CALEA:
Frequently Asked Questions
This page contains known resources for ZCorum affiliates
on the subject of CALEA. While we strive to provide
up-to-date information about CALEA, our information
is not to be construed as legal advice. Please consult
your organization’s legal counsel with any questions
relating to compliance with this or any other laws.
The information presented below consists of general
CALEA compliance information and cannot be substituted
for the CALEA Compliance regulation posted on the
Federal
Communications Commission website. We accept
no responsibility for the content of this site or
external sites linked from our site.
What
is CALEA?
CALEA
stands for the Communications
Assistance for Law Enforcement Act of 1994 (Pub.
L. No. 103-414, 108 Stat. 4279). This law further
defines the existing statutory obligation of telecommunications
carriers to assist law enforcement in executing
electronic surveillance pursuant to court order
or other lawful authorization and requires carriers
to design or modify their systems to ensure that
lawfully-authorized electronic surveillance can
be performed.
Does
it apply to me?
All
telecommunications carriers as defined by Section
102(8) of CALEA must become compliant. Basically,
this includes all entities engaged in the transmission
or switching of wire or electronic communications
as a common carrier for hire, as well as broadband
providers offering service at speeds 128K or higher.
Are
there any exceptions?
If
your switching equipment was placed in service prior
to January 1, 1995, you are already deemed compliant
with CALEA's capability requirements. Carriers with
equipment deployed prior to that date 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. So, carriers
with equipment deployed or significantly upgraded
after January 1, 1995 must come into compliance
What
documentation is required?
First,
you must file FCC
Form 445. This is a Monitoring Report that identifies
your company and outlines your plans for becoming
CALEA-compliant. In the report, you will be required
to describe which portions of your network will
be in compliance by May 14, 2007 and which portions,
if any, will not be in compliance by this deadline.
If there are areas of non-compliance in your network,
you must list the factors contributing to the delay
and outline your plan of action to resolve those
issues and become compliant.
Next, you must file a FCC
Systems Security and Integrity Plan. This is
accomplished through the drafting of a letter that
includes detailed information on the equipment and
processes your company will adopt to maintain CALEA
compliance. In the letter, you must confirm your
company's 24x7x365 contact for law enforcement requests,
describe your procedures for validating lawful intercept
requests, and provide technical information on the
equipment and processes you will use to collect
the data requested.
If
you elect to use a Trusted Third Party (TTP) for
CALEA compliance, the TTP will provide information
on the equipment and processes they will be using
to respond to lawful intercept requests and can
assist you in filing the forms.
Can
I get an extension on the deadlines?
Yes.
Under Section
107(c) of CALEA, a carrier is permitted to file
one or more petitions with the FCC for an extension
of the Section
103 assistance capability deadlines. The maximum
extension the FCC may grant under this provision
is two years. The FCC is required by statute to
"consult" with the Attorney General prior
to deciding whether or not to grant an extension.
Where
can I get help completing the forms?
You
can download PDF copies of the instructions and
links to forms for FCC
Form 445 and the FCC
System Security and Integrity Plan. If you enroll
in ZCorum's Trusted Third Party program with Martin
Group, you will receive a pre-formatted SSIP document
based on the TTP services that Martin Group provides.
If
I decide to implement CALEA compliance on my own,
about how much will it cost?
Costs
for mediation equipment will vary by manufacturer
and the type of network the equipment is designed
for. Pricing for probes and mediation equipment
generally exceeds $100,000 and may not include installation
and training on proper use of the equipment.
You
will also need to consider personnel and processing
costs for compliance. For example, you will need
to validate any lawful intercept requests and have
staff available 24x7x365 to respond to law enforcement.
You will also need technical staff to operate the
mediation equipment and deliver data to the law
enforcement agency in an acceptable format.
My
company can't afford an independent implementation
of CALEA compliance. Can I hire someone to make my
equipment and internal processes CALEA compliant?
The
FCC has approved the use of a Trusted Third Party
to implement and administer your CALEA processes.
What
is a Trusted Third Party (TTP)?
The
Second
Report and Order and Memorandum Opinion and Order
adopted by the FCC grants telecommunications carriers
the option of using Trusted Third Parties (TTPs)
to assist in meeting their CALEA obligations and
providing law enforcement agencies (LEAs) the electronic
surveillance information those agencies require
in an acceptable format.
