Federal Register / Vol. 86, No. 154 / Friday, August 13, 2021 / Rules and Regulations 44635 

appeal within thirty days of receiving 

the defendant’s appeal and supporting 

brief. 

(g) If a defendant timely files a notice 

of appeal, and the time for filing 

reconsideration motions has expired, 

the ALJ will forward the record of the 

proceeding to the authority head. 

(h) An initial decision is 

automatically stayed pending 

disposition of a motion for 

reconsideration or of an appeal to the 

authority head. 

(i) No administrative stay is available 

following the authority head’s final 

decision. 

§ 1174.38 Appeal to the authority head. 

(a) A defendant has no right to appear 

personally, or through a representative, 

before the authority head. 

(b) There is no right to appeal any 

interlocutory ruling. 

(c) The authority head will not 

consider any objection or evidence that 

was not raised before the ALJ unless the 

defendant demonstrates that 

extraordinary circumstances excuse the 

failure to object. If the defendant 

demonstrates to the authority head’s 

satisfaction that extraordinary 

circumstances prevented the 

presentation of evidence at the hearing, 

and that the additional evidence is 

material, the authority head may 

remand the matter to the ALJ for 

consideration of the additional 

evidence. 

(d) The authority head may affirm, 

reduce, reverse, compromise, remand, 

or settle any penalty or assessment that 

the ALJ imposed in the initial decision 

or reconsideration decision. 

(e) The authority head will promptly 

serve each party to the appeal and the 

ALJ with a copy of the decision. This 

decision must contain a statement 

describing the right of any person, 

against whom a penalty or assessment 

has been made, to seek judicial review. 

§ 1174.39 Judicial review. 

31 U.S.C. 3805 authorizes the 

appropriate United States District Court 

to review any final decision imposing 

penalties or assessments, and specifies 

the procedures for such review. To 

obtain judicial review, a defendant must 

file a petition with the appropriate court 

in a timely manner. 

§ 1174.40 Collection of civil penalties and 

assessments. 

31 U.S.C. 3806 and 3808(b) authorize 

actions for collecting civil penalties and 

assessments imposed under this part 

and specify the procedures for such 

actions. 

§ 1174.41 Rights to administrative offset. 

The authority may make an 

administrative offset under 31 U.S.C. 

3716 to collect the amount of any 

penalty or assessment which has 

become final, for which a judgment has 

been entered, or which the parties agree 

upon in a compromise or settlement. 

However, the authority may not make 

an administrative offset under this 

subsection against a Federal tax refund 

that the United States owes to the 

defendant then or at a later time. 

§ 1174.42 Deposit in Treasury of the 

United States. 

The authority shall deposit all 

amounts collected pursuant to this part 

as miscellaneous receipts in the 

Treasury of the United States, except as 

provided in 31 U.S.C. 3806(g). 

§ 1174.43 Voluntary settlement of the 

administrative complaint. 

(a) Parties may make offers of 

compromise or settlement at any time. 

Any compromise or settlement must be 

in writing. 

(b) The reviewing official has the 

exclusive authority to compromise or 

settle the case from the date on which 

the reviewing official is permitted to 

issue a complaint until the ALJ issues 

an initial decision. 

(c) The authority head has exclusive 

authority to compromise or settle the 

case from the date of the ALJ’s initial 

decision until initiation of any judicial 

review or any action to collect the 

penalties and assessments. 

(d) The Attorney General has 

exclusive authority to compromise or 

settle the case while any judicial review 

or any action to recover penalties and 

assessments is pending. 

(e) The investigating official may 

recommend settlement terms to the 

reviewing official, the authority head, or 

the Attorney General, as appropriate. 

§ 1174.44 Limitations regarding criminal 

misconduct. 

(a) Any investigating official may: 

(1) Refer allegations of criminal 

misconduct or a violation of the False 

Claims Act directly to the Department of 

Justice for prosecution and/or civil 

action, as appropriate; 

(2) Defer or postpone a report or 

referral to the reviewing official to avoid 

interference with a criminal 

investigation or prosecution; or 

(3) Issue subpoenas under any other 

statutory authority. 

(b) Nothing in this part limits the 

requirement that the authority’s 

employees must report suspected 

violations of criminal law to the NEH 

Office of the Inspector General or to the 

Attorney General. 

Dated: August 2, 2021. 

Elizabeth Voyatzis, 

Deputy General Counsel, National 

Endowment for the Humanities. 

[FR Doc. 2021–16763 Filed 8–12–21; 8:45 am] 

BILLING CODE 7536–01–P 

FEDERAL COMMUNICATIONS 

COMMISSION 

47 CFR Part 20 

[GN Docket No. 13–111; FCC 21–82; FR ID 

39494] 

Promoting Technological Solutions To 

Combat Contraband Wireless Device 

Use in Correctional Facilities 

AGENCY: Federal Communications 

Commission. 

ACTION: Final rule. 

