[Federal Register Volume 86, Number 81 (Thursday, April 29, 2021)]
[Rules and Regulations]
[Pages 22796-22825]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2021-07457]



[[Page 22795]]

Vol. 86

Thursday,

No. 81

April 29, 2021

Part II





Federal Communications Commission





-----------------------------------------------------------------------





47 CFR Part 4





Disruptions to Communications; Final Rule

  Federal Register / Vol. 86 , No. 81 / Thursday, April 29, 2021 / 
Rules and Regulations  

[[Page 22796]]


-----------------------------------------------------------------------

FEDERAL COMMUNICATIONS COMMISSION

47 CFR Part 4

[PS Docket No. 15-80; FCC 21-34; FRS 20221]


Disruptions to Communications

AGENCY: Federal Communications Commission.

ACTION: Final rule.

-----------------------------------------------------------------------

SUMMARY: In this document, the Federal Communications Commission 
(Commission) adopts final rules to provide direct, read-only access to 
Network Outage Reporting System (NORS) and Disaster Outage Reporting 
System (DIRS) filings to agencies of the 50 states, the District of 
Columbia, tribal nations, territories, and Federal Government that have 
official duties that make them directly responsible for emergency 
management and first responder support functions, including by: 
Allowing these agencies to share NORS and DIRS information with agency 
officials, first responders, and other individuals with a ``need to 
know'' who cannot directly access NORS and DIRS and yet play a vital 
role in preparing for, or responding to, events that threaten public 
safety; allowing participating agencies to publicly disclose aggregated 
and anonymized information derived from NORS or DIRS filings; 
conditioning a participating agency's direct access to NORS and DIRS 
filings on their agreement and ability to preserve the confidentiality 
of the filings and not disclose them absent a finding by the Commission 
allowing the disclosure; and establishing an application process that 
would grant eligible agencies access to NORS and DIRS after those 
agencies certify to certain requirements related to maintaining the 
confidentiality of the data and the security of the databases.

DATES: This rule is effective September 30, 2022.

FOR FURTHER INFORMATION CONTACT: For further information, contact 
Saswat Misra, Attorney-Advisor, Cybersecurity and Communications 
Reliability Division, Public Safety and Homeland Security Bureau, (202) 
418-0944 or via email at [email protected].

SUPPLEMENTARY INFORMATION: This is a summary of the Commission's Second 
Report and Order, FCC 21-34, adopted on March 17, 2021 and released on 
March 18, 2021. The document is available for download at https://docs.fcc.gov/public/attachments/FCC-21-34A1.pdf. To request this 
document in accessible formats for people with disabilities (e.g., 
Braille, large print, electronic files, audio format, etc.) or to 
request reasonable accommodations (e.g., accessible format documents, 
sign language interpreters, CART, etc.), send an email to 
[email protected] or call the FCC's Consumer and Governmental Affairs 
Bureau at (202) 418-0530 (voice), (202) 418-0432 (TTY).
    The Federal Communications Commission may delay this effective date 
by publishing a document in the Federal Register.
    Paperwork Reduction Act:
    The Second Report and Order requires service providers to make 
adjustments to their NORS reporting processes to accommodate the 
Commission's adjustments to its NORS web-based form pursuant to section 
47 CFR 4.11. These adjustments and the new requirement that agencies 
file certification forms, pursuant to 47 CFR 4.2, to request access to 
NORS and DIRS reports, constitute a modified information collection. 
The information collection requirements contained in the rules that 
require OMB approval are subject to the Paperwork Reduction Act of 1995 
(PRA), Public Law 104-13. The information collection will be submitted 
to OMB for review under 47 U.S.C. 3507(d), and will not take effect 
until it is approved by OMB.
    Congressional Review Act:
    The Commission has determined, and the Administrator of the Office 
of Information and Regulatory Affairs, Office of Management and Budget, 
concurs, that this rule is non-major under the Congressional Review 
Act, 5 U.S.C. 804(2). The Commission will send a copy of this Order to 
Congress and the Government Accountability Office, pursuant to 5 U.S.C. 
801(a)(1)(A).
    Synopsis:

I. Introduction

    1. Section 1 of the Communications Act of 1934, as amended (the 
Act), charges the Commission with ``promoting safety of life and 
property through the use of wire and radio communications.'' 47 U.S.C. 
151. This statutory objective and statutory authorities cited below 
have supported the Commission's institution of outage reporting 
requirements, codified in part 4 of our rules, that require providers 
to report network outages that exceed specified magnitude and duration 
thresholds. The outage data that the Commission collects pursuant to 
part 4 provide critical situational awareness that enables the 
Commission to be an effective participant in emergency response and 
service restoration efforts, particularly in the early stages of 
communications disruption.
    2. Currently, the Commission collects network outage information in 
the NORS and infrastructure status information in the DIRS. This 
information is sensitive for reasons concerning national security and 
commercial competitiveness, and the Commission thus treats it as 
presumptively confidential. The Commission makes this information 
available to the Department of Homeland Security's (DHS) National 
Cybersecurity and Communications Integration Center but does not share 
the information more broadly with other Federal, state, or local 
partners. However, in a 2016 Report and Order and Further Notice, the 
Commission found that state and Federal agencies would benefit from 
direct access to NORS data and that ``such a process would serve the 
public interest if implemented with appropriate and sufficient 
safeguards.'' 81 FR 45055, 45064 (July 12, 2016) (2016 Report and Order 
and Further Notice).
    3. Today's Order bridges this gap and promotes better information 
sharing and awareness during times of emergency. It creates a framework 
to provide state, Federal, local, and Tribal partners with access to 
the critical NORS and DIRS information they need to ensure the public's 
safety while preserving the presumptive confidentiality of the 
information. Today's actions will ensure that these public safety 
officials can appropriately and effectively leverage the same reliable 
and timely network outage and infrastructure status information as the 
Commission when responding to emergencies.

II. Background

    4. Network Outage Reporting System or NORS. In 2004, the Commission 
adopted rules that require outage reporting for communications 
providers, including wireline, wireless, paging, cable, satellite, 
VoIP, and Signaling System 7 service providers, to address ``the 
critical need for rapid, complete, and accurate information on service 
disruptions that could affect homeland security, public health or 
safety, and the economic well-being of our Nation, especially in view 
of the increasing importance of non-wireline communications in the 
Nation's communications networks and critical infrastructure.'' These 
rules currently do not extend to broadband networks. In 2016, the 
Commission sought comment on whether its part 4 rules should be updated 
to implement a proposed system for the mandatory reporting of broadband 
network outages and other disruptions, including those based on 
performance degradation. The proposals

[[Page 22797]]

in the 2016 Report and Order and Further Notice remain pending.
    5. Under these rules, certain service providers must submit outage 
reports to NORS for outages that exceed specified duration and 
magnitude thresholds. Service providers are required to submit a 
notification to NORS generally within two hours of determining that an 
outage is reportable to provide the Commission with timely preliminary 
information. The service provider must then either (i) provide an 
initial report within three calendar days, followed by a final report 
with complete information on the outage within 30 calendar days of the 
notification; or (ii) withdraw the notification and initial reports if 
further investigation indicates that the outage did not in fact meet 
the applicable reporting thresholds.
    6. All three types of NORS filings--notifications, initial reports, 
and final reports--contain service disruption or outage information 
that, among other things, include: The reason the event is reportable, 
incident date/time and location details, state affected, number of 
potentially affected customers, and whether enhanced 911 (E911) was 
affected. The Commission analyzes NORS outage reports, in the short-
term, to assess the magnitude of major outages and, in the long-term, 
to identify network reliability trends and determine whether the 
outages likely could have been prevented or mitigated had the service 
providers followed certain network reliability best practices. 
Information collected in NORS has contributed to several of the 
Commission's outage investigations and recommendations for improving 
network reliability.
    7. NORS filings are presumed confidential and thus are withheld 
from routine public inspection. 47 CFR 0.457(d)(vi), 4.2; 80 FR 34321 
(June 16, 2015) (2015 Notice). The Commission grants read-only access 
to outage report filings in NORS to the National Cybersecurity and 
Communications Integration Center at DHS, but does not directly grant 
access to other Federal agencies, state governments, or other entities. 
DHS, however, may share relevant information with other Federal 
agencies at its discretion. The Commission also publicly shares limited 
analyses of aggregated and anonymized data to address collaboratively 
industry-wide network reliability issues and improvements.
    8. Disaster Information Reporting System or DIRS. In the wake of 
Hurricane Katrina, the Commission established DIRS as a means for 
service providers, including wireless, wireline cable service 
providers, and broadcasters, to voluntarily report to the Commission 
their communications infrastructure status and situational awareness 
information during times of crises. The Commission recently required a 
subset of service providers that receive Stage 2 funding from the 
Uniendo a Puerto Rico Fund or the Connect USVI Fund to report in DIRS 
when it is activated in the respective territories. DIRS, like NORS, is 
a web-based filing system. The Commission analyzes infrastructure 
status information submitted in DIRS to provide public reports on 
communications status during DIRS activation periods, as well as to 
help inform investigations about the reliability of post-disaster 
communications.
    9. DIRS filings are also presumed confidential and disclosure of 
information derived from those filings is limited. The Commission 
grants direct access to the DIRS database to the National Cybersecurity 
and Communications Integration Center at DHS. The Commission also 
prepares and provides aggregated DIRS information, without company 
identifying information, to the National Cybersecurity and 
Communications Integration Center, which then distributes the 
information to a DHS-led group of Federal agencies tasked with 
coordinating disaster response efforts, including other units in DHS, 
during incidents. Agencies use the analyses for their situational 
awareness and for determining restoration priorities for communications 
infrastructure in affected areas. The Commission also provides 
aggregated data, without company-identifying information, to the public 
during disasters.
    10. Expanding Access to NORS and DIRS. In a 2015 Notice, the 
Commission proposed to grant state governments ``read-only access to 
those portions of the NORS database that pertain to communications 
outages in their respective states.'' The Commission also asked if this 
access should extend beyond states and include ``the District of 
Columbia, U.S. territories and possessions, and Tribal nations.'' The 
Commission proposed to condition access on a state or other agency's 
certification that it ``will keep the data confidential and that it has 
in place confidentiality protections at least equivalent to those set 
forth in the Federal Freedom of Information Act (FOIA).'' The 
Commission sought comment on other key implementation details, 
including how to ``ensure that the data is shared with officials most 
in need of the information while maintaining confidentiality and 
assurances that the information will be properly safeguarded.'' 
Similarly, the Commission sought comment on sharing NORS filings with 
Federal agencies besides the Department of Homeland Security pursuant 
to certain safeguards to protect presumptively confidential 
information.
    11. In a 2016 Report and Order and Further Notice, the Commission 
found that the record reflected broad agreement that these agencies 
would benefit from direct access to NORS data and that ``such a process 
would serve the public interest if implemented with appropriate and 
sufficient safeguards.'' The Commission determined that providing 
agencies with direct access to NORS filings would have public benefits 
but concluded that the process required more development for ``a 
careful consideration of the details that may determine the long-term 
success and effectiveness of the NORS program.''
    12. Finding that the record was not fully developed and that the 
``information sharing proposals raise[d] a number of complex issues 
that warrant[ed] further consideration,'' the Commission directed the 
Public Safety and Homeland Security Bureau (PSHSB) to further study and 
develop proposals regarding how NORS filings could be shared with 
agencies in real time, keeping in mind the information sharing 
privileges already granted to DHS. The Bureau subsequently conducted ex 
parte meetings to solicit additional viewpoints from industry, state 
public service commissions, trade associations, and other public safety 
stakeholders on the issue of granting state and Federal Government 
agencies direct access to NORS and DIRS filings.
    13. In a February 2020 Second Further Notice, the Commission 
proposed to: (i) Grant direct, read-only access to the Commission's 
NORS and DIRS filings to agencies acting on behalf of the Federal 
Government, the 50 states, the District of Columbia, Tribal Nations, 
and the U.S. territories that demonstrate that they reasonably require 
access to prepare for, or respond to, an event that threatens public 
safety pursuant to their official duties (i.e., that have a ``need to 
know''); (ii) authorize participating agencies to share copies of these 
filings, and any other confidential information derived from the 
filings, within or outside their agencies when a recipient also has a 
``need to know,'' subject to certain safeguards, (iii) allow the 
recipient to further share the confidential NORS and DIRS information, 
directly or in summarized form, with additional recipients; and (iv) 
authorize any recipient to freely

[[Page 22798]]

share aggregated and anonymized information derived from the NORS and 
DIRS filings of at least four service providers. 85 FR 17818 (Mar. 31, 
2020) (Second Further Notice).
    14. The Commission proposed to safeguard the confidentiality of 
NORS and DIRS information by conditioning an agency's direct access on 
agreements to: (i) Treat NORS and DIRS filings as confidential and not 
disclose them, absent a finding by the Commission allowing the 
disclosure; and (ii) provide timely notification to the Commission when 
the agency receives a request from a third party to release NORS or 
DIRS filings or related records and when changes to statutes or rules 
would affect the agency's ability to adhere to the Commission's 
required confidentiality protections.

III. Second Report and Order

    15. With this Order, we conclude that directly sharing NORS data 
with state and Federal agencies, subject to appropriate and sufficient 
safeguards, is in the public interest, and we extend this finding to 
include the sharing of DIRS data. We limit eligibility for direct 
access to our NORS and DIRS databases to ``need to know'' agencies 
acting on behalf of the Federal Government, the 50 states, the District 
of Columbia, Tribal Nations, and the U.S. territories. We also decide 
which agency responsibilities constitute a ``need to know'' and limit a 
participating agency's use of this information to those purposes. We 
allow these agencies to share confidential information derived from 
NORS and DIRS filings with non-credentialed individuals at the 
participating agency and at non-participating agencies on a strict 
``need to know'' basis. We also allow recipients to release aggregated 
and anonymized NORS and DIRS information to the public and offer 
guidance on how that aggregation and anonymization should be performed.
    16. To preserve the sensitive nature of NORS and DIRS filings, we 
adopt various safeguards, including limiting agency access to events 
occurring within an agency's jurisdiction; limiting access to five user 
accounts; requiring initial and annual security training; and requiring 
agencies to certify that they will take appropriate steps to safeguard 
the information contained in the filings, including notifying the 
Commission of unauthorized or improper disclosure. We require that 
participating agencies certify they will treat the information as 
confidential and not disclose the information absent a finding by the 
Commission that allows them to do so. We decline to allow non-
participating agencies to further share the information with others. 
Under today's Order, we hold participating agencies responsible for any 
inappropriate disclosures of information by the non-participating 
agencies with which they share information, including by retaining the 
ability to terminate participating agencies' direct access to NORS and 
DIRS.

A. Sharing NORS Filings With State, Federal and Other Agencies

    17. In the Second Further Notice, the Commission tentatively 
concluded ``that sharing NORS data with state and Federal agencies 
would serve the public interest--provided that appropriate and 
sufficient safeguards were implemented'' and sought to refresh the 
record to inform next steps. We now observe that industry, public 
safety organizations, and government agency commenters overwhelmingly 
support the Commission's proposal. We agree with commenters concluding 
that sharing NORS filings with other agencies will improve situational 
awareness during and after disasters, enable agencies to better assess 
the public's ability to access emergency communications, and assist 
with the coordination of emergency response efforts.
    18. The Alliance for Telecommunications Industry Solutions (ATIS), 
however, maintains that while it ``supports efforts that aid in 
restoral of communications services and that help save lives,'' the 
sharing of NORS reports will ``generally not serve such purposes'' and 
NORS reports contain information that is not relevant to public safety. 
ATIS also argues that specific NORS fields should not be shared with 
agencies.
    19. We reject ATIS's view as it is controverted by a number of 
commenters explaining, with detailed examples and based on knowledge of 
their own day to day responsibilities and operations, why the 
information contained in NORS filings is relevant to public safety by 
assisting in rapid communications service restoration and enhancing 
situational awareness. For example, the Montrose Emergency Telephone 
Service Authority (METSA) believes that if the Colorado Public 
Utilities Commission (COPUC) had been granted NORS access following a 
July 2019 fiber cut, ``the COPUC could have assisted with generalized 
information regarding areas which were truly impacted by the outage.'' 
In another example, Massachusetts Department of Telecommunications and 
Cable (MDTC) believes that direct access to NORS data would have 
provided it, local official and town residents, businesses, and 
government offices with ``timely, and therefore, actionable'' 
information about a recent wireline telephone service outage. MDTC also 
believes that access would have helped providers avoid the burden of 
being contacted multiple times by multiple parties.

B. Sharing DIRS Filings With State, Federal and Other Agencies

    20. In the Second Further Notice, the Commission also proposed 
sharing DIRS filings with eligible state and Federal agencies and 
sought comment on the anticipated benefits of sharing DIRS filings. We 
adopt this proposal, finding that sharing DIRS filings will enhance 
public safety by improving participating agencies' situational 
awareness regarding infrastructure status and helping to inform their 
decisions on how to allocate resources. No commenters oppose the 
Commission's DIRS proposal. Rather, many agree that sharing DIRS 
filings will provide the benefits cited by the Commission in the Second 
Further Notice, including improving the effectiveness of response and 
recovery efforts during and after disasters and providing stakeholders 
with actionable status of communications outages. Communications 
Workers of America (CWA) states that ``information contained in the 
DIRS will be very helpful to understand the status of communications 
infrastructure in the impacted area and to set restoration priorities'' 
following major events such as wildfires and flooding. Other commenters 
underscore that access to both DIRS and NORS are vital to aid in 
situational awareness and emergency response initiatives because in the 
counties where DIRS has been activated, NORS reporting obligations are 
typically suspended for the duration of the DIRS activation.
    21. Some commenters urge the Commission to make DIRS reporting 
mandatory. We decline to do so, as this issue is outside of the scope 
of this rulemaking. We agree with T-Mobile that such action would go 
``beyond the question of sharing NORS and DIRS data and the manner in 
which the information should be shared.'' We also note that as our 
priority with this proceeding is ensuring that agencies begin to 
receive critical information about service outages to assist them in 
their service restoration initiatives, technical changes that may be 
necessitated by making DIRS reporting mandatory could delay such 
access.

