Communications Assistance for Law Enforcement Act

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

Pursuant to 47 C.F.R. § 1.20005 of the Commission’s rules, all providers subject to CALEA must file their SSI Plans prior to commencing service, and must re-file a complete updated SSI Plan within 90 days following any changes to information contained in a previously filed SSI Plan.

On May 15, 2023, we released an order amending the Commission’s rules to require electronic filing of new and updated System Security and Integrity Policies and Procedures (SSI Plans) by covered entities under the Communications Assistance for Law Enforcement Act (CALEA). The new rule, 47 CFR § 1.20005(c), will require electronic filing of SSI Plans in the new CALEA Electronic Filing System (CEFS) and it will become effective 30 days after it is published in the Federal Register. Filers can continue to choose to voluntarily file their SSI Plan electronically in CEFS or by paper until the new rule becomes effective, after which paper filings will no longer be accepted. After publication in the Federal Register, we will issue a Public Notice to announce the specific date for mandatory electronic filing of SSI Plans. Covered entities that have already filed their SSI Plans by paper are not required to re-file them in CEFS, unless and until the covered entity’s SSI Plan needs to be updated. CEFS is available at: https://www.fcc.gov/cefs.

What are the current filing procedures for SSI Plans?

Current filing procedures allow CALEA SSI Plans to be filed with the FCC’s Office of Secretary as a paper filing or submitted voluntarily through the new CALEA Electronic Filing System (CEFS). The Bureau has proposed to make electronic filing of SSI Plans mandatory after a transition period.

On May 15, 2023, we released an order amending the Commission’s rules to require electronic filing of new and updated System Security and Integrity Policies and Procedures (SSI Plans) by covered entities under the Communications Assistance for Law Enforcement Act (CALEA). The new rule, 47 CFR § 1.20005(c), will require electronic filing of SSI Plans in the new CALEA Electronic Filing System (CEFS) and it will become effective 30 days after it is published in the Federal Register. After publication in the Federal Register, we will issue a Public Notice to announce the specific date for mandatory electronic filing of SSI Plans. CEFS is available at: https://www.fcc.gov/cefs

We advise all providers subject to CALEA to monitor our website for updates.

What are the instructions for Paper Filings?

Filers can continue to choose to file their SSI Plan by paper until the new rule requiring electronic filing in CEFS takes effect, after which paper filings will no longer be accepted. See instructions below. Parties submitting paper filings after mandatory filing takes effect will receive a notification to submit the SSI Plan electronically through CEFS.

During the Pandemic, the Office of the Secretary updated its webpage with the new Headquarters address for paper filings via messenger, mail, or courier delivery and that information can be found below.

• How to File Paper Documents with the FCC
• Electronic and Hard Copy Filing Address

Hand or Messenger Delivered accepted between 8:00 a.m. to 4:00 p.m. only
Marlene H. Dortch, Secretary
Federal Communications Commission
Office of the Secretary
9050 Junction Drive
Annapolis Junction, MD 20701

Commercial overnight mail, EXCEPT United States Postal Service
Marlene H. Dortch, Secretary
Federal Communications Commission
Office of the Secretary 9050
Junction Drive Annapolis Junction, MD 20701

All other mail, including United States Postal Service Express Mail, Priority Mail, and First Class Mail
Marlene H. Dortch, Secretary
Federal Communications Commission
Office of the Secretary
45 L Street NE
Washington, DC 20554

Note: On August 5, 2020, the Commission’s rules were amended to reflect the new address of the Commission’s headquarters effective October 15, 2020 as: 45 L Street NE, Washington, DC 20554.

What are the instructions for Voluntary Electronic Filings?

On Dec. 5, 2022, the Bureau released a Public Notice regarding the launch of CEFS and voluntary electronic filing. The Public Notice includes a section that outlines preliminary steps for access to CEFS and the filing of SSI Plans. Also, the CEFS User Manual can be found here:  https://www.fcc.gov/cefs/user-manual

When will CEFS electronic filing become mandatory?

Mandatory filing will be announced by a future public notice.

On May 15, 2023, we released an order amending the Commission’s rules to require electronic filing of new and updated System Security and Integrity Policies and Procedures (SSI Plans) by covered entities under the Communications Assistance for Law Enforcement Act (CALEA). The new rule, 47 CFR § 1.20005(c), will require electronic filing of SSI Plans in the new CALEA Electronic Filing System (CEFS) and become effective 30 days after it is published in the Federal Register. After publication in the Federal Register, we will issue a Public Notice to announce the specific date for mandatory electronic filing of SSI Plans.

