of the overarching 
certification requirement contains a similar approach with respect to 
its elements (i.e., conducting audits of aggregation points for 
gathering network monitoring data, conducting audits of monitoring 
links, and implementing physically diverse aggregation points and 
links). The backup power portion of the certification--which is not at 
issue here--requires Covered 911 Service

[[Page 60549]]

Providers to indicate whether they provide at least 24 hours of backup 
power at any central office that directly serves a PSAP or at least 72 
hours at any central office that hosts a selective router, and whether 
they have implemented certain design and testing procedures for backup 
power equipment.
    5. The elements that comprise these certification requirements are 
designed to reinforce the core responsibility imposed by section 
12.4(b) of our rules, which is to take reasonable measures to provide 
reliable 911 service with respect to circuit diversity, central-office 
backup power, and diverse network monitoring. Section 12.4(b) provides, 
however, that ``[i]f a Covered 911 Service Provider cannot certify that 
it has performed a given element, the Commission may determine that 
such provider nevertheless satisfies the requirements of this 
subsection (b) based upon a showing in accordance with subsection (c) 
that it is taking alternative measures with respect to that element 
that are reasonably sufficient to mitigate the risk of failure, or that 
one or more certification elements are not applicable to its network.'' 
The Commission intended this certification approach to be more flexible 
than uniform standards, while providing assurance to PSAPs and the 
public that known vulnerabilities in 911 networks will be identified 
and corrected promptly.

B. Intrado Petition

    6. The Intrado Petition seeks clarification or reconsideration of 
certification requirements under sections 12.4(c)(1) and 12.4(c)(3) to 
the extent that they would require all Covered 911 Service Providers to 
audit and tag 911 circuits, and audit network monitoring links, without 
the option of certifying reasonable alternative measures in lieu 
thereof. Intrado, which provides services such as call routing and 
location information over an Internet protocol (IP)-based network, 
argues that ``[a]uditing and tagging are concepts derived from the 
traditional 911 architecture of the [incumbent local exchange carriers 
(ILECs)], where the ILEC 911 service provider presumably controls the 
physical path of the circuit from the selective router to the serving 
wire center and knows whether it is diverse at any given moment.'' 
Intrado's network, by contrast, ``disperses critical functions into 
geographically diverse and redundant locations and uses dual paths and 
different network providers to transmit its Critical 911 Circuits.''
    7. Intrado observes that the structure and numbering of section 
12.4(c) can be interpreted to require that all Covered 911 Service 
Providers must audit and tag critical 911 circuits and audit network 
monitoring links, and may rely on alternative measures only with 
respect to eliminating single points of failure in those facilities. 
Read in isolation, certain statements in the 911 Reliability Order may 
also suggest that the option of certifying alternative measures applies 
only to remedial actions--i.e., how to cure an absence of complete 
physical diversity identified through audits and tagging. Intrado 
argues that this interpretation would appear inconsistent with section 
12.4(b), which provides that if a Covered 911 Service Provider ``cannot 
certify that it has performed a given element,'' it may nevertheless 
satisfy the ``reasonable measures'' requirement through a certification 
of alternative measures.
    8. Intrado argues that two issues may prevent it and other IP-based 
providers from being able to audit and certify the precise path of 
their circuits or equivalent data paths for 911 call traffic at any 
given time. First, ``the underlying carriers could conflate their 
respective physical paths so that they are combined on one of their 
networks or on the network of a third-party carrier for one or more 
segments,'' in which case ``Intrado has no way of ensuring that the 
underlying provider informs Intrado if such conflation occurs.'' 
Second, ``a significant portion of Intrado's facilities rely on 
multiprotocol label switching (MPLS) technology, which does not permit 
the underlying provider--let alone Intrado--to track its circuit path 
at any given moment.''
    9. Intrado cites the apparent conflict between sections 12.4(b) and 
12.4(c) as a basis for requesting clarification of those rules such 
that ``[p]roviders may take reasonable alternative measures to meet the 
Commission's standards in lieu of implementing any of the best 
practices adopted by the Order.'' It adds that ``[t]his would include 
confirming that Providers may take reasonable alternative measures 
instead of conducting Diversity Audits, tagging Critical 911 Circuits, 
or auditing Monitoring Links.'' Intrado argues that ``a narrow 
interpretation of the rules could require Providers to focus on form 
over substance and divert resources away from implementing innovative 
alternative measures that improve network reliability to focus on 
complying with a `one-size-fits-all' certification obligation.''

C. Comments

    10. In response, the Commission received one comment and one reply 
comment, both in support of Intrado's position. Texas 911 Entities 
``support[s] the Commission . . . providing additional clarification or 
interpretation regarding the Order in the context of more modern 9-1-1 
network designs,'' including MPLS networks and situations ``where the 
network provided by a subcontractor or commercial vendor may be one 
component of a larger governmental entity solution.'' AT&T ``fully 
supports the Intrado Petition as a broad request for clarification and 
reconsideration of the 911 Reliability Order and accompanying proposed 
rules'' but argues that any relief should extend to ``all Covered 911 
Service Providers,'' not just to IP-based providers similarly situated 
to Intrado.

III. Discussion

A. Network Reliability During the Transition to Next Generation 911 
(NG911)

    11. We first clarify that the certification framework adopted in 
the 911 Reliability Order was intended to allow flexibility for all 
Covered 911 Service Providers to rely on reasonable alternative 
measures in lieu of any given element of the certification set forth in 
section 12.4(c). The overarching purpose of the certification, 
including the attestation of a responsible corporate officer, is to 
hold service providers accountable for decisions affecting 911 
reliability. We agree with Intrado that ``[t]he Commission did not 
intend the certification process to be prescriptive, but adopted a 
certification mechanism that provides Covered 911 Service Providers 
with flexibility and a means of demonstrating that they are taking 
reasonable measures to ensure the reliability of their 911 service.'' 
Inflexible insistence on specified actions as part of each 
certification despite technical considerations that show those actions 
may not be appropriate in all cases would undermine this principle of 
flexibility without advancing the Commission's goal of improving 911 
reliability.
    12. Moreover, flexibility is essential to support and encourage the 
transition to NG911. In the 911 Reliability Order, the Commission 
stated that ``we intend today's rules to apply to current 911 networks, 
as well as NG911 networks to the extent they provide functionally 
equivalent capabilities to PSAPs.'' At that time, the Commission was 
``not persuaded that NG911 technologies have evolved to the point that 
reliability certification rules should apply to entities beyond those 
that offer core services functionally equivalent to current 911 and 
E911 capabilities'' but it noted that it may ``revisit this

[[Page 60550]]