[[Page 22799]]

C. Scope of Direct Access

    22. Eligibility for direct access. In the Second Further Notice, 
the Commission proposed that direct access to NORS and DIRS be limited 
to agencies acting on behalf of the Federal Government, the 50 states, 
the District of Columbia, Tribal Nations, and the U.S. territories 
(including Puerto Rico and the U.S. Virgin Islands). We adopt this 
proposal.
    23. The majority of commenters agree with this proposal, typically 
without significant comment. For example, T-Mobile remarks that 
limiting direct access in this way strikes an appropriate balance 
between disseminating NORS and DIRS information to those who most need 
it (i.e., to save lives and property) and safeguarding the 
information's confidential nature. The California Public Utilities 
Commission believes that Tribal Nation eligibility is appropriate since 
Tribal Nation governments have oversight responsibility for public 
safety matters in their lands in the same manner as the other entities 
that the Commission has identified for direct access. We find that 
limiting direct access to NORS and DIRS filings is necessary to limit 
the risk for the over disclosure of sensitive and confidential 
information and to ensure administrative efficiency. While the 
Commission proposed to disallow direct access by local agencies, it 
proposed mechanisms to ensure that local agencies and related entities 
and individuals could indirectly access NORS and DIRS information on a 
case-by-case basis. We adopt some of these mechanisms today.
    24. We reject Colorado Public Utilities Commission's view that 
Tribal Nation entities should be eligible for direct access only if 
they do not participate directly in a state 911 program or have their 
own 911 program. We find no reason to treat Tribal Nations differently 
than state agencies with respect to NORS or DIRS information sharing, 
and commenters have offered no new evidence to warrant such a 
departure. The Colorado Public Utilities Commission's approach appears 
to assume that NORS and DIRS information is only beneficial as it 
relates to improving 911 service. In contrast, we find that 
jurisdictions, including Tribal lands, can benefit from NORS and DIRS 
information for uses beyond improved 911 performance. This is 
corroborated, for example, by The Utility Reform Network's comments 
evidencing that agencies serving Tribal lands would have been better 
able to transmit emergency evacuation alerts during the 2019 California 
wildfire event had they had access to outage information. We find that 
Tribal Nations have a need for NORS and DIRS information regardless of 
their participation in a state's 911 program.
    25. We reject the position of some commenters that at the state or 
local level, only state-based fusion centers (i.e., state-owned and 
operated centers that serve as focal points in states and major urban 
areas for the receipt, analysis, gathering and sharing of threat-
related information among state, local, Tribal, territorial, Federal 
and private sector partners) should be eligible to directly access NORS 
and DIRS data. These commenters argue that fusion centers are uniquely 
qualified for direct access because they work closely with state public 
safety agencies, are familiar with handling, analyzing, and summarizing 
sensitive information, and typically operate around the clock or 
because of their ``connection to the Federal Government.'' We are not 
persuaded.
    26. Our experience over many years indicates that many other types 
of agencies have experience in coordinating with public safety 
agencies, handling sensitive information, and working tirelessly when 
disasters strike. No commenter has argued or provided evidence that 
fusion centers have specific expertise in interpreting NORS and DIRS 
outage information such that they alone should disseminate it. Fusion 
centers are not uniquely or solely qualified in this regard. We 
therefore find no reason to preclude otherwise eligible state agencies 
from accessing NORS and DIRS information, especially if such access 
would enhance public safety response and situation awareness. Contrary 
to views posited by the IACP, we find no administrative benefit in 
limiting accessibility to NORS and DIRS information to fusion centers. 
Instead, by exercising our administrative oversight for reviewing each 
application for access to NORS and DIRS, as detailed in today's Order, 
the Commission will be better able to ensure that NORS and DIRS 
information is used appropriately.
    27. Local Agencies. We are not persuaded by commenters who argue 
that local agencies should be eligible for direct access to NORS and 
DIRS because they have the primary responsibility for responding to 
emergencies. We find the potential benefits of doing so are outweighed 
by the substantial risks and burdens of providing local agencies with 
direct access.
    28. As noted by some commenters, local entity governments typically 
do not have the level of experience navigating the kinds of outage and 
infrastructure status information contained in NORS and DIRS filings 
that state agencies do. We agree with USTelecom that providing direct 
access to local entities would likely exponentially increase the number 
of participating entities, thus complicating administration and 
increasing opportunities for erroneous disclosure of confidential 
information. We believe such a large increase would render it difficult 
or impossible for the Commission to effectively administer the sharing 
framework. Instead, we believe that providing local entities indirect 
access, through participating agencies with direct access, will 
sufficiently support the public safety needs of localities while 
striking a fair balance between sharing NORS and DIRS information and 
minimizing the potential for unauthorized disclosure.
    29. We similarly reject the views of some commenters that request 
that the Commission provide local entities with direct access 
purportedly so that state agencies are not burdened by, and delays are 
not created in, requiring them to provide this information to local 
entities themselves. Today's framework does not require, but only 
allows, these agencies to share NORS and DIRS information with local 
entities. As the National Association of Regulatory Utility 
Commissioners (NARUC) points out, agencies collectively have more 
resources dispersed across the country than the Commission. We find 
that the responsibility of disseminating information to local entities 
is most efficiently placed on this range of state and other agencies, 
each with specific knowledge and incentives to further public safety in 
its own jurisdiction.
    30. We also are not convinced that allowing an agency with direct 
access to share its credentials with an associated local entity would 
alleviate our administrative burdens and disclosure risk concerns, as 
opined by the Texas 9-1-1 Entities. We reject this approach because it 
would allow direct access to NORS and DIRS by local agencies whose 
certifications have not been reviewed and approved by the Commission 
and are not directly accountable to the Commission. We find that a 
credential sharing scheme would unacceptably increase the risk that our 
training and other procedural safeguards would not be implemented, 
which would make it more likely that NORS and DIRS filings could be 
improperly used or disclosed.
    31. We also find unconvincing, the view of one commenter that 
``advocates, researchers and the public,'' among others, should be 
eligible for direct access purportedly ``to hold

[[Page 22800]]

telecommunications providers accountable and monitor the communications 
rights of impacted communities.'' This approach fails to address the 
Commission's findings that have long treated NORS and DIRS filings as 
presumptively confidential to further national security and protect 
commercially sensitive information. We find that granting such broad 
access to NORS and DIRS information would effectively render that 
treatment moot and thereby detract from these objectives.
    32. Eligible agencies must have a ``need to know.'' In the Second 
Further Notice, the Commission proposed that direct access to NORS and 
DIRS be limited to eligible agencies that have a ``need to know,'' 
which was defined as ``reasonably requir[ing] access to the information 
in order to prepare for, or respond to, an event that threatens public 
safety, pursuant to its official duties.'' We today adopt a modified 
definition of ``need to know'' that includes only agencies that have 
official duties that make them directly responsible for emergency 
management and first responder support functions.
    33. Most commenters agree that direct access should be limited to 
agencies with a ``need to know'' to prevent the over-disclosure of 
sensitive NORS and DIRS information, though commenters differ in their 
views on the appropriate definition of the term. We are persuaded by 
Verizon that a ``need to know'' should be defined to refer to an agency 
``having official duties making it directly responsible for emergency 
management and first responder support functions.'' We find that this 
definition best achieves the goal of ensuring that only agencies with 
the greatest and most relevant public safety needs have access to the 
sensitive information contained in our NORS and DIRS databases. We note 
that this definition for ``need to know'' is more specific and narrow 
than what the Commission proposed in the Second Further Notice and will 
minimize the number of disputes over which agencies qualify for access, 
thus preserving public safety resources. We confirm NCTA's view that an 
``event'' giving rise to a ``need to know'' may be either natural or 
``manmade.'' While we do not exhaustively enumerate here every type of 
agency that may qualify for access under our adopted ``need to know'' 
standard, we expect that qualifying agencies will include state 
homeland security and emergency management departments, state first 
responder departments (including fire and law enforcement departments), 
and state public utility (or public service) commissions. We agree with 
New York State Public Service Commission and the Public Service 
Commission of the District of Columbia that state public utility and 
service commissions typically support public safety and emergency 
response efforts, including by coordinating the restoration of 
telecommunications in their jurisdictions.
    34. In view of the record, we disagree with the views of the 
Competitive Carriers Association and T-Mobile who argued that the 
Commission's earlier proposed definition of ``need to know'' struck an 
appropriate balance between ensuring that an appropriate set of 
agencies will have access to NORS and DIRS data for their public safety 
efforts and reducing the likelihood of improper disclosure. For the 
reasons noted above, we find that a more objective and narrower 
standard is necessary for today's program to be administrable and to 
ensure that the sensitive information in NORS and DIRS filings is not 
disseminated broadly beyond a small set of core agencies in each state 
or other jurisdiction.
    35. Demonstrating a ``need to know.'' An agency applying for direct 
access to NORS and DIRS must demonstrate its ``need to know'' by citing 
to statutes or other regulatory authority that establishes it has 
official duties making it directly responsible for emergency management 
and first responder support functions.
    36. We agree with Verizon and NCTA that an objective showing of 
legal authority, in the form of statues or other regulatory bases, is 
necessary as part of the application process to ensure that only 
qualified agencies have direct access to NORS and DIRS filings. We find 
that the approach we adopt today will avoid protracted disputes and 
subjective interpretations about what roles and responsibilities an 
agency may have during an emergency and will guard against the over-
disclosure of sensitive NORS and DIRS information.
    37. Scope of Use. In the Second Further Notice, the Commission 
proposed that NORS and DIRS information accessed by participating 
agencies be used only for public safety purposes. We adopt this 
proposal and clarify that the only valid public safety purposes are the 
same purposes that would give rise to a ``need to know,'' i.e., 
carrying out emergency management and first responder support functions 
that an agency is directly responsible for pursuant to its official 
duties.
    38. Several commenters seek confirmation that certain use cases are 
permitted. We confirm commenters' views that a participating agency's 
dissemination of information to other individuals responsible for 
preparing and responding to disasters is an acceptable use. We also 
confirm commenters' views that the assessment of emergency notification 
options available in areas impacted by an outage or disaster, including 
determining whether Wireless Emergency Alert messages can be delivered 
and, if not, coordinating alternate methods of notification, is an 
acceptable use. We further confirm the views of the Telecommunications 
Regulatory Bureau of Puerto Rico and other commenters that identifying 
trends and performing analyses designed to make long-term improvements 
in public safety outcomes are acceptable uses. We agree that these 
long-term efforts are critical for preparing for events that threaten 
public safety in ways that will reduce the loss of life and property in 
future outage and disaster scenarios. We are similarly persuaded by the 
Massachusetts Department of Telecommunications and Cable, which 
explains the potential value of NORS and DIRS information in its 
analyses used to improve service and avoid future outages, and the 
Michigan Public Service Commission, which explains that the information 
would assist in understanding the nature of outages, ultimately 
resulting in more resilient networks. We find that these uses reflect 
carrying out emergency management and first responder support functions 
by informing the public of danger, or preparing in advance for such 
danger, to avoid the loss of life and property.
    39. We expressly forbid the use of NORS and DIRS information 
obtained through the procedures we adopt today for non-emergency-
related regulatory purposes, including merger review, consumer 
protection activities, contract disputes with a state, or the release 
of competitive information to the public. We agree with commenters that 
such uses of NORS and DIRS data would be inconsistent with the public 
safety purposes for which the sharing framework was created. Moreover, 
such uses could create counter-productive incentives for providers to 
supply superfluous information in their NORS and DIRS disclosures 
thereby diminishing the public safety value of these filings.
    40. 911 fee diversion. In the Second Further Notice, the Commission 
sought comment on whether it should exclude from eligibility agencies 
located in states that have diverted or transferred 911 fees for 
purposes other than 911 and how it should address agency access in 
states that have inadequately responded to Commission inquiries about 
their

[[Page 22801]]

practices for using 911 fees. We decline to exclude agencies located in 
fee diverting states from eligibility in today's information sharing 
framework.
    41. Nearly all commenters reject the exclusion of agencies on 
grounds that they are located in states that have engaged in fee 
diversion or provided an inadequate disclosure of their fee practices 
to the Commission. We agree with those commenters who remark that 
access to NORS and DIRS information, and the important public safety 
benefits associated therewith, should not be conditioned on whether a 
state engages in 911 fee diversion. We find this point particularly 
compelling since, as noted by Colorado Public Utilities Commission and 
NASNA, diversion may be an act of the state legislature rather than the 
agency seeking access to NORS and DIRS information.
    42. We find that the benefits of providing NORS and DIRS 
information to entities in these states outweigh the possibility that 
withholding this information may incentivize legislatures to reconsider 
fee diversion decisions, particularly as no commenters offered evidence 
supporting this view. On September 30, 2020, the Commission adopted a 
Notice of Inquiry seeking comment on ways to dissuade states and 
territories from diverting fees collected for 911 to other purposes, 
and on the effects of 911 fee diversion. We are not persuaded otherwise 
by T-Mobile's conclusory statement supporting the exclusion of 
agencies, which in relying on comments filed in an unrelated 
proceeding, fails to address the potential negative impacts of 
withholding NORS and DIRS information from agencies or the extent to 
which doing so would motivate legislatures to reconsider their fee 
diversion decisions.

D. Confidentiality Protections

    43. Direct access conditioned on confidential treatment by 
agencies. In the Second Further Notice, the Commission proposed that 
the Commission make all confidentiality determinations implicating the 
release of confidential NORS and DIRS information pursuant to today's 
program. The Commission proposed that a participating agency only 
receive direct access to NORS and DIRS filings if it could agree, under 
its governing laws, that when it received a request to release NORS or 
DIRS information under open record laws in its jurisdiction, it would 
defer to and comply with a Commission determination and not disclose 
the filings other than as expressly allowed in today's Order or any 
subsequent Commission determinations. We adopt this proposal.
    44. The majority of commenters, including state and local entities, 
and industry advocacy organizations, support this approach. We agree 
with Verizon that this approach is ``essential'' to protecting NORS and 
DIRS information, because requests for disclosure of confidential 
information would be determined uniformly rather than being left to a 
patchwork of varying open records law standards among jurisdictions. We 
also agree with the IACP, which stresses that without the Commission's 
role in reviewing requests, public safety entities could face 
``nuisance lawsuits'' and have their scarce public safety resources 
diverted as they become ``embroiled in legal challenges or extended 
discussions regarding the confidentiality of NORS and DIRS 
information.'' We find that our approach would create a necessary, 
simple mechanism to control the flow of confidential NORS and DIRS 
information, even when state and other open records laws vary.
    45. Commenters confirm that this proposal is workable in practice. 
A number of state public utility commissions identify exemptions in 
their open records laws that allow them to defer to the Commission's 
FOIA determination in place of making their own. Moreover, no commenter 
contends that there is a jurisdiction that would not be able to defer 
to the Commission pursuant to the jurisdiction's open records and other 
relevant laws. We agree with The Utility Reform Network that state, 
Federal and Tribal Nation entities are well versed in handling 
confidential material based on their other programs and that they would 
therefore be able to adhere to today's confidentiality requirements. We 
similarly agree with the California Public Utilities Commission and 
Massachusetts Department of Telecommunications and Cable, which bolster 
this point by noting that today's confidentiality requirements are 
familiar to many participating agencies because they resemble ones the 
Commission separately established for the sharing of presumptively 
confidential data with states in separate programs involving the Form 
477 database and the North American Numbering Plan Administrator 
database.
    46. We are unpersuaded on the current record that the presumption 
of confidentiality for all NORS and DIRS information is not fully 
warranted, as some commenters argue. While these commenters contend 
that NORS and DIRS information often does not contain information that 
is sensitive for national security reasons, no commenter provides 
practical guidance on how to distinguish at an operational level those 
reports that contain such sensitive national security information (or 
sensitive business information) from those that do not. Because we did 
not seek comment on this question, and because the record is incomplete 
as to the types of information, or the specific fields in NORS and 
DIRS, that these commenters believe should not receive confidential 
treatment, we are not in a position today to decide upon the merits of 
these views. We also find that these commenters fail to address the 
possibility that a collection of NORS and DIRS filings could reflect 
patterns that implicate national security, even when filings taken 
individually may not. Moreover, given that we maintain the presumption 
of confidentiality as to our own use of NORS and DIRS data, we find it 
logical to require that participating agencies, and those who receive 
information from them, be held to the same type of confidentiality 
standards. To do otherwise would allow these entities to disclose the 
data in ways that would contradict and render meaningless the 
Commission's own presumptively confidential treatment. Based on the 
lack of new information provided by commenters on the current record, 
we decline to reverse at this time the Commission's long-held view that 
NORS and DIRS information warrants confidential treatment. The 
Commission acknowledges that some commenters assert that public access 
to some outage information would benefit the public, and nothing we do 
today permanently forecloses us from examining this issue further in 
the future.
    47. We also find unpersuasive the view of the California Public 
Utilities Commission that ``industry's perception'' of the 
confidentiality of NORS and DIRS data is changing, merely because 
Verizon and other service providers have decided to increase their 
public disclosure of outage information around major communications 
outage events. On the contrary, we believe that a rollback of the 
Commission's presumption of confidentiality of NORS and DIRS data would 
actually have the opposite effect of discouraging companies from 
voluntarily taking meaningful incremental steps to make more 
information available.
    48. We also reject NTCA's position that today's framework should go 
further and shield NORS and DIRS filings from any disclosure in 
response to a request filed under state-level FOIA-type laws. The 
approach we adopt today permits disclosure only when the

[[Page 22802]]

state defers to the Commission and the Commission makes a 
determination, based on the Federal FOIA standard, permitting the 
disclosure. Because the Commission will consider requests made under 
state-level open records laws identically to requests made under FOIA, 
NORS and DIRS information would not be better protected from 
inappropriate disclosure by specifically blocking from consideration 
any requests received by participating agencies under their open 
records laws. We also reject NARUC's view that the Commission's 
proposal is unnecessary since ``to avoid concerns [in] the tiny 
minority of States that have arguably deficient FOIA-type protections 
in-place,'' the Commission need only condition access to the data on 
states providing some level of confidential treatment. We have not 
found any practical way to identify the purported ``tiny minority'' of 
states that have deficient open records laws. Even among states that 
have ``non-deficient laws,'' we expect that the substance of those laws 
is likely to vary in ways that would result in the different treatment 
of certain NORS and DIRS data fields from jurisdiction to jurisdiction. 
In contrast, the Commission's proposal would advantageously provide a 
uniform confidentiality standard and thus better protect confidential 
NORS and DIRS information from unauthorized disclosure.
    49. Agency notifications to the Commission proposed in the Second 
Further Notice. In the Second Further Notice, the Commission proposed 
to require that a participating agency notify the Commission: (i) 
Within 14 calendar days from the date the agency receives a request 
from third parties to disclose NORS filings and DIRS filings, or 
related records, pursuant to its jurisdiction's open record laws or 
other legal authority that could compel it to do so, and (ii) at least 
30 calendar days prior to the effective date of any change in relevant 
statutes or rules (e.g., its open records laws) that would affect the 
agency's ability to adhere to the confidentiality protections in this 
information sharing framework. We adopt these proposals.
    50. Commenters generally support these proposals and no commenter 
expressly opposes them. We find that the 14-day notification we adopt 
today will allow the Commission take appropriate action, including (at 
the Commission's option) notifying an affected service provider so that 
the provider can supply its comments on the matter if permitted under 
the jurisdiction's open records law. We find that the 30-day 
notification we adopt today will provide the Commission with an 
opportunity to determine whether to terminate an agency's access to 
NORS or DIRS filings or take other appropriate steps as necessary to 
protect this information. As noted in the Second Further Notice, we 
find that these proposals will help ensure consistency in disclosure by 
many disparate agencies that will receive this information under the 
terms of today's Order and will instill confidence that submitted 
information will continue to be protected as it is today.
    51. Additional notifications proposed by commenters. We reject the 
views of commenters that additional notifications from the Commission 
or participating agencies are necessary to ensure that service 
providers can dispute various types of requests for NORS and DIRS 
information and thus protect the confidentiality of their shared 
information. ATIS argues that we should require a notification from a 
participating agency within 14 days of when it receives a request to 
share NORS and DIRS data with a local agency. ATIS also argues that for 
both this notification and the 14-day disclosure request notification 
the Commission proposed in the Second Further Notice, the Commission 
should be required (as opposed to have the option) to notify service 
providers to allow them sufficient opportunity to provide any input. 
ATIS further argues that we should also require participating agencies 
to notify service providers at least 30 calendar days prior to the 
effective date of any change in relevant statutes or rules that could 
implicate the providers' filings. CenturyLink similarly argues that 
service providers should be made aware when a local agency receives 
access to NORS and DIRS data. ACA Connect contends that an agency 
should be required to submit, apparently to the Commission, the name of 
all recipients that it shares information with.
    52. We reject these views, including to the extent they would 
require that participating agencies provide notification directly to 
service providers. Our rules require that the Commission provide notice 
to service providers, and allow them an opportunity for comment, when 
it receives FOIA requests for their NORS and DIRS filings. 47 CFR 
0.461(d)(3). Today's rules require that a participating agency provide 
the Commission, not service providers, with notice when it receives a 
request for the NORS and DIRS filings under its state or other open-
records laws. We find that the burden of requiring participating 
agencies to provide a voluminous number of new notifications to service 
providers on receipt of sharing requests (which are likely to be 
received when major outages or other public safety events are on-going) 
to be an unwarranted diversion of scarce public safety resources from 
state, Tribal Nation, and local agencies when they may be needed most. 
We further note that providers have the ability and incentive to 
monitor potential changes in confidentiality laws (where the providers 
operate) as a matter of general business practice, and we find it 
redundant and inefficient to ask participating agencies to commit their 
limited resources to this task. To address the concerns of record that 
providers would not receive notice when the Commission is notified of a 
request under state-level open records laws, Commission Staff will post 
a notification to the Commission's Electronic Filing Comment System 
(EFCS) in the present docket, on receipt of such notification from a 
participating agency, identifying the existence of the open records 
request, the jurisdiction under which the request was received and the 
service provider(s) whose filings are implicated by the request. 
Interested parties, including service providers, may use the push 
notification feature in ECFS to receive an alert when filings have been 
posted in the present docket, further facilitating prompt notification. 
We find that this approach appropriately balances providing 
notification to service providers of the existence of such requests 
with our concerns that requiring participating agencies to provide 
direct notifications to providers could be overly burdensome of scarce 
public safety resources.
    53. We recognize, however, based on these comments, a need for 
increased accountability in how participating and non-participating 
agencies use NORS and DIRS information. We therefore adopt the 
requirement that each participating agency make available for 
Commission inspection, upon Commission request, a list of all 
localities for which the agency has disclosed NORS and DIRS data. The 
Commission may, at its discretion, share such lists with the implicated 
providers. While this requirement falls short of some commenters' 
requests for additional notifications, we find that it appropriately 
balances maintaining accountability on the part of participating 
agencies with minimizing the day-to-day burden on agencies for 
participating in the sharing program.
    54. The Commission is aware that agencies that voluntarily elect to 
participate in this information sharing