SUMMARY: In this document, the Federal 

Communications Commission 

(Commission or FCC) takes further steps 

to facilitate the deployment and 

viability of technological solutions used 

to combat contraband wireless devices 

in correctional facilities. The Second 

Report and Order adopts a framework 

requiring the disabling of contraband 

wireless devices detected in correctional 

facilities upon satisfaction of certain 

criteria, and we address issues involving 

oversight, wireless provider liability, 

and treatment of 911 calls. The Second 

Report and Order further adopts rules 

requiring advance notice of certain 

wireless provider network changes to 

promote and maintain contraband 

interdiction system effectiveness. 

DATES: This final rule is effective 

September 13, 2021, with the exception 

of the revisions to § 20.23, which are 

delayed. The Commission will publish 

a document in the Federal Register 

announcing the effective date for those 

revisions. 

FOR FURTHER INFORMATION CONTACT: 

Melissa Conway of the Wireless 

Telecommunications Bureau, Mobility 

Division, at (202) 418–2887 or 

Melissa.Conway@fcc.gov. For 

information regarding the Paperwork 

Reduction Act of 1995 (PRA) 

information collection requirements 

contained in this document, contact 

Cathy Williams, Office of Managing 

Director, at (202) 418–2918 or 

Cathy.Williams@fcc.gov. 

SUPPLEMENTARY INFORMATION: This is a 

summary of the Commission’s Second 

Report and Order in GN Docket No. 13– 

111, FCC 21–82 adopted July 12, 2021 

and released July 13, 2020. The full text 

of the Second Report and Order, 

including all Appendices, is available 


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44636 Federal Register / Vol. 86, No. 154 / Friday, August 13, 2021 / Rules and Regulations 

for inspection and copying during 

normal business hours in the FCC 

Reference Center, 45 L Street NE, 

Washington, DC 20554, or available for 

viewing via the Commission’s ECFS 

website by entering the docket number, 

GN Docket No. 13–111. Alternative 

formats are available for people with 

disabilities (Braille, large print, 

electronic files, audio format), by 

sending an email to FCC504@fcc.gov or 

calling the Consumer and Governmental 

Affairs Bureau at (202) 418–0530 

(voice), (202) 418–0432 (TTY). 

The Commission will send a copy of 

this Second Report and Order in a 

report to be sent to Congress and the 

Government Accountability Office 

pursuant to the Congressional Review 

Act, see 5 U.S.C. 801(a)(1)(A). 

Final Regulatory Flexibility Analysis 

The Regulatory Flexibility Act (RFA) 

requires that an agency prepare a 

regulatory flexibility analysis for notice 

and comment rulemakings, unless the 

agency certifies that ‘‘the rule will not, 

if promulgated, have a significant 

economic impact on a substantial 

number of small entities.’’ Accordingly, 

the Commission has prepared a Final 

Regulatory Flexibility Analysis (FRFA) 

concerning the possible impact of the 

rule changes contained in this Second 

Report and Order on small entities. As 

required by the Regulatory Flexibility 

Act of 1980, as amended (RFA), an 

Initial Regulatory Flexibility Analysis 

(IRFA) was incorporated in the Further 

Notice of Proposed Rulemaking 

(FNPRM) released in March 2017 in this 

proceeding (82 FR 22780, May 18, 

2017). The Commission sought written 

public comment on the proposals in the 

FNPRM, including comments on the 

IRFA. No comments were filed 

addressing the IRFA. This present Final 

Regulatory Flexibility Analysis (FRFA) 

conforms to the RFA. 

Paperwork Reduction Act 

The requirements in § 20.23(b) 

through (d) include new or modified 

collections subject to the Paperwork 

Reduction Act of 1995 (PRA), Public 

Law 104–13. They will be submitted to 

the Office of Management and Budget 

(OMB) for review under Section 3507(d) 

of the PRA. OMB, the general public, 

and other Federal agencies will be 

invited to comment on the new or 

modified information collection 

requirements contained in this 

proceeding. In addition, the 

Commission notes that, pursuant to the 

Small Business Paperwork Relief Act of 

2002, Public Law 107–198, see 44 U.S.C. 

3506(c)(4), the Commission previously 

sought, but did not receive, specific 

comment on how the Commission might 

further reduce the information 

collection burden for small business 

concerns with fewer than 25 employees. 

The Commission describes impacts that 

might affect small businesses, which 

includes more businesses with fewer 

than 25 employees, in the Final 

Regulatory Flexibility Analysis. 

Congressional Review Act 

The Commission will send a copy of 

this Second Report and Order to 

Congress and the Government 

Accountability Office pursuant to the 

Congressional Review Act. See 5 U.S.C. 

801(a)(1)(A). In addition, the 

Commission will send a copy of the 

Second Report and Order, including 

this FRFA, to the Chief Counsel for 

Advocacy of the Small Business 

Administration (SBA). A copy of the 

Second Report and Order, and FRFA (or 

summaries thereof) will also be 

published in the Federal Register. 

Synopsis 

1. The Second Report and Order 

adopts new or additional reporting or 

recordkeeping and compliance 

obligations for small entities as well as 

other applicants and licensees. Small 

entities may have to hire attorneys, 

engineers, consultants, or other 

professionals in order to meet the 

reporting, recordkeeping or compliance 

obligations in the Second Report and 

Order, however, the Commission cannot 

quantify the cost of compliance with the 

requirements. To minimize burdens, we 

have adopted processes and procedures 

where possible to allow direct 

interaction between the Designated 

Correctional Facility Officials (DCFOs) 

and the wireless providers and avoided 

interjecting the Commission and 

additional regulations into the process. 