distinction in the future as technology evolves.'' Accordingly, the 911 
Reliability Order contemplated a review of the certification rules in 
five years, noting that such a review should ``include consideration of 
whether [the rules] should be revised or expanded to cover new best 
practices or additional entities that provide NG911 capabilities, or in 
light of our understanding about how NG911 networks may differ from 
legacy 911 service.''
    13. Events since the adoption of the 911 Reliability Order have 
underscored that the NG911 transition is well underway in many parts of 
the Nation.\3\ In recognition of this transition, the Commission 
intended its 911 reliability rules to be technology-neutral and made 
clear that functionally equivalent 911 capabilities should be treated 
consistently for purposes of the certification. We reaffirm that 
principle here. Accordingly, we do not intend to create disparate 
certification standards for IP-based providers, or to discourage the 
implementation of NG911 by imposing certification requirements that 
would not be appropriate for IP-based networks. Rather, we clarify that 
the certification framework adopted in the 911 Reliability Order allows 
flexibility for all Covered 911 Service Providers--legacy and IP-
based--to certify reasonable alternative measures to mitigate the risk 
of failure in lieu of specified certification elements, and we amend 
our rules to eliminate any ambiguity on this point. In keeping with the 
Commission's statement in the 911 Reliability Order that reliability 
certification requirements should be ``consistent with current best 
practices but also flexible enough to account for differences in 911 
and NG911 networks,'' we believe that our implementation of the 
certification should be guided by these same principles.
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    \3\ See 911 Governance and Accountability; Improving 911 
Reliability, PS Docket Nos. 14-193 and 13-75, Policy Statement and 
Notice of Proposed Rulemaking, 29 FCC Rcd 14208 (2014), available at 
https://apps.fcc.gov/edocs_public/attachmatch/FCC-14-186A1.pdf (911 
Governance NPRM). Among other things, the 911 Governance NPRM 
proposed to adopt additional certification requirements for NG911 
providers regarding software and database configuration and testing, 
as well as situational awareness and information sharing. We do not 
address those proposals here and emphasize that our response to the 
Intrado Petition is limited to clarification of existing 
certification obligations adopted in the 911 Reliability Order.
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    14. To be clear, this flexibility is limited by the substantive 
standard in Section 12.4(b) of requiring ``reasonable measures'' to 
provide reliable 911 service, and is not an invitation for any Covered 
911 Service Provider to avoid certification obligations. As provided in 
the 911 Reliability Order, if a Covered 911 Service Provider certifies 
that it has taken alternative measures to mitigate the risk of failure, 
or that a certification element is not applicable to its network, its 
certification is subject to a more detailed Bureau review. If the 
Bureau's review indicates that a provider's alternative measures are 
not reasonably sufficient to ensure reliable 911 service, the Bureau 
should first engage with the provider and other interested stakeholders 
(e.g., affected PSAPs) to address any shortcomings. To the extent that 
such a collaborative process does not yield satisfactory results, the 
Bureau may order remedial action consistent with its delegated 
authority. We intend this process to allow flexibility to employ 
alternative--but reliable--network designs and technologies, not to 
create an exception that would swallow the rule.

B. Clarification of Certification Requirements

1. Circuit Auditing
    15. We clarify that Covered 911 Service Providers responding to the 
circuit auditing portion of the certification under section 12.4(c)(1) 
may certify their implementation of reasonable alternative measures in 
lieu of auditing and tagging critical 911 circuits, provided that they 
include an explanation of such alternative measures and why they are 
reasonable under the circumstances. Accordingly, we amend section 
12.4(c)(1)(ii) to make clear that this option applies to all of the 
elements of section 12.4(c)(1)(i) and not just subsection 
12.4(c)(1)(i)(C).
    16. The circuit auditing requirement adopted in the 911 Reliability 
Order was based upon a CSRIC best practice urging network operators to 
``periodically audit the physical and logical diversity called for by 
network design of their network segment(s) and take appropriate 
measures as needed.'' As Intrado argues, however, appropriate measures 
to preserve physical and logical diversity may differ between circuit-
switched time division multiplexing (TDM) and IP-based networks because 
IP-based routing and, in the event of an outage, re-routing can occur 
dynamically over many possible paths. Further, as the Texas 911 
Entities observe, ``the ability of an underlying MPLS technology 
provider to track its circuit paths at any given moment may not be 
technically feasible, or what the Commission intended in the context of 
that technology.'' As discussed above, the certification process is 
intended to be flexible to account for these types of technical 
considerations and to allow for alternative measures where appropriate. 
Our assessment of whether such measures are reasonably sufficient to 
mitigate the risk of failure may be informed by, but not limited to, 
the question whether the measures specified in our rules are 
technically feasible.
    17. As the Intrado Petition acknowledges, the option to certify 
alternative measures allows the Commission to ``maintain oversight 
because Providers would still be required to disclose to the agency 
what steps were taken to accomplish these reliability goals.'' Such 
information will help demonstrate whether the alternative measures 
chosen by the Covered 911 Service Provider constitute a reasonable 
approach for addressing the risks that the circuit auditing and tagging 
elements are designed to ameliorate. While technical infeasibility is 
not a prerequisite to the use of alternative measures, explanations of 
alternative measures with respect to circuit audits and tagging should 
nevertheless include an assessment of the technical feasibility of 
circuit audits and tagging in light of the respondent's network 
architecture. We also expect such explanations to describe affirmative 
steps in lieu of audits and tagging to mitigate the risk of a service 
disruption due to a lack of physical diversity; we will not consider it 
sufficient or reasonable to respond that no circuit diversity measures 
are necessary under the circumstances. Technology transitions have 
already resulted in a variety of hybrid 911 network architectures in 
which some functions are provided over legacy TDM circuits and others 
are provided over IP-based infrastructure. In such cases, our rules as 
revised will permit the provider to certify reasonable alternative 
measures with respect to either portion of the network.
    18. The Intrado Petition also reflects a shift in 911 network 
architecture from facilities owned and operated by a single provider to 
a combination of network transport and data processing elements that 
may be provided by multiple entities. Intrado states that ``in contrast 
to legacy ILEC providers that own and control the transport facilities 
over which 911 calls and data are transported, Intrado procures 
transport services for the delivery of 911 calls and for ALI/ANI from 
third party transport providers.'' Our rules as revised in this Order 
on Reconsideration will account for such arrangements while preserving 
accountability for reliable service. The 911 Reliability Order briefly 
addressed auditing of critical 911 circuits leased

[[Page 60551]]

from third parties, stating that ``[i]n cases where a party provides 
911 services directly to a PSAP (pursuant to contract or tariff) over 
leased facilities, the auditing obligation would apply to that party, 
and not to the facilities lessor.'' The Commission also suggested that 
Covered 911 Service Providers could contract with facilities lessors, 
if necessary, to audit and tag leased circuits, but that the entity 
providing 911 service under a direct contractual relationship with each 
PSAP would remain responsible for certifying compliance with those 
requirements. We reaffirm those principles here, but clarify that 
Covered 911 Service Providers (i.e., the entities with direct 
contractual relationships with PSAPs) that rely on such contracts may 
implement and certify reasonable alternative measures as set forth 
above. We emphasize, however, that the contracting out of certain 
functions, or the determination of a PSAP to contract with more than 
one entity for various aspects of 911 service, does not absolve 
individual entities of their respective obligations for reliable 911 
service. While respondents may certify reasonable alternative measures 
to mitigate the risk of failure due to insufficient physical diversity 
of leased circuits, we will not consider it reasonable or sufficient to 
indicate that such circuits are not a Covered 911 Service Provider's 
responsibility because they belong to a third party.
    19. Where Covered 911 Service Providers are leasing or 
subcontracting for critical 911 circuits, the Commission's assessment 
of whether alternative measures in lieu of circuit audits or tagging 
are reasonable under the circumstances will be informed, in part, by 
certification responses identifying the parties involved, as well as 
details about the contractual provisions--or lack thereof--governing 
such relationships. For example, do IP-based Covered 911 Service 
Providers increase the diversity of their networks by dividing traffic 
among two different MPLS service providers? In cases where a PSAP 
depends on IP network access for its 911 services, Covered 911 Service 
Providers might also promote reliability of each PSAP's IP network 
access by ordering redundant access for the PSAP from multiple 
providers (such as ILEC, cable, and wireless providers). In addition, 
for cases where MPLS is used to provide 911 services, MPLS service 
level agreements, reliability objectives, and remedies specified for 
failure to meet such requirements and/or objectives may also ensure 
accountability for reliable service. We will expect Covered 911 Service 
Providers that provide critical 911 circuits to PSAPs in partnership 
with other service providers or that share responsibility for circuit 
diversity with another service provider to include a description of 
such arrangements and the identity of such third parties as part of 
their explanation of alternative measures. Descriptions of alternative 
measures may also include references to any services provided under 
contract where circuit diversity is not expressly defined, but is 
instead achieved through a service level agreement providing comparable 
assurances of resiliency. These and other affirmative steps, in lieu of 
circuit audits and tagging, may demonstrate reasonable measures to 
provide reliable service, depending on individual circumstances, while 
improving the Commission's situational awareness regarding NG911 
deployment and resiliency. Explanations submitted through the annual 
certification process will have the added benefit of providing the 
Commission with up-to-date, empirical information about the transition 
to NG911 throughout the Nation.
2. Network Monitoring
    20. Finally, and for the reasons discussed above, we clarify that 
Covered 911 Service Providers responding to the network monitoring 
portion of the certification under section 12.4(c)(3) may certify their 
implementation of reasonable alternative measures in lieu of conducting 
diversity audits of monitoring links and aggregation points for network 
monitoring data, provided that they include an explanation of such 
alternative measures and why they are reasonable under the 
circumstances. Accordingly, we amend the text of section 12.4(c)(3)(ii) 
to make clear that this option applies to all of the elements of 
section 12.4(c)(3)(i) and not just subsection 12.4(c)(3)(i)(C).
    21. Intrado argues that ``[b]ased on the text of the [911 
Reliability Order], it appears that the Commission intended to permit 
Providers either to implement . . . best practices or take reasonable 
alternative measures with respect to . . . network monitoring elements, 
just as Providers may do for backup power.'' We agree. As the 
Commission observed in the 911 Reliability Order, ``it is a sound 
engineering practice to design network monitoring architectures with 
visibility into the network through physically diverse aggregation 
points and monitoring links interconnecting to [network operations 
centers (NOCs)] to help avoid single points of failure.'' This 
requirement was based, however, on a CSRIC best practice recommending 
more generally that network operators ``should monitor their network to 
enable quick response to network issues.'' Intrado argues that ``it 
would be exceedingly difficult and may not be possible in all cases'' 
for an IP-based service provider to ``audit its Monitoring Links as 
those functions are defined in the Commission's rules'' without the 
option of certifying reasonable alternative measures. At least one 
other commenter in the 911 reliability proceeding indicated plans to 
route network monitoring traffic on a more resilient IP-enabled 
network, suggesting that many of the same technical limitations on 
circuit auditing discussed above with respect to critical 911 circuits 
may also extend to network monitoring facilities. We therefore amend 
our rules to clarify that the certification framework allows 
flexibility for Covered 911 Service Providers to implement and certify 
alternative measures, as long as they demonstrate that those 
alternative measures are reasonably sufficient under the circumstances 
to mitigate the risk of a network monitoring failure as set forth 
above.

