47 CFR Ch. I (10–1–20 Edition)

§ 63.702 47 CFR Ch. I (10–1–20 Edition)

status by the United States Depart- For information on electronic filing re- ment of State. Such statement must quirements, see part 1, §§ 1.1000 through include the following information 1.10018 of this chapter and the IBFS where applicable: homepage at http://www.fcc.gov/ibfs. See (a) The name and address of each ap- also §§ 63.20 and 63.53. plicant; [51 FR 18448, May 20, 1986, as amended at 69 (b) The Government, State, or Terri- FR 29902, May 26, 2004; 70 FR 38800, July 6, tory under the laws of which each cor- 2005] porate applicant is organized; (c) The name, title and post office ad- § 63.702 Form. dress of the officer of a corporate appli- Application under § 63.701 shall be cant, or representative of a non-cor- submitted in the form specified in porate applicant, to whom correspond- § 63.53 for applications under section 214 ence concerning the application is to of the Communications Act. be addressed; (d) A statement of the ownership of a [51 FR 18448, May 20, 1986] non-corporate applicant, or the ownership of the stock of a corporate appli- PART 64—MISCELLANEOUS RULES cant, including an indication whether RELATING TO COMMON CARRIERS the applicant or its stock is owned directly or indirectly by an alien; Subpart A [Reserved] (e) A copy of each corporate applicant’s articant’s articles of incorpora- Subpart B—Restrictions on Indecent tion (or its equivalent) and of its cor- Telephone Message Services porate bylaws; (f) A statement whether the appli- 64.201 Restrictions on indecent telephone cant is a carrier subject to section 214 message services. of the Communications Act, an oper- Subpart C [Reserved] ator of broadcast or other radio facilities, licensed under title III of the Act, Subpart D—Procedures for Handling Priority capable of causing harmful inter- Services in Emergencies ference with the radio transmissions of other countries, or a non-carrier pro- 64.401 Policies and procedures for provi- vider of services classed as ‘‘enhanced’’ sioning and restoring certain tele- under § 64.702(a); communications services in emergencies. 64.402 Policies and procedures for the provi- (g) A statement that the services for sion of priority access service by com- which designated as a recognized pri- mercial mobile radio service providers. vate operating agency is sought will be extended to a point outside the United Subpart E [Reserved] States or are capable of causing harmful interference of other radio trans- Subpart F—Telecommunications Relay mission and a statement of the nature Services and Related Customer Prem- of the services to be provided; ises Equipment for Persons With Dis- (h) A statement setting forth the abilities points between which the services are 64.601 Definitions and provisions of general to be provided; and applicability. (i) A statement as to whether covered 64.602 Jurisdiction. services are provided by facilities 64.603 Provision of services. owned by the applicant, by facilities 64.604 Mandatory minimum standards. leased from another entity, or other ar- 64.605 [Reserved] rangement and a description of the ar- 64.606 Internet-based TRS provider and TRS rangement. program certification. (j) Subject to the availability of elec- 64.607 Furnishing related customer premises tronic forms, all filings described in equipment. this section must be filed electroni- 64.608 Provision of hearing aid compatible telephones by exchange carriers. cally through the International Bureau 64.609 Enforcement of related customer Filing System (IBFS). A list of forms premises equipment rules. that are available for electronic filing 64.610 Establishment of a National Deaf- can be found on the IBFS homepage. Blind Equipment Distribution Program. 64.611 Internet-based TRS registration. 372

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64.613 Numbering directory for Internet- Subpart J—Recovery of Investments and based TRS users. Expenses in Regulated Interstate Rates. 64.615 TRS User Registration Database and administrator. 64.1000 Scope. 64.619 VRS Access Technology Reference 64.1001 Purpose. Platform and administrator. 64.1002 Investments and expenses. 64.621 Interoperability and portability. 64.623 Administrator requirements. Subpart K—Changes in Preferred 64.630 Applicability of change of default Telecommunications Service Providers TRS provider rules. 64.1100 Definitions. 64.631 Verification of orders for change of 64.1110 State notification of election to ad- default TRS providers. minister FCC rules. 64.632 Letter of authorization form and con- 64.1120 Verification of orders for tele- tent. communications service. 64.633 Procedures for resolution of unau- 64.1130 Letter of agency form and content. thorized changes in default provider. 64.1140 Carrier liability for slamming. 64.634 Procedures where the Fund has not 64.1150 Procedures for resolution of unau- yet reimbursed the provider. thorized changes in preferred carrier. 64.635 Procedures where the Fund has al- 64.1160 Absolution procedures where the ready reimbursed the provider. subscriber has not paid charges. 64.636 Prohibition of default provider 64.1170 Reimbursement procedures where freezes. the subscriber has paid charges. 64.1190 Preferred carrier freezes. Subpart G—Furnishing of Enhanced Serv- 64.1195 Registration requirement. ices and Customer-Premises Equip- ment by Communications Common Subpart L—Restrictions on Telemarketing, Carriers; Telephone Operator Services Telephone Solicitation, and Facsimile Advertising 64.702 Furnishing of enhanced services and customer-premises equipment. 64.1200 Delivery restrictions. 