[[Page 22803]]

framework may incur some costs due to the obligation to notify the 
Commission when they receive requests for NORS filings, DIRS filings, 
or related records and when there is a change in relevant statutes or 
laws that would affect the agency's ability to adhere to 
confidentiality protections. These costs include modest initial costs 
to review and revise their confidentiality protections in accordance 
with the framework we adopt in today's Order, and minimal reoccurring 
costs to notify the Commission as described above. We cannot quantify 
agency costs for these activities, which would vary based on each 
participating agency's particular circumstances, including the number 
of requests or changes in law that would necessitate notifications, as 
we lack the record evidence to quantify such benefits. This lack of 
quantification, however, does not diminish in any way the advantages of 
providing access to NORS and DIRS information to improve the safety of 
residents during times of telecommunications outage infrastructure 
distress. We conclude that the benefits of participation would likely 
exceed the costs for any agency electing to participate in today's 
framework; otherwise, such an agency could avoid such costs altogether 
by deciding not to participate in this information sharing. We find 
that the benefits attributable to providing NORS and DIRS access to 
these agencies and other parties are substantial and may have 
significant positive effects on the abilities of these entities to 
safeguard the health and safety of residents during times of natural 
disaster or other unanticipated events that impair telecommunications 
infrastructure.
    55. Moreover, we are unaware of any alternative approaches with 
lower costs, nor have any been identified by commenters, that would 
still ensure that the Commission promptly and reliably learns of the 
actions described above that may lead to the disclosure of NORS or 
DIRS-related information. Lessening the promptness or reliability of 
notifications to the Commission would disincentivize providers from 
supplying robust and fulsome NORS and DIRS reports and therefore reduce 
the benefits that those filings would provide to the Commission and 
participating agencies alike. We find that this reduction in benefits 
would outweigh the expected modest cost savings to those participating 
agencies that would be required to provide notifications under the 
framework we adopt today.

E. Preemption and its Relation to State, Federal and Other Reporting 
Requirements

    56. We reject requests from commenters that urge the Commission to 
preempt state outage reporting requirements. Some industry commenters, 
including T-Mobile and CenturyLink, generally favor preemption as they 
believe it will, among other considerations, promote uniformity in the 
outage reporting requirements they must observe. For example, T-Mobile 
states that ``[c]onsistent with its recognition that there should be 
consistency with regard to outage information available to the public, 
the Commission should preempt state laws requiring the submission of 
outage data by wireless carriers. These laws often establish different 
thresholds for trigging outage reporting and could cause public 
confusion.'' CenturyLink also comments that ``[a]pproximately 34 states 
have outage reporting requirements that, in most cases, do not align 
with the FCC's reporting criteria. Complying with these various state 
rules poses both a resource burden and a systems burden that would lack 
a corresponding benefit if states obtain outage information by 
accessing NORS/DIRS.''
    57. We note that the actions we take today would not place any new 
NORS, DIRS or state-level filing requirements on service providers and 
we find no compelling reasons to upset our information sharing 
framework by implementing any additional requirements for service 
providers at this time. We further agree with the California Public 
Utilities Commission that ``preemption is not an issue in the FNPRM,'' 
and acknowledge that because the Commission did not seek comment on 
this issue, the record on this significant Federalism question is not 
fully developed. Nothing in this paragraph is intended to narrow limit, 
or broaden a party's opportunity to seek redress under all applicable 
existing laws, including through declaratory judgement in accordance 
with 47 CFR 1.2 of or rules, on grounds that a state rule or law is 
allegedly preempted by Federal law or rule, including our part 4 outage 
reporting rules. Such rights remain undisturbed by today's Order. As we 
have indicated above, we did not seek comment on the issue of 
preemption in this proceeding, and the record here is insufficient to 
make any determinations on a need to launch further proceedings on this 
issue. For this reason, we also agree with the California Governor's 
Office of Emergency Services that ``the FCC should decline any 
invitation to broadly preempt state law because the question is outside 
the scope of the present proceeding.'' Moreover, the Commission is 
persuaded by commenters, including NASUCA, NARUC and California 
Governor's Office of Emergency Services, underscoring that, currently, 
states can determine what outage reporting requirements are most 
appropriate for their jurisdictions.

F. Safeguards for Direct Access to NORS and DIRS Filings

    58. We adopt specific safeguards to ensure the continued 
confidentiality, appropriate sharing, and limited disclosure of NORS 
and DIRS information. These safeguards include providing read-only 
access to NORS and DIRS filings, limiting the number of users with 
access to NORS and DIRS filings at participating agencies, requiring 
participating agencies to receive training on their privileges and 
obligations under the framework (such as reporting any known or 
reasonably suspected breach of protocol to the Commission and service 
providers), and potentially terminating access to agencies that misuse 
or improperly disclose NORS and DIRS data.
    59. As several record commenters express overall concerns about 
adequately securing NORS and DIRS information, our safeguards 
strategically respond to potential NORS and DIRS data security threats. 
For example, our training requirements are intended to set clear 
parameters for how agencies use NORS and DIRS filings, our limits on 
agency user accounts will help us control account access, and our 
measures to audit account access will enable us to detect and quickly 
investigate potential misuse. We expect that, collectively, these 
safeguards will protect the NORS and DIRS data we will share under our 
framework from inappropriate use and minimize the potential harm from 
data breaches as noted by certain record commenters. Based on our 
review of the record, we find that the safeguards we adopt today 
appropriately balance the need to preserve the confidentiality of NORS 
and DIRS information against the need to provide agencies with critical 
information to assist them with protecting public safety.
1. Read-Only Direct Access to NORS and DIRS and Limits on Access to 
Historical Filings
    60. In the Second Further Notice, the Commission renewed the 
Commission's proposal, first made in the 2016 Report and Order and 
Further Notice, that participating state and Federal agencies

[[Page 22804]]

be granted direct access to NORS and DIRS filings in a read-only manner 
to help prevent the improper manipulation of NORS and DIRS data. We now 
adopt this proposal, finding that this approach is vital to protecting 
NORS and DIRS filings from improper use. We observe that all industry, 
public safety organizations, and state and local government parties 
commenting on the Commission's read-only proposal agree with it, with 
some specifically noting that they believe it will be an effective 
safeguard against the improper manipulation of NORS and DIRS data. 
Further, ATIS states that it strongly supports read-only access as a 
means ``to further enhance confidentiality.'' We agree with commenters 
that granting read-only access will help reduce the risk that 
participating agencies' employees or others could make unauthorized 
modifications to the filings, whether unintentional or malicious, and 
ensure the accuracy of information shared via the information sharing 
framework.
    61. Some commenters encourage the Commission to implement 
additional technological measures to prevent the improper use of 
information, including mechanisms to limit the manipulation and 
improper access of printouts and downloadable NORS and DIRS data, such 
as placing confidentiality notifications or headers and watermarks on 
viewable and printable documents. We acknowledge that these 
recommendations would serve as useful safeguards against the improper 
use of outage data and find it would be in the public interest to 
further develop the record on the suitability of these measures and 
safeguards. We thus direct PSHSB to seek, via Public Notice, further 
information on the cost, manner and technical feasibility of 
implementing these technological measures and safeguards in NORS and 
DIRS and to make determinations on which of these measures and 
safeguards, if any, would be suitable for implementation in NORS and 
DIRS. We further delegate authority to PSHSB to implement in NORS and 
DIRS any measures and safeguards that it determines suitable and in the 
public interest based on the record developed in response to the Public 
Notice. Cognizant of the effective date of today's rules, we instruct 
the Bureau to work expeditiously to make its determinations and, if 
applicable, the associated revised implementations to NORS and DIRS. 
These implementations should not impose new regulatory requirements on 
service providers or additional conditions on agencies seeking access 
to the outage data. Nothing in this paragraph will serve as basis for 
delaying the effective date of the rules we adopt today.
    62. The Commission also acknowledges the proposal from the 
Massachusetts Department of Telecommunications and Cable that the 
Commission ``establish a mechanism for Authorized State Agencies to 
comment on and give feedback to the FCC on the shared data,'' as the 
Massachusetts Department of Telecommunications and Cable believes that 
``states may have information that does not appear in or that 
contradicts NORS or DIRS data, information which could allow the FCC to 
improve its data collection.'' We find that it is premature to 
determine whether this would be a useful feature for participating 
agencies, and we believe it is appropriate to wait until these agencies 
have had experience with NORS and DIRS before building this 
functionality into those systems. We suggest that participating 
agencies that wish to share information related to contents of NORS and 
DIRS filings instead informally contact Commission staff with their 
concerns.
    63. Access to Historical Filings. The Commission proposed in the 
Second Further Notice to grant participating agencies access only to 
those NORS and DIRS filings made after the effective date of this 
proposed information sharing framework, even if the agency begins its 
participation at a later date. We adopt this approach today.
    64. We are persuaded by industry commenters who argue that the 
Commission should not make available NORS and DIRS filings submitted 
before the effective date of the framework because the Commission 
should honor the expectation of confidentiality that providers had at 
the time they submitted them. For example, NTCA asserts that 
``providers submitted their NORS and DIRS filings with the expectation 
that only the Commission would have access to those filings.'' We 
agree, and believe it would be inappropriate in this context to adopt 
rules to allow retroactive carte blanche access to these filings by 
agencies joining the framework as providers had no notice that we would 
share such confidential information with participating agencies and 
maintained an expectation that we would withhold them from disclosure. 
We also find that providing access to filings submitted before the 
effective date of the proposal would be technically difficult to 
implement, as it would require the modification of tens of thousands of 
previously filed outage reports to ensure that access can be limited by 
jurisdiction. Nonetheless, while we decline to adopt proposals to share 
filings submitted before the effective date of the framework, we also 
agree with public safety and state government commenters that having 
access to past filings could help identify trends in outages and be 
useful to agencies in planning and responding to outages to improve 
network reliability, and we reject industry commenters like 
CenturyLink, that argue to the contrary. On balance, however, we find 
that the need to preserve the confidentiality of filings submitted 
before the effective date of the framework is stronger than any 
rationale posited to support access to these filings. We believe that 
providing participating agencies with direct access to filings 
submitted after the effective date of the framework, even if their 
participation begins at a later date, is the optimal approach as it 
provides fair notice to service providers while also providing agencies 
with information to assist them with identifying outage trends over 
time and enhance their preparedness and recovery efforts as noted above 
and in the Second Further Notice.
    65. We further note that ATIS argues that it ``does not believe 
that it is necessary to provide access to filings made before a state 
has been granted access,'' but ``should access to prior reports be made 
available,'' access to past reports should be limited to ``no earlier 
than 90 days,'' and ATIS proposes that should additional NORS and DIRS 
data be needed by participating agencies, the Commission could grant it 
``upon a showing of reasonable necessity. We reject ATIS's argument as 
we do not find that ATIS provides a compelling explanation regarding 
why limiting access to reports to no earlier than 90 days is an 
appropriate window (as opposed to another window of time). Moreover, 
the Commission does not find any harm in sharing filings older than 90 
days so long as they were made after the effective date of the 
framework, consistent with our decision today, as filers would be on 
notice of the prospect that their filings could become available to 
states that subsequently demonstrate their eligibility for access. The 
Commission also finds that requiring participating agencies to 
demonstrate a reasonable necessity for additional NORS and DIRS 
reports, as ATIS suggests, could impede efficient access to available 
NORS and DIRS filings.
2. Disclosing Aggregated NORS and DIRS Information
    66. In the Second Further Notice, the Commission proposed to allow

[[Page 22805]]

participating agencies to provide aggregated NORS and DIRS information 
to any entity including the broader public. In doing so, ``aggregated 
NORS and DIRS information'' was defined to refer to information from 
the NORS and DIRS filings of at least four service providers that has 
been aggregated and anonymized to avoid identifying any service 
providers by name or in substance.'' The Second Further Notice 
articulated several potential public safety benefits stemming from the 
public disclosure of aggregated NORS and DIRS information, including 
its use in keeping the ``public informed of on-going emergency and 
network outage situations, timelines for recovery, and geographic areas 
to avoid while disaster and emergency events are ongoing.''
    67. Based on our review of the record, we continue to expect that 
the Commission's proposal will yield these benefits and adopt it today. 
We agree with commenters that assert that appropriate use of 
aggregation can provide useful information to public safety entities 
and the public while still maintaining the confidentiality of data 
submitted by providers.'' We disagree that agencies should be permitted 
to publicly disclose NORS and DIRS data that are not aggregated and 
anonymized as proposed, and accordingly, the rules we adopt today do 
not permit data to be treated as disclosable under the definition of 
``aggregated NORS and DIRS information'' unless the data has been drawn 
from at least four service providers. Based on our experience in 
determining whether aggregated disclosure is appropriate in other 
contexts, we believe that where there are fewer than four service 
providers, the disclosure of aggregated outage information, 
particularly in combination with providers' specific knowledge of 
competitors in the region, could inadvertently reveal one service 
provider's commercially sensitive information to another. Even where 
the data is aggregated from four service providers, however, under the 
approach to disclosure we adopt today, agencies are prohibited from 
publicly disclosing such data if they cannot ensure that no one can 
derive the information of any individual company from the aggregation. 
For example, aggregating the data from four service providers may not 
sufficiently anonymize the data if one provider's data constitutes an 
overwhelming share of the total.
    68. To help mitigate concerns regarding improper aggregation due to 
lack of expertise, we include exemplar aggregated and anonymized 
reports based on hypothetical data in Appendix D. This Appendix also 
contains non-binding guidelines for aggregating NORS and DIRS data. We 
expect this Appendix will show participating agencies how to aggregate 
users and cell sites affected by outages from NORS and DIRS reports in 
a manner that ensures anonymization to prevent misuse and address any 
potential confusion participating agencies have about aggregating NORS 
and DIRS data. As stated in this Appendix, we note that aggregated data 
may not reflect the exact number of users affected by a service 
provider's outage and is only used for situational awareness, and 
agencies' failure to properly aggregate data could lead to the improper 
disclosure of service providers' confidential information and may 
result in termination of their access to NORS and DIRS filings by the 
Commission. We believe that with the guidance we provide agencies 
today, they will be able to aggregate and anonymize NORS and DIRS data 
in accordance with our rules.
    69. Several commenters have urged the Commission to adopt a broader 
definition of aggregation to enable aggregation in what they have 
described as the numerous areas that have fewer than four providers. 
For example, the California Public Utilities Commission comments that 
the ``proposal fails to consider aggregation in the many instances 
where an area is only served by two major wireline service providers.'' 
Allowing the public dissemination of NORS and DIRS information where 
there are only two providers, for example, however, would unnecessarily 
reveal confidential information about each of those providers to the 
other. We believe that the dangers posed by such disclosure 
substantially outweigh the benefits of disclosure to the public, given 
the availability of the data to participating agencies. We recognize 
that an agency's ability to provide aggregated information may depend 
on the types (e.g., wireless or wireline) and numbers of providers 
serving a region and the unique circumstances of an outage; there, 
however, aggregated disclosure may be possible without an unauthorized 
disclosure of confidential information given the multiple providers of 
each type and at least four providers overall. Even so, there may be 
situations where, for an example, an outage affects only the two 
wireline providers in an area, and not the two wireless providers. In 
that case, only the two wireline providers would be filing reports, and 
any aggregation of their data would fall short of the four-or-more 
provider requirement for public disclosure. We find that this approach 
is necessary to ensure the confidentiality of NORS and DIRS information 
and strikes a reasonable balance between the relevant policy 
considerations. This policy does not override agreements certain 
wireless providers have made with the Commission regarding the use of 
aggregated DIRS data consistent with the Wireless Network Resiliency 
Cooperative Framework.
    70. We reject one commenter's proposal that, if aggregated data may 
not be disclosed because of an insufficient number of providers, then 
the Commission should first conduct a ``risk assessment'' to determine 
how adversely affected the public would be by not receiving such data, 
and second, if the risk assessment shows harm, then the Commission 
should modify its ``need to know'' approach by disclosing information 
under a protective order to ``public safety officials, researchers, and 
public interest representatives.'' As a threshold matter, it is unclear 
what this commenter means by ``risk assessment,'' what specific metrics 
this commenter believes the ``risk assessment'' would use to measure 
what it refers to as ``the impact of disparate access,'' and what costs 
are associated with such an assessment to the Commission. To the extent 
this commenter is suggesting that such a risk assessment be used to 
identify parties that would qualify under the ``need-to-know'' standard 
as recipients of confidential information, we believe it is more 
appropriate to rely on state agencies to employ our new rules to share 
outage information downstream to the extent necessary to address an 
emergency situation for all affected within the community. We 
anticipate that, in the appropriate circumstances, public safety 
officials downstream from a participating state agency might have a 
``need to know'' and may thus obtain confidential outage information 
from such an agency that has determined it permissible under our rules 
to share such information in this manner. It is perhaps less likely, 
however, that public interest organizations or researchers would 
qualify for such sharing under our rules. Insofar as this commenter 
would have us relax the ``need-to know'' requirements to allow such 
expanded sharing, we reject that proposal, as we believe that the 
balance we have struck between disclosure of some information to 
facilitate localized responses to emergencies and service outages 
caused by them, on the one hand, and the protection of sensitive data 
from unnecessary disclosure, on the other, will best serve the overall 
public