In our approach, we sought to provide 

small and other entities flexible options 

such as giving DCFOs and wireless 

providers the flexibility to structure the 

format of the qualifying requests in a 

way that meets the unique needs of the 

parties rather than adopting a 

standardized form. We also adopted 

minimum requirements for information 

to be included in a qualifying request to 

disable a contraband device and 

allowed for self-certification to meet the 

certification requirements. Below we 

discuss reporting, recordkeeping, and/or 

compliance requirements adopted in the 

Second Report and Order. 

2. Designated Correctional Facility 

Official Requirements. The Second 

Report and Order requires that a DCFO 

satisfy certain requirements in order to 

submit qualifying requests to wireless 

providers. Specifically, qualifying 

disabling requests must be submitted by 

a DCFO, which we define as an official 

of the state, local, or Federal 

government with responsibility for 

oversight of the relevant facility. In 

government-run correctional facilities, 

this definition requires the DCFO to be, 

at a minimum, the official with 

responsibility for oversight of the 

relevant facility (e.g., the warden) or 

higher ranking official; in privately-run 

correctional facilities, the DCFO must be 

a government official with 

responsibility for oversight of the 

facility’s performance through a 

contract. 

3. The Second Report and Order also 

adopts a process for certification of 

DCFOs that will provide certainty to 

wireless providers that disabling 

requests are duly authorized by the 

relevant Federal, state, or local 

government entities. The Commission 

will maintain a publicly available list of 

DCFOs that are authorized to transmit 

qualifying disabling requests. 

Authorized individuals that wish to be 

recognized on the Commission’s DCFO 

list must send a letter to the 

Commission’s Contraband 

Ombudsperson, signed by the relevant 

state attorney general, providing the 

individual’s name, official government 

position, and a list of correctional 

facilities over which the individual has 

oversight and management authority. 

4. Authorization of CISs. The Second 

Report and Order establishes a twophase authorization process for 

Contraband Interdiction System (CIS) 

applicants seeking to deploy CISs that 

will provide the requisite information 

necessary for DCFOs to submit 

qualifying requests to disable 

contraband devices at qualifying 

correctional facilities. In phase one, CIS 

applicants will submit applications to 

the Wireless Telecommunications 

Bureau (the Bureau) describing their 

legal and technical qualifications of the 

systems. The Bureau will review the 

applications and approve—at a system 

level—those CISs that meet the 

requirements. In phase two, CIS 

applicants will perform on-site testing 

of approved CISs at individual 

qualifying correctional facilities. After 

both phases are complete, DCFOs will 

be authorized to submit qualifying 

requests to disable contraband devices 

using approved CISs at each approved 

correctional facility. 

5. CIS Certification Process. The 

Second Report and Order adopts a CIS 

certification process for detection 

systems to be used in qualifying 

requests. To obtain CIS certification, a 

CIS applicant must submit an 

application to the Bureau for review and 


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Federal Register / Vol. 86, No. 154 / Friday, August 13, 2021 / Rules and Regulations 44637 

1 See Appendix A, Final Rules, of the Second 

Report and Order (adding definition to § 20.3 of the 

Commission’s rules, 47 CFR 20.3). 

approval. The application must 

demonstrate, at a minimum that: (1) All 

radio transmitters used as part of the 

CIS have appropriate equipment 

authorization pursuant to Commission 

rules; (2) the CIS is designed and will 

be configured to locate devices solely 

within a correctional facility; (3) the 

methodology to be used in analyzing 

data collected by the CIS is sufficiently 

robust to ensure that the particular 

wireless device is in fact located within 

a correctional facility, including specific 

data analysis benchmarks designed to 

ensure successful detection, such as rate 

of detection of contraband versus noncontraband devices, relevant sample 

size (e.g. number of devices observed 

and length of observation period); (4) 

the CIS will secure and protect all 

information or data collected as part of 

its intended use; and (5) the CIS will not 

interfere with emergency 911 calls. The 

application must also include a 

description of whether the CIS requires 

a spectrum or network access agreement 

(e.g., a spectrum leasing arrangement 

and/or roaming agreement) to be 

authorized to operate. Finally, the 

application must include a proposed 

test plan for subsequent site-based 

testing of each CIS, which must include 

detailed descriptions and technical 

specifications to facilitate Commission 

review of whether the system satisfies 

its legal requirements and technically 

functions as anticipated. 

