63302 Federal Register / Vol. 62, No. 229 / Friday, November 28, 1997 / Proposed Rules

Numbering Council’s request to extend

the deadlines by which parties must file

comments and reply comments in

response to the Further Notice of

Proposed Rulemaking issued in this

proceeding on October 9, 1997, IS

GRANTED, by extending the deadline

for filing comments until March 6, 1998,

and by extending the deadline for filing

reply comments until April 3, 1998.

Federal Communications Commission.

Geraldine A. Matise,

Chief, Network Services Division Common

Carrier Bureau.

[FR Doc. 97–31248 Filed 11–26–97; 8:45 am]

BILLING CODE 6712–01–P

FEDERAL COMMUNICATIONS

COMMISSION

47 CFR Part 64

[CC Docket No. 97–213, FCC 97–356]

Communications Assistance for Law

Enforcement Act

AGENCY: Federal Communications

Commission.

ACTION: Notice of proposed rulemaking.

SUMMARY: On October 10, 1997, the

Commission released a Notice of

Proposed Rulemaking in CC Docket No.

97–213 to implement the portion of the

Communications Assistance for Law

Enforcement Act that requires

Commission rulemaking. This NPRM

contains proposed or modified

information collections subject to the

Paperwork Reduction Act of 1995

(PRA). It has been submitted to the

Office of Management and Budget

(OMB) for review under the PRA. OMB,

the public, and other Federal agencies

are invited to comment on the proposed

or modified information collections

contained in this proceeding.

DATES: Comments are due December 12,

1997; Reply Comments are due January

12, 1997. Written comments by the

public on the proposed and/or modified

information collections are due

December 12, 1997. Written comments

must be submitted by the OMB on the

proposed and/or modified information

collections on or before 60 days after the

date of publication in the Federal

Register.

ADDRESSES: In addition to filing

comments with the Secretary, Federal

Communications Commission, a copy of

any comments on the information

collections contained herein should be

submitted to Judy Boley, Federal

Communications Commission, Room

234, 1919 M Street, N.W., Washington,

DC 20554, or via the Internet to

jboley@fcc.gov, and to Timothy Fain,

OMB Desk Officer, 10236 NEOB, 725—

17th Street, N.W., Washington, DC

20503 or via the Internet to

fainlt@al.eop.gov.

FOR FURTHER INFORMATION CONTACT:

David Ward, Network Services Division,

Common Carrier Bureau, (202) 418–

2320. For additional information

concerning the information collections

contained in this NPRM contact Judy

Boley at 202–418–0214, or via the

Internet at jboley@fcc.gov.

SUPPLEMENTARY INFORMATION: This

summarizes the Commission’s Notice of

Proposed Rulemaking in CC Docket No.

97–213, In the Matter of

Communications Assistance for Law

Enforcement Act, FCC 97–356, adopted

October 2, 1997, and released October

10, 1997, as corrected in Erratum, CC

Docket No. 97–213, rel. October 24,

1997. The record in this proceeding is

available for inspection and copying

during the weekday hours of 9 a.m. to

4:30 p.m. in the Commission’s

Reference Center, room 239, 1919 M St.,

N.W., Washington, D.C., or copies may

be purchased from the Commission’s

duplicating contractor, ITS, Inc. 2000 M

Street, N.W., Suite 140, Washington,

D.C. 20037, phone (202) 857–3800.

Paperwork Reduction Act

This NPRM contains either a

proposed or modified information

collection. The Commission, as part of

its continuing effort to reduce

paperwork burdens, invites the general

public and the Office of Management

and Budget (OMB) to comment on the

information collections contained in

this NPRM, as required by the

Paperwork Reduction Act of 1995, Pub.

L. No. 104–13. Public and agency

comments are due at the same time as

other comments on this NPRM; OMB

notification of action is due 60 days

from the date of publication of this

NPRM in the Federal Register.

Comments should address: (a) whether

the proposed collection of information

is necessary for the proper performance

of the functions of the Commission,

including whether the information shall

have practical utility; (b) the accuracy of

the Commission’s burden estimates; (c)

ways to enhance the quality, utility, and

clarity of the information collected; and

(d) ways to minimize the burden of the

collection of information on the

respondents, including the use of

automated collection techniques or

other forms of information technology.

OMB Approval Number: None.

Title: Communications Assistance for

Law Enforcement Act, NPRM.

CC Docket No: 97–213.

Form No.: N/A.

Type of Review: New collection.