[[Page 22806]]

interest. We also note that no commenter has recommended a practical 
alternative to the Commission's proposal that would enable aggregation 
at a lower threshold while ensuring that national security and 
competitive concerns are addressed. Additionally, we note that under 
the Commission's proposal, participating agencies in areas with fewer 
than four communications providers have access to this data for public 
safety purposes consistent with the rules we adopt today; they simply 
may not disclose the data publicly.
    71. ATIS and SIA argue that the Commission, instead of 
participating agencies, should produce or approve aggregated reports 
for public dissemination consistent with its existing practices and 
because of the Commission's expertise with issuing these reports. We 
reject these proposals. As dozens--or hundreds--of agencies might 
participate in the information sharing framework, and there could be 
several potential emergencies, and the need for prompt resolution of 
those emergencies and related outages, we find that it would be 
impractical and administratively burdensome for the Commission to 
produce aggregated and anonymized reports on behalf of all 
participating agencies seeking to publicly disseminate aggregated 
reports under the Commission's proposal.
    72. We note that T-Mobile also contends that aggregated data should 
be disclosed only by the Commission because, among other 
considerations, ``public disclosure by agencies other than the FCC 
could ultimately mislead or confuse the public'' during times of 
crises. T-Mobile asserts that agencies' unfamiliarity with the data can 
lead to agencies either misinterpreting the data or producing 
aggregated data reports that differ from each other, and that ``these 
disparate reports would most likely cause confusion and potentially 
hinder, rather than help, situational awareness.'' T-Mobile further 
argues that as an alternative, the Commission should share data it 
already aggregates, such as the aggregated DIRS reports it publishes on 
its website. We reject T-Mobile's arguments. We find that, like the 
Commission, participating agencies with a ``need to know'' have or will 
quickly develop the necessary expertise to be able to understand NORS 
and DIRS information, coordinate with the Commission and regional 
partners where necessary, and release information to the public in a 
responsible way. For example, while NORS and DIRS filings often 
estimate the potential impact of service disruptions rather than 
reflect the exact number of users affected by an outage, those 
estimates can still effectively inform the public's understanding about 
the effect outages across several providers following a disaster and we 
expect that participating agencies will be able to communicate that 
information to the public in a productive way.
    73. We do not agree that existing Commission data aggregations can 
replace state and local agencies' needs to inform the public about 
outages and infrastructure status. For example, we anticipate that some 
agencies will determine it is appropriate to release information to the 
public more frequently than once a day or in specific regions not 
covered by the Commission's public DIRS reports or any aggregations of 
outage data that it might prepare. Also, as we stated above, we believe 
that it would be impractical and administratively burdensome for the 
Commission itself to fulfill requests to aggregate NORS and DIRS data 
from potentially numerous participating agencies, and such an approach 
could delay the Commission's assistance with resolution of the 
underlying emergencies prompting the need to share the reports. To the 
extent that the Commission identifies any instances of an agency using 
NORS or DIRS information in an improper way, it will take steps to 
ensure that improper disclosure does not occur in the future.
3. Direct Access to NORS and DIRS Filings Based on Jurisdiction
    74. In the Second Further Notice, the Commission acknowledged that 
outages and disasters can cross multiple jurisdictional boundaries and 
therefore proposed enabling a participating agency to receive direct 
access to all NORS notifications, initial reports, and final reports 
and all DIRS filings for events reported to occur at least partially in 
their jurisdiction including multistate outages. We also proposed 
enabling participating agencies to receive access to NORS and DIRS 
filings for outage events and disasters that occur in portions of their 
jurisdictions but also span across additional states. We sought comment 
on, inter alia, whether participating agencies would make use of NORS 
and DIRS filings that affect states beyond their own, whether 
participating agencies have a ``need to know'' about the effects of 
multistate outages and infrastructure status outside their 
jurisdiction, and whether any harms could potentially arise from 
granting a participating agency access to multistate outage and 
infrastructure information.
    75. We adopt these proposals today as we expect they will enhance 
public safety by providing agencies with thorough information regarding 
outages to aid in their response and recovery coordination efforts. 
Several public safety and state government commenters support granting 
participating agencies multistate outage information about outages 
occurring at least partially in their jurisdictions. We agree with 
these commenters that access to this information would ensure that 
participating agencies have a complete picture of outages and their 
causes and would improve coordination between jurisdictions in response 
to disasters. We also agree with the Pennsylvania Public Utility 
Commission that participating agencies are ultimately in the best 
position to determine what effects of multistate outages and 
infrastructure status outside their jurisdiction are relevant to 
informing their responses to the event.
    76. We disagree with commenters that argue that state access should 
be restricted to outage reports for those portions of events occurring 
in that state. For example, the Competitive Carriers Association 
contends that ``any decision to allow access to information about 
adjacent states should be made on a case-by-case basis only upon a 
showing of need,'' as it believes ``such geographic limitation is an 
important mechanism for the Commission to ensure that data is used only 
for intended purposes.'' We find that participating agencies would be 
better able to address public safety matters, including by improving 
their outreach and coordination with other jurisdictions in response to 
disasters, if they have a more complete picture of outages and their 
causes. ATIS further urges the Commission to prohibit the sharing of 
data from multistate events with agencies until it addresses how to 
effectuate this change in NORS. We also find that modifying NORS forms 
to allow users to select more than one state when submitting a NORS 
filing, as discussed further below, will be adequate to allow the 
Commission to ensure that participating agencies can only access 
filings for outages that at occur least partially in their 
jurisdiction.
    77. Sharing of Complete NORS and DIRS Reports and Filings. In their 
comments concerning the scope and type of confidential information that 
should be shared with participating agencies, some industry commenters 
opine that some reports and fields in NORS and DIRS, such as root cause 
analyses, sympathy reports, reports on simplex events, contact 
information, and equipment types, are irrelevant and likely to cause 
confusion and contain confidential information. ATIS also

[[Page 22807]]

states information regarding ``special offices and facilities in 
Telecommunications Service Priorities (TSP) 1 and 2'' in NORS filings 
``provide no relevant public safety information and should therefore 
not be shared with state agencies.'' A sympathy report contains 
information regarding a service outage that was caused by a failure in 
the network of another company. A simplex report contains information 
about which diversity of resources prevented a failure in a network 
from causing a loss of service. TSP is an FCC program that directs 
telecommunications service providers to give preferential treatment to 
users enrolled in the program when they need to add new lines or have 
their lines restored following a disruption of service, regardless of 
the cause. In NORS, providers can indicate if TSP was involved during 
service restoration. A root cause analysis indicates the underlying 
reason why the outage occurred or why the outage was reportable. CTIA 
and Verizon recommend the Commission convene a workshop to discuss 
practices for inter-jurisdictional sharing of information, which 
USTelecom supports as a way to determine what information is necessary 
to share.
    78. On review, we reject most commenters' proposals to share only 
certain types of outage filings made in NORS and DIRS and reject 
proposals to convene workshops to identify the appropriate types of 
NORS and DIRS data to share. We agree with ATIS that reports related to 
simplex events as contained in NORS filings should not be shared with 
participating agencies. These reports contain information that helps 
identify which diversity of resources prevented a failure in a network 
from causing a loss of service, which could be helpful for analyzing 
trends in outages, but we find that this information is not immediately 
relevant to emergency response. However, we note that sympathy reports 
and reports containing information about TSPs contain actionable 
information on outages that could be of use to public safety officials 
for emergency response or service restoration and we decline to exclude 
these reports from NORS filings. For example, sympathy reports contain 
information regarding service outages that, while caused by a failure 
in the network of another provider, nonetheless have an effect on the 
reporting service provider that may have public safety implications. 
Moreover, information about TSPs may be helpful to emergency response 
officials to indicate which repairs are being prioritized by service 
providers.
    79. For the NORS filings that are shared with participating 
agencies, including notifications, initial and final reports, we find 
that their contents about service outages, such as dates and times of 
incidents, geographic areas affected, effects of outages on 911 
service, the numbers of potentially affected users, and causes 
(including information about any affected equipment) are highly 
relevant to agencies that seek to increase their situational awareness 
of emergency events and coordinate disaster response and recovery 
efforts. Furthermore, in response to several commenters' position that 
some fields in NORS reports are too sensitive or confusing to share and 
should be excluded, we expect participating agencies will be able to 
discern which information from various types of NORS and DIRS filings 
is relevant to their own circumstances during various stages of public 
safety events, particularly as we expect that participating agencies 
will possess sufficient technical and operational expertise to 
understand the information that some commenters maintain could be 
confusing. We also find that the confidentiality requirements and 
safeguards we adopt today will protect sensitive NORS information from 
improper use and disclosure. We recognize that, once the information 
sharing framework becomes effective, participating agencies may 
initially engage the Commission (and potentially service providers, 
through their existing relationships) with questions about NORS and 
DIRS data, which will lead to more effective use of all types NORS and 
DIRS filings over time.
    80. We specifically reject the view that all of a service 
providers' contact information should be excluded in the NORS and DIRS 
filings and information we share with participating agencies. As noted 
by the Michigan Public Service Commission, we expect that agencies' 
technical staff will review NORS and DIRS filings and that the staff 
will occasionally require contact with providers experiencing outages 
in their jurisdiction to better understand and resolve substantive 
issues. Because we expect that agencies will analyze NORS and DIRS 
information in similar ways to the Commission, we disagree with ATIS's 
view that all contact information supplied to the Commission with a 
filing should be excluded from sharing. However, we agree with 
commenters that it is unnecessary to share with participating agencies 
the contact information of those individuals that solely file NORS or 
DIRS information and do not have substantive details to share about an 
outage or infrastructure status. We find that this approach strikes an 
appropriate balance between ensuring participating agencies have access 
to the substantive information they need and avoiding unproductive 
contact that can potentially distract from the making of timely 
filings. We note that, currently, NORS and DIRS give providers the 
option to list primary (or first) and secondary contacts, either for an 
outage (NORS) or generally for the provider (DIRS). We clarify that the 
providers should enter as their primary contact an individual that they 
specifically designate for substantive follow-up discussion about an 
outage or about infrastructure status. For the secondary contact, 
providers should identify the individual who undertakes the 
administrative task of preparing and filing applicable reports in NORS 
and DIRS. By following this guidance, providers can help ensure 
consistency in the communications between themselves and participating 
agencies.
    81. Tribal Nation Government Agency/State Agency Access to 
Multistate Event Data. In the Second Further Notice, the Commission 
asked whether a participating Federally recognized Tribal Nation agency 
that receives direct access to NORS and DIRS filings has a ``need to 
know'' about events that occur entirely outside of its borders but 
within the border of the state where the Tribal land is located, or if 
a state agency should ``receive direct access to NORS and DIRS filings 
reflecting events occurring entirely within Tribal land located in the 
state's boundaries. The Commission further asked whether any harms 
could ``arise from granting Tribal Nation authorities access to outage 
and infrastructure information outside of their territories,'' and 
sought comment on whether ``Tribal Nation authorities' access to NORS 
and DIRS filings should be limited only to those aspects of multistate 
outages that occur solely in their territories.''
    82. NASNA and the Colorado Public Utilities Commission, the only 
two commenters opining specifically on this issue, both agree that a 
Federally recognized Tribal Nation agency that receives direct access 
to NORS and DIRS filings can have a `need to know' about events that 
occur entirely outside of its borders but within the border of the 
state where the Tribal land is located. We are persuaded by NASNA and 
the Colorado Public Utilities Commission's comments and note that no 
commenter opposes this approach. We adopt the proposal that a Federally 
recognized Tribal Nation agency may

[[Page 22808]]

receive direct access to NORS and DIRS filings for events that occur 
entirely outside of its borders but within the borders of the state 
where the Tribal land is located and, conversely, that a state agency 
receive direct access to these filings reflecting events occurring 
entirely within Tribal land located in the state's boundaries to the 
extent these filings are available, and access would not impinge upon 
Tribal sovereignty. We also grant Tribal Nation agencies direct access 
to NORS and DIRS filings for outage events and disasters that occur in 
portions of their jurisdictions but also span across additional states. 
As the Commission stated in the Second Further Notice, because of the 
technical nature of many outages, equipment located in a Tribal land 
could impact service in the states in which Tribal lands are located, 
and we expect this action to enhance the situational awareness of 
Tribal Nations, and the states in which they are located, regarding 
service outages and thereby improve public safety. We note that NASNA 
supports the Commission's proposal to give state agencies direct access 
to NORS and DIRS filings for events occurring entirely within Tribal 
land located in a state's boundaries to improve information sharing 
between states and Tribal nations. NASNA states that ``it would be most 
efficient to allow direct access to data that relates to incidents 
within a state agency's state boundaries, and to a tribal entity's 
tribal jurisdiction,'' and comments that this approach ``gives the 
states and tribal entities the ability to share data when it is 
appropriate.'' We note that this approach does not impact Tribal 
sovereignty as under our framework, outage data will be provided in the 
first instance by the provider to the FCC, and only thereafter shared 
with a Tribal entity.
    83. Technical Implementation. In the Second Further Notice, the 
Commission sought comment on aspects of the technical implementation of 
its proposals regarding direct access to NORS and DIRS filings based on 
jurisdiction, including its assertion that service providers would 
incur minimal, if any, burdens related to DIRS because they would not 
need to modify their DIRS reporting processes to accommodate multistate 
reporting. The Commission also proposed changing the Commission's NORS 
form to allow users to select more than one state when submitting a 
NORS filing, consistent with the proposal to allow access to outages 
that span multiple states. The Commission estimated the cost of such a 
change for the nation's service providers to be $3.2 million and sought 
comment on this proposal and any potential alternatives, including any 
necessary adjustments to account for Tribal land borders. While a few 
commenters expressed concerns about the accuracy of estimated costs to 
service providers, no commenters provided cost data or analysis to 
support their concerns or rebut the Commission's cost estimates. 
Similarly, while some state agency and advocacy organizations expressed 
concerns that it will be burdensome for voluntarily participating 
agencies to relay information they retrieve from the NORS and DIRS 
databases to ``downstream'' entities, none of these entities attempt to 
quantify the costs associated with these activities. In the absence of 
any cost analyses or other cost data quantifying alternative cost 
estimates, the Commission continues to rely upon the estimates 
discussed in the Second Further Notice indicating that the nation's 
service providers will incur total initial set up costs of $3.2 million 
based on the Commission's estimate of 1,000 service provider incurring 
costs of $80 per hour and spending 40 hours to implement update or 
revise their software used to report outages to the Commission in NORS 
and DIRS.
    84. We thus adopt this proposal consistent with our view that it 
will allow the Commission to effectuate our provision of access to 
filings for outages that span more than one state, and we conclude that 
the benefits of today's program far exceed the costs. We note that 
commenters did not address the Commission's assessment that service 
providers would likely incur minimal to no costs to accommodate DIRS 
reporting as DIRS form already requests filers to include data at the 
county level. However, most parties commenting on the Commission's 
proposed NORS modification support the NORS modification. For example, 
NCTA supports this approach because it allows the Commission to limit 
participating agencies' access to information about those outages that 
occur within their jurisdiction. Furthermore, CenturyLink states that 
also it prefers this approach, provided that the Commission does not 
require state-specific impacts to be broken out for each reported 
outage. This change in NORS reporting can be accomplished without 
revising section 4.2 of our rules as section 4.11 of our rules already 
requires that, inter alia, communications providers supply, in their 
NORS filings to the Commission, information on the geographic area 
affected by an outage using the Commission's approved Web-based outage 
reporting templates. Here, the Commission is merely updating the form 
of its templates to further facilitate jurisdiction-specific access.''
    85. We note that NTCA ``recommends the Commission undertake a cost 
benefit analysis of any proposed changes to the method in which 
providers submit information into the NORS and DIRS systems to ensure 
any burdens imposed on providers caused by having to modify the way 
they report outages and any additional time needed to report outages to 
meet any new requirements are outweighed by the benefit to public 
safety.'' As we note above, we have performed this analysis and find 
that the changes we adopt today ensure that the burdens imposed on 
providers are outweighed by the public safety benefits of our 
information sharing framework. We further acknowledge commenters' 
proposals to include Tribal Nation agencies in the list of 
jurisdictions for providers to choose from in NORS. However, we decline 
to adopt these proposals because we find that it would be 
administratively burdensome and difficult to continuously track the 
full extent of existing Tribal Nation agencies to include and update in 
NORS. However, we note that the approach we adopt above, to give Tribal 
Nation agencies access to outage reports within the border of the state 
where the Tribal land is located, would achieve the same goals in a 
less burdensome manner.
    86. Additionally, in the Second Further Notice, the Commission 
asked, as an alternative, whether it should require service providers 
to submit several state-specific filings instead of submitting single 
aggregated filings for each outage that list all affected states. All 
parties commenting on this issue disagree with this approach and assert 
that it would increase reporting burdens on service providers. NASNA 
notes that this proposal ``certainly seems less efficient and more time 
consuming for the providers than making the proposed change to the 
Commission's reporting form, but since the end result to the 
participating state agencies is the same, NASNA leaves it to the 
providers to express its preference on this matter.'' CoPUC's comments 
echo NASNA's on this issue. Based on our review of the record, we are 
persuaded by comments underscoring the burdens this approach would 
impose on service providers and, thus, we decline to adopt it.

4. Limiting the Number of User Accounts per Participating Agency

    87. Presumptive Limits on User Accounts. In the Second Further 
Notice, the Commission proposed to presumptively limit the number of 
user

[[Page 22809]]

accounts granted to a participating agency to five accounts for NORS 
and DIRS access per state or Federal agency with additional accounts 
permitted on an agency's reasonable showing of need. Furthermore, to 
``reduce the reliance of any one agency on another by allowing each to 
apply for direct access to NORS and DIRS filings,'' the Commission also 
proposed, in the Second Further Notice, that the Commission review all 
reasonable requests from state and Federal agencies, rather than 
proposing a presumptive limit on the number of participating agencies 
eligible for direct access to NORS and DIRS filings.
    88. We adopt the Commission's proposals today as we find that that 
they will limit access to NORS and DIRS information to the employees 
that are intended to receive it and allow participating agencies to 
identify misuse by specific employees. Colorado Public Utilities 
Commission and NASNA recommend that the language of the Commission's 
proposal be clarified to read that ``access should be up to five 
employees per agency, not per state.'' We adopt this clarification 
today for precision. We note that the majority of record commenters 
support the Commission's proposal to presumptively limit the number of 
user accounts, underscoring the Second Further Notice's assertion that 
it is an important safeguard to minimize the potential for over-
disclosure of sensitive information. For example, ACA Connects notes 
that implementing this measure will ``limit the risk of improper use or 
disclosure of the data.'' However, we disagree with ATIS that we should 
``better define what a `reasonable showing of need' would entail'' for 
granting additional accounts to agencies. While some factors that we 
expect could help demonstrate a reasonable showing of need include the 
jurisdictional area that an agency serves or the number of public 
safety functions for which it is responsible, we decline to require or 
define specific factors and will decide all requests on a case-by-case 
basis.
    89. NASNA and the Colorado Public Utilities Commission support the 
Commission's proposals to review all requests for direct access from 
eligible agencies and not to restrict the number of potentially 
participating agencies. Verizon argues that the ``Commission should 
adopt a presumption that two agencies within a state may have access to 
the reports,'' as it asserts this action ``would better reflect that 
most states maintain both a single regulatory commission with some 
public safety-related responsibilities and a statewide executive branch 
emergency management agency.'' Verizon further argues that the 
``Commission would have discretion to expand this number upon a good 
faith showing as this governance structure may vary among states, but 
reducing the presumptive number would help incent different state 
agencies to coordinate their information gathering efforts in advance 
of major outage events.''
    90. We reject Verizon's proposal that the Commission adopt a 
presumption that two agencies within a state may have access to NORS 
and DIRS filings. We expect that participating agencies will indicate, 
in their application for access, the legal authority that charges them 
with promoting the protection of life or property. This showing will 
allow us to best assess whether specific state agencies should have 
access to these filings. We also find that allowing only two entities 
to have access to NORS and DIRS filings could necessitate a competitive 
process to determine which agency would get selected, which would delay 
access, not have clear standards, and may lead to disharmony among 
agencies that need to coordinate and cooperate. Additionally, we find 
that granting access to all qualifying agencies will make each of those 
entities more accountable to the Commission as they would have to bind 
themselves to the program's requirements when signing the 
certification.
    91. Agency Assignment and Management of User Accounts. The Second 
Further Notice proposed requiring that ``an agency assign each user 
account to a unique employee and manage the process of reassigning user 
accounts as its roster of employees changes.'' As we continue to find 
that these proposals will minimize the improper use of NORS and DIRS 
information and give participating agencies flexibility for managing 
user accounts, we adopt them with certain modifications to further 
strengthen our account management requirements. The Commission will 
retain for its records the unique account identifiers associated with 
each agency. We note that while ATIS specifically expresses support for 
the Second Further Notice's proposal that agencies assign user accounts 
to employees and manage the reassignment process for these accounts, 
most commenters do not rebut the necessity of these proposals to 
protect against improper disclosure. However, some industry commenters 
propose placing additional limitations on agency access to prevent 
improper use, which we adopt or reject infra.
    92. AT&T recommends the Commission designate a ``coordinator'' to 
be responsible for ``an agency's access to confidential NORS/DIRS 
information,'' as it believes this will ``ensure that each potential 
recipient has a `need to know' basis for access to the information, the 
recipient understands the duty to maintain confidentiality, and the 
information will be destroyed in a secure manner when there is no 
longer a need to know.'' AT&T states that after designation ``the 
coordinator would have the ability to approve additional requests for 
access credentials for personnel from that agency,'' and that this 
``approach would allow downstream sharing of information by the 
coordinator who would be best positioned to ensure that recipients have 
a `need to know.' '' AT&T further argues that a ``similar procedure has 
worked well in the context of the 911 Reliability Certification 
System,'' and states that for that procedure, ``the potential 
information recipient sends a request to a designated FCC staff member 
to receive coordinator status and these requests are handled on case-
by-case basis.'' No commenters oppose AT&T's recommendation.
    93. We adopt AT&T's recommendation as we find that it would help 
facilitate the efficient administration of our framework and provide 
additional safeguards to protect NORS and DIRS data for the reasons it 
describes. Therefore, we will require participating agencies, in the 
Certification Form (Appendix C) we adopt today, to indicate the name 
and contact information of their agency coordinator. We will require 
this agency employee to serve as their agency's point of contact for 
all matters related to their agency's framework access, including 
managing agency accounts, submitting requests for additional user 
accounts, coordinating downstream sharing consistent with our rules, 
coordinating with the Commission to manage any unauthorized access 
incidents, and taking reasonable efforts to make available for 
Commission inspection a list of all localities for which the agency has 
disclosed NORS and DIRS data.
    94. Several commenters recommend the implementation of auditing and 
reporting measures to minimize improper use. For example, ATIS 
recommends that ``the Commission require states to conduct an internal 
audit every six months . . . of individuals with access to determine 
whether these accounts are still necessary and to require personnel to 
regularly update passwords,'' and that ``the results of this audit 
should be shared with the Commission.'' CTIA recommends that the 
Commission ``develop a process for regularly

