Communications Assistance for Law Enforcement Act (CALEA) and Broadband Access and Services, FCC Form 445

Forms and Documents

Document Name	Status
0809FRN_CALEA R&O and MO&O_070506.pdf Supplementary Document	2006-10-20
0809 statutes_101106.doc Supplementary Document	2006-10-20
0809_Pub L 103-414_102006.rtf Supplementary Document	2006-10-20
0809_CALEA Monitoring Report Form 3_102006.doc Supplementary Document	2006-10-20
0809_FCC Form 445 CALEA monitoring report instructions_102006.doc Supplementary Document	2006-10-20
0809ss_102006 AMENDED.doc Supporting Statement A	2006-10-26

IC Document Collections

IC ID	Document Title	Status
45750	Communications Assistance for Law Enforcement Act (CALEA) and Broadband Access and Services, FCC Form 445	New
31070	Communications Assistance for Law Enforcement Act (CALEA) and Broadband Access and Services, FCC Form 445	Modified

ICR Details

OMB Control No: 3060-0809	ICR Reference No: 200610-3060-008
Status: Historical Active	Previous ICR Reference No: 200306-3060-002
Agency/Subagency: FCC	Agency Tracking No: Office of Engineering and Technolgoy (OET)
Title: Communications Assistance for Law Enforcement Act (CALEA) and Broadband Access and Services, FCC Form 445
Type of Information Collection: Revision of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Approved without change	Conclusion Date: 12/12/2006
	Date Received in OIRA: 10/20/2006
Terms of Clearance: Since the FCC is currently examining the use of electronic filing of SSI plans to reduce the paperwork burden associated with this collection, but has yet to fully assess the costs and risks associated with the information collection for 3060-0809, this information collection is approved for one year during which time the FCC should continue its assessment of the use of electronic filing of SSI plans. The FCC should report back to OMB by 12/2007 on the FCC's determination on whether electronic filing of SSI plans is cost-effective and on how the compelling national security or public safety concerns influenced the FCC's decision. The FCC should consider a variety of protection or encryption methods or technologies, from the most minimal requirements (ex: attaching a protected document to an email) to more complex methods of encryption, in its assessment. Also, since information collected by 3060-0809 is immediately critical and shared with the FBI, OMB recommends the FCC consult the FBI in its assessment of electronic filing to promote the sharing and reuse of information.

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	12/31/2007	36 Months From Approved	12/31/2006
Responses	14,121	0	5,000
Time Burden (Hours)	75,835	0	36,000
Cost Burden (Dollars)	0	0	0

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Abstract: The Communications Assistance for Law Enforcement Act (CALEA) requires: (a) telecommunications carriers to protect against unlawful interception of communications of their facilities by establishing policies and procedures to ensure security and integrity of those facilities and to maintain records of all interceptions of lawful electronic surveillance, and (b)the FCC to prescribe CALEA implementing rules and to review the carriers' filings under Section 301(b) and to order any deficiencies to be corrected. Information collections include mandatory system security filings, voluntary extension of time and cost reimbursement petitions, and --for facilities-based broadband Internet access and Interconnected Voice over Internet Protocol providers (VOIP)--mandatory CALEA monitoring reports.

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Authorizing Statute(s): PL: Pub.L. 103 - 414 108 Name of Law: Communications Assistance for Law Enforcement Act
   US Code: 47 USC 1006(c) Name of Law: Communications Assistance for Law Enforcement Act (CALEA)
   US Code: 47 USC 1008(b) Name of Law: Communications Assistance for Law Enforcement Act (CALEA)
   US Code: 47 USC 229 Name of Law: Communications Assistance for Law Enforcement Act (CALEA)
   US Code: 47 USC 1004 Name of Law: Communications Assistance for Law Enforcement Act (CALEA)
  

Citations for New Statutory Requirements: None

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
3060-AI70	Final or interim final rulemaking	71 FR 38091	07/05/2006

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Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	71 FR 43479	08/01/2006
30-day Notice:	Federal Register Citation:	Citation Date:
	71 FR 61772	10/19/2006
Did the Agency receive public comments on this ICR? Yes

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Number of Information Collection (IC) in this ICR: 2

IC Title	Form No.	Form Name
Communications Assistance for Law Enforcement Act (CALEA) and Broadband Access and Services, FCC Form 445
Communications Assistance for Law Enforcement Act (CALEA) and Broadband Access and Services, FCC Form 445

