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Communications Assistance
for Law Enforcement Act (CALEA) Note: The following information
is provided for general reference purposes only and should not be relied
upon for a full and complete understanding of the CALEA statute. Carriers
and others seeking to know how they are affected by CALEA should consult
the statute and relevant FCC rules, Orders, and other publications, as well
as rules and other documents published by the United States Department of
Justice and the Federal Bureau of Investigation (FBI).
Public Safety & Homeland Security Bureau (PSHSB) CALEA Team:
David Ward, Senior Attorney, PSHSB Policy Division (202.418.2336)
Darryl Cooper, Senior Attorney, PSHSB Policy Division (202.418.7131)
Eric Ehrenreich, Attorney Advisor, PSHSB Policy Division (202.418.1726)
Thomas J. Beers, Deputy Division Chief, PSHSB Policy Division (202.418.0952)
• INTRODUCTION
• INFORMATION FILING REQUIREMENTS AND RELATED DEADLINES
• Monitoring Reports (Due February 12, 2007)
• Updates of Pending Section 107(c) Petitions (Due February 12,
2007)
• System Security and Integrity Plans (Due March 12, 2007)
• CALEA COMPLIANCE – SOME BASIC INFORMATION
• Compliance For Circuit Equipment, Facilities Or Services
• Compliance For Packet Equipment, And Equipment For Facilities-Based
Broadband Internet Access Providers And Providers Of Interconnected VoIP
• PETITIONS FOR RELIEF
• Section 107(c) Petitions For Extension of Compliance Dates
• Section 109(b)(1) Petitions For Cost-Shifting Relief
• Filing Procedures For Section 107(c) And Section 109(b)(1) Petitions
INTRODUCTION
In response to concerns that emerging technologies such as digital and
wireless communications were making it increasingly difficult for law
enforcement agencies to execute authorized surveillance, Congress enacted
CALEA on October 25, 1994. CALEA was intended to preserve the ability
of law enforcement agencies to conduct electronic surveillance by requiring
that telecommunications carriers and manufacturers of telecommunications
equipment modify and design their equipment, facilities, and services
to ensure that they have the necessary surveillance capabilities. Common
carriers, facilities-based broadband Internet access providers, and providers
of interconnected Voice over Internet Protocol (VoIP) service –
all three types of entities are defined to be “telecommunications
carriers” for purposes of CALEA section 102, 47 U.S.C. § 1001
– must comply with the CALEA obligations set forth in CALEA section
103, 47 U.S.C. § 1002. See CALEA
First Report and Order (rel. Sept. 23, 2005). .
INFORMATION FILING REQUIREMENTS
Monitoring Reports:
FCC Form 445 is
used to monitor the progress of facilities-based broadband Internet access
providers and providers of interconnected Voice over Internet Protocol
(VoIP) services in complying with CALEA section 103 capability requirements,
and the implementing Commission rules. These entities must file Form
445 no later than February 12, 2007.
Updates of Pending Section 107(C) Petitions:
No later than February 12, 2007, every telecommunications carrier with
a pending section 107(c)(1) petition currently on file must file a letter
that attests that its petition exclusively concerns equipment, facilities,
or services installed or deployed prior to October 25, 1998 (“attesting
letter”) and that its petition complies with the filing requirements
adopted in the May 12, 2006 order. Thereafter, the Commission will dismiss
all pending section 107(c)(1) petitions that include any equipment, facilities,
or services deployed on or after October 25, 1998, that do not comply
with the CALEA Second Report and Order Appendix F filing instructions,
as well as all pending section 107(c)(1) petitions for which attesting
letters are not received. See CALEA
Second Report and Order and Appendix F (rel. May 12, 2006).
See OMB Approves New Information Collection Procedures Associated With
CALEA Section 107(C) Extension Petitions And CALEA Section 109(b) Cost-Recovery
Petitions, DA 06-2511, Public
Notice (rel. Dec., 14, 2006).
System Security Integrity Plans:
All telecommunications carriers, as defined by CALEA section 102(8), must
maintain up-to-date System Security and Integrity (SSI) plans with the
Commission, as those plans are described in 47 C.F.R. § 1.20005.