IV. Procedural Matters

A. Paperwork Reduction Act

    22. This document contains a non-substantive and non-material 
modification of information collection requirements that were 
previously reviewed and approved by the Office of Management and Budget 
(OMB) under OMB Control No. 3060-1202. In addition, we note that 
pursuant to the Small Business Paperwork Relief Act of 2002, Public Law 
107-198, see 44 U.S.C. 3506(c)(4), we previously sought specific 
comment on how the Commission might further reduce the information 
collection burden for small business concerns with fewer than 25 
employees.
    23. In this present document, we have assessed the effects of 
various requirements adopted in the 911 Reliability Order and clarified 
the effect of certain recordkeeping, retention, and reporting 
requirements for Covered 911 Service Providers. We find that these 
actions are in the public interest because they reduce the burdens of 
these recordkeeping, retention, and reporting requirements without 
undermining the goals and objectives behind the requirements. The 
amendments we adopt today will reduce the burden on businesses with 
fewer than 25 employees.

[[Page 60552]]

B. Supplemental Final Regulatory Flexibility Analysis

    24. As required by the Regulatory Flexibility Act of 1980 (RFA), 
the Commission has prepared the following Supplemental Final Regulatory 
Flexibility Analysis (FRFA) relating to this Order on Reconsideration. 
As discussed in the initial FRFA in this proceeding, the Commission 
sought comment on alternatives for small entities including: (1) The 
establishment of different compliance and reporting requirements; (2) 
clarification, consolidation, or simplification of compliance or 
reporting requirements for small entities; (3) the use of performance, 
rather than design, standards; and (4) an exemption from coverage of 
the rule, or any part thereof, for small entities. As the Commission 
stated in the FRFA, ``[w]hile we acknowledge that small or rural 
service providers may have limited resources or operate in remote 
areas, 911 is no less a critical public service in any part of the 
nation, and we decline to establish two tiers of 911 reliability based 
on economics or geography.'' Accordingly, we intend our 911 reliability 
certification requirements--including the clarifications set forth in 
this Order on Reconsideration--to apply to all Covered 911 Service 
Providers without exceptions based on size or location, and we also 
decline to create a specific waiver procedure for entities to seek 
exemption from the rules.
    25. That said, the Commission's certification approach to 911 
reliability continues to ``allow[ ] flexibility for small or rural 
providers to comply with our rules in the manner most appropriate for 
their networks, and certain requirements will, by their nature, only 
apply to larger providers.'' In contrast to more prescriptive 
reliability requirements, the option to certify reasonable alternative 
measures in lieu of specified best practices minimizes regulatory 
burdens on small entities by recognizing a variety of acceptable 
approaches to providing reliable 911 service. If anything, the 
clarifications provided above offer additional flexibility to small 
entities by making clear that they may certify reasonable alternative 
measures in lieu of circuit audits and tagging depending on their 
individual circumstances and network architecture. Thus, the rules as 
clarified in this Order on Reconsideration continue to take into 
account the unique interests of small entities as required by the RFA.

C. Congressional Review Act

    26. The Commission will send a copy of this Order on 
Reconsideration to Congress and the Government Accountability Office 
pursuant to the Congressional Review Act, see 5 U.S.C. 801(a)(1)(A).

V. Ordering Clauses

    27. Accordingly, it is ordered, pursuant to sections 1, 4(i), 4(j), 
4(o), 201(b), 214(d), 218, 251(e)(3), 301, 303(b), 303(g), 303(r), 307, 
309(a), 316, 332, 403, 405, 615a-1, and 615c of the Communications Act 
of 1934, as amended, 47 U.S.C. 151, 154(i)-(j) & (o), 201(b), 214(d), 
218, 251(e)(3), 301, 303(b), 303(g), 303(r), 307, 309(a), 316, 332, 
403, 405, 615a-1, and 615c, and sections 1.108 and 1.429 of the 
Commission's rules, 47 CFR 1.1, 1.429, that this Order on 
Reconsideration is adopted.
    28. It is further ordered that Part 12 of the Commission's rules, 
47 CFR part 12, is amended as set forth in the Appendix, and that such 
rule amendments shall be effective 30 days after publication in the 
Federal Register.
    29. It is further ordered that the Motion for Clarification or, in 
the Alternative, Petition for Partial Reconsideration of Intrado, Inc., 
is granted to the extent described herein.
    30. It is further ordered that the Commission shall send a copy of 
this Order on Reconsideration to Congress and to the Government 
Accountability Office pursuant to the Congressional Review Act, see 5 
U.S.C. 801(a)(1)(A).
    31. It is further ordered that the Commission's Consumer and 
Governmental Affairs Bureau, Reference Information Center, shall send a 
copy of this Order on Reconsideration, including the Supplemental Final 
Regulatory Flexibility Analysis, to the Chief Counsel for Advocacy of 
the Small Business Administration.

Federal Communications Commission.
Marlene H. Dortch,
Secretary.

List of Subjects in 47 CFR part 12

    Resiliency, Redundancy and Reliability of Communications.

Final Rules

    For the reasons discussed in the preamble, the Federal 
Communications Commission amends 47 CFR part 12 as follows:

PART 12--RESILIENCY, REDUNDANCY, AND RELIABILITY OF COMMUNICATIONS

0
1. The authority citation for part 12 is revised to read as follows:

    Authority:  Sections 1, 4(i), 4(j), 4(o), 5(c), 201(b), 214(d), 
218, 219, 251(e)(3), 301, 303(b), 303(g), 303(j), 303(r), 307, 
309(a), 316, 332, 403, 405, 615a-1, 615c, 621(b)(3), and 621(d) of 
the Communications Act of 1934, as amended, 47 U.S.C. 151, 154(i), 
154 (j), 154 (o), 155(c), 201(b), 214(d), 218, 219, 251(e)(3), 301, 
303(b), 303(g), 303(j), 303(r), 307, 309(a), 316, 332, 403, 405, 
615a-1, 615c, 621(b)(3), and 621(d) unless otherwise noted.