Respondents: Business or other for

profit.

Proposed requirement Number of

respondents

Estimated

time per

response

Total annual

burden

hours

Affidavits (proposed Sec. 64.1704(c)) .................................................................................................... 3,500 2.45 8,575

Record keeping (proposed Sec. 64.1704) ............................................................................................. 3,500 4.9 17,150

Compliance Statements (proposed Sec. 64.1704) ................................................................................ 3,500 1.0 3,500

List of Designated Personnel ................................................................................................................. 3,500 5.0 17,500

Total Annual Burden Hours ......................................................................................................... .................... ...................... 46,725

Estimated Cost per Respondent: $700.

Needs and Uses

The Communications Assistance for

Law Enforcement Act (CALEA) requires

the Commission to adopt rules that

regulate the conduct and record keeping

of lawful electronic surveillance.

CALEA also requires the Commission to

adjudicate petitions from

telecommunications carriers and

interested parties to the extent to which

they must comply with CALEA’s

requirements, capability standards, and

the reasonable achievability of law

enforcement officials’ capability

requirements. The information

submitted to the Commission by

telecommunications carriers will be

used to determine whether or not the

telecommunications carriers are in

conformance with CALEA’s

requirements. The information

maintained by telecommunications

carriers will be used by law enforcement
Federal Register / Vol. 62, No. 229 / Friday, November 28, 1997 / Proposed Rules 63303

officials to determine the accountability

and accuracy of telecommunications

carriers’ compliance with lawful

electronic surveillance orders.

Analysis of Proceeding

1. In the Notice of Proposed

Rulemaking, CC Docket No. 97–213, the

Commission asks for comment on the

identity and classes of carriers that

should be included or excluded from

the Communications Assistance of Law

Enforcement Act’s (CALEA’s) definition

of ‘‘telecommunications carrier.’’

CALEA only applies to

telecommunications carriers. Thus, if a

carrier is not classified a

telecommunications carrier, it does not

have to conform to CALEA’s

requirements. CALEA grants the

Commission the authority to include

entities in the definition of

‘‘telecommunications carriers.’’ The

Commission also asks for comment on

the criteria to determine which carriers

and classes of carriers meet the

definition of telecommunications

carrier.

2. CALEA directs the Commission to

rule upon petitions from carriers that

contend that they cannot ‘‘reasonably

achieve’’ compliance with CALEA’s

capability requirements. CALEA states

that petitioners must be reimbursed by

the Attorney General for the expense of

CALEA compliance if the Commission

determines that compliance is not

reasonably achievable, or are deemed to

be in compliance to the extent that the

Attorney General agrees to reimburse

the petitioner. In the Notice of Proposed

Rulemaking (NPRM), the Commission

asks for comment with respect to the

statutory criteria established for

determining whether compliance is

‘‘reasonably achievable.’’

3. CALEA directs the Commission to

adopt rules to ensure the system

security and integrity of lawful

electronic surveillance conducted by

telecommunications carriers. In the

NPRM, the Commission asks for

comment on the policies and

procedures that telecommunications

carriers must adopt to meet this

requirement and on proposed reporting

and record keeping rules to accomplish

this requirement. The Commission also

asks for comment on a proposal that

provides small telecommunications

carriers with a less burdensome

reporting procedure.

4. CALEA contains a deadline when

all telecommunications carriers must be

in compliance with CALEA’s capability

requirements. CALEA authorizes the

Commission to grant extensions to

telecommunications carriers that

petition the Commission. In the NPRM,

the Commission asks for comment on

the criteria for granting petitions for

extensions to the statutory deadline.

List of Subjects in 47 CFR Part 64

Common carrier, Reporting and

recordkeeping requirements,

telecommunications.

Federal Communications Commission.

William F. Caton,

Acting Secretary.

Proposed Rules

Title 47 of the Code of Federal

Regulations, part 64, is amended as

follows:

PART 64—MISCELLANEOUS RULES

RELATING TO COMMON CARRIERS

1. The authority citation for part 64 is

revised to read as follows:

Authority: 47 U.S.C. 151, 154, 201, 202,

205, 218–220, and 332 unless otherwise

noted. Interpret or apply secs. 201, 218, 225,

226, 227, 229, 332, 48 Stat. 1070, as

amended, 47 U.S.C. 201–204, 218, 225, 226,

227, 229, 332, 501 and 503 unless otherwise

noted.