6. Site-Based Testing and SelfCertification Requirement. In the second 

phase of the CIS authorization process, 

a CIS operator—which could be a CIS 

solutions provider, or a DCFO or other 

responsible party that deploys its own 

CIS at a correctional facility 1—seeking 

to use the CIS to submit qualifying 

requests for disabling contraband 

devices must test a certified CIS at each 

location and, thereafter, must file a selfcertification to the Bureau confirming 

that the testing at that specific 

correctional facility is complete and 

successful. The CIS operator must also 

serve notice of the testing on each of the 

wireless providers holding a spectrum 

license that includes the county within 

which the correctional facility is located 

and provide a reasonable opportunity to 

participate in the tests. Following the 

testing, and to be eligible for use in 

conjunction with qualifying requests for 

disabling, the CIS operator must submit 

a self-certification that: (1) Identifies the 

correctional facility where it seeks to 

deploy; (2) attests that applicable federal 

or state criminal statutes prohibit 

possession or operation of contraband 

devices within the correctional facility 

(and includes the applicable federal or 

state criminal statutory provision); (3) 

describes the results of on-site tests of 

the certified CIS conducted at the 

correctional facility; (4) attests that the 

on-site testing was performed consistent 

with the approved test plans for the 

certified CIS and that the CIS 

deployment minimizes the risk of 

disabling a non-contraband device; (5) 

identifies whether any wireless 

providers participated in the testing, 

and provides proof that the wireless 

providers were given notice regarding 

the testing and a reasonable opportunity 

to participate; and (6) includes proof of 

any spectrum and/or network access 

agreement (e.g., a spectrum leasing 

arrangement and/or roaming agreement) 

required to be authorized to operate 

and/or for the system to function 

effectively. The self-certification 

submitted by a CIS operator must be 

accompanied by an attestation from the 

DCFO verifying that all information 

contained in the self-certification is true 

and accurate. 

7. CIS operators must submit selfcertifications in accordance with filing 

procedures established by the Bureau 

and those certifications must also be 

served via electronic means on all 

wireless providers licensed in the 

geographic area occupied by the 

correctional facility. Wireless providers 

have five business days from the 

certification filing date to submit 

objections to the Bureau and to serve 

any such objections on the DCFO and 

the CIS operator. Absent objections, the 

DCFO may submit qualifying requests to 

wireless providers beginning on the 

sixth business day after the certification 

filing. If an objection is submitted, the 

DCFO may not submit qualifying 

requests until the Bureau addresses the 

objection. 

8. Records Maintenance. To ensure 

the integrity and proper operation of 

CIS, we require CIS operators to retain 

records of all information supporting 

each request for disabling and the basis 

for disabling each device, for at least 

five years following the relevant 

disabling request. CIS operators of 

systems that have been tested and 

approved for use in qualifying requests 

must also make available all records 

upon request from the Bureau. 

9. Recertification. In order to ensure 

the ongoing accuracy and reliability of 

a given CIS at a particular facility, at 

least every three years after the initial 

self-certification, CIS operators seeking 

to maintain the ability to submit 

qualifying requests through a DCFO to 

disable contraband devices must retest 

their systems and recertify them for 

continued CIS accuracy. Recertifications 

must comply with the same rules and 

filing instructions that apply to the 

initial self-certification. 

10. Qualifying Requests. We required 

that qualifying requests to disable a 

contraband device include the following 

material: (1) A certification that (a) A 

certified CIS was used to gather the 

contraband subscriber and device 

information populated in the qualifying 

request; (b) the certified CIS was used to 

identify contraband devices operating in 

a correctional facility where the CIS has 

been tested and self-certified for 

operational readiness and for use in 

qualifying requests, and the 

identification of contraband devices 

occurred within 30 days immediately 

prior to the date of the qualifying 

request submission; (c) the DCFO has 

reviewed the list of contraband devices 

and attests that it is accurate; and (d) it 

is a violation of applicable state or 

federal criminal statutes to possess or 

operate a contraband device in the 

correctional facility; (2) the name and 

address of each requesting correctional 

facility; and (3) a list of contraband 

devices with identifiers sufficient to 

uniquely describe the devices in 

question at both the subscription and 

device level. 

11. Disabling Process and Timeframe 

for Disabling a Contraband Device. The 

Second Report and Order adopts the 

following process for disabling 

contraband devices. Upon receipt of a 

qualifying request from a DCFO through 

a verifiable and secure transmission 

method, a wireless provider must treat 

the request as valid. The wireless 

provider may only reject a request if the 

request fails to meet the Commissionmandated information for a qualifying 

request or if there are errors with respect 

to the device identifying information 

that leave the wireless provider unable 

to disable the device. Unless a wireless 

provider finds these grounds to reject 

the qualifying request, it must, within 

two business days after receipt of a 

qualifying request: (1) Disable the 

device at both the subscriber level and 

at the device level; and (2) take 

reasonable and practical steps to 

prevent an identified device from being 

accessing another wireless provider’s 

network (e.g., by adding the equipment 

identifier to the Stolen Phone Database). 

A wireless provider must inform the 

DCFO whether or not the request has 

been granted within two business days 

of receiving the qualifying request. 

