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					     VoIP Technology Perspectives
        Law Enforcement Concerns &
       CALEA Compliance Requirements

                                 Presented by
                        H. Michael Warren, President
                              fiducianet, inc.


fiducianet, inc.   tm
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     DOJ/FBI/DEA Petition
• Filed for expedited rule making on 3/10/04
    – Comments due 4/12/04; replies by 4/27/04
• LEA asserts:
    – LEA ability to conduct ELSUR compromised
    – Action needed to clarify services & entities subject to
      CALEA
    – Asks FCC to reaffirm that CALEA applies to packet
      services, particularly broadband access and broadband
      telephony
    – Types of enforcement actions
    – Who is responsible for costs (CALEA vs Provisioning)
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       FCC CALEA NPRM
• On August 9, 2004, the FCC released an NPRM
  addressing the issues presented in Law
  Enforcement’s Petition
• The FCC also reached several tentative
  conclusions that may have a direct impact upon
  service providers
• Public comments will be due 45 days after
  publication in Federal Register; reply comments
  due 30 days later
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CALEA NPRM - Tentative Conclusions
• Broadband access service providers are
  subject to CALEA
• “Managed” VoIP providers are subject to
  CALEA but not peer to peer providers
• Common carriers must be CALEA
  compliant regardless technology offered
• Future services do not need to be CALEA
  compliant before being offered
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   CALEA NPRM:
   Proposals & Questions
 • What are advantages/disadvantages to having
    third parties handle electronic surveillance?
 • Is the standard setting process deficient?
 • Is there a need for compliance extensions?
 • Does the FCC have adequate enforcement
    authority to ensure packet mode compliance?
 • What are the costs of CALEA and how should
    they be recouped?
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  CALEA NPRM - Declaratory Ruling

• “Push to Talk” services are subject to
  CALEA




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 “Telecommunications Carrier”
 • Definition of Telecommunications Carrier under CALEA
         • (FCC’s Second Report & Order 8/99)
             – Section 102 (8)(A)&(B)

             – Section 102 (8) (C) (ISP’s exempt)

 • Definition of Telecommunications Carrier under
    Communications Act

 • FCC - NPRM:
     – Supports LEA’s request for a broader definition of
       telecommunications carrier to cover packet technologies

     – Key question is whether FCC has developed record to support its
       determination if there is an appeal

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       ELSUR Obligations
• Obligation to provide all information,
  facilities and technical assistance part of
  ELSUR laws since 1970 (“Technical
  Assistance”)
    – Apply available technology
    – Under some circumstances, allow use of LEA
      technology in network



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       Enforcement Actions
 • CALEA Section 108 clearly sets forth enforcement
    provisions

 • FCC regulations under CALEA Section 105 contain
    enforcement and penalty provisions for non-
    compliance

 • LEA Petition over-reaching by asking for E-911
    enforcement provisions to apply to CALEA

 • ELSUR Law allows for penalties /show cause orders
    and obstruction of justice proceedings
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                        Costs
 • FCC asked to confirm carriers bear sole financial

    burden for CALEA compliance (post 1995)

 • Section 107(b)(3) requires FCC to minimize cost to

    residential ratepayers

 • LEAs want carriers to impose an “end-user”

    surcharge on ratepayers

 • FCC in Order on Remand (2002) allowed recovery of

    capital costs for punch list compliance

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               Costs (cont.)
 • FCC: NPRM
     – FCC will refer to CALEA statute for pre/post
       carrier cost recovery
     – FCC will point to CALEA Cost Recovery Regs
     – FCC will clarify order on remand language to
       eliminate cost recovery for punch list
     – ELSUR Statutes allow for cost recovery therefore
       no need to address provisioning costs
     – CALEA currently allows carriers to petition PUCs
       to include CALEA related costs

fiducianet, inc.   tm
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       Trusted 3rd Parties
• Build internal infrastructure:
   – Legal Assistance to develop Policies / Procedures
     (Internal or External)
   – Hire & Train Personnel
       • Expertise in Legal Matters and ELSUR
   – Implement Compliance Program & Audit Procedures
   – Invest in Technology to Support Operations
• Outsource
   – Outside law firm for Policy / Procedures / Review
    – Service Bureau (end-to-end solution)
fiducianet, inc.
             tm
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Issues Facing VoIP Service Providers
• Technology has made access to network elements
  and information more automated
• LEAs are demanding access to these digital
  reservoirs of customer related information
• Law Enforcement is demanding CALEA Compliance
• Problem:
    – Many Service Providers do not have the personnel
      or the business systems in place to handle
        • Broad record production searches
        • Electronic Surveillance Demands


fiducianet, inc.   tm
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Impact on the VoIP Service Provider
• An increasing personnel burden & high cost in support of LEAs
  demands for records and technical assistance
   – Growing workload increases potential for mistakes
   – As workload increase and backlogs grow, greater risk of
       • Show cause action from LEAs and fines
       • Increased legal risk resulting from errors

   – Greater risk to your public image

• Business Challenge
   – More is being demanded of the VoIP Service Provider
   – Business realities
       • Function is non-core and non-revenue generating
       • Economic conditions require cost reductions

fiducianet, inc.   tm
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    For more information contact…

            H. Michael Warren, President

                          fiducianet, inc.
             703 796-1100 ext. 22 (voice)
                         703 689-0566 (fax)
                        703 863-1979 (mobile)
       e-mail at mike.warren@fiducianet.biz

fiducianet, inc.   tm
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posted:12/11/2011
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