64.703 Consumer information. 64.1201 Restrictions on billing name and ad- 64.704 Call blocking prohibited. dress disclosure. 64.1202 Public safety answering point do- 64.705 Restrictions on charges related to the not-call registry. provision of operator services. 64.1203 —Consortium registration process. 64.706 Minimum standards for the routing and handling of emergency telephone Subpart M—Provision of Payphone Service calls. 64.707 Public dissemination of information 64.1300 Payphone compensation obligation. by providers of operator services. 64.1301 Per-payphone compensation. 64.708 Definitions. 64.1310 Payphone compensation procedures. 64.709 Informational tariffs. 64.1330 State review of payphone entry and 64.710 Operator services for prison inmate exit regulations and public interest phones. payphones. 64.1340 Right to negotiate. Subpart H—Extension of Unsecured Credit for Interstate and Foreign Communica- Subpart N—Expanded Interconnection tions Services to Candidates for Fed- 64.1401 Expanded interconnection. eral Office 64.1402 Rights and responsibilities of interconnectors. 64.801 Purpose. 64.802 Applicability. Subpart O—Interstate Pay-Per-Call and 64.803 Definitions. Other Information Services 64.804 Rules governing the extension of unsecured credit to candidates or persons 64.1501 Definitions. on behalf of such candidates for Federal 64.1502 Limitations on the provision of pay- office for interstate and foreign common per-call services. carrier communication services. 64.1503 Termination of pay-per-call and other information programs. Subpart I—Allocation of Costs 64.1504 Restrictions on the use of toll-free numbers. 64.901 Allocation of costs. 64.1505 Restrictions on collect telephone 64.902 Transactions with affiliates. calls. 64.903 Cost allocation manuals. 64.1506 Number designation. 64.904 Independent audits. 64.1507 Prohibition on disconnection or 64.905 Annual certification. interruption of service for failure to

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remit pay-per-call and similar service 64.1903 Obligations of all incumbent inde- charges. pendent local exchange carriers. 64.1508 Blocking access to 900 service. 64.1509 Disclosure and dissemination of pay- Subpart U—Customer Proprietary Network per-call information. Information 64.1510 Billing and collection of pay-per-call and similar service charges. 64.2001 Basis and purpose. 64.1511 Forgiveness of charges and refunds. 64.2003 Definitions. 64.1512 Involuntary blocking of pay-per-call 64.2005 Use of customer proprietary network services. information without customer approval. 64.1513 Verification of charitable status. 64.2007 Approval required for use of cus- 64.1514 Generation of signalling tones. tomer proprietary network information. 64.1515 Recovery of costs. 64.2008 Notice required for use of customer proprietary network information. Subpart P—Calling Party Telephone 64.2009 Safeguards required for use of cus- Number; Privacy tomer proprietary network information. 64.2010 Safeguards on the disclosure of cus- 64.1600 Definitions. tomer proprietary network information. 64.1601 Delivery requirements and privacy 64.2011 Notification of customer proprietary restrictions. network information security breaches. 64.1602 Restrictions on use and sale of telephone subscriber information provided Subpart V—Rural Call Completion pursuant to automatic number identi- 64.2101 Definitions. fication or charge number services. 64.2103 Retention of call attempt records. 64.1603 Customer notification. 64.2105 [Reserved] 64.1604 Prohibition on transmission of inac- 64.2107 Reduced recording and retention re- curate or misleading caller identification quirements for qualifying providers information. under the Safe Harbor. 64.1605 Effective date. 64.2109 Safe harbor from intermediate provider service quality standards. Subpart Q—Implementation of Section 64.2111 Covered provider rural call comple- 273(d)(5) of the Communications Act: tion practices. Dispute Resolution Regarding Equip- 64.2113 Covered provider point of contact. ment Standards 64.2115 Registration of Intermediate Pro- viders. 64.1700 Purpose and scope. 64.2117 Use of Registered Intermediate Pro- 64.1701 Definitions. viders. 64.1702 Procedures. 64.2119 Intermediate provider service qual- 64.1703 Dispute resolution default process. ity standards. 64.1704 Frivolous disputes/penalties. Subpart W—Ring Signaling Integrity Subpart R—Geographic Rate Averaging and Rate Integration 64.2201 Ringing indication requirements. 64.1801 Geographic rate averaging and rate Subpart X—Subscriber List Information integration. 64.2301 Basis and purpose. Subpart S—Nondominant Interexchange 64.2305 Definitions. Carrier Certifications Regarding Geo- 64.2309 Provision of subscriber list information. graphic Rate Averaging and Rate In- 64.2313 Timely basis. tegration Requirements 64.2317 Unbundled basis. 64.2321 Nondiscriminatory rates, terms, and 64.1900 Nondominant interexchange carrier conditions. certifications regarding geographic rate 64.2325 Reasonable rates, terms, and condi- averaging and rate integration require- tions. ments. 64.2329 Format. 64.2333 Burden of proof. Subpart T—Separate Affiliate Requirements 64.2337 Directory publishing purposes. for Incumbent Independent Local Ex- 64.2341 Record keeping. change Carriers That Provide In-Re- 64.2345 Primary advertising classification. gion, Interstate Domestic Inter- exchange Services or In-Region Inter- Subpart Y—Truth-in-Billing Requirements for national Interexchange Services Common Carriers; Billing for Unauthor- ized Charges 64.1901 Basis and purpose. 64.1902 Terms and definitions. 64.2400 Purpose.