12. Reversals. A wireless provider 

may subsequently reverse a device 

disabling if it determines that the device 

was identified erroneously as 


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44638 Federal Register / Vol. 86, No. 154 / Friday, August 13, 2021 / Rules and Regulations 

contraband. If the wireless provider 

chooses to reverse a disabling, however, 

it must promptly inform the DCFO of 

the mistakenly identified device. The 

Second Report and Order also provides 

wireless providers with the option to 

trigger the involvement of the DCFO in 

the reviewing the validity of a device 

previously identified and disabled as 

contraband. If the wireless provider 

seeks to trigger the DCFO’s involvement, 

it must provide the DCFO with: (1) The 

date of the qualifying request, (2) the 

identifying information provided for the 

device, and (3) any evidence supporting 

the wireless provider’s belief that the 

device was erroneously identified. The 

Second Report and Order states that, 

upon receipt of such a request, the 

DCFO should review the qualifying 

request to determine whether the device 

in question was erroneously identified 

and either: (1) Confirm the validity of 

the identifying information contained in 

the qualifying request, or (2) 

acknowledge the error and direct the 

carrier to restore service to the device. 

In the event the DCFO directs the 

wireless provider to reverse the 

disabling, the wireless provider must, 

within two business days, restore 

service to the device and reverse any 

actions taken to prevent the device from 

accessing other wireless provider 

networks (e.g., by removing the phone 

from the Stolen Phone Database). In the 

event the DCFO does not respond to a 

request from a wireless provider for 

review of a qualifying request within 

two business days, the wireless provider 

may proceed with reversing the 

disabling action. The Second Report 

and Order requires the DCFO to provide 

notice to the Contraband Ombudsperson 

of the number of erroneously disabled 

devices on a quarterly basis at the end 

of any quarter during which a device 

disabling was reversed, and directs the 

Wireless Telecommunications Bureau to 

issue a public notice providing 

additional guidance regarding the 

appropriate method for providing such 

notice. 

13. Transmission of the Qualifying 

Request. DCFOs must transmit a 

qualifying request to a wireless provider 

using a verifiable and secure 

transmission method, and a wireless 

provider must adopt a method, or utilize 

an existing method, for receiving 

secured and verified qualifying requests. 

The Second Report and Order directs 

the Contraband Ombudsperson to work 

with wireless providers to develop 

suitable methods for securely 

transmitting a qualifying request. 

14. Notification to CIS Operators of 

Wireless Provider Technical Changes. 

Commercial Mobile Radio Service 

(CMRS) licensees leasing spectrum to 

managed access systems (MAS) must 

provide 90 days advance notice to MAS 

operators of the following network 

changes occurring within 15 miles of 

the correctional facility, while 

permitting modified notice 

arrangements through mutual 

agreement: (1) Adding a new frequency 

band to service offerings; (2) deploying 

a new air interface technology or 

changing an existing air interface 

technology; and/or (3) adding, 

relocating, or removing a site. This 

limited notification requirement is 

necessary to deploy MAS effectively. 

The Second Report and Order adopts an 

exception to the 90-day advance notice 

requirement for network technical 

changes within 15 miles of the facility 

that are required due to emergency/ 

disaster preparedness, but it requires 

CMRS licensees to provide notice of 

these technical changes immediately 

after the exigency. The Second Report 

and Order also requires CMRS licensee 

lessors and MAS operator lessees to 

negotiate in good faith to reach an 

agreement for notification for other, 

more localized types of network 

adjustments not covered bv the major 

network change notice requirement. The 

Second Report and Order further 

requires CMRS licensees and MAS 

operators to negotiate in good faith 

regarding the parties’ treatment of 

confidential information contained in 

notifications required by rule and/or 

negotiated between the parties. 

List of Subjects in 47 CFR Part 20 

Administrative practice and 

procedure, Common carriers, 

Communications, Communications 

common carriers, Communications 

equipment, Environmental impact 

statements, Radio, Reporting and 

recordkeeping requirements, Satellites, 

Security measures, 

Telecommunications, Telephone. 

Federal Communications Commission. 

Cecilia Sigmund, 

Federal Register Liaison Officer, Office of the 

Secretary. 

Final Rules 

For the reasons discussed in the 

preamble, the Federal Communications 

Commission amends 47 CFR part 20 as 

follows: 

PART 20—COMMERCIAL MOBILE 

SERVICES 

■ 1. The authority citation for part 20 

continues to read as follows: 

Authority: 47 U.S.C. 151, 152(a), 154(i), 

155, 157, 160, 201, 214, 222, 251(e), 301, 302, 

303, 303(b), 303(r), 307, 307(a), 309, 309(j)(3), 

316, 316(a), 332, 610, 615, 615a, 615b, and 

615c, unless otherwise noted. 

■ 2. Amend § 20.3 by adding the 

definitions of ‘‘CIS Operator,’’ 

‘‘Contraband Interdiction System,’’ 

‘‘Designated Correctional Facility 

Official,’’ ‘‘Managed Access System’’ in 

alphabetical order to read as follows: 

§ 20.3 Definitions. 

* * * * * 

CIS Operator. An operator of a CIS at 

a correctional facility, whether a CIS 

solutions provider, or a DCFO or 

responsible party that deploys its own 

CIS at a correctional facility. 

* * * * * 

Contraband Interdiction System. A 

Contraband Interdiction System (CIS) is 

any system comprised of one or more 

stations that is used only at a permanent 

correctional facility that is authorized to 

operate such systems pursuant to this 

part and that is designed exclusively to 

prevent transmissions to or from 

contraband wireless devices within the 

boundaries of the facility and/or to 

obtain identifying information from 

such contraband wireless devices. 

