§ 12.4   Reliability of covered 911 service providers.

   (a) Definitions. Terms in this section shall have the following
   meanings:

   (1) Aggregation point. A point at which network monitoring data for a
   911 service area is collected and routed to a network operations center
   (NOC) or other location for monitoring and analyzing network status and
   performance.

   (2) Certification. An attestation by a certifying official, under
   penalty of perjury, that a covered 911 service provider:

   (i) Has satisfied the obligations of paragraph (c) of this section.

   (ii) Has adequate internal controls to bring material information
   regarding network architecture, operations, and maintenance to the
   certifying official's attention.

   (iii) Has made the certifying official aware of all material
   information reasonably necessary to complete the certification.

   (iv) The term “certification” shall include both an annual reliability
   certification under paragraph (c) of this section and an initial
   reliability certification under paragraph (d)(1) of this section, to
   the extent provided under paragraph (d)(1) of this section.

   (3) Certifying official. A corporate officer of a covered 911 service
   provider with supervisory and budgetary authority over network
   operations in all relevant service areas.

   (4) Covered 911 service provider.

   (i) Any entity that:

   (A) Provides 911, E911, or NG911 capabilities such as call routing,
   automatic location information (ALI), automatic number identification
   (ANI), or the functional equivalent of those capabilities, directly to
   a public safety answering point (PSAP), statewide default answering
   point, or appropriate local emergency authority as defined in
   § § 64.3000(b) and 20.3 of this chapter; and/or

   (B) Operates one or more central offices that directly serve a PSAP.
   For purposes of this section, a central office directly serves a PSAP
   if it hosts a selective router or ALI/ANI database, provides equivalent
   NG911 capabilities, or is the last service-provider facility through
   which a 911 trunk or administrative line passes before connecting to a
   PSAP.

   (ii) The term “covered 911 service provider” shall not include any
   entity that:

   (A) Constitutes a PSAP or governmental authority to the extent that it
   provides 911 capabilities; or

   (B) Offers the capability to originate 911 calls where another service
   provider delivers those calls and associated number or location
   information to the appropriate PSAP.

   (5) Critical 911 circuits. 911 facilities that originate at a selective
   router or its functional equivalent and terminate in the central office
   that serves the PSAP(s) to which the selective router or its functional
   equivalent delivers 911 calls, including all equipment in the serving
   central office necessary for the delivery of 911 calls to the PSAP(s).
   Critical 911 circuits also include ALI and ANI facilities that
   originate at the ALI or ANI database and terminate in the central
   office that serves the PSAP(s) to which the ALI or ANI databases
   deliver 911 caller information, including all equipment in the serving
   central office necessary for the delivery of such information to the
   PSAP(s).

   (6) Diversity audit. A periodic analysis of the geographic routing of
   network components to determine whether they are physically diverse.
   Diversity audits may be performed through manual or automated means, or
   through a review of paper or electronic records, as long as they
   reflect whether critical 911 circuits are physically diverse.

   (7) Monitoring links. Facilities that collect and transmit network
   monitoring data to a NOC or other location for monitoring and analyzing
   network status and performance.

   (8) Physically diverse. Circuits or equivalent data paths are
   Physically Diverse if they provide more than one physical route between
   end points with no common points where a single failure at that point
   would cause both circuits to fail. Circuits that share a common segment
   such as a fiber-optic cable or circuit board are not Physically diverse
   even if they are logically diverse for purposes of transmitting data.

   (9) 911 service area. The metropolitan area or geographic region in
   which a covered 911 service provider operates a selective router or the
   functional equivalent to route 911 calls to the geographically
   appropriate PSAP.

   (10) Selective router. A 911 network component that selects the
   appropriate destination PSAP for each 911 call based on the location of
   the caller.

   (11) Tagging. An inventory management process whereby critical 911
   circuits are labeled in circuit inventory databases to make it less
   likely that circuit rearrangements will compromise diversity. A covered
   911 service provider may use any system it wishes to tag circuits so
   long as it tracks whether critical 911 circuits are physically diverse
   and identifies changes that would compromise such diversity.