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64.2401 Scope. 64.6060 Annual reporting and certification requirement. Subpart Z—Prohibition on Exclusive 64.6070 Taxes and fees. Telecommunications Contracts 64.6080 Per-Call, or Per-Connection Charges. 64.6090 Flat-Rate Calling. 64.2500 Prohibited agreements. 64.6100 Minimum and maximum Prepaid 64.2501 Scope of limitation. Calling account balances. 64.2502 Effect of state law or regulation. 64.6110 Consumer disclosure of Inmate Call- ing Services rates. Subpart AA [Reserved] Subpart GG—National Deaf-Blind Subpart BB—Restrictions on Unwanted Equipment Distribution Program Mobile Service Commercial Messages 64.6201 Purpose. 64.3100 Restrictions on mobile service com- 64.6203 Definitions. mercial messages. 64.6205 Administration of the program. 64.6207 Certification to receive funding. Subpart CC—Customer Account Record 64.6209 Eligibility criteria. Exchange Requirements 64.6211 Equipment distribution and related services. 64.4000 Basis and purpose. 64.6213 Payments to NDBEDP certified pro- 64.4001 Definitions. grams. 64.4002 Notification obligations of LECs. 64.6215 Reporting requirements. 64.4003 Notification obligations of IXCs. 64.6217 Complaints. 64.4004 Timeliness of required notifications. 64.6219 Whistleblower protections. 64.4005 Unreasonable terms or conditions on the provision of customer account infor- Subpart HH—Caller ID Authentication mation. 64.4006 Limitations on use of customer ac- 64.6300 Definitions. count information. 64.6301 Caller ID authentication. APPENDIX A TO PART 64—TELECOMMUNI- Subpart DD—Prepaid Calling Card CATIONS SERVICE PRIORITY (TSP) SYSTEM Providers FOR NATIONAL SECURITY EMERGENCY PRE- PAREDNESS (NSEP) 64.5000 Definitions. APPENDIX B TO PART 64—PRIORITY ACCESS 64.5001 Reporting and certification require- SERVICE (PAS) FOR NATIONAL SECURITY ments. AND EMERGENCY PREPAREDNESS (NSEP) Subpart EE—TRS Customer Proprietary AUTHORITY: 47 U.S.C. 154, 201, 202, 217, 218, Network Information. 220, 222, 225, 226, 227, 227b, 228, 251(a), 251(e), 254(k), 262, 403(b)(2)(B), (c), 616, 620, 1401–1473, 64.5101 Basis and purpose. unless otherwise noted; Pub. L. 115–141, Div. 64.5103 Definitions. P, sec. 503, 132 Stat. 348, 1091. 64.5105 Use of customer proprietary network SOURCE: 28 FR 13239, Dec. 5, 1963, unless information without customer approval. otherwise noted. 64.5107 Approval required for use of customer proprietary network information. 64.5108 Notice required for use of customer Subpart A [Reserved] proprietary network information. 64.5109 Safeguards required for use of customer proprietary network information. Subpart B—Restrictions on Inde- 64.5110 Safeguards on the disclosure of cus- cent Telephone Message tomer proprietary network information. Services 64. 5111 Notification of customer proprietary network information security § 64.201 Restrictions on indecent tele- breaches. phone message services. Subpart FF—Inmate Calling Services (a) It is a defense to prosecution for the provision of indecent communica- 64.6000 Definitions. tions under section 223(b)(2) of the 64.6010 Inmate Calling Services rate caps. Communications Act of 1934, as amend- 64.6020 Interim safe harbor. ed (the Act), 47 U.S.C. 223(b)(2), that 64.6020 Ancillary Service Charge. the defendant has taken the action set 64.6030 Inmate Calling Services interim rate cap. forth in paragraph (a)(1) of this section 64.6040 Rates for calls involving a TTY de- and, in addition, has complied with the vice. following: Taken one of the actions set 64.6050 Billing-related call blocking. forth in paragraphs (a)(2), (3), or (4) of

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this section to restrict access to pro- whole or in part, to the provider of hibited communications to persons such communication. eighteen years of age or older, and has [52 FR 17761, May 12, 1987, as amended at 55 additionally complied with paragraph FR 28916, July 16, 1990] (a)(5) of this section, where applicable: (1) Has notified the common carrier Subpart C [Reserved] identified in section 223(c)(1) of the Act, in writing, that he or she is providing the kind of service described in Subpart D—Procedures for Han- section 223(b)(2) of the Act. dling Priority Services in Emer- (2) Requires payment by credit card gencies before transmission of the message; or § 64.401 Policies and procedures for (3) Requires an authorized access or provisioning and restoring certain identification code before transmission telecommunications services in of the message, and where the defend- emergencies. ant has: The communications common carrier (i) Issued the code by mailing it to shall maintain and provision and, if the applicant after reasonably disrupted, restore facilities and serv- ascertaining through receipt of a writ- ices in accordance with policies and ten application that the applicant is procedures set forth in Appendix A to not under eighteen years of age; and this part. (ii) Established a procedure to cancel [65 FR 48396, Aug. 8, 2000] immediately the code of any person upon written, telephonic or other no- § 64.402 Policies and procedures for tice to the defendant’s business office the provision of priority access that such code has been lost, stolen, or service by commercial mobile radio used by a person or persons under the service providers. age of eighteen, or that such code is no Commercial mobile radio service pro- longer desired; or viders that elect to provide priority ac- (4) Scrambles the message using any cess service to National Security and technique that renders the audio unin- Emergency Preparedness personnel telligible and incomprehensible to the shall provide priority access service in calling party unless that party uses a accordance with the policies and proce- descrambler; and, dures set forth in Appendix B to this (5) Where the defendant is a message part. sponsor subscriber to mass announce- [65 FR 48396, Aug. 8, 2000] ment services tariffed at this Commis- sion and such defendant prior to the Subpart E Reserved transmission of the message has re- [ ] quested in writing to the carrier providing the public announcement serv- Subpart F—Telecommunications ice that calls to this message service be Relay Services and Related subject to billing notification as an Customer Premises Equipment adult telephone message service. for Persons With Disabilities (b) A common carrier within the Dis- trict of Columbia or within any State, AUTHORITY: 47 U.S.C. 151–154; 225, 255, 303(r), or in interstate or foreign commerce, 616, and 620. shall not, to the extent technically fea- SOURCE: 56 FR 36731, Aug. 1, 1991, unless sible, provide access to a communica- otherwise noted. tion described in section 223(b) of the Act from the telephone of any sub- § 64.601 Definitions and provisions of scriber who has not previously re- general applicability. quested in writing the carrier to pro- (a) For purposes of this subpart, the vide access to such communication if term affiliate is defined in 47 CFR the carrier collects from subscribers an 52.12(a)(1)(i), and the terms majority identifiable charge for such commu- and debt are defined in 47 CFR nication that the carrier remits, in 52.12(a)(1)(ii).