Designated Correctional Facility 

Official. A Designated Correctional 

Facility Official (DCFO) is an official of 

the state, local, or Federal government 

responsible for administration and 

oversight of the relevant correctional 

facility where a contraband wireless 

device is located. 

(1) In government-run correctional 

facilities, this definition requires the 

DCFO to be, at a minimum, the official 

with responsibility for oversight of the 

relevant facility (e.g., the warden) or 

higher ranking official. 

(2) In privately-run correctional 

facilities, this definition requires the 

DCFO to be a government official with 

responsibility for oversight of the 

facility’s performance through contract. 

* * * * * 

Managed Access System. A Managed 

Access System (MAS) is a Contraband 

Interdiction System whose operations 

require: 

(1) One or more lease agreements with 

CMRS operators; and 

(2) Real-time awareness of wireless 

provider spectrum use in the vicinity of 

the correctional facility where it is 

deployed. 

* * * * * 

■ 3. Delayed indefinitely, amend § 20.23 

by adding paragraphs (b) through (d) to 

read as follows: 

§ 20.23 Contraband wireless devices in 

correctional facilities. 

* * * * * 

(b) Contraband Interdiction System 

(CIS) authorization process. The 


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Federal Register / Vol. 86, No. 154 / Friday, August 13, 2021 / Rules and Regulations 44639 

provisions in this section apply to any 

person seeking certification of a CIS 

authorized for use in the submission of 

qualifying disabling requests, whether 

operating a system that requires a 

license and is regulated as CMRS or 

private mobile radio service (PMRS), or 

operating a passive system that does not 

require a license. The Wireless 

Telecommunications Bureau (Bureau) 

will establish, via public notice, the 

form and procedure for: CIS operators to 

file CIS certification applications, selfcertifications, and periodic recertification; CIS operators to serve on 

wireless providers notice of testing and 

copies of self-certification; and wireless 

providers to file objections to selfcertifications, including required service 

on CIS operators and DCFOs. 

(1) Application requirements. To 

obtain CIS certification, an applicant 

must submit an application to the 

Bureau for review and approval that: 

(i) Demonstrates that all radio 

transmitters used as part of the CIS have 

appropriate equipment authorizations 

pursuant to Commission rules in part 2 

of this chapter; 

(ii) Demonstrates that the CIS is 

designed and will be configured to 

locate devices solely within a 

correctional facility; 

(iii) Describes the methodology to be 

used in analyzing data collected by the 

CIS and demonstrates that such 

methodology is adequately robust to 

ensure that the particular wireless 

device is in fact located within a 

correctional facility and includes 

specific data analysis benchmarks 

designed to ensure successful detection, 

such as rate of detection of contraband 

versus non-contraband devices and 

relevant sample size (e.g. number of 

devices observed and length of 

observation period); 

(iv) Demonstrates that the CIS will 

secure and protect all information or 

data collected as part of its intended 

use; 

(v) Demonstrates that the CIS will not 

interfere with emergency 911 calls; 

(vi) Describes whether the CIS 

requires a spectrum or network access 

agreement (e.g., a spectrum leasing 

arrangement or roaming agreement) to 

be authorized to operate; and 

(vii) Includes a proposed test plan for 

subsequent site-based testing of each 

CIS, that must include detailed 

descriptions and technical 

specifications to facilitate Commission 

review of whether the system satisfies 

its legal requirements and technically 

functions as anticipated. 

(2) Marketing and sales. CIS that are 

certified for use in qualifying requests 

for disabling of contraband devices may 

be marketed or sold only to correctional 

facilities or entities that will provide 

contraband interdiction services to such 

facilities. 

(3) Site-based testing and selfcertification requirements—(i) Sitebased testing. A CIS operator seeking to 

use the CIS to submit qualifying 

requests for disabling must test a 

certified CIS at each location where it 

intends to operate. Thereafter, the CIS 

operator must file with the Bureau a 

self-certification that complies with 

paragraph (b)(3)(ii) of this section, 

confirming that the testing at that 

specific correctional facility is complete 

and successful. The CIS operator must 

serve notice of the testing on all relevant 

wireless providers prior to testing and 

provide such wireless providers a 

reasonable opportunity to participate in 

the tests. Relevant wireless providers 

include any wireless provider holding a 

spectrum license that: 

(A) Authorizes operation on the 

frequencies on which the CIS seeks to 

detect contraband use; and 

(B) Authorizes service in the 

geographic area (e.g., census tract, 

county, Partial Economic Area (PEA), 

Economic Area (EA), Cellular Market 

Area (CMA), Regional Economic Area 

Grouping (REAG)) within which the 

correctional facility is located. 