0
2. Amend Sec.  12.4 by revising paragraphs (c)(1)(ii) introductory text 
and (c)(3)(ii) introductory text to read as follows:


Sec.  12.4  Reliability of covered 911 service providers.

* * * * *
    (c) * * *
    (1) * * *
    (ii) If a Covered 911 Service Provider does not conform with all of 
the elements in paragraph (c)(1)(i) of this section with respect to the 
911 service provided to one or more PSAPs, it must certify with respect 
to each such PSAP:
* * * * *
    (3) * * *
    (ii) If a Covered 911 Service Provider does not conform with all of 
the elements in paragraph (c)(3)(i) of this section, it must certify 
with respect to each such 911 Service Area:
* * * * *
[FR Doc. 2015-25459 Filed 10-6-15; 8:45 am]
 BILLING CODE 6712-01-P



                                                  60548            Federal Register / Vol. 80, No. 194 / Wednesday, October 7, 2015 / Rules and Regulations

                                                  FEDERAL COMMUNICATIONS                                  certification.1 Covered entities must                    possible that an alternative measure that
                                                  COMMISSION                                              certify whether they have implemented                    cannot be shown to be comparable in
                                                                                                          specified best practices or reasonable                   reducing the risk of failure could be
                                                  47 CFR Part 12                                          alternative measures with respect to                     deemed reasonably sufficient in a
                                                                                                          critical 911 circuit diversity, central                  particular case, a provider advancing
                                                  [PS Docket No. 13–75; PS Docket No. 11–                 office backup power, and diverse                         such an alternative measure will face a
                                                  60; FCC 15–95]                                          network monitoring. These rules                          heavy burden in demonstrating why
                                                                                                          responded to significant, but avoidable,                 comparability cannot be achieved, how
                                                  Improving 911 Reliability; Reliability                  vulnerabilities in 911 network                           the risk of failure has been reduced, and
                                                  and Continuity of Communications                        architecture, maintenance, and                           why, given the level to which the risk
                                                  Networks, Including Broadband                           operation revealed during a June 2012                    has been reduced, the measure taken to
                                                  Technologies                                            derecho storm that left 3.6 million                      achieve this result should be regarded as
                                                  AGENCY:  Federal Communications                         people in six states without 911 service                 reasonably sufficient to address the
                                                  Commission.                                             for several hours to several days. In light              vulnerabilities at issue. Accordingly, we
                                                                                                          of these preventable failures, the                       revise our rules to eliminate ambiguities
                                                  ACTION: Final rule.
                                                                                                          Commission determined that the                           arising from the instructions in sections
                                                  SUMMARY:    In this document the Federal                discharge of its statutory responsibility                12.4(c)(1)(ii) and 12.4(c)(3)(ii) for
                                                  Communications Commission                               for promoting the safety of life and                     making the alternative certification for
                                                  (Commission) clarifies annual reliability               property no longer justifies relying                     the circuit auditing and network
                                                  certification requirements for Covered                  solely on the implementation of key best                 monitoring requirements, respectively.
                                                  911 Service Providers in response to a                  practices on a voluntary basis. The
                                                                                                          Commission added, however, that its                      II. Background
                                                  Petition for Reconsideration.
                                                  Specifically, the Commission clarifies                  adoption of a mandatory certification                    A. 911 Reliability Order
                                                  that Covered 911 Service Providers may                  process seeks to maximize flexibility                       4. The 911 Reliability Order adopted
                                                  implement and certify an alternative                    and account for differences in network                   section 12.4 of our rules, which defines
                                                  measure for any of the elements                         architectures without sacrificing 911
                                                                                                                                                                   the scope of Covered 911 Service
                                                  specified in the certification as long as               service reliability.
                                                                                                                                                                   Providers and sets forth the elements for
                                                  they provide an explanation of how                         2. In this Order on Reconsideration,
                                                                                                          the Commission revises its rules to                      an annual certification requirement with
                                                  such alternative measures are                                                                                    respect to circuit auditing, backup
                                                                                                          clarify certain 911 reliability
                                                  reasonably sufficient to mitigate the risk                                                                       power, and network monitoring. As
                                                                                                          certification requirements in response to
                                                  of failure. This clarification provides                                                                          pertinent here, under the circuit
                                                                                                          a ‘‘Motion for Clarification or, in the
                                                  flexibility for Covered 911 Service                                                                              auditing portion of the certification, the
                                                                                                          Alternative, Petition for Partial
                                                  Providers, including those with Internet                                                                         elements specified by the rules require
                                                                                                          Reconsideration’’ filed by Intrado, Inc.2
                                                  protocol (IP)-based networks, to certify                                                                         Covered 911 Service Providers to certify
                                                                                                          In so doing, we rely on two guiding
                                                  alternative measures in lieu of diversity                                                                        annually whether they have (1) audited
                                                                                                          principles from the 911 Reliability
                                                  audits and tagging of critical 911                                                                               the physical diversity of critical 911
                                                                                                          Order. First, ensuring reliability of 911
                                                  circuits as long as they explain how                                                                             circuits or equivalent data paths to any
                                                                                                          service is a critical aspect of our
                                                  such alternatives will mitigate risk at                                                                          public safety answering point (PSAP)
                                                                                                          statutory mandate to act for the purpose
                                                  least to a comparable extent as the                     of promoting safety of life and property.                served, (2) tagged such circuits to
                                                  measures specified in the Commission’s                  Second, while all Americans have an                      reduce the probability of inadvertent
                                                  rules.                                                  expectation of reliable 911 service,                     loss of diversity between audits, and (3)
                                                  DATES: Effective November 6, 2015.                      appropriate actions to improve and                       eliminated all single points of failure in
                                                  FOR FURTHER INFORMATION CONTACT: Eric                   maintain reliability may vary by service                 critical 911 circuits or equivalent data
                                                  P. Schmidt, Attorney Advisor, Public                    provider and location.                                   paths serving each PSAP. If a Covered
                                                  Safety and Homeland Security Bureau,                       3. Specifically, we clarify that under                911 Service Provider has not
                                                  (202) 418–1214 or eric.schmidt@fcc.gov.                 section 12.4 of the Commission’s rules,                  implemented the third element (i.e., the
                                                                                                          Covered 911 Service Providers may                        elimination of all single points of
                                                  SUPPLEMENTARY INFORMATION: This is a
                                                                                                          implement and certify an alternative                     failure), it must certify whether it has
                                                  summary of the Commission’s Order on
                                                                                                          measure for any of the specific                          taken alternative measures to mitigate
                                                  Reconsideration in PS Docket No. 13–75
                                                                                                          certification elements, as long as they                  the risk of critical 911 circuits that are
                                                  and PS Docket No. 11–60, released on
                                                                                                          provide an explanation of how such                       not physically diverse or is taking steps
                                                  July 30, 2015. The full text of this
                                                                                                          alternative measures are reasonably                      to remediate any issues that it has
                                                  document is available for public
                                                                                                          sufficient to mitigate the risk of failure.              identified with respect to 911 service to
                                                  inspection during regular business
                                                                                                          We believe that this should include an                   the PSAP. Respondents also may certify
                                                  hours in the FCC Reference Center,
                                                                                                          explanation of how the alternative will                  that the circuit auditing requirement is
                                                  Room CY–A257, 445 12th Street SW.,
                                                                                                          mitigate such risk at least to a                         not applicable because they do not
                                                  Washington, DC 20554, or online at
                                                                                                          comparable extent as the measures                        operate any critical 911 circuits. The
                                                  https://www.fcc.gov/document/911-
                                                                                                          specified in our rules. While it may be                  network monitoring portion of the
                                                  reliability-certification-order-
                                                                                                                                                                   overarching certification requirement
                                                  reconsideration.                                          1 Improving 911 Reliability; Reliability and           contains a similar approach with respect
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                                                  Synopsis of Order on Reconsideration                    Continuity of Communications Networks, Including         to its elements (i.e., conducting audits of
                                                                                                          Broadband Technologies, PS Docket Nos. 13–75,
                                                  I. Introduction                                         11–60, Report and Order, 28 FCC Rcd 17476 (2013),
                                                                                                                                                                   aggregation points for gathering network
                                                                                                          available at http://transition.fcc.gov/Daily_            monitoring data, conducting audits of
                                                    1. In December 2013, the Commission                   Releases/Daily_Business/2013/db1212/FCC-13-              monitoring links, and implementing
                                                  adopted rules requiring 911                             158A1.pdf (911 Reliability Order).                       physically diverse aggregation points
                                                                                                            2 Intrado, Inc., Motion for Clarification or, in the
                                                  communications providers to take                                                                                 and links). The backup power portion of
                                                                                                          Alternative, Petition for Partial Reconsideration, PS
                                                  reasonable measures to provide reliable                 Docket Nos. 13–75, 11–60 (Feb. 18, 2014) (Intrado        the certification—which is not at issue
                                                  service, as evidenced by an annual                      Petition).                                               here—requires Covered 911 Service