[[Page 22810]]

auditing accounts it has granted to public safety stakeholder agencies 
and sharing the results of this process with providers that file 
reports to NORS and DIRS.'' USTelecom proposes that the framework 
``contain regular reports that provide a record of how many active 
accounts are maintained by each agency and the number of reports 
accessed by each,'' and that ``upon request, and in a reasonable time 
frame,'' the Commission ``provide reports to carriers listing which 
Federal or state government agency accounts have accessed their NORS or 
DIRS outage data.'' Moreover, NCTA recommends suspending ``individual 
user access if an individual has not accessed NORS or DIRS within a 12-
month period.'' We reject all commenters' auditing and report 
production proposals as they would place undue obligations on the 
Commission and participating agencies and could be financially 
prohibitive. We further find that requiring the suspension of access to 
users that are inactive over 12 months is too prescriptive. For 
example, given the sporadic nature of disasters and emergency events, 
users at some participating agencies might not access NORS and DIRS 
filings for over a year.
    95. Additionally, to increase account security, several parties 
make proposals that recommend the tracking of how users access NORS and 
DIRS filings. For instance, NTCA recommends requiring ``agencies 
accessing the filings to track the name of the authorized individual 
within the agency that accessed information and when.'' CTIA states 
that the ``Commission should ensure that adequate tools are available 
to aid investigations after data breaches,'' and opines that ``one such 
tool is an audit log for the NORS and DIRS database, recording which 
data was accessed, when, and by whom.'' NCTA recommends that 
``reporting service providers should be able through online access to 
obtain information identifying both the agencies and the user accounts 
that accessed their information.'' We adopt CTIA's approach and will 
develop auditing capabilities into NORS and DIRS that track which 
reports specific users access and when they are accessed. We note that 
no commenters oppose this approach. We believe this will allow the 
Commission to maintain effective oversight as to how NORS and DIRS are 
used, including following an incident involving unauthorized access. We 
believe that this approach will be less burdensome on participating 
agencies than the approaches recommended by NTCA and NCTA, 
respectively. We acknowledge however the contentions of commenters who 
have argued that service providers should have access to these logs so 
that they can determine whether their data has been mishandled. We find 
that service providers have a legitimate interest in ensuring that 
their presumptively confidential data is handled appropriately even as 
we remain wary that service providers could use such information to 
burden participating agencies with queries based on the logs, 
particularly during times of exigency. Therefore, we delegate authority 
to PSHSB to consider written requests from service providers for access 
to audit logs regarding their own records on a case-by-case basis and 
to release requested information to the requesting service provider 
only if PSHSB determines that doing so would be in the public interest. 
A service provider's written request must explain the specific 
circumstances that the provider believes warrants its access to audit 
logs and identify, with particularity, the requested date ranges and 
entities covered by in the request.
5. Training Requirements
    96. In the Second Further Notice, the Commission proposed that each 
individual granted a user account for direct access to NORS and DIRS 
filings be required to complete security training on the proper access, 
use of, and compliance with safeguards to protect these filings prior 
to being granted initial access, and that this training occur on an 
annual basis thereafter to make the framework more effective and reduce 
the risk of over-disclosure of NORS and DIRS information. Furthermore, 
the Commission sought comment on whether anyone who receives 
confidential NORS and DIRS information, including downstream 
recipients, be required to complete formal training. We adopt a 
proposed training requirement today, and note that an overwhelming 
number of commenters submit that some form of training is necessary for 
participating agencies to ensure the appropriate uses of NORS and DIRS 
data and minimize over-disclosure, and believe participating agencies 
should certify that they have undertaken security training consistent 
with the Commission's requirements. For example, the Public Service 
Commission of the District of Columbia opines that it ``agrees with the 
FCC and many commenters that training of authorized state agency staff 
about NORS and DIRS reporting is important to ensure proper treatment 
of NORS and DIRS information.'' The Competitive Carriers Association 
states that it ``supports the Commission's proposal to mandate annual 
security trainings to agency personnel accessing the data,'' and that 
``considering the sensitive nature of NORS and DIRS data, regular 
security trainings will help ensure safeguards are adhered to and that 
information remains protected.''
    97. We acknowledge that the Michigan Public Service Commission 
states that it ``does not support the proposal for annual training 
requirements as currently discussed in the FNPRM,'' as it contends that 
if ``there are to be annual certifications to access NORS and DIRS 
outage information, the MPSC believes that any required training should 
be free of charge to applicants and centrally located or made available 
online.'' The IACP also recommends that ``any required training be 
accessible on-line and be time limited to that which is necessary to 
cover the points required.'' As we decline to prescribe specific 
training or platforms that agencies must use to facilitate training, we 
respond to the Michigan Public Service Commission's concerns by noting 
that we expect that the implementation of our training requirements, as 
discussed below, will give agencies the opportunity to tailor training 
programs to their unique needs, including considerations of cost.
    98. Furthermore, in the Second Further Notice, the Commission 
sought comment on whether anyone who receives confidential NORS and 
DIRS information, including downstream recipients, should be required 
to complete formal training. While we decline to adopt a formal 
training requirement for downstream recipients, we will require 
participating agencies to instruct downstream recipients to keep NORS 
and DIRS information they receive as confidential and obtain a 
certification from downstream entities that they will treat the 
information as confidential.
    99. We note that commenters are divided on this issue. For example, 
while the Pennsylvania Public Utilities Commission and the Satellite 
Industry Association maintain that downstream training should be 
required to ensure that downstream recipients understand the 
consequences of downstream sharing and to reduce the risk of the 
mishandling of NORS and DIRS information. NASNA and the Colorado Public 
Utilities Commission disagree. For example, the Colorado Public 
Utilities Commission states that ``there are potentially hundreds of 
individual agencies throughout the state that may have a ``need to 
know'' during a disaster

[[Page 22811]]

or large-scale emergency, and requiring each of those agencies to have 
individuals undertake a multi-hour training prior to receiving the 
information is unreasonable,'' and further argues that it ``would also 
be unduly burdensome for the participating state agency to keep track 
of who has had training, who hasn't, and whether annual refresher 
training has been maintained.'' As an alternative to downstream 
training, the Colorado Public Utilities Commission and NASNA suggest 
that a participating agency ``be allowed to develop an affidavit to be 
signed by subrecipients prior to the receipt of confidential 
information, acknowledging that they understand that un-anonymized data 
is confidential and that it is not to be shared.''
    100. We are persuaded by NASNA and the Colorado Public Utilities 
Commission's assertion that a downstream training requirement would be 
unreasonable, given the potentially hundreds of downstream entities 
that might receive information through the framework. However, we find 
that providing downstream access with insufficient safeguards could 
amplify the possibility of unauthorized disclosure, particularly 
because downstream entities will have less experience with protecting 
NORS and DIRS data than participating agencies. Therefore, we also 
agree with NASNA and the Colorado Public Utilities Commission's 
alternative approach.
    101. We will require participating agencies sharing data with 
entities that have a ``need to know'' to instruct these entities that 
they must treat the information as confidential, not disclose it absent 
a finding by the Commission that allows it to do so, report any 
unauthorized access, and securely destroy the information when the 
public safety event that warrants its access to the information has 
concluded. We delegate authority to PSHSB to develop a certification 
for use by participating agencies. Furthermore, as we explain infra, we 
will hold participating agencies responsible for inappropriate 
disclosures of NORS and DIRS information by the non-participating 
agencies with which they share it. We will also require participating 
agencies to obtain non-participating agencies' certification, under the 
penalty of perjury, that they will abide by these restrictions.
    102. We note that NTCA ``encourages the Commission to adopt rules 
requiring any local, state or Federal personnel with access to NORS and 
DIRS filings sign a certification attesting they have undertaken 
security training consistent with the Commission's recommendation . . . 
and will access and use the information only for the public safety 
purposes for which it is intended.'' We find that our downstream 
training requirements that we adopt today, along with the required 
Certification Form we discuss infra, provides for adequate training of 
personnel, enables us to obtain appropriate acknowledgment from 
agencies regarding their efforts to train employees on the appropriate 
uses of NORS and DIRS information. Consistent with NCTA's proposal, the 
Certification Form as described infra will require participating 
agencies granted access to certify that they have completed security 
training and will use NORS and DIRS information for public safety 
purposes only. However, we decline to adopt this requirement for local 
personnel through the Certification Form as we are not requiring 
training for downstream entities granted access to NORS and DIRS 
information by participating agencies, and we will require 
participating agencies to obtain a separate certification from these 
entities regarding the appropriate use of NORS and DIRS information as 
described above.
    103. Agency Compliance with Training Requirements. In the Second 
Further Notice, the Commission sought comment on requiring third-party 
audits to ``ensure that state and Federal agencies' training programs 
comply with the Commission's proposed required program elements'' and 
asked ``what specific steps should the Commission take, if any, to 
ensure the adequacy of such programs.'' ATIS ``urges the Commission to 
consider reviewing and formally approving all training programs to 
ensure that they are effective and address all relevant issues.'' NASNA 
and the Colorado Public Utilities Commission believe that in lieu of 
requiring third-party audits of partner training programs, 
participating agencies should provide a copy of their training 
curriculum to the FCC. For example, NASNA states that if ``the FCC 
requires reassurance that participating agencies are meeting training 
requirements, those agencies could be required to provide a copy of its 
training curriculum to the FCC and attest that all employees within the 
agency are required to complete the training prior to applying for an 
account,'' and that the ``same requirement could exist for the annual 
refresher training requirement.''
    104. We adopt a requirement, consistent with NASNA and the Colorado 
Public Utilities Commission's proposal, to require participating 
agencies to make copies of their training curriculum available for the 
Commission's review upon request. We are persuaded that is approach 
will be the most effective way for the Commission to confirm the 
adequacy of state and Federal training programs, and mandate 
remediation as necessary, without burdening participating agencies with 
a requirement to procure third-party audits. We will not require 
advance review and approval of agencies' training materials by the 
Commission, as we find that doing so would be administratively 
burdensome to the Commission and prevent efficient access to NORS and 
DIRS information. We also find that requiring advance review is 
unnecessary, as we believe that requiring agencies to certify to the 
adequacy of their training programs, as discussed infra, is sufficient 
to ensure that the plans' adequacy.
    105. Training Program Required Elements and Exemplars. In the 
Second Further Notice, the Commission proposed that rather than 
mandating an agency's use of a specific training program, agencies 
``develop their own training program or rely on an outside training 
program that covers, at a minimum, specific topics or ''program 
elements. These program elements are: ``(i) Procedures and requirements 
for accessing NORS and DIRS filings; (ii) parameters by which agency 
employees may share confidential and aggregated NORS and DIRS 
information; (iii) initial and continuing requirements to receive 
trainings; (iv) notification that failure to abide by the required 
program elements will result in personal or agency termination of 
access to NORS and DIRS filings and liability to service providers and 
third-parties under applicable state and Federal law; and (v) 
notification to the Commission, at its designated email address, 
concerning any questions, concerns, account management issues, 
reporting any known or reasonably suspected breach of protocol and, if 
needed, requesting service providers' contact information upon learning 
of a known or reasonably suspected breach.'' Additionally, the 
Commission proposed ``that [it] direct PSHSB to identify one or more 
exemplar training programs which would satisfy the required program 
elements.'' We adopt these proposals today with slight modifications as 
we continue to find that they are critical to ensuring participating 
agencies' comprehensive understanding of our information sharing 
framework. Specifically, we adopt a requirement that participating 
agencies' training programs must cover the five program elements that 
the Commission identified in the Second Further Notice; we enable 
agencies to

[[Page 22812]]

develop their own training program or rely on an outside training 
program that includes these program elements; and delegate authority to 
PSHSB the duty to consult with diverse stakeholders to identify an 
exemplar training program or develop exemplar training materials that 
include these program elements.
    106. We observe that ATIS, the only commenter specifically 
addressing the proposed training program's required elements, supports 
those elements. Moreover, some commenters underscore their belief that 
to help facilitate uniformity of training materials and reduce burdens 
on participating agencies, the Commission should identify exemplar 
training programs that participating agencies can use in their efforts 
to train staff on the proper uses of NORS and DIRS filings.
    107. The Second Further Notice also sought comment on ``the 
benefits and drawbacks to the Commission potentially working with one 
or more external partners, such as ATIS, to develop exemplar training 
programs.'' ATIS states that it would ``be happy to assist with 
development of a training program,'' and would ``work collaboratively 
with other associations so that this training would be completed within 
a reasonable time after the release of the final rules.'' The Boulder 
Regional Emergency Telephone Service Authority urges ``the Commission 
to decline the ATIS's offer to develop training which ATIS proposes to 
focus solely on limitations on use of the materials and penalties for 
misuse,'' because it believes that ``training should'' ``focus on 
interpretation and utility of data.'' Verizon states that training for 
the confidentiality requirements it recommends ``would be appropriate, 
in coordination with Commission staff, ATIS and public safety 
stakeholders.'' Verizon also states that the framework safeguards it 
supports in its comments ``should be another subject of the workshops 
it recommends.''
    108. We find that many stakeholders, including ATIS, possess 
significant technical and operational expertise that could benefit the 
Commission in the development of exemplar training. Thus, to identify 
an exemplar training program or develop exemplar training materials, 
the Commission delegates authority to PSHSB to consult with diverse 
stakeholders with a range of perspectives, including state governments, 
the public safety community, service providers, and other industry 
representatives. We find that this approach will foster a collaborative 
process to ensure training materials reflect the needs of all 
information sharing framework participants. We note that ATIS also 
recommends that the training specifically provide guidance on six 
specific guidance topics. These topics are ``(1) The purpose of NORS 
and DIRS; (2) Appropriate use of confidential and aggregated data; (3) 
Who would be deemed to have a ``need to know;'' (4) What would qualify 
as a public safety purpose; (5) Proper distribution and use of 
printouts, including a requirement that users not delete the 
notification proposed by ATIS informing readers that the information in 
the document may be shared only with authorized users with a ``need to 
know,'' only for public safety purposes, etc.; and (6) The requirement 
that, should there be a known or suspect breach as noted above, the 
party whose data was breached must be immediately notified.'' We 
decline to adopt these recommendations at this time but note that ATIS 
has the opportunity to recommend these specific guidance topics if it 
works with the Commission and other stakeholders to develop exemplar 
training materials.
    109. Some commenters also suggest the Commission convene 
stakeholder workshops, or facilitate other collaborative measures, 
before initiating the sharing framework to further develop data sharing 
protocol and other features of the framework as necessary. For 
instance, Verizon contends that ``to ensure that any new rules are 
implemented collaboratively among the service providers and government 
agencies involved, the Commission should convene stakeholder workshops 
in the months preceding adoption of final rules.'' Several other 
commenters support workshops' proposals. According to Verizon, these 
workshops could allow stakeholders to, in part, ``work through IT 
implementation challenges to ensure compatibility with providers' and 
state agencies systems,'' ``establish practices and guidance for 
permissible uses and sharing of information with employees and local 
government stakeholders,'' and ``help educate state and local 
governments on the information not included in NORS and DIRS reports, 
and on how service providers obtain information to include in the 
reports.'' Verizon further opines that to establish practices for 
downstream sharing and use of information, the Commission could 
initiate ``workshops of its own'' and encourage ``other collaborative 
discussions involving industry and public safety trade associations and 
standards groups,'' and incorporate ``those practices into training.'' 
CTIA also argues that ``the Commission should convene a broad group of 
subject matter experts to identify processes to protect data 
confidentiality while advancing outage information sharing with public 
safety stakeholders.'' Furthermore, AT&T recommends that ``before 
initiating agency and public disclosures, the Commission should give 
providers and government agencies the opportunity to review an example 
of the information to be made available through this process,'' and 
states that ``[i]t would be useful for the providers that submit 
information to NORS/DIRS to see a mock-up format, any template, and 
online access tools to be used so that they have an opportunity to 
raise any concerns and recommend changes.'' AT&T also states that 
``[s]imilarly, feedback from government agencies would ensure that the 
Commission's final framework provides the state-specific information 
sought by these parties, while potentially minimizing multiple 
operationally redundant reporting regimes across providers' service 
footprints,'' and ``[s]uch a collaborative process is most likely to 
achieve the Commission's dual purposes of giving government agencies 
useful information while also preserving confidentiality of sensitive 
data.
    110. We find that workshops are not an appropriate venue to develop 
requirements for our framework as the open record has provided all 
interested parties with an opportunity to comment on our, and other 
parties', proposals in this proceeding. Thus, we reject all 
recommendations that workshops be used, in any way, to develop our 
framework rules, including rules regarding downstream and inter-
jurisdictional sharing. We further reject AT&T's proposal to enable 
providers and participating agencies to review and provide feedback on 
information to be made available through the framework before its 
initiation. We expect that the exemplar training materials supplied to 
agencies, which will be developed with the input of diverse 
stakeholders, will provide information to help guide agencies on the 
proper ways to access and use NORS and DIRS information, which they can 
choose to integrate into any training materials they develop. However, 
we delegate authority to PSHSB to host one or more workshops before the 
effective date of the framework to educate stakeholders about NORS and 
DIRS filings generally and the requirements we adopt today, including 
our rules regarding the appropriate uses of NORS and DIRS data, 
training measures, and aspects of IT implementation of the framework.