(ii) Self-certification. Following the 

testing, and to be eligible for use in 

conjunction with qualifying requests for 

disabling, a CIS operator must file a selfcertification with the Bureau that: 

(A) Identifies the correctional facility 

where it seeks to deploy; 

(B) Attests that applicable Federal or 

state criminal statutes prohibit the 

possession or operation of contraband 

devices within the correctional facility 

(and includes the applicable Federal or 

state criminal statutory provision); 

(C) Describes the results of on-site 

tests of the certified CIS conducted at 

the correctional facility; 

(D) Attests that the on-site testing was 

performed consistent with the approved 

test plans for the certified CIS and that 

the CIS deployment minimizes the risk 

of disabling a non-contraband device; 

(E) Identifies whether any relevant 

wireless providers participated in the 

testing, and provides proof that the 

relevant wireless providers were given 

notice regarding the testing and a 

reasonable opportunity to participate; 

(F) Includes proof of any spectrum 

and/or network access agreement (e.g., a 

spectrum leasing arrangement and/or 

roaming agreement) required to be 

authorized to operate and/or for the 

system to function effectively; 

(G) Includes proof that the selfcertification was served via electronic 

means on all relevant wireless 

providers; and 

(H) Includes an attestation from the 

DCFO verifying that all information 

contained in the self-certification is true 

and accurate. 

(I) The self-certification must be filed 

in accordance with part 1, subpart F, of 

this chapter. 

(4) Submitting objections. Wireless 

providers may submit objections to the 

Bureau within five business days from 

the certification filing date. Any such 

objections must be served on the DCFO 

and the CIS operator. 

(5) Recertification. At least every three 

years after the initial self-certification, 

CIS operators seeking to maintain the 

ability to submit qualifying requests 

through a DCFO for contraband device 

disabling must retest their systems and 

recertify them for continued CIS 

accuracy. Recertifications must comply 

with the same rules and filing 

instructions that apply to the initial selfcertification. 

(6) Suspension of CIS eligibility. The 

Bureau may suspend CIS certification 

generally or at a particular facility if 

subsequent credible information calls 

into question a system’s reliability. 

(7) Records maintenance. To ensure 

the integrity and proper operation of 

CISs, a CIS operator must retain records 

of all information supporting each 

request for disabling and the basis for 

disabling each device, including copies 

of all documents submitted in the 

qualifying request, for at least five years 

following the date of submission of the 

relevant disabling request. CIS operators 

of systems that have been tested and 

approved for use in qualifying requests 

must make available all records upon 

request from the Bureau. 

(c) Disabling contraband wireless 

devices. A DCFO may request that a 

CMRS licensee disable a contraband 

wireless device that has been detected 

in a correctional facility by a CIS that 

has been certified in accordance with 

paragraph (b) of this section. Absent 

objections from a wireless provider, as 

described under paragraph (b)(4) of this 

section, the DCFO may submit a 

qualifying request to a wireless provider 

beginning on the sixth business day 

after the later of the self-certification 

filing or actual service, as described 

under paragraph (b)(3)(ii) of this section. 

(1) DCFO list. The Commission will 

maintain a publicly available list of 

DCFOs that are authorized to transmit 

qualifying disabling requests. 

Authorized DCFOs that seek to be 

recognized on the Commission’s DCFO 

list must send a letter to the 

Commission’s Contraband 

Ombudsperson, signed by the relevant 


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44640 Federal Register / Vol. 86, No. 154 / Friday, August 13, 2021 / Rules and Regulations 

state attorney general or the relevant 

Bureau of Prisons Regional Director and 

providing: 

(i) The individual’s name; 

(ii) The individual’s official 

government position; and 

(iii) A list of correctional facilities 

over which the individual has oversight 

and management authority. 

(2) Qualifying request. A qualifying 

request must be made in writing, 

contain the certifications in paragraph 

(c)(2)(i) of this section and the device 

and correctional facility identifying 

information in paragraph (c)(2)(ii) of 

this section, and be signed by the 

appropriate DCFO. The DCFO must 

transmit a qualifying request to a CMRS 

licensee using a secure communication 

means that will provide certainty 

regarding the identity of both the 

sending and receiving parties. A CMRS 

licensee must adopt a method, or use an 

existing method, for receiving secured 

and verified qualifying requests. 

(i) Certifications. A qualifying request 

must include the following 

certifications by the DCFO: 

(A) A CIS that has been certified in 

accordance with paragraph (b) of this 

section was used to gather the 

contraband subscriber and device 

information populated in the qualifying 

request; 

(B) The certified CIS was used to 

identify contraband wireless devices 

operating in a correctional facility 

where the CIS has been tested and selfcertified for operational readiness and 

for use in qualifying requests, and the 

identification of contraband wireless 

devices occurred within 30 days 

immediately prior to the date of the 

qualifying request submission; 

(C) The DCFO has reviewed the list of 

contraband wireless devices and attests 

that it is accurate; and 

(D) It is a violation of applicable state 

or Federal criminal statutes to possess 

or operate a contraband device in the 

correctional facility. 

(ii) Device and correctional facility 

identifying information. The qualifying 

request must identify the contraband 

wireless device to be disabled and the 

correctional facility by providing the 

following information: 

(A) Identifiers sufficient to: 

(1) Identify the applicable wireless 

service provider; 

(2) Uniquely describe each of the 

contraband wireless devices in question 

at the subscription level; and 

(3) Uniquely describe each of the 

contraband wireless devices in question 

at the device-level; 

(B) Name of the correctional facility at 

which the contraband wireless device(s) 

were identified; and 

(C) Street address of the correctional 

facility at which the contraband 

wireless device(s) were identified. 