Facilities-based broadband Internet access providers and providers of
interconnected Voice over Internet Protocol (VoIP) service must file their
initial System Security and Integrity (SSI) plans with the Commission
by March 12, 2007. See OMB Approves CALEA-Mandated System Security Filing
Requirement For Providers Of Facilities-Based Broadband Internet Access
and Interconnected VoIP Service, DA 06-2512, Public
Notice (rel. Dec. 14, 2004).
CALEA COMPLIANCE – SOME BASIC INFORMATION
Pursuant to CALEA, industry is basically responsible for setting CALEA
standards and solutions. Unless a party files a special petition pursuant
to CALEA § 107(b), the Commission does not get formally involved
with the compliance standards development process. CALEA also does not
provide for Commission review of manufacturer-developed solutions. Entities
subject to CALEA are responsible for reviewing the Commission’s
regulations and analyzing how this regulation applies per their specific
network architecture.
A telecommunications carrier may comply with CALEA in different ways.
First, the carrier may develop its own compliance solution for its unique
network. Second, the carrier may purchase a compliance solution from vendors,
including the manufacturers of the equipment it is using to provide service.
Third, the carrier may purchase a compliance solution from a trusted third
party (TPP).
Regarding the use of trusted third parties, the Commission
provided the following guidance on the use of TTPs in the CALEA Second
Report and Order, at paragraph 26:
“The record indicates that TTPs are available to provide a variety
of services for CALEA compliance to carriers, including processing requests
for intercepts, conducting electronic surveillance, and delivering relevant
information to LEAs. Given the effectively unanimous view of commenters
that the use of TTPs should be permitted but not required, we conclude
that TTPs may provide a reasonable means for carriers to comply with CALEA,
especially broadband access and VoIP providers and smaller carriers. We
emphasize, however, that if a carrier chooses to use a TTP, that carrier
remains responsible for ensuring the timely delivery of CII and call content
information to a LEA and for protecting subscriber privacy, as required
by CALEA. Thus, a carrier must be satisfied that the TTP's processes
allow the carrier to meet its obligations without compromising the integrity
of the intercept. Carriers will not be relieved of their CALEA obligations
by asserting that a TTP's processes prevented them from complying with
CALEA. We note DOJ’s concern about carriers attempting to use TTPs
to shift costs to LEAs, but we make no decision here that would allow
carriers who choose to use a TTP to shift the financial responsibility
for CALEA compliance to the Attorney General under Section 109….
We will evaluate whether the availability of a TTP makes call-identifying
information “reasonably” available to a carrier within the
context of section 103 in acting on a section 109 petition that a carrier
may file. As noted by several commenters, telecommunications carriers
and manufacturers have legally-mandated privacy obligations, and we take
no action herein to modify those obligations based on potential broadband
access and VoIP provider use of TTPs. Finally, in accord with the consensus
of comments, we will defer to standards organizations and industry associations
and allow them to determine the degree to which the ability of a TTP external
system to extract and isolate CII makes that information reasonably available
for purposes of defining CALEA standards and safe harbors. See CALEA
Second Report and Order at para. 26 (emphasis added).
To contact TPPs, carriers may conduct an Internet search using such key
words as “CALEA compliance” and “CALEA compliance help,”
or any combination that will yield a display of TPPs.
Reference web sites:
The following organizations provide information on their web sites that
telecommunications carriers may find useful to research what various industry
organizations are doing to develop CALEA section 103 compliance standards
and solutions. Please note that this list is not exhaustive, and that the
Commission does not approve or endorse the information contained in these
web sites. In addition, by referencing these organizations, the Commission
in no way endorses these organizations, their advice, or their opinions.
These web sites are presented purely for informational purposes only. Accordingly,
we encourage everyone to consult legal counsel when making CALEA compliance
determinations and selecting CALEA compliance solutions.