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(1) 711. The abbreviated dialing code radio, notwithstanding sections 2(b) for accessing relay services anywhere and 221(b) of the Act. in the United States. (12) Communications assistant (CA). A (2) ACD platform. The hardware and/ person who transliterates or interprets or software that comprise the essential conversation between two or more end call center function of call distribu- users of TRS. CA supersedes the term tion, and that are a necessary core ‘‘TDD operator.’’ component of internet-based TRS. (13) Default provider. The iTRS pro- (3) American Sign Language (ASL). A vider that registers and assigns a ten- visual language based on hand shape, digit telephone number to an iTRS position, movement, and orientation of user pursuant to § 64.611. the hands in relation to each other and (14) Default provider change order. A the body. request by an iTRS user to an iTRS (4) ANI. For 911 systems, the Auto- provider to change the user’s default matic Number Identification (ANI) provider. identifies the calling party and may be (15) Direct video customer support. A used as the callback number. telephone customer support operation (5) At-home CA. A communications that enables callers with hearing or assistant (CA) that a video relay serv- speech disabilities to engage in real- ice (VRS) provider authorizes to handle time direct video communication in VRS calls at a home workstation. ASL with ASL speakers in a call center (6) At-home VRS call handling. The operation. handling of VRS calls by a CA at a (16) Enterprise videophone. A home workstation. videophone maintained by a business, (7) ASCII. An acronym for American organization, government agency, or Standard Code for Information Inter- other entity, and designated for use by exchange which employs an eight bit its employees or other individuals in code and can operate at any standard private or restricted areas. transmission baud rate including 300, (17) Hearing carry over (HCO). A form 1200, 2400, and higher. of TRS where the person with the (8) Authorized provider. An iTRS pro- speech disability is able to listen to the vider that becomes the iTRS user’s new other end user and, in reply, the CA default provider, having obtained the speaks the text as typed by the person user’s authorization verified in accord- with the speech disability. The CA does ance with the procedures specified in not type any conversation. Two-line this part. HCO is an HCO service that allows TRS (9) Baudot. A seven bit code, only five users to use one telephone line for of which are information bits. Baudot hearing and the other for sending TTY is used by some text telephones to messages. HCO-to-TTY allows a relay communicate with each other at a 45.5 conversation to take place between an baud rate. HCO user and a TTY user. HCO-to-HCO 10) Call release. A TRS feature that allows a relay conversation to take allows the CA to sign-off or be ‘‘re- place between two HCO users. leased’’ from the telephone line after (18) Hearing point-to-point video the CA has set up a telephone call be- user. A hearing individual who has tween the originating TTY caller and a been assigned a ten-digit NANP num- called TTY party, such as when a TTY ber that is entered in the TRS Num- user must go through a TRS facility to bering Directory to access point-to- contact another TTY user because the point service. called TTY party can only be reached (19) Home workstation or home CA through a voice-only interface, such as workstation. A VRS CA’s workstation a switchboard. in the CA’s home or in any location (11) Common carrier or carrier. Any where two or more CAs do not simulta- common carrier engaged in interstate neously handle VRS calls. Communication by wire or radio as de- (20) Interconnected VoIP service. The fined in section 3(h) of the Communica- term ‘‘interconnected VoIP service’’ tions Act of 1934, as amended (the Act), has the meaning given such term under and any common carrier engaged in § 9.3 of this chapter, as such section intrastate communication by wire or may be amended from time to time.