[[Page 22813]]

6. Sharing of Confidential NORS and DIRS Information
    111. Responsibilities of Participating Agencies. In the Second 
Further Notice, the Commission proposed to allow individuals granted 
credentials for direct access to NORS and DIRS filings to share copies 
of the filings, in whole or part, and any confidential information 
derived from the filings within their agency, on a strict ``need to 
know'' basis. We adopt this proposal.
    112. Commenters generally support allowing individuals with direct 
access credentials at a participating agency to share confidential NORS 
and DIRS information with individuals within their agencies on a ``need 
to know'' basis. We agree with the Pennsylvania Public Utility 
Commission that this mechanism is especially important given the many 
individuals involved in coordinating emergency response, many of whom 
will not be credentialed for access, and we agree with T-Mobile that it 
is prudent to ensure that non-participating agency officials are able 
to receive NORS and DIRS information to steer their agency in improving 
public safety outcomes. Moreover, we find the proposed approach to be a 
practical way to enable the individuals who are credentialed to login 
to our databases and thereby access NORS and DIRS filings to convey 
this filed information to their agency's decision makers. We find 
significant public safety benefits in ensuring that all ``need to 
know'' individuals at any agency, including key executives, decision-
makers and potentially first responders, have access to NORS and DIRS 
information and we find this will allow an agency to make collectively 
informed decisions on how to use the information, ultimately lowering 
rather than increasing the chance of misuse of the information.
    113. We reject CTIA's contrasting view that restricting access to 
credentialed users at an agency is a necessary safeguard for 
encouraging service providers to provide robust disclosures of relevant 
information in their NORS and DIRS filings. To the contrary, we find 
that if credentialed users could not coordinate with non-credentialed 
decision-making officials and other expert agency personnel on the 
substance of NORS and DIRS reports, this would likely lead to more 
instances of impermissible use and improper disclosure (and worse 
public safety outcomes), rather than fewer instances. For example, if a 
credentialed user cannot share NORS and DIRS information with 
specialized emergency management experts within their own agency, they 
would potentially use the information to make recommendations on public 
safety matters that they are not qualified to make. If a credentialed 
user cannot share NORS and DIRS information with agency decision-
makers, they would potentially make decisions on allocating resources 
in response to a public safety threat that they would not have the 
authority to make. We find that the risks of improper disclosure would 
increase as credentialed users would be forced to work outside of their 
agency's normal chain of command in acting on confidential NORS and 
DIRS information. We believe that service providers will recognize that 
this observation, along the many safeguards implemented today, provide 
assurances the presumptively confidential NORS and DIRS filings the 
supply to the Commission will continue to be protected, and we believe 
that service providers will remain motivated in supplying robust NORS 
and DIRS filings to resolve network reliability and outage issues, as 
they have historically done. We note that service providers are 
required to submit NORS reports that meet all the requirements of our 
part 4 rules. While DIRS reporting is voluntary, our experience with 
DIRS activations provides us with the insight that providers are likely 
to provide complete DIRS reports in order to take advantage of the 
Commission's waiver of the NORS reporting obligations in those regions 
where DIRS has been activated.
    114. We are also unpersuaded by NCTA's concern that ``increasing 
the number of people who have access to the data inherently increases 
the risk of breach or accidental disclosure'' because this conceptual 
possibility of an increased risk is outweighed by the harms that arise 
from disallowing intra-agency sharing, which would make it less likely 
that an agency's staff and leadership will use NORS and DIRS 
information to take action, thereby frustrating the purposes of the 
information sharing framework we adopt today.
    115. Based on concerns of commenters, we bar the sharing of 
confidential NORS and DIRS information with contractors. While we 
recognize that an agency's contractors can engage in public safety 
functions in times of crises, we find that sharing with contractors 
should be barred given the potential for conflicts of interest among 
contractors, who may work on behalf of service providers as well as 
public safety agencies. As no commenter has identified how NORS and 
DIRS information can be shared in ways that would appropriately address 
these potential conflicts of interest, we decline to make this 
information available to contractors.
    116. With respect to a participating agency's sharing of reports 
with downstream entities (described infra), in the Second Further 
Notice, the Commission proposed that the sharing agency determine 
whether a ``need to know'' exists on the part of the recipient. We 
adopt this proposal, which most commenters support without significant 
comment. With regard to potential costs burdens, we reiterate that 
participating agencies are not required to share NORS and DIRS 
information but instead are permitting to do so. As previously noted in 
the Second Further Notice, we find that this approach is appropriate 
because the sharing agency is in a strong position, particularly in 
comparison to the Commission, to make this determination based on its 
``on the ground'' knowledge of the public safety-related activities, 
and trustworthiness, of the downstream entities with which it elects to 
share, e.g., based on its prior interactions with such agencies.
    117. We reject ATIS's view that we should ``not leave it entirely 
in the hands of state agencies to determine whether a local agency has 
a `need to know' '' as ATIS believes this could result in misuse or 
unauthorized access to the information. ATIS suggests a scheme where 
agencies with direct access to NORS and DIRS would inform the 
Commission of whom they may plan to share information with in advance 
of a public safety event and we would then use this information to seek 
input from filers, including objections, prior to any information 
sharing. We find that the public safety benefits of our adopted 
approach outweigh ATIS's concerns of misuse or improper access to NORS 
and DIRS information. Our adopted approach ensures that decisions on 
how to best resolve public safety problems are in the hands of those 
closest to the issues (i.e., participating agencies). Requiring the 
Commission receive notifications and solicit comments from filers, as 
ATIS favors, creates delays in decision making that would make NORS and 
DIRS information significantly less useful to participating agencies in 
the context of exigencies. We instead agree with Colorado Public 
Utilities Commission that participating agencies can make this decision 
more effectively and quickly given their familiarity with on the ground 
facts. Moreover, we find that the many safeguards that we have imposed 
on downstream sharing today to be directly responsive to ATIS's 
concerns as we believe they are sufficient to protect these sensitive

[[Page 22814]]

filings from misuse and unauthorized access.
    118. We also reject ATIS's view that we should require that 
participating agencies make advance arrangements with agencies they 
choose to share downstream with (and that the Commission be notified of 
the existence of these arrangements) prior to dealing with an on-going 
public safety event. We are instead persuaded by the International 
Association of Chiefs of Police's remark that these requirements would 
present a ``barrier to access'' as they would consume additional 
resources that agencies often do not have. We decline to require that a 
participating agency make advance arrangements, or share at all, with 
other entities in light of the burden concerns expressed in the record. 
We find, however, that advance arrangements would likely reduce long 
term burdens on all parties. We therefore encourage, but do not 
require, participating agencies to make advance arrangements where they 
deem it practical and in the interests of public safety to do so.
    119. We reject the views of the International Association of Chiefs 
of Police that we go further and require that participating agencies 
share information with local police agencies having a ``need to know.'' 
While we share the view that police agencies play a vital role in 
resolving many public safety issues, we decline to require 
participating agencies share confidential NORS and DIRS information 
with police agencies or any other local entity. We find that requiring 
Federal, state, territory, and Tribal Nation agencies to share 
information with other entities is incompatible with our decision today 
to hold the participating agency accountable for the way information is 
used by those entities. To maintain the reasonableness of this 
accountability measure, we find it critical that participating agencies 
be able to evaluate and select the entities (if any) with which they 
share information. As a practical matter, however, we expect that 
participating agencies will, in many cases, voluntarily share 
information with police agencies when a ``need to know'' exists.
    120. We also reject the views of NCTA and other commenters that a 
participating agency should not be allowed to share directly with 
others outside the agency on grounds that this would risk over-
disclosure. As noted above, we place safeguards on such direct sharing 
that will minimize the risk of unauthorized disclosure, which we find 
strikes an appropriate balance between disseminating NORS and DIRS 
information to those who can act on it, thereby savings lives and 
property, and protecting the sensitive nature of these filings. We also 
reject ACA Connects' view that the ``need to know'' of a recipient must 
be determined in advance of any sharing event (as opposed to in real-
time during the event). We find that this provision would likely create 
significant and impractical delays in the transfer of critical 
information to non-participating agencies, particularly during times of 
severe exigency, and we find that the many safeguards that we've 
introduced on direct sharing today appropriately balance disseminating 
NORS and DIRS information with protecting the sensitive nature of these 
filings.
    121. In the Second Further Notice, the Commission proposed to allow 
individuals granted credentials for direct access to NORS and DIRS 
filings to share copies of particular filings, in whole or part, and 
any confidential information derived from the filings outside their 
agency on a strict ``need to know' '' basis. We adopt this proposal and 
clarify that not only must there be a ``need to know'' for downstream 
sharing, but that need must pertain to a specific imminent or on-going 
public safety event.
    122. Many state, local and industry commenters support allowing 
credentialed individuals at a participating agency to directly share 
confidential NORS and DIRS information with others outside their 
agency, including individuals working for local entities, on a ``need 
to know'' basis. We agree with Verizon and the City of New York that, 
while state agencies are a good initial dissemination point, 
effectively addressing public safety requires collaboration between 
state agencies and local entities (among others). We also agree with 
the Public Service Commission of the District of Columbia that this 
proposal will ``assist in developing a coordinated response to a 
disaster or other major outage,'' and with the Pennsylvania Public 
Utility Commission, which supports this proposal as necessary to ensure 
that information can be disseminated from participating agencies to 
county emergency agencies, as they are often ``the key decision-makers 
and first responders'' who need this information given their ``vital 
role . . . in ensuring public safety during times of crisis.'' We find 
that the proposed approach would provide a targeted and efficient way 
to put relevant information in the hands of local entities while 
minimizing the risk of over disclosure of confidential NORS and DIRS 
information. We also find that the proposed approach would be an 
effective way to ensure that PSAPs and 911 authorities that do not 
qualify as participating agencies can obtain relevant NORS and DIRS 
information.
    123. We clarify, however, that not only must there be a ``need to 
know'' for downstream sharing, but that it must pertain to a specific 
imminent or on-going public safety event. Thus, in contrast with 
today's restrictions on sharing within a participating agency, we 
exclude a participating agency from sharing confidential information 
downstream when a potential recipient is seeking to use the information 
to identify trends and perform analyses related to long-term 
improvements in public safety outcomes. Many commenters express 
concerns that downstream sharing raises additional risks and would thus 
appear to support today's decision to further restrict the conditions 
on which it is permitted. We agree with commenters there is generally 
less accountability and an increased risk of over-disclosure when NORS 
and DIRS information is shared outside of those participating agencies 
that have been granted direct access. We similarly agree with ATIS and 
T-Mobile that the risks of improper use are heightened since outside 
recipients are not directly accountable to the Commission through our 
Certification Form (Appendix C). We find that these observations 
justify our further restriction on a ``need to know'' in the context of 
downstream sharing. Moreover, without this restriction in place, a 
participating agency could simply share all (or vast amounts) of NORS 
and DIRS filings with a non-participating agency on grounds of a 
general ``need to know,'' which would frustrate our decision to limit 
direct access to the many filings housed in our NORS and DIRS databases 
to participating agencies only.
    124. Responsibilities of Non-Participating Agencies. The Commission 
proposed in the Second Further Notice to require that non-participating 
agencies that seek NORS and DIRS information first provide 
certification, to the supplying participating agency, that they will 
treat the information as confidential, not publicly disclose it absent 
a finding by the Commission that allows them to do so, and securely 
destroy the information when the public safety event that warrants its 
access to the information has concluded. We adopt this proposal while 
also requiring that non-participating agencies certify that they have 
completed security training using participating agencies' training 
materials before being granted access to NORS and DIRS filings and 
clarifying the meaning of ``secure'' destruction.

[[Page 22815]]

    125. Some commenters, including state utility commissions that 
would incur much of the burden associated with these proposals, agree 
with the Commission's approach and find it workable. We agree with the 
Pennsylvania Public Utility Commission that requiring a non-
participating agency's agreement to treat filings as confidential will 
help maintain NORS and DIRS filers' trust in the confidentiality of 
submitted information and ensure the continued success of our NORS and 
especially voluntary DIRS programs. We also agree with both the 
Colorado Public Utilities Commission and NASNA that each of these 
requirements is workable and can be implemented in practice even if 
they do impose some burden.
    126. Moreover, while no commenter questioned what ``secure'' 
destruction would entail, we find that clarifying this term will 
simplify implementation of this program for non-participating agencies 
that are required to securely destroy information according to its 
terms. We clarify that the secure destruction of confidential NORS and 
DIRS information requires, at a minimum, securely cross-cut shredding, 
or machine-disintegrating, paper copies of the information, and 
irrevocably clearing and purging digital copies, when the public safety 
event that warrants access to the information has concluded.
    127. We reject the Colorado Public Utilities Commission's view that 
a non-participating agency has a need to keep ``descriptions'' related 
to NORS and DIRS information in their possession to the extent it would 
violate our requirement for the secure destruction of the confidential 
NORS and DIRS information after the conclusion of a public safety 
event. We agree with Telecommunications Regulatory Bureau of Puerto 
Rico's representation from its own practice, that such reports can (and 
should) be ``general in nature'' and not reflect confidential NORS and 
DIRS information. We find that to allow a non-participating agency to 
keep more granular information on file is outweighed by the need to 
restrict the dissemination of sensitive NORS and DIRS information.
    128. As noted above, we will require downstream agencies to certify 
that they have completed security training using participating 
agencies' training materials before being granted access to NORS and 
DIRS filings. We find that providing downstream access without any 
safeguards could amplify the possibility of unauthorized disclosure, 
particularly because downstream entities will have less experience with 
protecting NORS and DIRS data than participating agencies.
    129. Further downstream sharing. In the Second Further Notice, the 
Commission proposed that the sharing of confidential NORS and DIRS 
information be allowed further downstream as well. According to this 
proposal, once an agency with direct NORS and DIRS access shared 
confidential NORS and DIRS information with a recipient, that recipient 
could further summarize and/or share the information with others that 
also had a ``need to know.'' Based on the record before us, we decline 
to adopt this proposal.
    130. We find that the further downstream sharing proposal 
implicates several legitimate concerns around the ability to safeguard 
the confidentiality of the information and foster accountability among 
individuals and entities that would receive information. We agree with 
ACA Connects that the proposed approach would have made it hard to 
control the flow of information and maintain accountability when 
improper disclosure occurred. We agree with ATIS and T-Mobile that the 
risks of improper use would be heightened if sharing were extended to 
those further downstream, i.e., to those not closely associated with 
agencies subject to our accountability measures, including as 
signatories to our Certification Form (Appendix C). Moreover, while 
some commenters suggest that these issues could be addressed through 
the imposition of additional safeguards, such as instituting a 
Commission ``coordinator'' (who would be responsible for releasing the 
information that is to be shared downstream and ensuring that 
recipients indeed have a ``need to know'') and allowing public comment 
on a proposed disclosure-by-disclosure basis. We reject these views as 
we find the proposed additional safeguards to be highly burdensome 
since, by adding delay to decision making, they would significantly 
diminish the value of the associated NORS and DIRS information in the 
context of exigencies.
    131. We reject the views of some local entities that believe that 
the further downstream sharing proposal would be workable as-is. We 
reject these views in the context of further downstream sharing. As 
noted by the industry commenters, the Commission's further downstream 
sharing proposal would require responsible practices not just by 
participating agencies and those that are one ``hop'' removed from 
these agencies, but from a larger set of entities potentially many hops 
removed from the participating agency and generally not approved or 
cleared by the participating agency (or the Commission) in advance. We 
find that these public safety risks heighten, as do the difficulties of 
identifying the source of impermissible disclosure as information 
continues to be shared downstream with additional parties. Even if each 
individual entity taken alone has strong incentives to protect NORS and 
DIRS information, as Boulder Regional Emergency Telephone Service 
Authority contends, the risk of improper disclosure increases as a 
larger number of entities gains access to the information. To minimize 
that risk at the launch of today's new information sharing framework, 
we find that it is prudent to allow participating agencies to share 
NORS and DIRS confidential information under the conditions established 
in this order but not to allow further downstream sharing.
    132. Penalties and Remedies. The Commission proposed in the Second 
Further Notice to hold participating agencies responsible for 
inappropriate disclosures of NORS and DIRS information by the non-
participating agencies with which they share it and noted that 
consequences for improper disclosures by a participating agency or non-
participating agency (with which the participating agency shares 
information) could result in termination of access to NORS and DIRS 
data for the participating agency. We adopt this proposal. We find that 
the risk of losing access is a necessary safeguard that will 
incentivize participating agencies to make judicious selections up-
front on with whom they share NORS and DIRS information, if anyone.
    133. In doing so, we reject the views of some commenters that 
believe that it would be unfair and a disservice to terminate a 
participating agency's access to NORS and DIRS information because of 
the potential bad actions of a non-participating entity which it cannot 
directly control. To further address the concerns in the record, 
however, we confirm that in any decision to terminate access, and set a 
length of time that the termination is effective, the Commission will 
consider the totality of the circumstances, including the 
reasonableness of the participating entity's decision to share 
information with a non-participating agency, the severity of the misuse 
of shared information, and the implementation of other appropriate 
safeguards by the implicated participating agency.
    134. To address concerns of record, to the extent that a 
participating agency is unclear on whether specific downstream 
individuals or entities have a ``need to know,'' despite the clarity we

[[Page 22816]]

have provided on the scope of the term in today's Order, we encourage 
(but do not require) the agency to contact the Commission at 
[email protected] to discuss its potential sharing 
with the individuals and entities well in advance of a relevant public 
safety event.
    135. We reject NASNA's suggestion that when a participating 
agency's direct access is terminated by the Commission, it be 
terminated for exactly three years, as we find this to be an 
unnecessarily rigid approach. We agree with Colorado Public Utilities 
Commission and Montrose Emergency Telephone Service Authority that a 
decision to terminate access need not be permanent.
    136. We encourage participating agencies to proactively monitor and 
terminate access to non-participating agencies when they find such 
action warranted, but we reject Colorado Public Utilities Commission's 
view that the Commission should defer to participating agencies on 
termination decisions. The Commission has a strong incentive to 
safeguard all NORS and DIRS information that it receives to ensure that 
providers provide detailed reports on a nationwide basis.
    137. The Commission will provide its remediation decisions, 
including its reasoning and actions to be taken to hold the 
participating agency accountable in a letter to the agency's 
coordinator, which may also be released on the Commission's website. If 
the Commission terminates an agency's access, the Commission will 
specify in the letter the time duration of this penalty as well as any 
conditions that must be met prior to reinstatement of access.