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. If
a carrier chooses to use a TTP, the carrier remains
responsible for ensuring the timely delivery of
call-identifying information and call content information
to a LEA and for protecting subscriber privacy,
as required by CALEA.
If
I decide to use a Trusted Third Party for CALEA compliance,
about how much will it cost?
While
the implementation fees and recurring fees differ
between TTPs, the cost to use a TTP is significantly
less than purchasing mediation equipment and maintaining
the staff to respond to lawful intercept requests.
Prices for initial implementation range from a few
thousand dollars to over $20,000 with monthly recurring
charges ranging from a few hundred dollars to $1,000
per month.
In most cases, the TTP will store and maintain the
mediation equipment in a central location, which
is shared among various broadband service providers.
When you receive a lawful intercept request or subpoena,
you forward it to the TTP. The TTP will validate
the request. They may deliver a shared probe that
has been stored and then configured for you, or
activate a probe or capture device that resides
on your network. That capture device will collect
the required data and deliver it securely to the
mediation device. The mediation software converts
the data to a usable format, which is then forwarded
securely to the LEA.
Is
ZCorum a Trusted Third Party (TTP) or applying for
such status?
ZCorum
is not a TTP. However, for the benefit of our Affiliates,
ZCorum is working with Martin Group to bring Trusted
Third Party services to you, combining the benefits
of ZCorum's network knowledge and Martin Group's
intercept and mediation solution.
We have carefully evaluated several TTP providers
to find a provider that does not compromise on issues
related to compliance and provides comprehensive
services at a reasonable cost. We have chosen Martin
Group, a reputable company that has been providing
assistance with engineering, business processes,
and regulatory matters since 1970.
ZCorum's TTP program with Martin Group includes:
-
Evaluation of your network architecture for compliance
-
Comprehensive management of Lawful Intercept Requests
- Secured
storage of intercepted information for ten (10)
years
Affiliates
that sign up for TTP services through ZCorum will
also receive assistance with completing mandatory
filings. To enroll in ZCorum's TTP program with
Martin Group, contact your ZCorum Sales Representative
at 800-909-9441.
I'm
a small provider and becoming CALEA compliant is significant
financial burden. Can I seek any relief based on financial
grounds?
If
you are a small broadband provider and the costs
of compliance are not financially reasonable for
your business, you may apply under Section 109b
for relief. The fee for filing this petition with
the FCC is $5,000, and petitioners "must meet
a high burden of proof to satisfy section 109(b)(1)".
If
the FCC grants a section 109(b)(1) petition, you
may then request that the Department of Justice
(DOJ) pay for the "additional reasonable costs
for making CALEA compliance reasonably achievable".
The DOJ may agree to pay for these costs or decline.
If DOJ declines to pay for these costs, then you
"shall be deemed to be in compliance"
for the equipment, facilities, and/or services that
were the subject of the petition.
Please
note that the grant of a Section 109b petition does
not constitute a waiver of CALEA requirements. Instead,
a carrier is deemed compliant until its equipment,
facility or service is upgraded or undergoes major
modifications. When that happens, the carrier is
obligated to select CALEA-compliant equipment to
replace, modify or upgrade non-compliant equipment.
The FCC may also specify in the order granting a
carrier's petition the specific date by which the
carrier must become compliant. For more information
on Section 109b and how to file a 109b petition,
see
this
FCC publication.
Why
is CALEA being applied to broadband service providers?
The
FCC determined that providers of certain broadband
and interconnected VOIP services must be prepared
to accommodate law enforcement wiretaps. The Commission
found that these services can essentially replace
conventional telecommunications services currently
subject to wiretap rules, including circuit-switched
voice service and dial-up Internet access. As replacements,
the new services are covered by CALEA, which requires
the Commission to preserve the ability of law enforcement
agencies to conduct court-ordered wiretaps in the
face of technological change.
What
are the penalties for non-compliance?
The
FCC may, in addition to law enforcement remedies
available through the courts, take separate enforcement
action under section 229(a) of the Communications
Act against carriers that fail to comply with CALEA,
levying fines and civil penalties of up to $10,000
for each day in violation.
Where
can I get more information?
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