   (b) Provision of reliable 911 service. All covered 911 service
   providers shall take reasonable measures to provide reliable 911
   service with respect to circuit diversity, central-office backup power,
   and diverse network monitoring. Performance of the elements of the
   certification set forth in paragraphs (c)(1)(i), (c)(2)(i), and
   (c)(3)(i) of this section shall be deemed to satisfy the requirements
   of this paragraph. If a covered 911 service provider cannot certify
   that it has performed a given element, the Commission may determine
   that such provider nevertheless satisfies the requirements of this
   paragraph based upon a showing in accordance with paragraph (c) of this
   section that it is taking alternative measures with respect to that
   element that are reasonably sufficient to mitigate the risk of failure,
   or that one or more certification elements are not applicable to its
   network.

   (c) Annual reliability certification. One year after the initial
   reliability certification described in paragraph (d)(1) of this section
   and every year thereafter, a certifying official of every covered 911
   service provider shall submit a certification to the Commission as
   follows.

   (1) Circuit auditing. (i) A covered 911 service provider shall certify
   whether it has, within the past year:

   (A) Conducted diversity audits of critical 911 circuits or equivalent
   data paths to any PSAP served;

   (B) Tagged such critical 911 circuits to reduce the probability of
   inadvertent loss of diversity in the period between audits; and

   (C) Eliminated all single points of failure in critical 911 circuits or
   equivalent data paths serving each PSAP.

   (ii) If a Covered 911 Service Provider does not conform with all of the
   elements in paragraph (c)(1)(i) of this section with respect to the 911
   service provided to one or more PSAPs, it must certify with respect to
   each such PSAP:

   (A) Whether it has taken alternative measures to mitigate the risk of
   critical 911 circuits that are not physically diverse or is taking
   steps to remediate any issues that it has identified with respect to
   911 service to the PSAP, in which case it shall provide a brief
   explanation of such alternative measures or such remediation steps, the
   date by which it anticipates such remediation will be completed, and
   why it believes those measures are reasonably sufficient to mitigate
   such risk; or

   (B) Whether it believes that one or more of the requirements of this
   paragraph are not applicable to its network, in which case it shall
   provide a brief explanation of why it believes any such requirement
   does not apply.

   (2) Backup power. (i) With respect to any central office it operates
   that directly serves a PSAP, a covered 911 service provider shall
   certify whether it:

   (A) Provisions backup power through fixed generators, portable
   generators, batteries, fuel cells, or a combination of these or other
   such sources to maintain full-service functionality, including network
   monitoring capabilities, for at least 24 hours at full office load or,
   if the central office hosts a selective router, at least 72 hours at
   full office load; provided, however, that any such portable generators
   shall be readily available within the time it takes the batteries to
   drain, notwithstanding potential demand for such generators elsewhere
   in the service provider's network.

   (B) Tests and maintains all backup power equipment in such central
   offices in accordance with the manufacturer's specifications;

   (C) Designs backup generators in such central offices for fully
   automatic operation and for ease of manual operation, when required;

   (D) Designs, installs, and maintains each generator in any central
   office that is served by more than one backup generator as a
   stand-alone unit that does not depend on the operation of another
   generator for proper functioning.

   (ii) If a covered 911 service provider does not conform with all of the
   elements in paragraph (c)(2)(i) of this section, it must certify with
   respect to each such central office:

   (A) Whether it has taken alternative measures to mitigate the risk of a
   loss of service in that office due to a loss of power or is taking
   steps to remediate any issues that it has identified with respect to
   backup power in that office, in which case it shall provide a brief
   explanation of such alternative measures or such remediation steps, the
   date by which it anticipates such remediation will be completed, and
   why it believes those measures are reasonably sufficient to mitigate
   such risk; or

   (B) Whether it believes that one or more of the requirements of this
   paragraph are not applicable to its network, in which case it shall
   provide a brief explanation of why it believes any such requirement
   does not apply.