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(21) internet-based TRS (iTRS). A tele- speech disabilities who use languages communications relay service (TRS) in other than English to communicate which an individual with a hearing or a with voice telephone users in a shared speech disability connects to a TRS language other than English, through a communications assistant using an CA who is fluent in that language. internet Protocol-enabled device via (28) Non-interconnected VoIP service. the internet, rather than the public The term ‘‘non-interconnected VoIP switched telephone network. Except as service’’— authorized or required by the Commis- (i) Means a service that— sion, internet-based TRS does not in- (A) Enables real-time voice commu- clude the use of a text telephone (TTY) nications that originate from or termi- or RTT over an interconnected voice nate to the user’s location using inter- over internet Protocol service. net protocol or any successor protocol; (22) internet Protocol Captioned Tele- and phone Service (IP CTS). A telecommuni- (B) Requires internet protocol com- cations relay service that permits an patible customer premises equipment; individual who can speak but who has and difficulty hearing over the telephone to (ii) Does not include any service that use a telephone and an internet Pro- is an interconnected VoIP service. tocol-enabled device via the internet to (29) Numbering partner. Any entity simultaneously listen to the other with which an internet-based TRS pro- party and read captions of what the vider has entered into a commercial ar- other party is saying. With IP CTS, the rangement to obtain North American connection carrying the captions be- Numbering Plan telephone numbers. tween the relay service provider and the relay service user is via the inter- (30) Original default provider. An iTRS net, rather than the public switched provider that is the iTRS user’s default telephone network. provider immediately before that iTRS (23) internet Protocol Relay Service (IP user’s default provider is changed. Relay). A telecommunications relay (31) Point-to-point video call. A call service that permits an individual with placed via a point-to-point video serv- a hearing or a speech disability to com- ice. municate in text using an internet Pro- (32) Point-to-point video service. A tocol-enabled device via the internet, service that enables a user to place and rather than using a text telephone receive non-relay video calls without (TTY) and the public switched tele- the assistance of a CA. phone network. (33) Public videophone. A videophone (24) IP Relay access technology. Any maintained by a business, organiza- equipment, software, or other tech- tion, government agency, or other enti- nology issued, leased, or provided by an ty, and made available for use by the internet-based TRS provider that can public in a public space, such as a pub- be used to make and receive an IP lic area of a business, school, hospital, Relay call. library, airport, or government build- (25) iTRS access technology. Any ing. equipment, software, or other tech- (34) Qualified direct video entity. An in- nology issued, leased, or provided by an dividual or entity that is approved by internet-based TRS provider that can the Commission for access to the TRS be used to make and receive an inter- Numbering Directory that is engaged net-based TRS call. in direct video customer support and (26) New default provider. An iTRS that is the end-user customer that has provider that, either directly or been assigned a telephone number used through its numbering partner, initi- for direct video customer support calls ates or implements the process to be- or is the designee of such entity. come the iTRS user’s default provider (35) Qualified interpreter. An inter- by replacing the iTRS user’s original preter who is able to interpret effec- default provider. tively, accurately, and impartially, (27) Non-English language relay service. both receptively and expressively, A telecommunications relay service using any necessary specialized vocab- that allows persons with hearing or ulary.

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(36) Real-Time Text (RTT). The term (45) TRS Numbering Administrator. The real-time text shall have the meaning neutral administrator of the TRS Num- set forth in § 67.1 of this chapter. bering Directory selected based on a (37) Registered internet-based TRS user. competitive bidding process. An individual who has registered with (46) TRS Numbering Directory. The a VRS, IP Relay, or IP CTS provider as database administered by the TRS described in § 64.611. Numbering Administrator, the purpose (38) Registered Location. The most re- of which is to map each registered cent information obtained by a VRS, internet-based TRS user’s NANP tele- IP Relay, or IP CTS provider that iden- phone number to his or her end device. tifies the physical location of an end (47) TRS User Registration Database. A user. system of records containing TRS user (39) Sign language. A language which identification data capable of: uses manual communication and body (i) Receiving and processing sub- language to convey meaning, including scriber information sufficient to iden- but not limited to American Sign Lan- tify unique TRS users and to ensure guage. that each has a single default provider; (ii) Assigning each VRS user a unique (40) Speech-to-speech relay service identifier; (STS). A telecommunications relay (iii) Allowing VRS providers and service that allows individuals with other authorized entities to query the speech disabilities to communicate TRS User Registration Database to de- with voice telephone users through the termine if a prospective user already use of specially trained CAs who under- has a default provider; stand the speech patterns of persons (iv) Allowing VRS providers to indi- with speech disabilities and can repeat cate that a VRS user has used the serv- the words spoken by that person. ice; and (41) Speed dialing. A TRS feature that (v) Maintaining the confidentiality of allows a TRS user to place a call using proprietary data housed in the data- a stored number maintained by the base by protecting it from theft, loss or TRS facility. In the context of TRS, disclosure to unauthorized persons. speed dialing allows a TRS user to give The purpose of this database is to en- the CA a short-hand’’ name or number sure accurate registration and for the user’s most frequently called verification of VRS users and improve telephone numbers. the efficiency of the TRS program. (42) Telecommunications relay services (48) Unauthorized provider. An iTRS (TRS). Telephone transmission services provider that becomes the iTRS user’s that provide the ability for an indi- new default provider