For additional information about CEFS and the transition to mandatory filing, see the FAQ below.

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To whom do I send electronic courtesy copies?

Please note that courtesy copies are not be necessary when SSI Plans are submitted electronically in CEFS. If courtesy copies are emailed, electronic copies should be sent as as password protected documents consistent with the Commission’s rules for emailing confidential documents Commission’s rules for emailing confidential documents to points of contact listed below.  Submissions may be broken into multiple emails when necessary.  

Rosemary Cabral
Attorney Advisor, Policy & Licensing Division
Public Safety & Homeland Security Bureau
Federal Communications Commission
45 L Street NE | Washington, DC 20554
(202) 418-0662 | Rosemary.Cabral@fcc.gov

Chris Fedeli
Attorney Advisor, Policy & Licensing Division
Public Safety & Homeland Security Bureau
Federal Communications Commission
45 L Street NE | Washington, DC 20554
(202) 418-1514 | Christopher.Fedeli@fcc.gov

Is a certain format required for SSI Plans?

The Commission does not require a specific template for these filings. However, all SSI Plans must contain all information listed under 47 C.F.R. §§ 1.20003 and 1.20004 of the Commission’s Rules. A sample SSI plan checklist is available online:  CALEA Checklist

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

Please note that requests for confidential treatment can be submitted with your SSI Plan in CEFS. Until mandatory electronic filing of SSI Plans take effect, paper requests for confidential treatment of SSI Plans should follow these instructions, noting the new headquarters address below. When filing a confidential document or other confidential material with the Office of the Secretary, filers should send the filing either:

via UPS, FedEx, or any overnight mail service, addressed to:
Office of the Secretary
Federal Communications Commission
9050 Junction Drive
Annapolis Junction, MD 20701

or via USPS First Class Mail, Express Mail, or Priority Mail, addressed to:
Office of the Secretary
Federal Communications Commission
45 L Street NE
Washington, DC 20554

Where a courtesy copy of the confidential document or other material is required or requested to be submitted to FCC staff, filers are encouraged to send an electronic version of the document or material to the identified FCC staff via email. See CAELA points of contact listed above. Please note that the document must be password protected and the password communicated to FCC staff via telephone or in a separate email. Submissions may be broken into multiple emails when necessary.

Do I need to submit Form 445?

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

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

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

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

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

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

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

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

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

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

CEFS is a secure, confidential electronic filing system for covered entities to submit their SSI Plans without jeopardizing the sensitivity of these records and will lessen paperwork burdens on SSI Plan filers. CEFS facilitates timely filing of new SSI Plans and updated SSI Plans and should minimize errors leading to insufficient filings that require re-submission. CEFS links to the Commission Registration System (CORES) to reduce the need for filers to re-enter basic information that CORES users have already provided to the Commission. The system will allow users to file SSI Plans electronically and, once they have electronically filed a plan in CEFS, to log back in to CEFS and retrieve and view that filing. In the future, CEFS could potentially be expanded for electronic filing of confidential petitions for extension of time to comply with CALEA requirements filed under 47 U.S.C. § 1006(c) and CALEA technical impossibility and cost recovery petitions filed under 47 U.S.C. § 1008(b)

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

• Covered entities that have already filed their SSI plans by paper are not required to resubmit those paper filed SSI Plans electronically in CEFS. However, pursuant to the CALEA rules, a SSI Plan would need to be refiled if there has been a change to information contained in a previously-filed SSI Plan.
• CALEA requirements have not changed with the availability of the new electronic filing system.
• During the six month transition, filers can choose to voluntarily file their SSI Plan electronically in CEFS.
• There will be a six month transition period to introduce covered entities to electronic filing of SSI Plans and allow covered entities time to set up accounts to access CEFS, and provide the Bureau with the opportunity to implement any necessary enhancements to CEFS for optimal functioning ahead of mandatory filing.
• The Bureau will continue to accept paper filings until SSI Plan filing becomes mandatory for all SSI plan filers. Mandatory filing will be announced by a future public notice.
• The CEFS User Manual includes detailed instructions for access to CEFS and filing System Security and Integrity (SSI) Plans.

How can I access CEFS?

• If your FCC User Registration is already associated with the FCC Registration Number (FRN), you can log into CEFS at https://www.fcc.gov/cefs.
• If your FCC User Registration is not set up yet, please refer to the CEFS Manual link above.

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

Filers experiencing technical difficulties using the CEFS system or CORES should call the FRN Help Line at 877-480-3201. Filers may also contact the CORES Help Desk at CORESHelpDesk@fcc.gov or (202) 418-4120.