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Understanding CALEA: Compliance, Requirements, and Relief

This article provides a comprehensive overview of the Communications Assistance for Law Enforcement Act (CALEA), including its legal and regulatory fundamentals, compliance requirements, and relief options for entities. It also explores the system security and integrity (SSI) requirements mandated by CALEA.

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Understanding CALEA: Compliance, Requirements, and Relief

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  1. CALEACommunications Assistance For Law Enforcement Act David Ward, Senior Attorney Public Safety and Homeland Security Bureau, Policy Division March 20, 2008 Non-Public Information; For Internal Use Only Public Safety and Homeland Security Bureau PSHSB

  2. Part 1- CALEA Demystified Description, Compliance Requirements, Compliance Relief, and Enforcement Non-Public Information; For Internal Use Only

  3. What Is CALEA?Legal and Regulatory Fundamentals • Communications Assistance for Law Enforcement Act, • Pub. L. No. 103-414, 108 Stat. 4279 (1994) (codified as amended in sections of 18 U.S.C. and 47 U.S.C.). • The CALEA Preamble: • “AN ACT To amend title 18, United States Code, to make clear a telecommunications carrier’s duty to cooperate in the interception of communications for law enforcement purposes, and for other purposes.” • CALEA is an Enabling Statute • Allows entities identified in other statutes to obtain lawful electronic surveillance, e.g., Federal (Titles 18 and 50), and State statutes. • Why CALEA? Non-Public Information; For Internal Use Only

  4. What Is CALEA?Legal and Regulatory Fundamentals • CALEA “Newspeak:” • Electronic surveillance: generic term for electronic eavesdropping. • Interception: generic term for electronic eavesdropping. • Wiretap: physical connection to a target’s service, “pliers and wires.” • Content interception: intercepting the conversation. • Two types of wiretaps: • Content, or “Title III:” a lawfully-authorized content interception obtained by a law enforcement agency (LEA). • Call identification information: 47 USC § 1001(2), formerly known as “trap, trace and pen register” wiretaps. • Call-related records: Available to LEAs via other statutes but not covered by CALEA. Non-Public Information; For Internal Use Only

  5. CALEA ComplianceLegal and Regulatory Fundamentals • What Entities must comply with CALEA? • Statute: “Telecommunications Carriers, “ as they are defined by 47 USC § 1001(8). • Regulations: CALEA Second Report and Order; in general, telecommunications carrier = common carrier • Included: Common Carriers, Resellers, CMRS, VoIP Service Providers, and Broadband Internet Access Providers • Not included: PMRS not connected to PSTN as a common carrier, Pay Telephone Providers, and Internet Services Providers (ISPs) that do not provide VoIP or broadband Internet access services. Non-Public Information; For Internal Use Only

  6. CALEA ComplianceLegal and Regulatory Fundamentals • What Entities must comply with CALEA? (cont’d) • 47 CFR § 102(8)(B)(ii): [CALEA includes] “a person or entity engaged in providing wire or electronic communication switching or transmission service to the extent that the Commission finds that such service is a replacement for a substantial portion of the local telephone exchange service and that it is in the public interest to deem such a person or entity to be a telecommunications carrier for purposes of this title; but • (c) does not include -- • (i) persons or entities insofar as they are engaged in providing information services; and • (ii) any class or category of telecommunications carriers that the Commission exempts by rule after consultation with the AG” Non-Public Information; For Internal Use Only

  7. CALEA ComplianceLegal and Regulatory Fundamentals • What Entities must comply with CALEA? (cont’d) • Second Report and Order: • ¶ 29: “We do not believe it necessary at this time to identify by rule additional classes of entities within CALEA’s definition of telecommunications carrier, pursuant to section 102(8)(B)(ii), or to exempt in our rules any classes pursuant to section 102(8)(C)(ii). Moreover, we agree with the FBI that codification in our rules of a list of examples would run the risk of being considered definitive rather than merely illustrative. We therefore have decided not to adopt such a list, as we had proposed in the NPRM.” Non-Public Information; For Internal Use Only