without having vidual who is deaf, hard of hearing, obtained the user’s authorization deaf-blind, or who has a speech dis- verified in accordance with the proce- ability to engage in communication by dures specified in this part. wire or radio with one or more individ- (49) Unauthorized change. A change in uals, in a manner that is functionally an iTRS user’s selection of a default equivalent to the ability of a hearing provider that was made without au- individual who does not have a speech thorization verified in accordance with disability to communicate using voice the verification procedures specified in communication services by wire or this part. radio. (50) Video relay service (VRS). A tele- (43) Text telephone (TTY). A machine communications relay service that al- that employs graphic communication lows people with hearing or speech dis- in the transmission of coded signals abilities who use sign language to com- through a wire or radio communication municate with voice telephone users system. TTY supersedes the term through video equipment. The video ‘‘TDD’’ or ‘‘telecommunications device link allows the CA to view and inter- for the deaf,’’ and TT. pret the party’s signed conversation (44) Three-way calling feature. A TRS and relay the conversation back and feature that allows more than two par- forth with a voice caller. ties to be on the telephone line at the (51) Visual privacy screen. A screen or same time with the CA. any other feature that is designed to

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prevent one party or both parties on tion of the Act by a common carrier the video leg of a VRS call from view- engaged in interstate communication. ing the other party during a call. [65 FR 38436, June 21, 2000] (52) Voice carry over (VCO). A form of TRS where the person with the hearing § 64.603 Provision of services. disability is able to speak directly to (a) Each common carrier providing the other end user. The CA types the telephone voice transmission services response back to the person with the shall provide, in compliance with the hearing disability. The CA does not regulations prescribed herein and the voice the conversation. Two-line VCO emergency calling requirements in is a VCO service that allows TRS users part 9, subpart E of this chapter, to use one telephone line for voicing throughout the area in which it offers and the other for receiving TTY mes- services, telecommunications relay sages. A VCO-to-TTY TRS call allows a services, individually, through des- relay conversation to take place be- ignees, through a competitively se- tween a VCO user and a TTY user. lected vendor, or in concert with other VCO-to-VCO allows a relay conversa- carriers. Interstate Spanish language tion to take place between two VCO relay service shall be provided. Speech- users. to-speech relay service also shall be (53) VRS access technology. Any equip- provided, except that speech-to-speech ment, software, or other technology relay service need not be provided by issued, leased, or provided by an inter- IP Relay providers, VRS providers, net-based TRS provider that can be captioned telephone relay service pro- used to make and receive a VRS call. viders, and IP CTS providers. In addi- (54) VRS Access Technology Reference tion, each common carrier providing Platform. A software product procured telephone voice transmission services by or on behalf of the Commission that shall provide access via the 711 dialing provides VRS functionality, including code to all relay services as a toll free the ability to make and receive VRS call. CMRS providers subject to this 711 and point-to-point calls, dial-around access requirement are not required to functionality, and the ability to update provide 711 dialing code access to TTY user registration location, and against users if they provide 711 dialing code which providers may test their own access via real-time text communica- VRS access technology and platforms tions, in accordance with 47 CFR part for compliance with the Commission’s 67. interoperability and portability rules. (b) A common carrier shall be consid- (b) For purposes of this subpart, all ered to be in compliance with this sec- regulations and requirements application: ble to common carriers shall also be (1) With respect to intrastate tele- applicable to providers of inter- communications relay services in any connected VoIP service. state that does not have a certified program under § 64.606 and with respect [68 FR 50976, Aug. 25, 2003, as amended at 69 to interstate telecommunications relay FR 53351, Sept. 1, 2004; 72 FR 43559, Aug. 6, services, if such common carrier (or 2007; 73 FR 41294, July 18, 2008; 76 FR 24400, other entity through which the carrier May 2, 2011; 76 FR 65969, Oct. 25, 2011; 78 FR is providing such relay services) is in 40605, July 5, 2013; 82 FR 7707, Jan. 23, 2017; 82 compliance with § 64.604; or FR 17761, Apr. 13, 2017; 82 FR 39682, Aug. 22, 2017; 84 FR 8461, Mar. 8, 2019; 84 FR 26369, (2) With respect to intrastate tele- June 6, 2019; 84 FR 66779, Dec. 5, 2019; 85 FR communications relay services in any 1127, Jan. 9, 2020; 85 FR 9390, Feb. 19, 2020; 85 state that has a certified program FR 27312, May 8, 2020] under § 64.606 for such state, if such common carrier (or other entity § 64.602 Jurisdiction. through which the carrier is providing Any violation of this subpart F by such relay services) is in compliance any common carrier engaged in intra- with the program certified under state communication shall be subject § 64.606 for such state. to the same remedies, penalties, and [82 FR 7707, Jan.23, 2017, as amended at 84 FR procedures as are applicable to a viola- 66779, Dec. 5, 2019]

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§ 64.604 Mandatory minimum stand- call will hear only the CA and will not ards. hear the STS user’s voice. The standards in this section are ap- (2) Confidentiality and conversation plicable December 18, 2000, except as content. (i) Except as authorized by sec- stated in paragraphs (c)(2) and (c)(7) of tion 705 of the Communications Act, 47 this section. U.S.C. 605, CAs are prohibited from dis- (a) Operational standards—(1) Commu- closing the content of any relayed con- nications assistant (CA). (i) TRS pro- versation regardless of content, and viders are responsible for requiring with a limited exception for STS CAs, that all CAs be sufficiently trained to from keeping records of the content of effectively meet the specialized com- any conversation beyond the duration munications needs of individuals with of a call, even if to do so would be in- hearing and speech disabilities. consistent with state or local law. STS (ii) CAs must have competent skills CAs may retain information from a in