Telecommunications
Industry Association
United States
Telecom Association
Organization
for the Promotion and Advancement of Small Telecommunications Companies
National
Telecommunications Cooperative Association
Electronic
Frontier Foundation
AskCALEA
American
Library Association
Educause
Compliance for Circuit-Mode Equipment, Facilities or Services
If your switching equipment was placed in service prior to January 1,
1995, you are already deemed compliant temporarily with CALEA's capability
requirements, pursuant to CALEA section 109(d), subject to the process
described in that section. Carriers with equipment deployed prior to January
1, 1995 should note that when “equipment, facility or service is
replaced or significantly upgraded or otherwise undergoes major modification,”
they must become fully compliant with CALEA's capability requirements.
See CALEA § 109(d); 47 USC §1008(d).
For those carriers who installed switching equipment on January 1, 1995
or later, to assist carriers with designing a schedule for becoming CALEA-compliant,
the FBI has developed a carrier Flexible Deployment Assistance program for
circuit mode compliance. Note that this program has been discontinued for
packet mode extension requests. The FCC encourages all carriers to consult
with the FBI about program details. Detailed instructions and contact information
for this program, as well as summary information about current CALEA compliance
requirements, may be obtained online from the FBI/CIS. See AskCALEA.
Potential petitioners – and all carriers – should be aware that
in May 2004, the FBI released the Fourth
Edition of the CALEA Flexible Deployment Assistance Guide. This guide
provides the most current information about FBI policies regarding carrier
CALEA implementation responsibilities, including FBI policy regarding support
for compliance extension petitions. The Fourth
Edition Schedule template is available in Microsoft Excel format.
Telecommunications carriers that need more information on these FBI programs
may contact the FBI’s CALEA Implementation Unit directly:
FBI Quantico Engineering Research Facility (ERF)
CALEA Implementation Unit
Building 27958A
Quantico, VA 22135
Telephone:
Direct: (703) 632-4697
Toll Free: (800) 551-0336
CALEA Compliance for Packet Equipment, And Equipment for Facilities-Based
Broadband Internet Access Providers and Providers of Interconnected VoIP
All facilities-based broadband Internet access providers and providers
of interconnected VoIP service have until May 14, 2007 to come into compliance
with CALEA. In the May 12, 2006 Commission order, the Commission found
that section 107(c)(1) may not be used by entities seeking extensions
for equipment, facilities, and services deployed on or after October 25,
1998 (the effective date of the CALEA section 103 and 105 requirements).
PETITIONS FOR RELIEF
Section 107(c)(1) Petitions for Temporary Relief
CALEA section 107(c)(1) permits a petitioner to apply for an extension
of time, up to two years from the date that the petition is filed, to
come into compliance with a particular CALEA section 103 capability requirements.
Under section 107(c)(1), a petitioner may seek an extension of time only
for equipment, facilities, or services (“services”) installed
or deployed prior to October 25, 1998. The Commission issued new section
107(c) filing instructions in Appendix
F to the CALEA Second Report and Order. As stated in those instructions,
section 107(c) extensions of time will only be available for "any
equipment, facility, or service" installed or deployed before October
25, 1998.
Section 109(b)(1) Petitions for Cost-Shifting Relief
CALEA section 109(b) permits a “telecommunications carrier,”
as that term is defined by CALEA, to file a petition with the FCC and
an application with the Department of Justice (DOJ) to request that DOJ
pay the costs of the carrier’s CALEA compliance (cost-shifting relief)
with respect to any equipment, facility or service installed or deployed
after January 1, 1995. First, the carrier must file a section 109(b)(1)
petition with the FCC and prove that, based on one or more of the criteria
set forth in section 109(b)(1)(A)-(K), implementation of at least one
particular solution that would comply with a particular CALEA section
103 capability requirement is not “reasonably achievable.”
Second, if the Commission grants a section 109(b)(1) petition, the carrier
must then apply to DOJ, pursuant to section 109(b)(2), to pay the reasonable
costs of compliance for one of the solutions proposed in the section 109(b)(1)
petition. DOJ may then either pay the reasonable costs of compliance or
deny the application.
If DOJ denies the section 109(b)(2) application, then the carrier is deemed
to be CALEA compliant for the facilities, networks, and services (facilities)
described in the section 109(b)(1) petition until those facilities are
replaced, significantly upgraded or otherwise undergo a major modification.