  8. CALEA ComplianceLegal and Regulatory Fundamentals • “System Security and Integrity” (SSI) requirements: • Two statutory provisions: 47 USC §§ 1004 (CALEA section 105), and 229 (CALEA section 301). • CALEA section 105: • Big change over pre-CALEA electronic surveillance • “A telecommunications carrier shall ensure that any interception of communications access to call-identifying information effected within its switching premises can be activated only in accordance with a court order or other lawful authorization and with the affirmative intervention of an individual officer or employee of the carrier acting in accordance with regulations prescribed by the Commission.” Non-Public Information; For Internal Use Only

  9. CALEA ComplianceLegal and Regulatory Fundamentals • SSI requirements: (continued) • 47 USC § 229: • Requires the Commission to make rules to ensure SSI compliance, so that carriers: • require appropriate authorization to activate interception of communications or access to call identifying information • Prevent unauthorized interception • Maintain secure and accurate records of interceptions, with or without authorization • Submit to Commission SSI policies and procedures • Commission must review each carrier’s SSI plans • First Report and Order contains SSI filing requirements Non-Public Information; For Internal Use Only

  10. CALEA ComplianceLegal and Regulatory Fundamentals • What constitutes capability compliance? • Statute: 47 U.S.C. § 1002, CALEA section 103 “Assistance Capability Requirements” • Prescribes content interception requirements • “concurrently to or from the subscriber’s equipment, facility, or service • “or at such later time as may be acceptable to the government • Prescribes call-identifying information requirements • “before, during, or immediately after the transmission. . .or at a later time as may be acceptable to the government • “in a manner that allows it to be associated with the communications to which it pertains • The government determines the information format Non-Public Information; For Internal Use Only

  11. CALEA ComplianceLegal and Regulatory Fundamentals • What constitutes capability compliance? (continued) • Statutory Limitations: • Law enforcement agencies (LEAs) cannot require any specific design of equipment, facilities, services, features, or system configurations. • Excludes information services and decrypting services • Excludes physical location info., except from telephone number • Intercept must protect: • Subscriber privacy • Existence of surveillance • Carriers may permit monitoring at carrier premises in emergencies • Mobile carriers must provide the means for seamless taps. Non-Public Information; For Internal Use Only

  12. CALEA ComplianceLegal and Regulatory Fundamentals • What constitutes capability compliance? (continued) • “Safe Harbor” provided by standards: • Statute: 47 USC § 1006: technical requirements and standards; extension of compliance date • Compliance with an established CALEA standard will protect a carrier from an enforcement action. • 47 USC § 1006(a): Industry standards organizations must consult with FBI, who must consult with state, local, and other federal LEAs, to guide the standards development process. • 47 USC § 1006(a)(3): Absence of standards no safe harbor. • 47 USC § 1006(b): LEAs may petition the FCC for a standards ruling. • 47 USC § 1006(c) (section 107(c)): Individual carriers may petition the FCC for an extension of up to two years, if compliance “is not reasonably achievable through application of technology.” Non-Public Information; For Internal Use Only

  13. CALEA ComplianceLegal and Regulatory Fundamentals • What constitutes capability compliance? (continued) • CALEA Third Report and Order • Adopted TIA J-STD-025 as the CALEA standard • Ordered that TIA include an additional six capabilities, from the nine “punch list” capabilities demanded of the FBI. • FCC role in the CALEA standards process - • TIA J-STD-025 (“J” Standard) • Safe harbor for carriers that use switching equipment built to comply with J standard • Third Report and Order, Non-Public Information; For Internal Use Only

  14. CALEA ComplianceLegal and Regulatory Fundamentals • What constitutes capability compliance? (continued) • 47 USC § 1006(c), CALEA section 107(c): “Not reasonably achievable” due to “availability of technology” • 47 USC § 1008(b), CALEA section 109(b): “Not reasonably achievable,” due to 11 statutory reasons. Non-Public Information; For Internal Use Only

  15. CALEA ComplianceLegal and Regulatory Fundamentals • How much intercept capacity must a carrier provide? • 47 USC § 1003, CALEA section 104 “capacity requirements” • The statute requires the Attorney General, who delegated CALEA responsibility to the FBI, to develop “actual” and “maximum” CALEA capacity requirements. • Carriers must expand to the actual within three years of enactment. • Carriers must expand to the maximum within four years of enactment. Non-Public Information; For Internal Use Only