G. Procedures for Requesting Direct Access to NORS and DIRS

    138. In the Second Further Notice, the Commission proposed 
requiring eligible state, Tribal Nation and Federal agencies to apply 
for direct access to NORS and DIRS filings by sending a request to the 
Commission's designated email address and completing a Certification 
Form. The request would include: (i) A signed statement from an agency 
official, on the agency's official letterhead, including the official's 
full contact information and formally requesting access to NORS and 
DIRS filings; (ii) a description of why the agency has a need to access 
NORS and DIRS filings and how it intends to use the information in 
practice; (iii) if applicable, a request to exceed the proposed 
presumptive limits on the number of individuals (i.e., user accounts) 
permitted to access NORS and DIRS filings with an explanation of why 
this is necessary and (iv) a completed copy of a Certification Form, a 
template of which is provided in this item as Appendix C.'' On receipt, 
the Commission would review the request, follow-up with the agency 
official with any potential questions or issues. Once the Commission 
has reviewed the application and confirmed the application requirements 
are satisfied, the Commission would grant NORS and DIRS access to the 
agency by issuing the agency NORS and DIRS user accounts. We adopt 
these application procedures today, subject to the modification we have 
discussed above to require applying agencies to identify legal 
authority that charges them with promoting the protection of life or 
property. We find that, generally, commenters opining on the proposed 
procedures for requesting NORS and DIRS access raise no concerns with 
them. For example, the Competitive Carriers Association opines that the 
``FNPRM's proposed procedures for requesting data would help to ensure 
data is accessed on a limited, as-needed basis.'' NASNA notes the 
Second Further Notice's proposed ``procedure for potential 
participating agencies to apply for direct access to NORS and DIRS 
data,'' and states that it ``has no objections to the procedure 
outlined.''
    139. Other commenters urge additional modifications to the proposed 
procedures, which we reject. For example, ACA Connects urges the 
Commission ``to require agencies as part of their application to 
explain precisely the public safety need that justifies access to NORS 
or DIRS data, and to grant such access only to that extent necessary to 
meet that need,'' and also argues that ``a participating agency should 
be required to submit to the Commission the names of all individuals 
with whom it will share the data, along with an explanation why each 
individual ``needs to know'' the information.'' We decline to adopt 
this proposal as we expect our application requirement that legal 
authority be identified and certified to by agencies will address the 
issue of public safety need and find that requiring agencies to submit 
the names of all individuals with whom it will share data is inflexible 
and disregards that agencies might not know the full extent of 
individuals it will provide access to at the time of application. 
Furthermore, we note that Verizon suggests that applications ``could 
include point of contact information for localities seeking access to 
information in the reports.'' We also reject this recommendation as our 
application process is focused on reviewing the eligibility of agencies 
under the sharing framework and ensuring that they will adhere to the 
framework's safeguards and we defer to participating agencies to 
determine whether and how they want to establish a point of contact for 
requests by local agencies.
    140. Moreover, some commenters propose that the Commission notify 
service providers when a particular agency applies for access to allow 
the provider to raise any concerns. For example, Verizon argues that 
``if service providers have concern for the confidentiality protections 
available in a particular state or have other issues appropriate for 
the Commission's consideration, such notification would give the 
service provider an opportunity to raise those concerns.'' We find 
that, if implemented, this approach could lead to protracted disputes 
between service providers and participating agencies and impede 
efficient access to NORS and DIRS information. While Verizon does not 
indicate what ``other issues'' could be raised for the Commission's 
consideration through a notification process in its comments, the 
Commission expects that its objective application process and its 
safeguards for protecting the confidentiality of NORS and DIRS data 
will help prevent improper use and disclosure.
    141. Furthermore, we find that eligible agencies, which have public 
safety duties, are unlikely to release sensitive information in ways 
that undermine national security or other public safety purposes. These 
agencies are also not in competition with service providers, and thus 
lack anticompetitive motives to use the information improperly. 
Moreover, we find that potentially contesting an agency's eligibility 
under our framework could detract from service provider and public 
safety resources that should be more immediately directed to using NORS 
and DIRS information to improve public safety. However, we encourage 
service providers to inform the Commission about any laws that would 
prevent any eligible agencies in a jurisdiction from maintaining the 
confidentiality of NORS and DIRS information, as well as any specific 
concerns regarding participating agencies that may be improperly 
accessing, using, or disclosing NORS and DIRS information.
    142. Although we will not notify providers when an agency requests 
access to NORS and DIRS information for the aforementioned reasons, we 
find that providers should be kept apprised of the entities granted 
direct access to NORS and DIRS filings to track the use of network 
outage data. Therefore, we

[[Page 22817]]

will develop a general list of participating agencies granted access to 
filings under our information sharing framework that will made 
available to relevant service providers. This list will be updated on a 
periodic basis. We delegate authority to PSHSB to develop, update, and 
make available this list.
    143. Certification Form. In the Second Further Notice, the 
Commission proposed the adoption of a Certification Form ``to address 
the certifications and acknowledgments required for direct access to 
NORS and DIRS filings,'' and sought comment on the various elements and 
requirements of the Certification Form. Based on our review of the 
record, we adopt the proposed Certification Form today, with slight 
modifications we discuss below, as we expect that it will provide for 
adequate acknowledgment of the confidential nature of the NORS and DIRS 
filings and help protect against the unauthorized use of NORS and DIRS 
information. We note that several commenters support the proposed 
Certification Form.
    144. Many commenters offer various proposals for modifications 
intended to strengthen the safeguarding of NORS and DIRS information by 
requiring notice of data breaches to the Commission and service 
providers. We agree with commenters that it will further public safety 
to require participating agencies to certify that they will immediately 
notify the Commission and affected service providers of data breaches 
or the unauthorized or improper disclosure of NORS/DIRS data. 
CenturyLink also comments that ``State and local agencies should be 
required to immediately report to the service provider and the FCC any 
unauthorized or improper disclosure of NORS/DIRS data.'' ACA Connects 
further states that ``the Commission should require participating 
agencies to notify the Commission and affected communications providers 
in the event of a data breach, and should set forth appropriate 
penalties, including revocation of the agreement, for an agency that 
fails to protect or misuses the data,'' and that [a]t minimum, an 
agency that demonstrates a pattern of misuse or improper disclosure of 
NORS or DIRS data should be cut off from any further access.'' We find 
that in addition to enabling service providers to minimize the negative 
effects of improper disclosure, this modification to the Certification 
Form would allow the Commission to quickly identify misuse of NORS and 
DIRS information, further investigate violations of information sharing 
rules, and, if necessary, restrict continued access by offending 
participating agencies. NCTA also argues that ``as AT&T has previously 
suggested, after any improper access to or use of NORS or DIRS data by 
an employee, the Qualifying Governmental Agency should agree ``to 
perform an investigation of that employee and report the results of its 
investigation to the Commission and, possibly, to law enforcement.'' As 
we expect that the approach we adopt today will enable the Commission 
to coordinate the swift investigation of potentially improper uses of 
NORS and DIRS data, which could include investigation of personnel at 
participating agencies, we decline to adopt this proposal.
    145. Other commenters make additional Certification Form proposals 
intended to ensure confidentiality and the proper use of NORS and DIRS 
filings, which we reject. We decline to adopt NCTA's recommendation 
that the Commission require participating agencies ``to certify that 
NORS and DIRS filings will not be accessed by individuals who are not 
designated employees,'' or are no longer employed by the agency. We 
note that non-participating agencies that receive NORS and DIRS 
information from participating agencies will be required to complete a 
certification that they will treat the information as confidential. We 
also expect that the training and safeguard requirements we adopt today 
will be sufficient to prevent unauthorized access to filings. We 
further find that the addition of this provision could be confusing as 
we note that pursuant to the rules we adopt today, participating 
agencies can share copies of NORS and DIRS filings, within or outside 
their participating agency. NCTA also recommends that a participating 
agency certify that, among other things, it will only use NORS and DIRS 
information for public safety responsibilities. ATIS also urges that 
the Certification Form be modified to ``specifically require agencies 
to certify that they have ``need to know'' this information and that 
they agree to use this information only for public safety purposes.'' 
CenturyLink also agrees with NCTA that ``a certifying agency should 
also describe ``how it intends to use the information in practice.'' We 
further find that the limitations on NORS and DIRS data described in 
the Certification Form--which requires agencies to certify that they 
will comply with the restrictions we adopt today--and our application 
procedures--including procedures that require agencies to identify the 
legal authority that charges them with public safety responsibilities--
as adopted adequately address the remaining issues referenced in NCTA 
and other commenter's proposals.
    146. In addition to these arguments, some commenters urge the 
Commission to adopt a certification process similar to the process the 
Commission has implemented to grant state access to North American 
Numbering Plan data, require state agencies to certify that they have 
adequate confidentiality protections in place, or describe the 
safeguards they have implemented to protect NORS and DIRS data. We 
reject all proposals regarding these issues to the extent that they 
differ from the provisions in the Certification Form we adopt today. We 
note that the proposed Certification Form was modeled after the 
certification that we require for access to North American Numbering 
Plan data, but enhanced to protect NORS and DIRS information, which if 
mishandled, implicates national security and competitive sensitivity 
concerns. For example, the Certification Form requires agencies to 
certify and acknowledge that NORS and DIRS filings are sensitive and 
presumed confidential for national security and commercial 
competitiveness reasons and report any suspected breaches to the 
Commission immediately.
    147. In addition, we will require agencies to certify that they 
have implemented practical data protection safeguards including 
assigning user accounts to single employees, promptly reassigning user 
accounts to reflect changes as their rosters of designated employees 
change, and periodically changing user account passwords to ensure that 
user account credentials are not used by individuals who are not the 
agency's designated employees. Furthermore, the requirements we adopt 
today will obligate participating agencies to implement effective 
confidentiality safeguards regardless of the level of safeguards that 
exist in their states. For example, we require all participating 
agencies to certify that they will ``treat NORS and DIRS filings and 
information in accordance with procedural and substantive protections 
that are equivalent to or greater than those afforded under Federal 
confidentiality statutes and rules, including but not limited to the 
Federal Freedom of Information Act,'' and to ``the extent that Federal 
confidentiality statutes and rules impose a higher standard of 
confidentiality than applicable state law or regulations provide,'' the 
agencies must certify that they will ``adhere to the higher Federal 
standard.''

[[Page 22818]]

    148. Commenters also make proposals intended to ensure the 
Certification Form clarifies the limitations of NORS and DIRS filings 
and the scope of entities eligible to receive them. For example, 
Verizon proposes that the Certification Form state that the recipient 
of filings ``further acknowledges that information reported in DIRS and 
NORS filings is subject to revision and correction by the reporting 
service provider.'' However, we find that the proposed Certification 
Form accounts for potential errors and inaccuracies in NORS and DIRS 
filings by requiring participating agencies to ``acknowledge that the 
Commission does not guarantee the accuracy of either the NORS or DIRS 
filings.'' We note that providers can share revised and corrected 
filings with us, which we will in turn make available to participating 
agencies granted access to the framework. Additionally, ATIS proposes 
that the Certification Form be modified to ``avoid confusion by 
clarifying in the opening paragraph that state agencies may get access 
only to reports for that state and cannot request nationwide filings.'' 
ATIS states that ``one way to achieve this would be replace the 
bracketed language with ``[for state agencies, name of states; for 
Federal agencies, name of states or nationwide].'' '' We agree with 
ATIS that we should revise the Certification Form to clarify the scope 
of entities that we intend to provide with access to our framework. 
Therefore, we add bracketed language to the Certification Form to 
indicate that states, the District of Columbia, Tribal Nations, and 
U.S. territories may be granted access only for reports of outages 
connected to their jurisdictions consistent with our rules.
    149. We note that in addition to the Certification Form revisions 
we describe above, and consistent with the requirements we adopt today, 
we add an additional provision to the form to require the designated 
agency contact for each participating agency to serve as the 
coordinating point of contact for the agency consistent with the 
requirements we have described.
    150. Finally, in the Second Further Notice, the Commission proposed 
to ``direct PSHSB to promulgate any additional procedural requirements 
that may be necessary to implement the Commission's proposals for the 
sharing of NORS and DIRS information, consistent with the 
Administrative Procedure Act.'' The Commission also stated that ``we 
foresee that such procedural requirements may include implementation of 
agency application processing procedures, necessary technical 
modifications to the NORS and DIRS databases (including, potentially, 
modifications designed to improve data protection and guard against 
unauthorized disclosure), and reporting guidelines to ensure that the 
Commission receives the notifications identified in Appendix C.'' The 
Commission sought comment on these proposals, and asked whether there 
were additional safeguards it should adopt for the application process 
or any other procedural requirements that would be necessary to 
implement the Commission's proposals. No commenters addressed these 
proposals or provided any evidence to rebut their necessity. Thus, we 
adopt them and we are confident that PSHSB's technical and 
administrative expertise will help facilitate the efficient 
implementation of the information sharing framework to further enhance 
public safety as contemplated by the rules we adopt today.

H. Effective Dates

    151. In the Second Further Notice, the Commission proposed to have 
the Public Safety and Homeland Security Bureau issue a Public Notice 
that would (a) announce OMB approval of any new information collection 
requirements that the Commission might adopt in modifying the DIRS and 
NORS regime; and (b) set a date on which (i) service providers would be 
required to conform any new filings in NORS and DIRS to any newly 
adopted reporting protocols; and (ii) agencies could file certification 
forms requesting access to those reports. Thus, direct NORS and DIRS 
access would become available to eligible agencies as of the specified 
date. Moreover, the Commission proposed that the date set by the Bureau 
would be a date after the technical adjustments necessary to facilitate 
sharing had been made to the Commission's NORS and DIRS databases. The 
Commission tentatively concluded in the Second Further Notice that 
adoption of this proposal would give interested agencies ample time to 
prepare their certifications and give service providers sufficient time 
to adjust their NORS and DIRS filing processes to conform with 
technical changes required by today's final rule changes. While no 
commenter opposed our proposals, we find it in the public interest to 
adopt the proposals with one modification, i.e., to specify an 
effective date, subject to extension, as part of today's decision.
    152. We find that this approach provides the Commission adequate 
time to implement the regime contemplated by today's rules and will 
permit the Bureau time to account for contingencies, i.e., the 
readiness of the databases and the OMB approval that facilitates the 
implementation of the revised regime. Our experience in other contexts 
informs our estimate that the NORS and DIRS database adjustments and 
related transition to implement the new requirements will require 
approximately 18 months. Accordingly, we set an effective date below of 
September 30, 2022 for the revisions to section 4.2. We delegate 
authority to the Public Safety and Homeland Security Bureau, which will 
seek OMB review and make adjustments to the databases, to extend this 
effective date if necessary by Public Notice published in the Federal 
Register (e.g., if database adjustments take longer than we estimate 
here or if the required OMB review of the modified information 
collections under the new rule provisions is delayed).

IV. Procedural Matters

    153. Final Regulatory Flexibility Analysis. The Regulatory 
Flexibility Act of 1980, as amended (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. The FRFA is set forth in Appendix B.
    154. Paperwork Reduction Act Analysis. As described at paras. 83 
and 84, supra, service providers will be required to make adjustments 
to their NORS reporting processes, to accommodate the Commission's 
adjustments to its NORS web-based form, pursuant to section 47 CFR 4.11 
of the Commission rules. These adjustments and today's new requirement 
that agencies file certification forms, pursuant to section 4.2, to 
request access to NORS and DIRS reports, constitute a modified 
information collection. They require that service providers modify 
their NORS reporting processes to provide the Commission with 
jurisdiction-specific reports and that participating agencies begin to 
provide the Commission with certification forms and reports and 
information related to known or reasonably suspected unauthorized use 
or improper disclosure of confidential NORS and DIRS information. These 
modified information collections will be submitted to the Office of 
Management and Budget (OMB) for review under

[[Page 22819]]

section 3507(d) of the Paperwork Reduction Act of 1995 (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. This document will be submitted to OMB for review 
under section 3507(d) of the PRA. In addition, we note that, pursuant 
to the Small Business Paperwork Relief Act of 2002, 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 
does not believe that the new or modified information collection 
requirements will be unduly burdensome on small businesses. Applying 
these new or modified information collections will promote public 
safety response efforts, to the benefit of all size governmental 
jurisdictions, businesses, equipment manufacturers, and business 
associations by providing better situational information related to the 
nation's network outages and infrastructure status. We describe impacts 
that might affect small businesses, which includes most businesses with 
fewer than 25 employees, in the FRFA in Appendix B.
    155. Further Information. For further information, contact Saswat 
Misra, Attorney-Advisor, Cybersecurity & Communications Reliability 
Division, Public Safety and Homeland Security Bureau, (202) 418-0944 or 
via email at [email protected].

V. Ordering Clauses

    156. Accordingly it is ordered that, pursuant to the authority 
contained in sections 1, 4(i), 4(j), 4(o), 251(e)(3), 254, 301, 303(b), 
303(g), 303(r), 307, 309(a), 309(j), 316, 332, and 403, of the 
Communications Act of 1934, as amended, and section 706 of the 
Telecommunications Act of 1996, 47 U.S.C. 151, 154(i)-(j) & (o), 
251(e)(3), 254, 301, 303(b), 303(g), 303(r), 332, 403, and 1302, this 
Second Report and Order in PS Docket No. 15-80 is adopted.
    157. It is further ordered that the amendments of the Commission's 
rules as set forth in Appendix A are adopted, effective September 30, 
2022, as described at Sec.  III.H, above.
    158. The Commission will submit this Second Report and Order to the 
Administrator of the Office of Information and Regulatory Affairs, 
Office of Management and Budget, for concurrence as to whether these 
rules are ``major'' or ``non-major'' under the Congressional Review 
Act, 5 U.S.C. 804(2). The Commission will send a copy of this Second 
Report and Order to Congress and the Government Accountability Office 
pursuant to 5 U.S.C. 801(a)(1)(A).

Final Regulatory Flexibility Analysis

    159. As required by the Regulatory Flexibility Act of 1980, as 
amended (RFA), an Initial Regulatory Flexibility Analysis (IRFA) was 
incorporated in the Amendments to Part 4 of the Commission's Rules 
Concerning Disruptions to Communications, Second Further Notice of 
Proposed Rulemaking (Second Further Notice). The Commission sought 
written public comment on the proposals in the Second Further Notice, 
including comment on the IRFA. No comments were received specifically 
addressing the IRFA. This Final Regulatory Flexibility Analysis (FRFA) 
conforms to the RFA.

A. Need for, and Objectives of, the Second Report and Order

    160. In the Second Report and Order, the Commission adopts various 
proposals made in the Second Further Notice adopted in February 2020. 
We take specific steps to share the Commission's network outage and 
infrastructure status information with state and Federal Government 
agencies and others whose official duties make them directly 
responsible for emergency management and first responder support 
functions (i.e., have a ``need to know'').

B. Summary of Significant Issues Raised by Public Comments in Response 
to the IRFA

    161. No comments were submitted specifically in response to the 
IRFA, however a few commenters expressed concerns about the estimated 
costs to service providers discussed by the Commission in the Second 
Further Notice. Despite these concerns however, none of the commenters 
provided any cost data or analysis to support their concerns or rebut 
the Commission's cost estimates in accordance with the Commission's 
request for such data in the Second Further Notice. Similarly, while 
some state agency and advocacy organizations expressed concerns that it 
will be burdensome for voluntarily participating agencies to relay 
information they retrieve from the NORS and DIRS databases to other 
permissible ``downstream'' entities as allowed by the adopted 
information sharing framework, none of these entities attempt to 
quantify the costs associated with these activities.
    162. Moreover, the Commission is unaware of any alternative 
approaches with lower costs, nor have any been identified by 
commenters, that would still ensure that the Commission promptly and 
reliably learns of the actions described above that may lead to the 
disclosure of NORS or DIRS-related information. Lessening the 
promptness or reliability of notifications to the Commission would 
disincentivize providers from supplying robust and fulsome NORS and 
DIRS reports and therefore reduce the benefits that those filings would 
provide to the Commission and participating agencies alike. We find 
that this reduction in benefits would outweigh the expected modest cost 
savings to those participating agencies that would be required to 
provide notifications under the framework we adopt today.

C. Response to Comments by Chief Counsel for Advocacy of the Small 
Business Administration

    163. Pursuant to the Small Business Jobs Act of 2010, which amended 
the RFA, the Commission is required to respond to any comments filed by 
the Chief Counsel for Advocacy of the Small Business Administration 
(SBA), and to provide a detailed statement of any change made to the 
proposed rules as a result of those comments. No comments were filed by 
the SBA.