2. Part 64 is proposed to be amended

be revising subpart Q to read as follows:

Subpart Q—Telecommunications

Carrier Interceptions pursuant to the

Communications Assistance for Law

Enforcement Act (CALEA)

Sec.

64.1700 Purpose.

64.1701 Scope.

64.1702 Definitions.

64.1703 Interception Requirements and

Restrictions.

64.1704 Carrier Records.

64.1705 Compliance Statements.

§ 64.1700 Purpose.

Pursuant to the Communications

Assistance for Law Enforcement Act,

Pub. L. No. 103–414, 108 Stat. 4279

(1994) (codified as amended in sections

of 18 U.S.C. and 47 U.S.C.), this subpart

contains implementation and

compliance rules to govern

telecommunications carriers subject to

CALEA. These rules are in addition to

rules promulgated by the Department of

Justice pursuant to CALEA

requirements.

§ 64.1701 Scope.

The definitions included in this

subpart shall be used solely for the

purpose of implementing CALEA’s

requirements.

§ 64.1702 Definitions.

(a) Telecommunications carrier. The

term ‘‘telecommunications carrier’’

means—

(1) A person or entity engaged in the

transmission or switching of wire or

electronic communications as a

common carrier for hire; and

(2) Includes—

(i) A person or entity engaged in

providing commercial mobile service (as

defined in Section 332(d) of the

Communications Act of 1934 (47 U.S.C.

332(d)); or

(ii) A person or entity engaged in

providing wire or electronic

communication switching or

transmission service to the extent that

the Commission finds that such service

is a replacement for a substantial

portion of the local telephone exchange

service and that it is in the public

interest to deem such a person or entity

to be a telecommunications carrier for

purposes of this title; but

(3) Does not include persons or

entities insofar as they are engaged in

providing information services.

(b) Information services. The term

‘‘information services’’

(1) Means the offering of a capability

for generating, acquiring, storing,

transforming, processing, retrieving,

utilizing, or making available

information via telecommunications;

and

(2) Includes—

(i) A service that permits a customer

to retrieve stored information from, or

file information for storage in,

information storage facilities;

(ii) Electronic publishing; and

(iii) Electronic messaging services; but

(3) Does not include any capability for

a telecommunications carrier’s internal

management, control, or operation of its

telecommunications network.

(c) Appropriate legal authorization.

The term ‘‘appropriate legal

authorization’’ means:

(1) A court order signed by a judge of

competent jurisdiction authorizing or

approving interception of wire or

electronic communications; or

(2) A certification in writing by a

person specified in 18 U.S.C. 2518(7); or

(3) A certification in writing by the

Attorney General of the United States

that no warrant or court order is

required by law, that all statutory

requirements have been met, and that

the specified assistance is required.

(d) Appropriate carrier authorization.

The term ‘‘appropriate carrier

authorization’’ means policies adopted

by telecommunications carriers to

identify carrier employees authorized to

assist law enforcement in conducting

communications authorizations.

(e) Third party. ‘‘Third party’’ means

a person other than those authorized to

receive a communication pursuant to 47

U.S.C. 605 of the Communications Act.
63304 Federal Register / Vol. 62, No. 229 / Friday, November 28, 1997 / Proposed Rules

§ 64.1703 Interception requirements and

restrictions.

An employee or officer of a

telecommunications carrier shall assist

in intercepting and disclosing to a third

party a wire, oral, or electronic

communication or shall provide access

to call-identifying information only

upon receiving a court order or other

lawful authorization.

§ 64.1704 Carrier records.

(a) The officers of any

telecommunications carrier shall ensure

that the carrier maintains records of any

assistance provided for the interception

and disclosure to third parties of any

wire, oral, or electronic communication

or of any call-identifying information.

The record will be made either

contemporaneously with each

interception, or not later than 48 hours

from the time each interception begins,

and shall include:

(1) The telephone number(s) or circuit

number(s) involved;

(2) The date and time the interception

started;

(3) The date and time the interception

stopped;

(4) The identity of the law

enforcement officer presenting the

authorization;

(5) The name of the judge or

prosecuting attorney signing the

authorization;

(6) The type of interception (e.g., pen

register, trap and trace, ‘‘Title III’’

interception pursuant to 18 U.S.C. 2510

et seq. and collateral state statutes,

Foreign Intelligence Surveillance Act

(‘‘FISA’’) 50 U.S.C. 1801 et seq.); and

(7) The names of all

telecommunications carrier personnel

involved in performing, supervising,

and internally authorizing, the

interception, and the names of those

who possessed knowledge of the

interception.