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                                                                   Federal Register / Vol. 80, No. 194 / Wednesday, October 7, 2015 / Rules and Regulations                                         60549

                                                  Providers to indicate whether they                      interpreted to require that all Covered               position. Texas 911 Entities ‘‘support[s]
                                                  provide at least 24 hours of backup                     911 Service Providers must audit and                  the Commission . . . providing
                                                  power at any central office that directly               tag critical 911 circuits and audit                   additional clarification or interpretation
                                                  serves a PSAP or at least 72 hours at any               network monitoring links, and may rely                regarding the Order in the context of
                                                  central office that hosts a selective                   on alternative measures only with                     more modern 9–1–1 network designs,’’
                                                  router, and whether they have                           respect to eliminating single points of               including MPLS networks and
                                                  implemented certain design and testing                  failure in those facilities. Read in                  situations ‘‘where the network provided
                                                  procedures for backup power                             isolation, certain statements in the 911              by a subcontractor or commercial
                                                  equipment.                                              Reliability Order may also suggest that               vendor may be one component of a
                                                     5. The elements that comprise these                  the option of certifying alternative                  larger governmental entity solution.’’
                                                  certification requirements are designed                 measures applies only to remedial                     AT&T ‘‘fully supports the Intrado
                                                  to reinforce the core responsibility                    actions—i.e., how to cure an absence of               Petition as a broad request for
                                                  imposed by section 12.4(b) of our rules,                complete physical diversity identified                clarification and reconsideration of the
                                                  which is to take reasonable measures to                 through audits and tagging. Intrado                   911 Reliability Order and accompanying
                                                  provide reliable 911 service with respect               argues that this interpretation would                 proposed rules’’ but argues that any
                                                  to circuit diversity, central-office                    appear inconsistent with section 12.4(b),             relief should extend to ‘‘all Covered 911
                                                  backup power, and diverse network                       which provides that if a Covered 911                  Service Providers,’’ not just to IP-based
                                                  monitoring. Section 12.4(b) provides,                   Service Provider ‘‘cannot certify that it             providers similarly situated to Intrado.
                                                  however, that ‘‘[i]f a Covered 911                      has performed a given element,’’ it may
                                                  Service Provider cannot certify that it                 nevertheless satisfy the ‘‘reasonable                 III. Discussion
                                                  has performed a given element, the                      measures’’ requirement through a                      A. Network Reliability During the
                                                  Commission may determine that such                      certification of alternative measures.                Transition to Next Generation 911
                                                  provider nevertheless satisfies the                        8. Intrado argues that two issues may              (NG911)
                                                  requirements of this subsection (b)                     prevent it and other IP-based providers
                                                  based upon a showing in accordance                      from being able to audit and certify the                 11. We first clarify that the
                                                  with subsection (c) that it is taking                   precise path of their circuits or                     certification framework adopted in the
                                                  alternative measures with respect to that               equivalent data paths for 911 call traffic            911 Reliability Order was intended to
                                                  element that are reasonably sufficient to               at any given time. First, ‘‘the underlying            allow flexibility for all Covered 911
                                                  mitigate the risk of failure, or that one               carriers could conflate their respective              Service Providers to rely on reasonable
                                                  or more certification elements are not                  physical paths so that they are                       alternative measures in lieu of any given
                                                  applicable to its network.’’ The                        combined on one of their networks or                  element of the certification set forth in
                                                  Commission intended this certification                  on the network of a third-party carrier               section 12.4(c). The overarching
                                                  approach to be more flexible than                       for one or more segments,’’ in which                  purpose of the certification, including
                                                  uniform standards, while providing                      case ‘‘Intrado has no way of ensuring                 the attestation of a responsible corporate
                                                  assurance to PSAPs and the public that                  that the underlying provider informs                  officer, is to hold service providers
                                                  known vulnerabilities in 911 networks                   Intrado if such conflation occurs.’’                  accountable for decisions affecting 911
                                                  will be identified and corrected                        Second, ‘‘a significant portion of                    reliability. We agree with Intrado that
                                                  promptly.                                               Intrado’s facilities rely on multiprotocol            ‘‘[t]he Commission did not intend the
                                                                                                          label switching (MPLS) technology,                    certification process to be prescriptive,
                                                  B. Intrado Petition                                                                                           but adopted a certification mechanism
                                                                                                          which does not permit the underlying
                                                     6. The Intrado Petition seeks                        provider—let alone Intrado—to track its               that provides Covered 911 Service
                                                  clarification or reconsideration of                     circuit path at any given moment.’’                   Providers with flexibility and a means
                                                  certification requirements under                           9. Intrado cites the apparent conflict             of demonstrating that they are taking
                                                  sections 12.4(c)(1) and 12.4(c)(3) to the               between sections 12.4(b) and 12.4(c) as               reasonable measures to ensure the
                                                  extent that they would require all                      a basis for requesting clarification of               reliability of their 911 service.’’
                                                  Covered 911 Service Providers to audit                  those rules such that ‘‘[p]roviders may               Inflexible insistence on specified
                                                  and tag 911 circuits, and audit network                 take reasonable alternative measures to               actions as part of each certification
                                                  monitoring links, without the option of                 meet the Commission’s standards in lieu               despite technical considerations that
                                                  certifying reasonable alternative                       of implementing any of the best                       show those actions may not be
                                                  measures in lieu thereof. Intrado, which                practices adopted by the Order.’’ It adds             appropriate in all cases would
                                                  provides services such as call routing                  that ‘‘[t]his would include confirming                undermine this principle of flexibility
                                                  and location information over an                        that Providers may take reasonable                    without advancing the Commission’s
                                                  Internet protocol (IP)-based network,                   alternative measures instead of                       goal of improving 911 reliability.
                                                  argues that ‘‘[a]uditing and tagging are                conducting Diversity Audits, tagging                     12. Moreover, flexibility is essential to
                                                  concepts derived from the traditional                   Critical 911 Circuits, or auditing                    support and encourage the transition to
                                                  911 architecture of the [incumbent local                Monitoring Links.’’ Intrado argues that               NG911. In the 911 Reliability Order, the
                                                  exchange carriers (ILECs)], where the                   ‘‘a narrow interpretation of the rules                Commission stated that ‘‘we intend
                                                  ILEC 911 service provider presumably                    could require Providers to focus on form              today’s rules to apply to current 911
                                                  controls the physical path of the circuit               over substance and divert resources                   networks, as well as NG911 networks to
                                                  from the selective router to the serving                away from implementing innovative                     the extent they provide functionally
                                                  wire center and knows whether it is                     alternative measures that improve                     equivalent capabilities to PSAPs.’’ At
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                                                  diverse at any given moment.’’ Intrado’s                network reliability to focus on                       that time, the Commission was ‘‘not
                                                  network, by contrast, ‘‘disperses critical              complying with a ‘one-size-fits-all’                  persuaded that NG911 technologies
                                                  functions into geographically diverse                   certification obligation.’’                           have evolved to the point that reliability
                                                  and redundant locations and uses dual                                                                         certification rules should apply to
                                                  paths and different network providers to                C. Comments                                           entities beyond those that offer core
                                                  transmit its Critical 911 Circuits.’’                     10. In response, the Commission                     services functionally equivalent to
                                                     7. Intrado observes that the structure               received one comment and one reply                    current 911 and E911 capabilities’’ but
                                                  and numbering of section 12.4(c) can be                 comment, both in support of Intrado’s                 it noted that it may ‘‘revisit this