typing, grammar, spelling, interpre- particular call in order to facilitate the tation of typewritten ASL, and famili- completion of consecutive calls, at the arity with hearing and speech dis- request of the user. The caller may re- ability cultures, languages and eti- quest the STS CA to retain such infor- quette. CAs must possess clear and ar- mation, or the CA may ask the caller if ticulate voice communications. he wants the CA to repeat the same in- (iii) CAs must provide a typing speed formation during subsequent calls. The of a minimum of 60 words per minute. CA may retain the information only Technological aids may be used to for as long as it takes to complete the reach the required typing speed. Pro- subsequent calls. viders must give oral-to-type tests of (ii) CAs are prohibited from inten- CA speed. tionally altering a relayed conversa- (iv) TRS providers are responsible for tion and, to the extent that it is not in- requiring that VRS CAs are qualified consistent with federal, state or local interpreters. A ‘‘qualified interpreter’’ law regarding use of telephone com- is able to interpret effectively, accu- pany facilities for illegal purposes, rately, and impartially, both recep- must relay all conversation verbatim tively and expressively, using any nec- unless the relay user specifically re- essary specialized vocabulary. quests summarization, or if the user re- (v) CAs answering and placing a TTY- quests interpretation of an ASL call. based TRS or VRS call shall stay with An STS CA may facilitate the call of the call for a minimum of ten minutes. an STS user with a speech disability so CAs answering and placing an STS call long as the CA does not interfere with shall stay with the call for a minimum the independence of the user, the user of twenty minutes. The minimum time maintains control of the conversation, period shall begin to run when the CA and the user does not object. Appro- reaches the called party. The obliga- priate measures must be taken by tion of the CA to stay with the call relay providers to ensure that con- shall terminate upon the earlier of: fidentiality of VRS users is main- (A) The termination of the call by tained. one of the parties to the call; or (3) Types of calls. (i) Consistent with (B) The completion of the minimum the obligations of telecommunications time period. carrier operators, CAs are prohibited (vi) TRS providers must make best from refusing single or sequential calls efforts to accommodate a TRS user’s or limiting the length of calls utilizing requested CA gender when a call is ini- relay services. tiated and, if a transfer occurs, at the (ii) Relay services shall be capable of time the call is transferred to another handling any type of call normally pro- CA. vided by telecommunications carriers (vii) TRS shall transmit conversa- unless the Commission determines that tions between TTY and voice callers in it is not technologically feasible to do real time. so. Relay service providers have the (viii) STS providers shall offer STS burden of proving the infeasibility of users the option to have their voices handling any type of call. Providers of muted so that the other party to the Internet-based TRS need not provide

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the same billing options (e.g., sent-paid and retain them for the length of the long distance, operator-assisted, col- call. Relay providers may not impose lect, and third party billing) tradition- any charges for additional calls, which ally offered for wireline voice services must be made by the relay user in if they allow for long distance calls to order to complete calls involving re- be placed using calling cards or credit corded or interactive messages. cards or do not assess charges for long (viii) TRS providers shall provide, as distance calling. Providers of Internet- TRS features, answering machine and based TRS need not allow for long dis- voice mail retrieval. tance calls to be placed using calling (4) [Reserved] cards or credit cards if they do not as- (5) STS called numbers. Relay pro- sess charges for long distance calling. viders must offer STS users the option (iii) Relay service providers are per- to maintain at the relay center a list of mitted to decline to complete a call be- names and telephone numbers which cause credit authorization is denied. the STS user calls. When the STS user (iv) Relay services other than Inter- requests one of these names, the CA net-based TRS shall be capable of han- must repeat the name and state the dling pay-per-call calls. telephone number to the STS user. (v) TRS providers are required to pro- This information must be transferred vide the following types of TRS calls: to any new STS provider. (A) Text-to-voice and voice-to-text; (6) Visual privacy screens/idle calls. A (B) One-line VCO, two-line VCO, VRS CA may not enable a visual pri- VCO-to-TTY, and VCO-to-VCO; and vacy screen or similar feature during a (C) One-line HCO, two-line HCO, VRS call. A VRS CA must disconnect a HCO-to-TTY, HCO-to-HCO. VRS pro- VRS call if the caller or the called viders are not required to provide text- party to a VRS call enables a privacy to-voice and voice-to-text screen or similar feature for more than functionality. IP Relay providers are five minutes or is otherwise unrespon- not required to provide one-line VCO sive or unengaged for more than five and one-line HCO. IP Relay providers minutes, unless the call is a 9–1–1 emer- and VRS providers are not required to gency call or the caller or called party provide: is legitimately placed on hold and is (1) VCO-to-TTY and VCO-to-VCO; and present and waiting for active commu- (2) HCO-to-TTY and HCO-to-HCO. nications to commence. Prior to dis- Captioned telephone service providers connecting the call, the CA must an- and IP CTS providers are not required nounce to both parties the intent to to provide: terminate the call and may reverse the (i) Text-to-voice functionality; and decision to disconnect if one of the par- (ii) One-line HCO, two-line HCO, HCO- ties indicates continued engagement to-TTY, and HCO-to-HCO. IP CTS pro- with the call. viders are not required to provide one- (7) International calls. VRS calls that line VCO. originate from an international IP ad- (vi) TRS providers are required to dress will not be compensated, with the provide the following features: exception of calls made by a U.S. resi- (A) Call release functionality (only dent who has pre-registered with his or with respect to the provision of TTY- her default provider prior to leaving based relay service); the country, during specified periods of (B) Speed dialing functionality; and time while on travel and from specified (C) Three-way calling functionality. regions of travel, for which there is an (vii) Voice mail and interactive accurate means of verifying the iden- menus. CAs must alert the TRS user to tity and location of such callers. For the presence of a recorded message and purposes of this section, an inter- interactive menu through a hot key on national IP address is defined as one the CA’s terminal. The hot key will that indicates that the individual initi- send text from the CA to the con- ating the call is located outside the sumer’s TTY indicating that a record- United States. ing or interactive menu has been en- (b) Technical standards—(1) ASCII and countered. Relay providers shall elec- Baudot. TTY-based relay service shall tronically capture recorded messages be capable of communicating with