When those facilities are replaced, significantly upgraded or otherwise
undergo a major modification, the carrier is obligated under the law to
become CALEA compliant. The FCC may also specify in its CALEA section
109(b)(1) order granting a carrier’s petition the specific date
when the replacement, upgrade or modification will occur and when CALEA
compliance is required. Thus, a carrier’s obligation to comply with
all CALEA requirements is only deferred when (1) the FCC grants a section
109(b)(1) petition, and (2) DOJ declines to pay the additional reasonable
costs to comply with one or more of the CALEA requirements. No qualifying
carrier is exempt from CALEA.
Section 109(b)(1) petitions must be adequately supported, and the FCC
decides whether to grant the petition strictly in reference to criteria
set out in section 109(b)(1). Accordingly, carriers are encouraged to
consult with competent legal and technical counsel before filing such
a petition. Please note that a filing fee of $5,000.00 is required to
accompany all CALEA section 109(b)(1) petitions filed with the FCC. See
Appendix E entitled “Section 109(b)(1) Petitions for Cost-Shifting
Relief: Filing Instructions,” and paragraphs 38-57 of the CALEA
Second Report and Order for detailed filing instructions and further
explanation of the scope of relief, and its limitations, available under
section 109(b).
Filing Procedures for Section 107(c)(1) And Section 109(b)(1)
Petitions
All CALEA section 107(c)(1) and 109(b)(1) petitions, as well as section
107(c)(1) attesting letters (See Above) must reference ET Docket No. 04-295.
• Parties must file an original and four copies of each filing.
Filings can be sent by hand or messenger delivery, by commercial overnight
courier, or by first-class or overnight U.S. Postal Service mail (although
we continue to experience delays in receiving U.S. Postal Service mail).
All filings must be addressed to the Commission’s Secretary, Office
of the Secretary, Federal Communications Commission.
• All filings, orders and any other information provided in a section
109(b)(1) proceeding shall be treated as presumptively confidential pursuant
to section 0.457(g) of the Commission’s rules, 47 C.F.R. §
0.457(g) and must be filed under seal by the petitioner. Petitioners must
mark the top of each page of their petitions: “Confidential
– Not for Public Inspection.” Persons seeking access
to any information from a section 109(b)(1) proceeding must request such
access pursuant to section 0.461 of the Commission’s rules. 47 C.F.R.
§ 0.461.
• The filing fee for a section 109(b)(1) petition is $5,605.00.
See 47 C.F.R. § 1.1102 (21).
• The Commission’s contractor will receive hand-delivered
or messenger-delivered paper filings for the Commission’s Secretary
at 236 Massachusetts Avenue, NE., Suite 110, Washington, DC 20002. The
filing hours at this location are 8:00 a.m. to 7:00 p.m. All hand deliveries
must be held together with rubber bands or fasteners. Any envelopes must
be disposed of before entering the building.
• Commercial overnight mail (other than U.S. Postal Service Express
Mail and Priority Mail) must be sent to 9300 East Hampton Drive, Capitol
Heights, MD 20743.
• U.S. Postal Service first-class, Express, and Priority mail should
be addressed to 445 12th Street, SW, Washington D.C. 20554.
• Parties also should send a copy of their filings to: David Ward,
Senior Legal Advisor, Policy Division, Public Safety and Homeland Security
Bureau, 445 12th Street, SW, Washington, DC 20554.
Non-confidential documents in ET Docket No. 04-295 may be obtained from
Best Copy and Printing, Inc., in person at 445 12th St., S.W., Room CY-B402,
Washington, DC 20554, via telephone at (202) 488-5300, via facsimile at
(202) 488-5563, or via e-mail at FCC@BCPIWEB.COM.
Non-classified documents also will be available for public inspection
and copying during regular business hours in the FCC Reference Information
Center, Room CY-A257, 445 12th St. S.W., Washington, DC 20554, and through
the Commission’s Electronic
Filing System (ECFS).