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                                                  60550            Federal Register / Vol. 80, No. 194 / Wednesday, October 7, 2015 / Rules and Regulations

                                                  distinction in the future as technology                 certification obligations. As provided in             technical considerations and to allow
                                                  evolves.’’ Accordingly, the 911                         the 911 Reliability Order, if a Covered               for alternative measures where
                                                  Reliability Order contemplated a review                 911 Service Provider certifies that it has            appropriate. Our assessment of whether
                                                  of the certification rules in five years,               taken alternative measures to mitigate                such measures are reasonably sufficient
                                                  noting that such a review should                        the risk of failure, or that a certification          to mitigate the risk of failure may be
                                                  ‘‘include consideration of whether [the                 element is not applicable to its network,             informed by, but not limited to, the
                                                  rules] should be revised or expanded to                 its certification is subject to a more                question whether the measures
                                                  cover new best practices or additional                  detailed Bureau review. If the Bureau’s               specified in our rules are technically
                                                  entities that provide NG911 capabilities,               review indicates that a provider’s                    feasible.
                                                  or in light of our understanding about                  alternative measures are not reasonably                  17. As the Intrado Petition
                                                  how NG911 networks may differ from                      sufficient to ensure reliable 911 service,            acknowledges, the option to certify
                                                  legacy 911 service.’’                                   the Bureau should first engage with the               alternative measures allows the
                                                     13. Events since the adoption of the                 provider and other interested                         Commission to ‘‘maintain oversight
                                                  911 Reliability Order have underscored                  stakeholders (e.g., affected PSAPs) to                because Providers would still be
                                                  that the NG911 transition is well                       address any shortcomings. To the extent               required to disclose to the agency what
                                                  underway in many parts of the Nation.3                  that such a collaborative process does                steps were taken to accomplish these
                                                  In recognition of this transition, the                  not yield satisfactory results, the Bureau            reliability goals.’’ Such information will
                                                  Commission intended its 911 reliability                 may order remedial action consistent                  help demonstrate whether the
                                                  rules to be technology-neutral and made                 with its delegated authority. We intend               alternative measures chosen by the
                                                  clear that functionally equivalent 911                  this process to allow flexibility to                  Covered 911 Service Provider constitute
                                                  capabilities should be treated                          employ alternative—but reliable—                      a reasonable approach for addressing
                                                  consistently for purposes of the                        network designs and technologies, not                 the risks that the circuit auditing and
                                                  certification. We reaffirm that principle               to create an exception that would                     tagging elements are designed to
                                                  here. Accordingly, we do not intend to                  swallow the rule.                                     ameliorate. While technical infeasibility
                                                  create disparate certification standards                                                                      is not a prerequisite to the use of
                                                  for IP-based providers, or to discourage                B. Clarification of Certification                     alternative measures, explanations of
                                                  the implementation of NG911 by                          Requirements                                          alternative measures with respect to
                                                  imposing certification requirements that                1. Circuit Auditing                                   circuit audits and tagging should
                                                  would not be appropriate for IP-based                                                                         nevertheless include an assessment of
                                                  networks. Rather, we clarify that the                      15. We clarify that Covered 911                    the technical feasibility of circuit audits
                                                  certification framework adopted in the                  Service Providers responding to the                   and tagging in light of the respondent’s
                                                  911 Reliability Order allows flexibility                circuit auditing portion of the                       network architecture. We also expect
                                                  for all Covered 911 Service Providers—                  certification under section 12.4(c)(1)                such explanations to describe
                                                  legacy and IP-based—to certify                          may certify their implementation of                   affirmative steps in lieu of audits and
                                                  reasonable alternative measures to                      reasonable alternative measures in lieu               tagging to mitigate the risk of a service
                                                  mitigate the risk of failure in lieu of                 of auditing and tagging critical 911                  disruption due to a lack of physical
                                                  specified certification elements, and we                circuits, provided that they include an               diversity; we will not consider it
                                                  amend our rules to eliminate any                        explanation of such alternative                       sufficient or reasonable to respond that
                                                  ambiguity on this point. In keeping with                measures and why they are reasonable                  no circuit diversity measures are
                                                  the Commission’s statement in the 911                   under the circumstances. Accordingly,                 necessary under the circumstances.
                                                  Reliability Order that reliability                      we amend section 12.4(c)(1)(ii) to make               Technology transitions have already
                                                  certification requirements should be                    clear that this option applies to all of the          resulted in a variety of hybrid 911
                                                  ‘‘consistent with current best practices                elements of section 12.4(c)(1)(i) and not             network architectures in which some
                                                  but also flexible enough to account for                 just subsection 12.4(c)(1)(i)(C).                     functions are provided over legacy TDM
                                                  differences in 911 and NG911                               16. The circuit auditing requirement               circuits and others are provided over IP-
                                                  networks,’’ we believe that our                         adopted in the 911 Reliability Order was              based infrastructure. In such cases, our
                                                  implementation of the certification                     based upon a CSRIC best practice urging               rules as revised will permit the provider
                                                  should be guided by these same                          network operators to ‘‘periodically audit             to certify reasonable alternative
                                                  principles.                                             the physical and logical diversity called             measures with respect to either portion
                                                     14. To be clear, this flexibility is                 for by network design of their network                of the network.
                                                  limited by the substantive standard in                  segment(s) and take appropriate                          18. The Intrado Petition also reflects
                                                  Section 12.4(b) of requiring ‘‘reasonable               measures as needed.’’ As Intrado argues,              a shift in 911 network architecture from
                                                  measures’’ to provide reliable 911                      however, appropriate measures to                      facilities owned and operated by a
                                                  service, and is not an invitation for any               preserve physical and logical diversity               single provider to a combination of
                                                  Covered 911 Service Provider to avoid                   may differ between circuit-switched                   network transport and data processing
                                                                                                          time division multiplexing (TDM) and                  elements that may be provided by
                                                    3 See 911 Governance and Accountability;              IP-based networks because IP-based                    multiple entities. Intrado states that ‘‘in
                                                  Improving 911 Reliability, PS Docket Nos. 14–193        routing and, in the event of an outage,               contrast to legacy ILEC providers that
                                                  and 13–75, Policy Statement and Notice of
                                                  Proposed Rulemaking, 29 FCC Rcd 14208 (2014),
                                                                                                          re-routing can occur dynamically over                 own and control the transport facilities
                                                  available at https://apps.fcc.gov/edocs_public/         many possible paths. Further, as the                  over which 911 calls and data are
                                                  attachmatch/FCC-14-186A1.pdf (911 Governance            Texas 911 Entities observe, ‘‘the ability             transported, Intrado procures transport
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                                                  NPRM). Among other things, the 911 Governance           of an underlying MPLS technology                      services for the delivery of 911 calls and
                                                  NPRM proposed to adopt additional certification
                                                  requirements for NG911 providers regarding
                                                                                                          provider to track its circuit paths at any            for ALI/ANI from third party transport
                                                  software and database configuration and testing, as     given moment may not be technically                   providers.’’ Our rules as revised in this
                                                  well as situational awareness and information           feasible, or what the Commission                      Order on Reconsideration will account
                                                  sharing. We do not address those proposals here         intended in the context of that                       for such arrangements while preserving
                                                  and emphasize that our response to the Intrado
                                                  Petition is limited to clarification of existing
                                                                                                          technology.’’ As discussed above, the                 accountability for reliable service. The
                                                  certification obligations adopted in the 911            certification process is intended to be               911 Reliability Order briefly addressed
                                                  Reliability Order.                                      flexible to account for these types of                auditing of critical 911 circuits leased


