1. CALEA Communications Assistance For Law Enforcement Act
PSHSB
Public Safety and Homeland Security Bureau
CALEA Communications 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

2. Part 1- CALEA Demystified
Description, Compliance Requirements, Compliance Relief, and Enforcement
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3. What Is CALEA? Legal and Regulatory Fundamentals
Communications Assistance for Law Enforcement Act,
Pub. L. No , 108 Stat (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?
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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.
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5. CALEA Compliance Legal 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.
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6. CALEA Compliance Legal 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”
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7. CALEA Compliance Legal 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.”
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8. CALEA Compliance Legal 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.”
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9. CALEA Compliance Legal 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
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10. CALEA Compliance Legal 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
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11. CALEA Compliance Legal 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.
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12. CALEA Compliance Legal 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.”
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13. CALEA Compliance Legal 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,
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14. CALEA Compliance Legal 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.
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15. CALEA Compliance Legal 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.
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16. CALEA Compliance Legal 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.
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17. CALEA Compliance Legal 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.
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18. CALEA Enforcement Legal and Regulatory Fundamentals
Who enforces?
47 USC § 229 requirements: FCC
Full panoply of Title V enforcement mechanisms.
Civil damages under 47 USC § 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
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19. Part II- How Does CALEA Work?
Circuit Switched, Voice over Internet Protocol (VoIP), Broadband Access, and Industry-Specific Solutions
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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)
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21. How Does CALEA Work? Lawful intercept functions & ownership
Law Enforcement
Administrative
Function (LEAF)
Collection
Function (CF)
Law enforcement agency
Legal Order
Voice service provider or Trusted third party
Service Provider
Administrative
Function (SPAF)
Delivery
Function (DF)
Intercept Access
Function or
Point (AF/IAP)
Network service provider
Target subscriber

22. How Does CALEA Work? Service provider lawful intercept functions in detail
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
LEA
Law Enforcement
Administrative
Function (LEAF)
Collection
Function (CF)
Legal Order
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
Legal Order e
Service Provider
Administrative
Function (SPAF) c
Delivery
Function (DF) a d
Intercept Access
Function or
Point (AF/IAP)
Target subscriber

24. Voice and video over IP – how it works
Signaling messages
SIP in UDP, TCP or SCTP
INVITE + SDP(media options)
OK + SDP(media selection)
RTCP in UDP
RTP in UDP
Voice media flows
Video media flows
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25. ITSP/VoIP provider responsible for intercept
Types of interactive communications - voice, video, and messaging - over IP
ITSP/VoIP provider responsible for intercept
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
Tap the service vs the line
Broadband ISP responsible for intercept

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

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

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

29. 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
MPLS VPN
Cable
Frame/LL
H.248
SIP
MGCP
H.323
Signaling
Media

30. Solution: Universities
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
University network
H.323 or SIP PBX
SIP endpoints /server
SIP
SRTP pass-thru
SIP/TLS
Internet
Managed SIP services
SOHO
IP access to PSTN, hosted services, IP extranet, other IP subscribers

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