(3) Licensee actions upon receipt of a 

qualifying request. Upon receiving a 

request from a DCFO to disable a 

contraband wireless device, a licensee 

providing CMRS service must verify 

that the request contains the required 

information for a qualifying request, as 

defined in paragraph (c)(2) of this 

section. 

(i) Disabling upon receipt of a 

qualifying request and timing. If the 

qualifying request contains the required 

information, and does not contain an 

error in the device identifying 

information preventing the licensee 

from being able to disable the device, a 

licensee must, within two business days 

of receipt of the qualifying request, 

disable the contraband wireless device 

from using the wireless provider’s 

network at both the device and 

subscriber level and take reasonable and 

practical steps to prevent the 

contraband wireless device from being 

used on another wireless provider’s 

network. 

(ii) Rejection of a qualifying request 

and timing. A licensee may reject a 

qualifying request within two business 

days of receipt of a qualifying request if 

it does not include the information 

required for a qualifying request or, with 

respect to a relevant device, the request 

contains an error in the deviceidentifying information preventing the 

licensee from being able to disable the 

device. 

(iii) Customer outreach. A licensee 

may immediately disable a contraband 

wireless device without any customer 

outreach, or a licensee may contact the 

customer of record through any 

available means to notify them that the 

device will be disabled, but any such 

notice does not modify the licensee’s 

obligation to comply with paragraphs 

(c)(3)(i) and (ii) of this section. 

(iv) Notification to the Designated 

Correctional Facility Official. Within 

two business days of receiving a 

qualifying request from a DCFO, a 

licensee must inform the DCFO whether 

the request has been granted or rejected. 

(4) Reversals. A licensee may reverse 

a disabled wireless device if it 

determines that the wireless device was 

identified erroneously as contraband. 

The licensee must promptly inform the 

DCFO of the erroneously identified 

wireless device. 

(i) DCFO involvement. Prior to 

reversing a disabling action, a wireless 

provider that determines that a device 

may have been erroneously identified as 

contraband may request that the DCFO 

review and confirm the information 

provided in a qualifying request 

pursuant to which the device was 

previously disabled. To trigger DCFO 

involvement, the wireless provider must 

provide the DCFO with: 

(A) The date of the qualifying request; 

(B) The identifying information 

provided for the device; and 

(C) Any evidence supporting the 

wireless provider’s belief that the device 

was erroneously identified. 

(ii) DCFO response. Upon receipt of a 

request from a wireless provider, the 

DCFO should review the qualifying 

request and determine whether the 

device in question was erroneously 

identified and either confirm the 

validity of the identifying information 

contained in the qualifying request or 

acknowledge the error and direct the 

carrier to restore service to the device. 

(iii) Restoration of service. In the 

event the DCFO directs the wireless 

provider to reverse the disabling, the 

wireless provider must, within two 

business days, restore service to the 

device and reverse any actions taken to 

prevent the device from accessing other 

wireless provider networks. 

(iv) Wireless provider action in 

absence of timely DCFO response. In the 

event the DCFO does not respond to a 

request from a wireless provider for 

review of a qualifying request within 

two business days, the wireless provider 

may proceed with reversing the 

disabling action. 

(v) Notice of reversals. The DCFO 

must provide notice to the Contraband 

Ombudsperson of the number of 

erroneously disabled devices on a 

quarterly basis at the end of any quarter 

during which a device disabling was 

reversed. 

(d) Notification to Managed Access 

System (MAS) operators of wireless 

provider technical changes—(1) 

Notification requirements. CMRS 

licensees leasing spectrum to MAS 

operators must provide 90 days’ 

advance notice to MAS operators of the 

following network changes occurring 

within 15 miles of the correctional 

facility, unless parties modify 

notification arrangements through 

mutual agreement: 

(i) Adding a new frequency band to 

service offerings; 

(ii) Deploying a new air interface 

technology or changing an existing air 

interface technology; and/or 

(iii) Adding, relocating, or removing a 

site. 

(2) Good faith negotiations. CMRS 

licensee lessors and MAS operator 

lessees must negotiate in good faith to 

reach an agreement for notification for 

other types of network adjustments not 

covered by the notice requirement set 


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Federal Register / Vol. 86, No. 154 / Friday, August 13, 2021 / Rules and Regulations 44641 

forth in paragraph (d)(1) of this section 

and for the parties’ treatment of 

confidential information contained in 

notifications required pursuant to this 

section and/or negotiated between the 

parties. 

(3) Emergency network changes 

exception. CMRS licensees leasing 

spectrum to managed access systems 

(MAS) operators are not required to 

provide 90 days’ advance notice to MAS 

operators of network technical changes 

occurring within 15 miles of the 

correctional facility that are required 

due to emergency and disaster 

preparedness. CMRS licensees must 

provide notice of these technical 

changes immediately after the exigency. 

[FR Doc. 2021–15748 Filed 8–12–21; 8:45 am] 

BILLING CODE 6712–01–P 


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