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                                                                   Federal Register / Vol. 80, No. 194 / Wednesday, October 7, 2015 / Rules and Regulations                                       60551

                                                  from third parties, stating that ‘‘[i]n                 will expect Covered 911 Service                       more generally that network operators
                                                  cases where a party provides 911                        Providers that provide critical 911                   ‘‘should monitor their network to enable
                                                  services directly to a PSAP (pursuant to                circuits to PSAPs in partnership with                 quick response to network issues.’’
                                                  contract or tariff) over leased facilities,             other service providers or that share                 Intrado argues that ‘‘it would be
                                                  the auditing obligation would apply to                  responsibility for circuit diversity with             exceedingly difficult and may not be
                                                  that party, and not to the facilities                   another service provider to include a                 possible in all cases’’ for an IP-based
                                                  lessor.’’ The Commission also suggested                 description of such arrangements and                  service provider to ‘‘audit its Monitoring
                                                  that Covered 911 Service Providers                      the identity of such third parties as part            Links as those functions are defined in
                                                  could contract with facilities lessors, if              of their explanation of alternative                   the Commission’s rules’’ without the
                                                  necessary, to audit and tag leased                      measures. Descriptions of alternative
                                                                                                                                                                option of certifying reasonable
                                                  circuits, but that the entity providing                 measures may also include references to
                                                                                                                                                                alternative measures. At least one other
                                                  911 service under a direct contractual                  any services provided under contract
                                                                                                          where circuit diversity is not expressly              commenter in the 911 reliability
                                                  relationship with each PSAP would
                                                                                                          defined, but is instead achieved through              proceeding indicated plans to route
                                                  remain responsible for certifying
                                                                                                          a service level agreement providing                   network monitoring traffic on a more
                                                  compliance with those requirements.
                                                  We reaffirm those principles here, but                  comparable assurances of resiliency.                  resilient IP-enabled network, suggesting
                                                  clarify that Covered 911 Service                        These and other affirmative steps, in                 that many of the same technical
                                                  Providers (i.e., the entities with direct               lieu of circuit audits and tagging, may               limitations on circuit auditing discussed
                                                  contractual relationships with PSAPs)                   demonstrate reasonable measures to                    above with respect to critical 911
                                                  that rely on such contracts may                         provide reliable service, depending on                circuits may also extend to network
                                                  implement and certify reasonable                        individual circumstances, while                       monitoring facilities. We therefore
                                                  alternative measures as set forth above.                improving the Commission’s situational                amend our rules to clarify that the
                                                  We emphasize, however, that the                         awareness regarding NG911 deployment                  certification framework allows
                                                  contracting out of certain functions, or                and resiliency. Explanations submitted                flexibility for Covered 911 Service
                                                  the determination of a PSAP to contract                 through the annual certification process              Providers to implement and certify
                                                  with more than one entity for various                   will have the added benefit of providing              alternative measures, as long as they
                                                  aspects of 911 service, does not absolve                the Commission with up-to-date,                       demonstrate that those alternative
                                                  individual entities of their respective                 empirical information about the                       measures are reasonably sufficient
                                                  obligations for reliable 911 service.                   transition to NG911 throughout the                    under the circumstances to mitigate the
                                                  While respondents may certify                           Nation.                                               risk of a network monitoring failure as
                                                  reasonable alternative measures to                      2. Network Monitoring                                 set forth above.
                                                  mitigate the risk of failure due to
                                                                                                             20. Finally, and for the reasons                   IV. Procedural Matters
                                                  insufficient physical diversity of leased
                                                                                                          discussed above, we clarify that Covered
                                                  circuits, we will not consider it                                                                             A. Paperwork Reduction Act
                                                                                                          911 Service Providers responding to the
                                                  reasonable or sufficient to indicate that
                                                                                                          network monitoring portion of the
                                                  such circuits are not a Covered 911                                                                             22. This document contains a non-
                                                                                                          certification under section 12.4(c)(3)
                                                  Service Provider’s responsibility                                                                             substantive and non-material
                                                                                                          may certify their implementation of
                                                  because they belong to a third party.                   reasonable alternative measures in lieu               modification of information collection
                                                     19. Where Covered 911 Service                        of conducting diversity audits of                     requirements that were previously
                                                  Providers are leasing or subcontracting                 monitoring links and aggregation points               reviewed and approved by the Office of
                                                  for critical 911 circuits, the                          for network monitoring data, provided                 Management and Budget (OMB) under
                                                  Commission’s assessment of whether                      that they include an explanation of such              OMB Control No. 3060–1202. In
                                                  alternative measures in lieu of circuit                 alternative measures and why they are                 addition, we note that pursuant to the
                                                  audits or tagging are reasonable under                  reasonable under the circumstances.                   Small Business Paperwork Relief Act of
                                                  the circumstances will be informed, in                  Accordingly, we amend the text of                     2002, Public Law 107–198, see 44 U.S.C.
                                                  part, by certification responses                        section 12.4(c)(3)(ii) to make clear that             3506(c)(4), we previously sought
                                                  identifying the parties involved, as well               this option applies to all of the elements            specific comment on how the
                                                  as details about the contractual                        of section 12.4(c)(3)(i) and not just                 Commission might further reduce the
                                                  provisions—or lack thereof—governing                    subsection 12.4(c)(3)(i)(C).                          information collection burden for small
                                                  such relationships. For example, do IP-                    21. Intrado argues that ‘‘[b]ased on the           business concerns with fewer than 25
                                                  based Covered 911 Service Providers                     text of the [911 Reliability Order], it               employees.
                                                  increase the diversity of their networks                appears that the Commission intended
                                                                                                                                                                  23. In this present document, we have
                                                  by dividing traffic among two different                 to permit Providers either to implement
                                                  MPLS service providers? In cases where                  . . . best practices or take reasonable               assessed the effects of various
                                                  a PSAP depends on IP network access                     alternative measures with respect to                  requirements adopted in the 911
                                                  for its 911 services, Covered 911 Service               . . . network monitoring elements, just               Reliability Order and clarified the effect
                                                  Providers might also promote reliability                as Providers may do for backup power.’’               of certain recordkeeping, retention, and
                                                  of each PSAP’s IP network access by                     We agree. As the Commission observed                  reporting requirements for Covered 911
                                                  ordering redundant access for the PSAP                  in the 911 Reliability Order, ‘‘it is a               Service Providers. We find that these
                                                  from multiple providers (such as ILEC,                  sound engineering practice to design                  actions are in the public interest
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                                                  cable, and wireless providers). In                      network monitoring architectures with                 because they reduce the burdens of
                                                  addition, for cases where MPLS is used                  visibility into the network through                   these recordkeeping, retention, and
                                                  to provide 911 services, MPLS service                   physically diverse aggregation points                 reporting requirements without
                                                  level agreements, reliability objectives,               and monitoring links interconnecting to               undermining the goals and objectives
                                                  and remedies specified for failure to                   [network operations centers (NOCs)] to                behind the requirements. The
                                                  meet such requirements and/or                           help avoid single points of failure.’’ This           amendments we adopt today will
                                                  objectives may also ensure                              requirement was based, however, on a                  reduce the burden on businesses with
                                                  accountability for reliable service. We                 CSRIC best practice recommending                      fewer than 25 employees.