D. Description and Estimate of the Number of Small Entities to Which 
Rules Will Apply

    164. The RFA directs agencies to provide a description of, and, 
where feasible, an estimate of, the number of small entities that may 
be affected by the rules adopted herein. The RFA generally defines the 
term ``small entity'' the same as the terms ``small business,'' ``small 
organization,'' and ``small governmental jurisdiction.'' In addition, 
the term ``small business'' has the same meaning as the term ``small 
business concern'' under the Small Business Act. A small business 
concern is one which: (1) Is independently owned and operated; (2) is 
not dominant in its field of operation; and (3) satisfies any 
additional criteria established by the Small Business Administration 
(SBA). Such entities include Interconnected VoIP services, Wireline 
Providers, Wireless Providers--Fixed and Mobile, Satellite Service 
Providers, and Cable Service Providers.

[[Page 22820]]

E. Description of Projected Reporting, Recordkeeping, and Other 
Compliance Requirements for Small Entities

    165. Service Providers. The rules adopted in the Second Report and 
Order require service providers to make minor adjustments to their 
existing reporting process to account for new or refined multistate 
reporting for the NORS filings.
    166. Voluntarily participating agencies. Pursuant to the 
confidential protections adopted in the Second Report and Order, 
voluntarily participating agencies, including those that are small 
entities, will be required to notify the Commission when they receive 
requests for NORS filings, DIRS filings, or related records, and prior 
to the effective date of any change in relevant statutes of laws that 
would affect the agency's ability to adhere to the confidentiality 
protections that the Commission requires. Under the adopted information 
sharing framework, voluntarily participating agencies will also be 
required to submit to the Commission requests for direct access to NORS 
and DIRS filings which include a description of why the agency has a 
need to access NORS and DIRS filings (``need to know'') and how it 
intends to use the information in practice. Agencies applying for 
direct access to NORS and DIRS are required to demonstrate their ``need 
to know'' by citing to legal authority, in the form of a statutes, 
rules, court decisions, or other binding legal provisions, establishing 
that it has official duties involving preparing for, or responding to, 
an event that threatens public safety.
    167. Additionally, participating agencies will be required to 
implement initial and annual security training to each person granted a 
user account for NORS and DIRS filings, and certify that they will take 
appropriate steps to safeguard the information contained in the 
filings, including notifying the Commission of unauthorized or improper 
disclosure. In the event of any known or reasonably suspected breach of 
protocol involving NORS and DIRS filings participating agencies will be 
required to report this information to the Commission and all affected 
providers immediately. Participating agencies will also be required to 
maintain and make available for inspection, upon Commission request, a 
list of all localities for which the agency has disclosed NORS and DIRS 
data.
    168. In the Second Report and Order, the Commission allows 
participating agencies to share confidential NORS and DIRS information 
within an outside the agency subject to certain limitations. 
Participating agencies will also be required to execute an annual 
attestation form certifying and acknowledging compliance with 
requirements of the information sharing framework that the Commission 
adopts.

F. Steps Taken To Minimize the Significant Economic Impact on Small 
Entities, and Significant Alternatives Considered

    169. The Commission has taken specific steps minimize costs for 
both service providers and voluntarily participating agencies in the 
NORS and DIRS information sharing framework adopted in the Second 
Report and Order. The Commission did not make DIRS reporting mandatory 
as urged by some commenters in the proceeding. Moreover, while the 
Commission adopted changes to the NORS form filing to allow users to 
select more than one state when submitting a request for NORS 
information that modified the method in which service providers report 
outage information in NORS, this change did not impose additional 
levels of reporting to require disaggregation to provide a breakout of 
state-specific impacts by submitting state specific filings We note 
that service providers will not need to modify their DIRS reporting 
processing to accommodate multistate reporting. To provide 
participating agencies maximum flexibility and reduce potential costs 
of compliance with the training requirements, rather than mandate an 
agency's use of a specific training program, we adopted requirements 
that allow agencies to develop their own training program or rely on an 
outside training program that covers, at a minimum, a set of five 
``program elements.''
    170. In addition, rather than requiring third-party audits of 
training programs to ensure that state and Federal agencies' training 
programs comply with the Commission's proposed required program 
elements, participating agencies are required to make copies of their 
training curriculum available for the Commission's review upon demand 
which will significantly minimize costs associated with the required 
training programs. The Commission also declined to adopt a ``downstream 
training'' requirement which would have required any entity receiving 
NORS & DIRS information from a participating agency to complete formal 
training. Similarly, the Commission declined to adopt a requirement for 
participating agencies to obtain an affidavit on confidentiality from 
local entities prior to receipt NORS and DIRS information. To further 
assist and reduce the burden on small entities and other participating 
agencies with meeting the training requirements the Commission adopted 
in the Second Report and Order, the Commission will consult with 
diverse stakeholders with a range of perspectives, including state 
governments, the public safety community, service providers, and other 
industry representatives to develop exemplar training materials, that 
can be used by participating agencies to training their staffs on the 
proper uses of NORS and DORS filings.
    171. The Commission also declined to grant local agencies direct 
access to NORS and DIRS considering among other things the burdens that 
would result for local entities, many of which may be small entities. 
Additionally, the Commission has adopted a single form to address the 
certifications and acknowledgments required for direct access to NORS 
and DIRS. The use of a single form, coupled with the fact that the 
proposed certification form is similar to one that the Commission 
currently requires for sharing sensitive numbering data with states 
using FCC Form 477 data, should help minimize preparation time and 
costs, specifically for those smaller agencies since these agencies 
should be familiar with the existing requirements and have comparable 
operational processes and procedures already in place.

Certification Form

    Instructions: Please review and complete the form below. Please 
send your completed form to [email protected]. On 
review, the Commission will contact you to resolve any questions with 
your application papers or issue your agency login credentials for 
accessing NORS and DIRS.

[NAME OF AGENCY]

CERTIFICATION FORM FOR NORS AND DIRS SHARING

[your title]
[name of agency]
[address]
[address]

    Dear Commission:
    [Agency name] requests access to Network Outage Reporting System 
(NORS) and Disaster Information Reporting System (DIRS) filings 
involving [for states, the District of Columbia, or U.S. 
Territories, the name of state(s) or jurisdiction(s); for Federal 
agencies, the name of state(s) or nationwide; for Tribal nations, 
the name of the Tribal Government or component thereof] (filings).
    I hereby certify and acknowledge that I am authorized to act on 
behalf of the [name of agency] and that [name of agency] is willing 
and able to be bound by the terms and conditions provided in this 
document.

[[Page 22821]]

    On behalf of [agency name], I acknowledge and certify that 
[agency name] agrees to the terms below.
    I hereby certify and acknowledge that each user account is to be 
assigned to a single employee and that [agency name] will promptly 
reassign user accounts to reflect changes as its roster of 
designated employees changes (e.g., due to employee departure and 
arrival).
    I hereby certify and acknowledge that [agency name] will change 
user account passwords and take other reasonable measures to ensure 
that user account credentials are not used by individuals who are 
not [agency name]'s designated employees.
    I hereby certify and acknowledge that NORS and DIRS filings, and 
the information contained therein (collectively, NORS and DIRS 
filings and information) are sensitive and presumed confidential for 
national security and commercial competitiveness reasons.
    I hereby certify that [agency name] will treat NORS and DIRS 
filings and data as confidential under Federal and state Freedom of 
Information Act statutes and similar laws and regulations and not 
disclose them absent a finding by the Commission that allows [agency 
name] to do so.
    I hereby certify that [agency name] will treat NORS and DIRS 
filings and information in accordance with procedural and 
substantive protections that are equivalent to or greater than those 
afforded under Federal confidentiality statutes and rules, including 
but not limited to the Federal Freedom of Information Act. 5 U.S.C. 
552(b)(4). To the extent that Federal confidentiality statutes and 
rules impose a higher standard of confidentiality than applicable 
state, U.S. territory, or Tribal law or regulations provide, I 
represent that the [name of agency] is legally able to and will 
adhere to the higher Federal standard. I agree that the [name of 
agency] will notify the Commission, within 14 calendar days via the 
email, [email protected], when [name of agency] 
receives a request from a third party to disclose NORS filings and 
DIRS filings, or related records, pursuant to a state's open record 
laws or other legal authority that could compel [name of agency] to 
do so. I agree to notify the Commission via the email, 
[email protected], at least 30 calendar days 
prior to the effective date of any change in relevant statutes of 
laws that would affect [name of agency]'s ability to adhere to at 
least the Federal confidentiality rules and statutes standard.
    I hereby certify and acknowledge that the Commission's rules 
place restrictions on the access to and use of NORS and DIRS filings 
and information. I certify that I have reviewed and agree to comply 
with the restrictions regarding information sharing as described in 
part 4 of Title 47 of the Code of Federal Regulations.
    I hereby certify and acknowledge that the [name of agency] will 
adopt or develop a NORS and DIRS security training program, if it 
has not already, that satisfies each of the required training 
program elements identified at [cite to forthcoming Order], that the 
[name of agency] will administer this training to each of its 
designated employees prior to their access to NORS and DIRS filings 
and information and then at least annually thereafter. The [name of 
agency] will make copies of its training curriculum available for 
the Commission's review upon demand.
    I further acknowledge that [name of agency] will report 
immediately to any affected service providers and to the Commission, 
via the email [email protected] and 
[email protected], any known or reasonably suspected breach of the 
protocol specified in the training program or any other known or 
reasonably suspected unauthorized use or improper disclosure of NORS 
and DIRS information.
    I further acknowledge that if [name of agency] needs contact 
information for a provider, that [agency name] may request this 
information from the Commission at 
[email protected], and that this does not toll 
[agency name]'s obligation to immediately notify any affected 
service providers, using the best contact information known to 
[agency name].
    I acknowledge on behalf of [name of agency] that the Commission 
does not guarantee the accuracy of either the NORS or DIRS filings 
as both sets of filings are submitted to the respective web-based 
databases by service providers pursuant to mandatory reporting 
timeframes for NORS filings and voluntary reporting timeframes for 
DIRS filings. Further, I acknowledge that there may be times access 
to the filings is unavailable, e.g., due to planned or unplanned 
service and maintenance.
    I hereby certify and acknowledge that [agency name's] continued 
access to NORS and DIRS filings and information is conditioned on 
its annual recertification of a current version of this form, 
available on the Commission's website. I acknowledge that the Public 
Safety and Homeland Security Bureau (Bureau) of the Commission may 
terminate [agency name]'s access at any time, and for any reason, by 
giving written notice to [name of agency]. If access is terminated, 
I agree that [name of agency] will, upon the Commission's 
termination notice, cause to be securely destroyed any and all NORS 
and DIRS filings and information or other data received pursuant to 
this grant, whether electronic or hardcopy form.
    I hereby certify and acknowledge that all the terms and 
conditions provided in this document apply to past and future NORS 
and DIRS filings and information.
    I hereby certify that [employee name, title, phone number and 
email address] will manage my agency's access to NORS and DIRS 
filings by managing user accounts in accordance with the 
Commission's rules; coordinating the downstream sharing of NORS and 
DIRS filings; making available for Commission inspection a list of 
all localities for which the agency has disclosed NORS and DIRS 
data; coordinating with the Commission to manage an unauthorized 
access incident; and answering any questions from the Commission 
regarding my agency's access, use, or sharing of NORS and DIRS 
filings.
    I hereby certify and acknowledge my and [agency name]'s 
obligation to inform the Commission if I cease to be the designated 
representative of [agency name] with authority to obligate and bind 
the agency to the statements above or if the employee listed above 
ceases to be the designated agency contact.
    I acknowledge that the Bureau makes no determinations about any 
provisions of [name of state] law or agency regulations or your 
statements about such provisions.

    Sincerely,

[name and title of official], on behalf of
[name of agency]

Affirmed:

Lisa M. Fowlkes
Chief
Public Safety and Homeland Security Bureau
Federal Communications Commission

Exemplar Aggregated Data

Overview

    The following provides general non-binding guidelines regarding how 
to aggregate NORS and DIRS data, followed by examples of aggregated 
NORS and DIRS data based on hypothetical information. The aggregated 
data presented does not reflect the exact number of users affected by a 
service provider's outage and is only used for situational awareness. 
We remind agencies participating in our framework that failure to 
properly aggregate data in accordance with the rules adopted in the 
Second Order could lead to the improper disclosure of service 
providers' confidential information and may result in termination of 
their access to NORS and DIRS filings by the Commission. Participating 
agencies with additional questions are urged to contact the Commission 
for guidance.

General Aggregation Guidelines

Aggregation `Dos'

     It is best to aggregate only NORS and DIRS information of 
the same type (e.g., aggregate wireless data and wireline data 
separately). If information is aggregated across different types, the 
public release of this information should state the types of NORS or 
DIRS information aggregated (e.g. ``This data includes wireless and 
wireline data'').
     It is best to aggregate 911 outages according to their 
impact (e.g., 911 call delivery affected, only 911-caller location 
information affected). If information is aggregated across different 
types of 911 outages, the public release of this information should 
note the approximate proportion of the effects (e.g., ``in most cases 
only location information is affected'').
     If aggregating NORS information, aggregate information 
related to long-term trends using final reports only.

[[Page 22822]]

     If aggregating NORS information from notifications or 
initial reports, please be aware that this information may change as 
service providers further remediate or investigate the outage. It is 
recommended that agencies make clear that this information is only 
preliminary and may change or be updated over time.
     If several reported outages seem very large, it is good 
practice to confirm the magnitude of the outage with the reporting 
service providers prior to releasing any aggregated information about 
them. In some instances, service providers may intentionally 
overestimate the effect of an outage out of an abundance of caution. 
Agencies should be aware of these circumstances prior to determining 
what information would be appropriate to release to the public.
     If an agency intends to aggregate the duration or the 
number of users affected by multiple outages, reporting the median is 
generally preferred over reporting the mean (average) because the mean 
may be skewed by unrepresentatively high or low outliers.
     When aggregating data for incidents occurring over a 
period of time, use the incident date/time, not the creation date or 
reportable date.
     The frequency of NORS outage reports varies by season. If 
aggregating for the purpose of comparing two time periods, it is 
advisable that the time periods be of the same season of the year 
(e.g., compare January to March 2020, to January to March 2019, but not 
to July to August 2019.)
     Be careful when aggregating outages with durations of all 
9's that are greater than 99 (e.g., 999, 9999, 99999). These values can 
be indicators that the outage is ongoing even though the report is 
final. If in doubt, it is best to contact the reporting service 
provider and/or exclude these outages from the aggregation.
     Sudden increases or decreases in NORS reports may be the 
result of reporting rules changes or other effects. If sudden changes 
are noticed, the FCC should be consulted before data is made public. As 
a corollary, personnel responsible for data aggregation should keep up 
with any NORS rule changes.

Aggregation `Don'ts'

     Do not release NORS data for a single outage, even if the 
name of the service provider is not mentioned in the release. 
Aggregation should always occur across at least four service providers, 
meaning that in most instances, agencies cannot release aggregated 
information about an ongoing outage.
     Do not aggregate data over a geographic region which has 
fewer than four service providers of that type in the region. For 
example, if a county is served by only three wireless service 
providers, do not report an aggregation of wireless outage data for 
that county.
     Do not aggregate NORS and DIRS data together.
     Do not aggregate NORS data at a scope smaller than a 
state, unless the reports you are aggregating all specify a smaller 
region (e.g., a specific county or Tribal territory).
     In NORS, do not aggregate non-service affecting outages 
(i.e., OC3 Simplex outages) with service affecting outages.
     Do not identify names of service providers as sources of 
outage data.
     Do not use the time zone data in NORS to determine outage 
location. This data is used only to identify the time zone for the 
incident time.
     Do not include Special Facilities outage reports in any 
aggregation.

Examples of Aggregated NORS and DIRS Data

NORS Example

    The following table shows the total number of wireline users 
affected by wireline outages in each state as reported by 4 companies 
or more:
BILLING CODE 6712-01-P

[[Page 22823]]

[GRAPHIC] [TIFF OMITTED] TR29AP21.005

    For the NORS aggregation example table below, the number of 
wireline users affected from all reports above per state were added and 
are presented in the total number of wireline users affected per state:
[GRAPHIC] [TIFF OMITTED] TR29AP21.006


[[Page 22824]]



DIRS Example

    The following table shows the total number of cell sites were 
affected by a disaster in each state as reported by 4 companies or 
more:
[GRAPHIC] [TIFF OMITTED] TR29AP21.007


[[Page 22825]]


    For the DIRS aggregation example table below, the number of cell 
sites affected from all wireless reports above for each state were 
added and presented in the total number of affected cell sites per 
state in the table below. The percentage of cell sites out of service 
were calculated by dividing the number of cell sites served by the 
number of cell sites out of service for each state:
[GRAPHIC] [TIFF OMITTED] TR29AP21.008

List of Subjects in 47 CFR Part 4

    Airports, Communications common carriers, Communications equipment, 
Reporting and recordkeeping requirements, Telecommunications.

Federal Communications Commission.
Marlene Dortch,
Secretary.

Final Rule

    For the reasons set forth above, part 4 of title 47 of the Code of 
Federal Regulations is amended as follows:

PART 4--DISRUPTIONS TO COMMUNICATIONS

0
1. The authority citation for part 4 continues to read as follows:

    Authority: 47 U.S.C. 34-39, 151, 154, 155, 157, 201, 251, 307, 
316, 615a-1, 1302(a), and 1302(b); 5 U.S.C. 301, and Executive Order 
no. 10530.


0
2. Section 4.2 is revised to read as follows:


Sec.  4.2   Availability of reports filed under this part.

    Reports filed under this part will be presumed to be confidential 
under Sec.  0.457(d)(1) of this chapter. Notice of any requests for 
inspection of outage reports will be provided pursuant to Sec.  
0.461(d)(3) of this chapter except that the Chief of the Public Safety 
and Homeland Security Bureau may grant, without providing such notice, 
an agency of the states, the District of Columbia, U.S. territories, 
Federal Government, or Tribal Nations direct access to portions of the 
information collections affecting its respective jurisdiction after the 
requesting agency has certified to the Commission that it has a need to 
know this information and has protections in place to safeguard and 
limit the disclosure of this information as described in the 
Commission's Certification Form for NORS and DIRS Sharing 
(Certification Form). Sharing is restricted by the following terms:
    (a) Requesting Agencies granted direct access to information 
collections must report immediately to any affected service providers 
and to the Commission any known or reasonably suspected unauthorized 
use or improper disclosure, manage their agency's access to outage 
reports by managing user accounts in accordance with the Commission's 
rules, coordinate with the Commission to manage an unauthorized access 
incident, and answer any questions from the Commission regarding their 
agency's access, use, or sharing of reports.
    (b) Agencies granted direct access to information collections may 
share copies of the filings, and any confidential information derived 
from the filings, outside their agency on a strict need-to-know basis 
when doing so pertains to a specific imminent or on-going public safety 
event. The agency must condition the recipients' receipt of 
confidential NORS and DIRS information on the recipients' 
certification, on a form separate from the Certification Form, that 
they will treat the information as confidential, not publicly disclose 
it absent a finding by the Commission that allows them to do so, and 
securely destroy the information by, at a minimum, securely cross-cut 
shredding, or machine-disintegrating, paper copies of the information, 
and irrevocably clearing and purging digital copies, when the public 
safety event that warrants access to the information has concluded.
    (c) Except as permitted pursuant to paragraph (b) of this section, 
agencies granted direct access to information collections may not share 
filings, or any confidential information derived from the filings, with 
non-employees of the agency, including agency contractors, unless such 
sharing is expressly authorized in writing by the Commission.
    (d) Agencies granted direct access to information collections may 
disseminate aggregated and anonymized information to the public. Such 
information must be aggregated from at least four service providers and 
must be sufficiently anonymized so that it is not possible to identify 
any service providers by name or in substance.
    (e) Consequences for an Agency's failure to comply with these terms 
may result in, among other measures, termination of direct access to 
reports by the Commission for a time period to be determined by the 
Commission based on the totality of the circumstances surrounding the 
failure.

[FR Doc. 2021-07457 Filed 4-28-21; 8:45 am]
BILLING CODE 6712-01-C