(b) A separate record shall be kept of

any instances of interception, and of the

identities of third parties to which

disclosure of call-identifying

information is made. In addition to the

information listed in paragraphs (a) (1)

through (7) of this section, these records

will provide a complete discussion of

the facts and circumstances surrounding

the interception and disclosure. Each

record shall be maintained in a secure

location accessible only by authorized

carrier personnel for a period of ten (10)

years from its creation.

(c) The officers of any

telecommunications carrier shall assure

that any employee, agent, or officer of

the carrier engaged in performing

authorized interceptions for law

enforcement personnel or having access

to such information does not disclose to

any other person any information about

such activity. Any employee or officer

who has access to such information

shall sign a statement that provides as

follows:

(1) The telephone number(s) or circuit

identification number(s) involved;

(2) The name of each employee or

officer who effected the interception

and possessed information concerning

its existence, and their respective

positions within the

telecommunications carrier;

(3) The date and time the interception

started;

(4) The date and time the interception

stopped;

(5) The type of interception (e.g., pen

register, trap and trace, ‘‘Title III’’

interception pursuant to 18 U.S.C. 2510

et seq. and collateral state statutes,

Foreign Intelligence Surveillance Act

(‘‘FISA’’) 50 U.S.C. 1801 et seq.);

(6) A copy or description of the

written authorization for the employee

and officer to participate in surveillance

activity; and

(7) A statement that the employee or

officer will not disclose information

about the interception to any person,

not properly authorized by statute or

court order.

§ 64.1705 Compliance statements.

(a) Each telecommunications carrier

having annual revenues from

telecommunications operations in

excess of the threshold defined in 47

CFR 32.9000 shall file with the

Commission a statement of the policies,

processes and procedures it uses to

comply with the requirements of this

subpart. These statements shall be filed

with the Secretary, Federal

Communications Commission, on or

before [Date to be inserted in Final

Rule], and shall be captioned,

‘‘Interception Procedures’’ filed

pursuant to § 64.1704. Carriers seeking

confidential treatment for any part of

the statement shall clearly state the

authority justifying such treatment

pursuant to 47 CFR 0.459 and shall fully

document all facts upon which that

carrier proposes to rely in its request for

confidential treatment.

(b) Any telecommunications carrier

having annual revenues from

telecommunications operations that do

not exceed the threshold defined in 47

CFR 32.9000 may elect:

(1) To file the statement required in

paragraph (a) of this section; or

(2) To certify that it observes

procedures specified in the submission

made pursuant to paragraph (a) of this

section.

[FR Doc. 97–30902 Filed 11–26–97; 8:45 am]

BILLING CODE 6712–01–P

DEPARTMENT OF TRANSPORTATION

Office of the Secretary

49 CFR Part 10

[Docket No. OST–97–1472; Notice 97–12]

RIN: 2105–AC68

Privacy Act Implementation: Coast

Guard’s Marine Safety Information

System

AGENCY: Office of the Secretary, DOT.

ACTION: Notice of proposed rulemaking.

SUMMARY: DOT proposes to amend its

rules implementing the Privacy Act of

1974 to exempt from certain provisions

of the Act the Coast Guard’s Marine

Safety Information System. Public

comment is invited.

DATES: Comments are due December 29,

1997.

ADDRESSES: Comments should be

addressed to Documentary Services

Division, Attention: Docket Section,

Room PL401, Docket OST–97–1472,

Department of Transportation, C–55,

Washington, DC 20590. Any person

wishing acknowledgment that his/her

comments have been received should

include a self-addressed stamped

postcard. Comments received will be

available for public inspection and

copying in the Documentary Services

Division, Room PL401, Department of

Transportation Building, 400 Seventh

Street, SW., Washington, DC, from 9:00

AM to 5:00 PM ET Monday through

Friday except Federal holidays.

FOR FURTHER INFORMATION CONTACT:

Robert I. Ross, Office of the General

Counsel, C–10, Department of

Transportation, Washington, DC 20590,

telephone (202) 366–9156. Fax (202)

366–9170.

SUPPLEMENTARY INFORMATION:

Background

The Coast Guard’s Marine Safety

Information System (MSIS) collects

selected information on commercial

and/or documented vessels operating in

US waters, and collects and manages the

data needed to monitor the safety

performance of maritime vessels and

facilities, with which the Coast Guard

comes into contact while performing its

marine safety functions. It also monitors

the identities of individuals and

corporations that own or operate these