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                                                  60552            Federal Register / Vol. 80, No. 194 / Wednesday, October 7, 2015 / Rules and Regulations

                                                  B. Supplemental Final Regulatory                        C. Congressional Review Act                           PART 12—RESILIENCY,
                                                  Flexibility Analysis                                                                                          REDUNDANCY, AND RELIABILITY OF
                                                                                                            26. The Commission will send a copy                 COMMUNICATIONS
                                                    24. As required by the Regulatory                     of this Order on Reconsideration to
                                                  Flexibility Act of 1980 (RFA), the                      Congress and the Government                           ■ 1. The authority citation for part 12 is
                                                  Commission has prepared the following                   Accountability Office pursuant to the                 revised to read as follows:
                                                  Supplemental Final Regulatory                           Congressional Review Act, see 5 U.S.C.                  Authority: Sections 1, 4(i), 4(j), 4(o), 5(c),
                                                  Flexibility Analysis (FRFA) relating to                 801(a)(1)(A).                                         201(b), 214(d), 218, 219, 251(e)(3), 301,
                                                  this Order on Reconsideration. As                                                                             303(b), 303(g), 303(j), 303(r), 307, 309(a), 316,
                                                                                                          V. Ordering Clauses                                   332, 403, 405, 615a-1, 615c, 621(b)(3), and
                                                  discussed in the initial FRFA in this
                                                  proceeding, the Commission sought                                                                             621(d) of the Communications Act of 1934,
                                                                                                            27. Accordingly, it is ordered,                     as amended, 47 U.S.C. 151, 154(i), 154 (j),
                                                  comment on alternatives for small                       pursuant to sections 1, 4(i), 4(j), 4(o),             154 (o), 155(c), 201(b), 214(d), 218, 219,
                                                  entities including: (1) The establishment               201(b), 214(d), 218, 251(e)(3), 301,                  251(e)(3), 301, 303(b), 303(g), 303(j), 303(r),
                                                  of different compliance and reporting                   303(b), 303(g), 303(r), 307, 309(a), 316,             307, 309(a), 316, 332, 403, 405, 615a-1, 615c,
                                                  requirements; (2) clarification,                        332, 403, 405, 615a–1, and 615c of the                621(b)(3), and 621(d) unless otherwise noted.
                                                  consolidation, or simplification of                     Communications Act of 1934, as                        ■ 2. Amend § 12.4 by revising
                                                  compliance or reporting requirements                    amended, 47 U.S.C. 151, 154(i)–(j) & (o),             paragraphs (c)(1)(ii) introductory text
                                                  for small entities; (3) the use of                      201(b), 214(d), 218, 251(e)(3), 301,                  and (c)(3)(ii) introductory text to read as
                                                  performance, rather than design,                        303(b), 303(g), 303(r), 307, 309(a), 316,             follows:
                                                  standards; and (4) an exemption from                    332, 403, 405, 615a–1, and 615c, and
                                                  coverage of the rule, or any part thereof,              sections 1.108 and 1.429 of the                       § 12.4 Reliability of covered 911 service
                                                  for small entities. As the Commission                                                                         providers.
                                                                                                          Commission’s rules, 47 CFR 1.1, 1.429,
                                                  stated in the FRFA, ‘‘[w]hile we                        that this Order on Reconsideration is                 *      *     *    *     *
                                                  acknowledge that small or rural service                 adopted.                                                (c) * * *
                                                  providers may have limited resources or                                                                         (1) * * *
                                                                                                            28. It is further ordered that Part 12                (ii) If a Covered 911 Service Provider
                                                  operate in remote areas, 911 is no less
                                                                                                          of the Commission’s rules, 47 CFR part                does not conform with all of the
                                                  a critical public service in any part of
                                                                                                          12, is amended as set forth in the                    elements in paragraph (c)(1)(i) of this
                                                  the nation, and we decline to establish
                                                                                                          Appendix, and that such rule                          section with respect to the 911 service
                                                  two tiers of 911 reliability based on                   amendments shall be effective 30 days                 provided to one or more PSAPs, it must
                                                  economics or geography.’’ Accordingly,                  after publication in the Federal                      certify with respect to each such PSAP:
                                                  we intend our 911 reliability                           Register.                                             *      *     *    *     *
                                                  certification requirements—including                                                                            (3) * * *
                                                  the clarifications set forth in this Order                 29. It is further ordered that the
                                                                                                          Motion for Clarification or, in the                     (ii) If a Covered 911 Service Provider
                                                  on Reconsideration—to apply to all                                                                            does not conform with all of the
                                                  Covered 911 Service Providers without                   Alternative, Petition for Partial
                                                                                                          Reconsideration of Intrado, Inc., is                  elements in paragraph (c)(3)(i) of this
                                                  exceptions based on size or location,                                                                         section, it must certify with respect to
                                                  and we also decline to create a specific                granted to the extent described herein.
                                                                                                                                                                each such 911 Service Area:
                                                  waiver procedure for entities to seek                      30. It is further ordered that the                 *      *     *    *     *
                                                  exemption from the rules.                               Commission shall send a copy of this                  [FR Doc. 2015–25459 Filed 10–6–15; 8:45 am]
                                                    25. That said, the Commission’s                       Order on Reconsideration to Congress                  BILLING CODE 6712–01–P
                                                  certification approach to 911 reliability               and to the Government Accountability
                                                  continues to ‘‘allow[ ] flexibility for                 Office pursuant to the Congressional
                                                  small or rural providers to comply with                 Review Act, see 5 U.S.C. 801(a)(1)(A).                NATIONAL AERONAUTICS AND
                                                  our rules in the manner most                               31. It is further ordered that the                 SPACE ADMINISTRATION
                                                  appropriate for their networks, and                     Commission’s Consumer and
                                                  certain requirements will, by their                     Governmental Affairs Bureau, Reference                48 CFR Parts 1823, 1846, and 1852
                                                  nature, only apply to larger providers.’’               Information Center, shall send a copy of              RIN 2700–AE17
                                                  In contrast to more prescriptive                        this Order on Reconsideration,
                                                  reliability requirements, the option to                 including the Supplemental Final                      NASA Federal Acquisition Regulation
                                                  certify reasonable alternative measures                 Regulatory Flexibility Analysis, to the               Supplement: Drug- and Alcohol-Free
                                                  in lieu of specified best practices                     Chief Counsel for Advocacy of the Small               Workforce and Mission Critical
                                                  minimizes regulatory burdens on small                   Business Administration.                              Systems Personnel Reliability Program
                                                  entities by recognizing a variety of                                                                          (NFS Case 2015–N002)
                                                                                                          Federal Communications Commission.
                                                  acceptable approaches to providing                                                                            AGENCY:  National Aeronautics and
                                                                                                          Marlene H. Dortch,
                                                  reliable 911 service. If anything, the                                                                        Space Administration.
                                                                                                          Secretary.
                                                  clarifications provided above offer                                                                           ACTION: Final rule.
                                                  additional flexibility to small entities by             List of Subjects in 47 CFR part 12
                                                  making clear that they may certify                                                                            SUMMARY:   NASA is issuing a final rule
                                                                                                            Resiliency, Redundancy and
asabaliauskas on DSK5VPTVN1PROD with RULES




                                                  reasonable alternative measures in lieu                                                                       amending the NASA FAR Supplement
                                                  of circuit audits and tagging depending                 Reliability of Communications.                        (NFS) to remove requirements related to
                                                  on their individual circumstances and                                                                         the discontinued Space Flight Mission
                                                                                                          Final Rules
                                                  network architecture. Thus, the rules as                                                                      Critical Systems Personnel Reliability
                                                  clarified in this Order on                                For the reasons discussed in the                    Program and to revise requirements
                                                  Reconsideration continue to take into                   preamble, the Federal Communications                  related to contractor drug and alcohol
                                                  account the unique interests of small                   Commission amends 47 CFR part 12 as                   testing.
                                                  entities as required by the RFA.                        follows:                                              DATES: Effective November 6, 2015.



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Document Created: 2015-12-15 08:49:09
Document Modified: 2015-12-15 08:49:09
CategoryRegulatory Information
CollectionFederal Register
sudoc ClassAE 2.7:
GS 4.107:
AE 2.106:
PublisherOffice of the Federal Register, National Archives and Records Administration
SectionRules and Regulations
ActionFinal rule.
DatesEffective November 6, 2015.
ContactEric P. Schmidt, Attorney Advisor, Public Safety and Homeland Security Bureau, (202) 418-1214 or [email protected]
FR Citation80 FR 60548 
CFR AssociatedResiliency and Redundancy and Reliability of Communications

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