  16. CALEA ComplianceLegal and Regulatory Fundamentals • Who pays? • Statutory schema: • Capability requirements - carriers without “significant upgrades or major modifications” before 1/1/95, will have CALEA capabilities paid by the FBI. If the FBI refuses to pay, the carrier is deemed compliant by operation of statute (47 USC § 1008(d)). • Costs for CALEA capability compliance for equipment and software purchases after 1/1/95, that constitute “major modification and significant upgrade” must be borne by carriers. • Bottom line: CALEA has been around for 14 years, so all new network equipment for sale is CALEA-compliant and has been for quite some time. • Second CALEA R&O: Capitol costs for CALEA compliance accrue to the carrier. Non-Public Information; For Internal Use Only

  17. CALEA ComplianceLegal and Regulatory Fundamentals • By when? • The original deadline was four years from the date of CALEA’s enactment, or October 25, 1998. • The FCC extended the original compliance date until June 30, 2000, on CALEA section 107(c) grounds; not reasonably achievable due to the unavailability of compliant technology. • FCC ordered an additional extension to 9/30/2000 for the six punch list items approved by the Third Report and Order, and for packet mode communications. • Additional extensions were ordered to allow time for carriers and manufacturers to field compliance solutions for VoIP and Broadband Internet Access services providers. The deadline for all compliance was 14 May 07. Non-Public Information; For Internal Use Only

  18. CALEA EnforcementLegal and Regulatory Fundamentals • Who enforces? • 47 USC § 229 requirements: FCC • Full panoply of Title V enforcement mechanisms. • Civil damages under 47 USC § 206- What if the entity is not a common carrier? • All other CALEA: • FBI, pursuant to 47 USC § 1007, and 18 USC § 2522. • FCC, for violations of Commission Rules Non-Public Information; For Internal Use Only

  19. Part II- How Does CALEA Work? Circuit Switched, Voice over Internet Protocol (VoIP), Broadband Access, and Industry-Specific Solutions Non-Public Information; For Internal Use Only

  20. How Does CALEA Work?The Concept of Mechanized Wiretapping • Telecommunications Carrier CALEA Services • Call Data Channel (CDC) for Call Identifying Information • Call Content Channel (CCC) for Content Information • No More “Pliers and Wires” • Cooperation Among all Interested Parties • Telecommunications Carriers- purchase and use only CALEA-compliant service providing equipment • Telecommunications Equipment Manufacturers- design and build into all telecommunications equipment CALEA compliance • Law Enforcement Agencies (LEAs) Non-Public Information; For Internal Use Only

  21. LegalOrder How Does CALEA Work?Lawful intercept functions & ownership Law Enforcement Administrative Function (LEAF) Collection Function (CF) Law enforcement agency Service Provider Administrative Function (SPAF) Delivery Function (DF) Voice service provider orTrusted third party Intercept Access Function or Point (AF/IAP) Network service provider Target subscriber

  22. Service Provider Administration Function (SPAF) ADMF: Administration Function Provisions Target’s ID in AF Intercept Access Function/Point (AF/IAP) Intercepts Target’s communication unobtrusively Mirrors & forwards call content (media) to DF Collects & forwards call data (signaling related information) to DF Delivery Function (DF) Collects & delivers call content & data from AF to Law Enforcement CF Prevents unauthorized access, manipulation and disclosure of call content & data LegalOrder How Does CALEA Work?Service provider lawful intercept functions in detail LEA Law Enforcement Administrative Function (LEAF) Collection Function (CF) VSP/TTP Service Provider Administrative Function (SPAF) Delivery Function (DF) NSP Intercept Access Function or Point (AF/IAP) Target subscriber

  23. How Does CALEA Work?- Lawful intercept interfaces • “a” interface: SPAF-AF- provisioning • Target number • INI-1, X1 • “d” interface: AF-DF – call identifying information • Signaling related information • Call data events - Call Data Connection (CDC), INI-2 • Encapsulated SIP - Intercept Related Information (IRI) X2 • “d” interface: AF-DF - call content • Media • Call Content Connection (CCC), INI-3, X3 • e interfaces: handover to/from LEA • HI-1: LEAF-ADMF- legal order provisioning • CDC, HI-2: DF-CF – call data • CCC, HI-3: DF-CF – call content Law Enforcement Administrative Function (LEAF) Collection Function (CF) b LegalOrder e c Service Provider Administrative Function (SPAF) Delivery Function (DF) d a Intercept Access Function or Point (AF/IAP) Target subscriber