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ICR Summary of Burden

	Total Approved	Previously Approved	Change Due to New Statute	Change Due to Agency Discretion	Change Due to Adjustment in Estimate	Change Due to Potential Violation of the PRA
Annual Number of Responses	14,121	5,000	0	9,121	0	0
Annual Time Burden (Hours)	75,835	36,000	0	39,835	0	0
Annual Cost Burden (Dollars)	0	0	0	0	0	0

Burden increases because of Program Change due to Agency Discretion: Yes

Burden Increase Due to: Changing Regulations

Burden decreases because of Program Change due to Agency Discretion: No

Burden Reduction Due to:

Short Statement: On May 12, 2006, the FCC released a Second Report and Order and Memorandum Opinion and Order, ET Doc. No. 04-295, FCC 06-56, which established new guidelines for filing section 107(c) petitions, section 109(b) petitions, and monitoring reports using FCC Form 445. CALEA section 107(c)(1) permits a petitioner to apply for an extension of time, up to two years from the petition's filing date, and to come into compliance with a particular CALEA section 103 capability requirement. CALEA section 109(b) permits a telecommunication carrier covered by CALEA to file a petition with the FCC and an application with the Department of Justice (DOJ) to request that DOJ pay the costs of the carrier's CALEA compliance (cost-shifting relief) with respect to any equipment, facility, or service installed or deployed after January 1, 1995. The Second Report and Order required several information collections: (a) facilities based broadband Internet access and interconnected VOIP providers newly identified in the proceeding will be required to file system security statements under FCC rules (Security systems are currently approved under the existing information collection requirements for 3060-0809); (b) petitions files under section 107(c) apply to all carriers subject to CALEA and are voluntary filings; (c) section 109(b) would be modified, and these provisions apply to all carriers subject to CALEA and are voluntary filings; (d) the revised collection requires each carrier that has CALEA section 107(c) extension petition currently on file to submit a letter to the FCC documenting that the carrier's equipment, facility, or service qualifies for section 107(c) relief under the October 25, 1998 cutoff for such relief; and (e) the revised collection also requires all carriers providing facilities based broadband VOIP services to file monitoring reports on FCC Form 445, "CALEA Monitoring Report for Broadband and VOIP Service," with the FCC to ensure timely CALEA compliance.

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Annual Cost to Federal Government: $558,500

Does this IC contain surveys, censuses, or employ statistical methods? No

Is the Supporting Statement intended to be a Privacy Impact Assessment required by the E-Government Act of 2002? No

Is this ICR related to the Affordable Care Act [Pub. L. 111-148 & 111-152]? Uncollected

Is this ICR related to the Dodd-Frank Wall Street Reform and Consumer Protection Act, [Pub. L. 111-203]? Uncollected

Is this ICR related to the American Recovery and Reinvestment Act of 2009 (ARRA)? Uncollected

Is this ICR related to the Pandemic Response? Uncollected

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Common Form ICR:  No

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On behalf of this Federal agency, I certify that the collection of information encompassed by this request complies with 5 CFR 1320.9 and the related provisions of 5 CFR 1320.8(b)(3).

The following is a summary of the topics, regarding the proposed collection of information, that the certification covers:

(a) It is necessary for the proper performance of agency functions;

(b) It avoids unnecessary duplication;

(c) It reduces burden on small entities;

(d) It uses plain, coherent, and unambiguous language that is understandable to respondents;

(e) Its implementation will be consistent and compatible with current reporting and recordkeeping practices;

(f) It indicates the retention periods for recordkeeping requirements;

(g) It informs respondents of the information called for under 5 CFR 1320.8 (b)(3) about:

(i) Why the information is being collected;

(ii) Use of information;

(iii) Burden estimate;

(iv) Nature of response (voluntary, required for a benefit, or mandatory);

(v) Nature and extent of confidentiality; and

(vi) Need to display currently valid OMB control number;

(h) It was developed by an office that has planned and allocated resources for the efficient and effective management and use of the information to be collected.

(i) It uses effective and efficient statistical survey methodology (if applicable); and

(j) It makes appropriate use of information technology.

If you are unable to certify compliance with any of these provisions, identify the item by leaving the box unchecked and explain the reason in the Supporting Statement.

Certification Date: 10/20/2006

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