To request materials in accessible formats for people with disabilities
(braille, large print, electronic files, audio format), send an e-mail
to fcc504@fcc.gov or call the Consumer &
Governmental Affairs Bureau at 202-418-0530 (voice), 202-418-0432 (TTY).
8/5/05
FCC Requires Certain Broadband and VoIP Providers to Accommodate Wiretaps.
News Release: Word | Acrobat
Martin Press Statement: Word | Acrobat
Abernathy Statement: Word | Acrobat
9/23/04
The Office of Engineering and Technology released a Declaratory Ruling, which clarified that commercial wireless "push-to-talk" services continue to be subject to the 1994 Communications Assistance for Law Enforcement Act (CALEA), regardless of the technologies that Commercial Mobile Radio Services (CMRS) providers choose to apply in offering them.
ET Docket No. 04-295, FCC 04-187. Federal Register, Volume 69, No. 184: [ Acrobat ]
8/9/04
FCC released a Notice of Proposed Rulemaking (NPRM) in the matter of Communications Assistance for Law Enforcement Act and Broadband Access and Services.
FCC 04-187: [ Word | Acrobat ]
3/12/04
The Office of Engineering and Technology released a Public Notice requesting comments sought as a result of the rulemaking proceeding.
RM-1086. DA No. 04-700: [ Word | Acrobat ]
11/19/03
Public Notice by the Wireline Competition and Wireless Telecommunications Bureaus Announces a Revised Schedule for Consideration of Pending Packet Mode CALEA Section 107(C) Petitions and Related Issues.
DA 03-3722: [ Word | Acrobat ]
4/11/02
Order on Remand requires that wireline, cellular and broadcast PCS carriers provide "punch list" electronic surveillance capabilities by June 30, 2002.
FCC 02-108: [ Text | Acrobat ]
9/28/01
Public Notice on the Common Carrier and Wireless Telecommunication Bureaus Establishes Procedures for Carriers to Submit or Supplement CALEA, Section 107(c) Extension Petitions, Both
Generally With Respect to Packet-Mode and Other Safe Harbor Standards.
DA 01-2243: [ Text | Acrobat ]
9/21/01
CALEA Order temporarily suspends the September 30, 2001 compliance date and grants carriers until November 19, 2001 to come into compliance.
FCC 01-265: [ Text | Word97 | Acrobat ]
8/15/01
The Communications Assistance for Law Enforcement Act (CALEA), Section 107(C)Extension of Capability Requirements. Grants an extension for compliance with the assistance capability requirements of section 103 of CALEA, 47 U.S.C. Section 1002(a)(1)-(4) until the dates agreed to by the FBI as set forth in each carrier's individual FBI support letter.
DA 01-1902: [ Text | Word ]
Appendix to DA 1-1902: [ Text | Word ]
4/16/01
Second Order on Reconsideration clarifies arrangements that carriers must make to interact with LEAs.
FCC 01-126: [ Text | Acrobat ]
3/15/01
Wireless Telecommunications Bureau extends CALEA Section 107(c) preliminary
determination period for wireless carriers until September 30, 2001; Seeks
comment on additional extension petitions.
Report No. CALEA-004, DA 01-673: [ Word | Acrobat ]
6/30/00
Public Notice by the Wireless Telecommunications Bureau to Announce CALEA Section 107(c) extension petitions filed and deemed to have an extension to March 31, 2001.
Report No. CALEA-001: [ Word ]
4/25/00
CALEA Section 103 Compliance and Section 107(c) Petitions provides instructions for carriers needing an extension of the deadline for complying with CALEA.
FCC 00-154: [ Text | Word ]
8/31/99
Third Report & Order adopts technical requirements for carriers to comply with CALEA.
FCC 98-230: [ Text | Acrobat ]
8/31/99
Second Report & Order defines telecommunications carriers and discusses how the definition applies to various types of service providers.
FCC 98-229: [ Text | Acrobat ]
9/11/98
Memorandum Opinion and Order grants an extension to June 20, 2000 for complying with CALEA.
FCC 98-223: (Text) (PDF) (News Release - HTML) (Erratum)
| last reviewed/updated
on 2/21/07 |
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