  24. Signaling messages SIP in UDP, TCP or SCTP INVITE + SDP(media options) OK + SDP(media selection) Voice media flows RTP in UDP RTCP in UDP Video media flows Voice and video over IP – how it works Non-Public Information; For Internal Use Only

  25. ITSP/VoIP provider responsible for intercept Broadband ISP responsible for intercept Types of interactive communications - voice, video, and messaging - over IP • One tier (centralized) services • Vonage, AT&T Callvantage, Primus Lingo, Pulver FWD • Registration (authentication & authorization), presence & routing centralized • Two-tier service • Skype • Registration – centralized • Presence & routing distributed to subscriber endpoints – “supernode” with public IP address • Peer-to-peer • Users with global IP addresses • No VoIP provider/ITSP • Set up session peer-peer

  26. Media gateway Media server Signaling messages Softswitch Router SBC Voice media flows Video media flows Intercept requires right level of intelligence and active participation

  27. Session border controller LEA AN1 AN2 A B Router+ softswitch Media server + softswitch LEA LEA AN1 AN1 AN2 AN2 A A B B Signaling Media Media gateway + softswitch LEA PSTN AN1 AN2 A B

  28. Signaling Media Solution: Internet Telephony Service Provider • Regulatorycompliance – lawful intercept & emergency service (E911) • Security – SBC DoS protection, access control, topology hiding & privacy, VPN separation, service infrastructure DoS prevention, fraud prevention • Servicereach – adaptive NAT traversal; SIP, SIP-H.323 IWF; OLIP/VPN bridging; interworking: transport & encryption protocols • SLAassurance – admission control: session agent load, bandwidth; peer-peer media release; app/media server load balancing QoS reporting • Revenue&profitprotection – routing, accounting Data Center Database(s) Accounting SIP Internet Managed net SIP SIP/H.323 PSTN

  29. H.248 Signaling Media Solution: Facilities-based HIP IC services – business & residential • Regulatory compliance – lawful intercept & emergency service • Security – SBC DoS protection, access control, topology hiding & privacy, VPN separation, service infrastructure DoS prevention,fraud prevention • Service reach – SIP, MGCP/NCS, H.248, SIP-H.323 PBX IWF; adaptive NAT traversal; OLIP/VPN bridging; interworking: transport & encryption protocols; surrogate registration IP PBX & IAD endpoints • SLA assurance – admission control: session agent load, bandwidth, policy server, QoS metrics; peer-peer media release; QoS marking/mapping; QoS reporting • Revenue & profit protection– bandwidth policing, QoS theft protection, accounting, session timers SIP H.248 MGCP DSL Frame/LL Cable MPLS VPN SIP H.323 MGCP

  30. SIP Solution: Universities University network H.323 or SIP PBX SIP endpoints/server • Regulatory compliance – lawful intercept • Security– access control (FW), topology hiding (NAPT), privacy, VPN separation, IP PBX/endpoint DoS prevention, SBC DoS protection • SLA assurance – admission control: IP PBX/SIP server constraints, bandwidth; QoS marking/VLAN mapping – voice vs. video; QoS reporting, bandwidth policing, accounting • Service reach - VPN/OLIP bridging, SIP-H.323 interworking, adaptive NAT traversal SRTP pass-thru SIP/TLS ManagedSIP services Internet SOHO IP access to PSTN, hosted services, IP extranet, other IP subscribers

  31. Part III What’s Next? Non-Public Information; For Internal Use Only

  32. Pending CALEA Activity • Records Management • Mechanized System to Support the FBI with Accurate and Complete SSI Plan 7X24 Contact Information • FBI/DOJ/DEA CDMA 2000 Standards Deficiency Petition • Draft NPRM • Adjudicate Section 107(b) and 109(b) Relief Petitions Non-Public Information; For Internal Use Only

  33. Non-Public Information; For Internal Use Only

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