   (3) Network monitoring. (i) A covered 911 service provider shall
   certify whether it has, within the past year:

   (A) Conducted diversity audits of the aggregation points that it uses
   to gather network monitoring data in each 911 service area;

   (B) Conducted diversity audits of monitoring links between aggregation
   points and NOCs for each 911 service area in which it operates; and

   (C) Implemented physically diverse aggregation points for network
   monitoring data in each 911 service area and physically diverse
   monitoring links from such aggregation points to at least one NOC.

   (ii) If a Covered 911 Service Provider does not conform with all of the
   elements in paragraph (c)(3)(i) of this section, it must certify with
   respect to each such 911 Service Area:

   (A) Whether it has taken alternative measures to mitigate the risk of
   network monitoring facilities that are not physically diverse or is
   taking steps to remediate any issues that it has identified with
   respect to diverse network monitoring in that 911 service area, in
   which case it shall provide a brief explanation of such alternative
   measures or such remediation steps, the date by which it anticipates
   such remediation will be completed, and why it believes those measures
   are reasonably sufficient to mitigate such risk; or

   (B) Whether it believes that one or more of the requirements of this
   paragraph are not applicable to its network, in which case it shall
   provide a brief explanation of why it believes any such requirement
   does not apply.

   (d) Other matters. (1) Initial reliability certification. One year
   after October 15, 2014, a certifying official of every covered 911
   service provider shall certify to the Commission that it has made
   substantial progress toward meeting the standards of the annual
   reliability certification described in paragraph (c) of this section.
   Substantial progress in each element of the certification shall be
   defined as compliance with standards of the full certification in at
   least 50 percent of the covered 911 service provider's critical 911
   circuits, central offices that directly serve PSAPs, and independently
   monitored 911 service areas.

   (2) Confidential treatment. (i) The fact of filing or not filing an
   annual reliability certification or initial reliability certification
   and the responses on the face of such certification forms shall not be
   treated as confidential.

   (ii) Information submitted with or in addition to such certifications
   shall be presumed confidential to the extent that it consists of
   descriptions and documentation of alternative measures to mitigate the
   risks of nonconformance with certification elements, information
   detailing specific corrective actions taken with respect to
   certification elements, or supplemental information requested by the
   Commission or Bureau with respect to a certification.

   (3) Record retention. A covered 911 service provider shall retain
   records supporting the responses in a certification for two years from
   the date of such certification, and shall make such records available
   to the Commission upon request. To the extent that a covered 911
   service provider maintains records in electronic format, records
   supporting a certification hereunder shall be maintained and supplied
   in an electronic format.

   (i) With respect to diversity audits of critical 911 circuits, such
   records shall include, at a minimum, audit records separately
   addressing each such circuit, any internal report(s) generated as a
   result of such audits, records of actions taken pursuant to the audit
   results, and records regarding any alternative measures taken to
   mitigate the risk of critical 911 circuits that are not physically
   diverse.

   (ii) With respect to backup power at central offices, such records
   shall include, at a minimum, records regarding the nature and extent of
   backup power at each central office that directly serves a PSAP,
   testing and maintenance records for backup power equipment in each such
   central office, and records regarding any alternative measures taken to
   mitigate the risk of insufficient backup power.

   (iii) With respect to network monitoring, such records shall include,
   at a minimum, records of diversity audits of monitoring links, any
   internal report(s) generated as a result of such audits, records of
   actions taken pursuant to the audit results, and records regarding any
   alternative measures taken to mitigate the risk of aggregation points
   and/or monitoring links that are not physically diverse.

   [ 79 FR 3131 , Jan. 17, 2014, as amended at  79 FR 7589 , Feb. 10, 2014;  80 FR 10619 , Feb. 27, 2015;  80 FR 60552 , Oct. 7, 2015]

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