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ASCII and Baudot format, at any speed or connected to an IVR system. Aban- generally in use. Other forms of TRS doned calls shall be included in the are not subject to this requirement. VRS speed of answer calculation. (2) Speed of answer. (i) TRS providers (3) Equal access to interexchange car- shall ensure adequate TRS facility riers. TRS users shall have access to staffing to provide callers with effi- their chosen interexchange carrier cient access under projected calling through the TRS, and to all other oper- volumes, so that the probability of a ator services to the same extent that busy response due to CA unavailability such access is provided to voice users. shall be functionally equivalent to This requirement is inapplicable to what a voice caller would experience in providers of Internet-based TRS if they attempting to reach a party through do not assess specific charges for long the voice telephone network. distance calling. (ii) TRS facilities shall, except dur- (4) TRS facilities. (i) TRS shall operate ing network failure, answer 85% of all every day, 24 hours a day. Relay serv- calls within 10 seconds by any method ices that are not mandated by this which results in the caller’s call imme- Commission need not be provided every diately being placed, not put in a queue day, 24 hours a day, except VRS. or on hold. The ten seconds begins at (ii) TRS shall have redundancy fea- the time the call is delivered to the tures functionally equivalent to the TRS facility’s network. A TRS facility equipment in normal central offices, shall ensure that adequate network fa- including uninterruptible power for cilities shall be used in conjunction emergency use. with TRS so that under projected call- (iii) A VRS CA may not handle VRS ing volume the probability of a busy calls from a location primarily used as response due to loop trunk congestion his or her home unless as part of the shall be functionally equivalent to voluntary at-home VRS call handling what a voice caller would experience in pilot program as provided for by para- attempting to reach a party through graph (b)(8) of this section. the voice telephone network. (iv) A VRS provider leasing or licens- (A) The call is considered delivered ing an automatic call distribution when the TRS facility’s equipment ac- (ACD) platform must have a written cepts the call from the local exchange lease or license agreement. Such lease carrier (LEC) and the public switched or license agreement may not include network actually delivers the call to any revenue sharing agreement or com- the TRS facility. pensation based upon minutes of use. (B) Abandoned calls shall be included In addition, if any such lease is be- in the speed-of-answer calculation. tween two eligible VRS providers, the (C) A TRS provider’s compliance with lessee or licensee must locate the ACD this rule shall be measured on a daily platform on its own premises and must basis. utilize its own employees to manage (D) The system shall be designed to a the ACD platform. P.01 standard. (5) Technology. No regulation set (E) A LEC shall provide the call at- forth in this subpart is intended to dis- tempt rates and the rates of calls courage or impair the development of blocked between the LEC and the TRS improved technology that fosters the facility to relay administrators and availability of telecommunications to TRS providers upon request. person with disabilities. TRS facilities (iii) Speed of answer requirements for are permitted to use SS7 technology or VRS providers. VRS providers must an- any other type of similar technology to swer 80% of all VRS calls within 120 enhance the functional equivalency seconds, measured on a monthly basis. and quality of TRS. TRS facilities that VRS providers must meet the speed of utilize SS7 technology shall be subject answer requirements for VRS providers to the Calling Party Telephone Number as measured from the time a VRS call rules set forth at 47 CFR 64.1600 et seq. reaches facilities operated by the VRS (6) Caller ID. When a TRS facility is provider to the time when the call is able to transmit any calling party answered by a CA—i.e., not when the identifying information to the public call is put on hold, placed in a queue, network, the TRS facility must pass

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through, to the called party, at least (E) A description of all steps that one of the following: the number of the will be taken to install a workstation TRS facility, 711, or the 10-digit num- in a CA’s home, including evaluations ber of the calling party. that will be performed to ensure all (7) STS 711 Calls. An STS provider workstations are sufficiently secure shall, at a minimum, employ the same and equipped to prevent eavesdropping means of enabling an STS user to con- and outside interruptions; nect to a CA when dialing 711 that the (F) A description of the monitoring provider uses for all other forms of technology to be used by the provider TRS. When a CA directly answers an to ensure that off-site supervision ap- incoming 711 call, the CA shall transfer proximates the level of supervision at the STS user to an STS CA without re- the provider’s call center; quiring the STS user to take any addi- (G) An explanation of how the pro- tional steps. When an interactive voice vider’s workstations will connect to response (IVR) system answers an in- the provider’s network, including how coming 711 call, the IVR system shall they will be integrated into the call allow for an STS user to connect di- center routing, distribution, tracking, rectly to an STS CA using the same and support systems, and how the pro- level of prompts as the IVR system vider will ensure system redundancy in uses for all other forms of TRS. the event of service disruptions in at- (8) Voluntary at-home VRS call han- home workstations; dling pilot program. Any VRS provider (H) A signed certification by an offi- that holds a conditional or full certifi- cer of the provider that the provider cation to receive compensation from will conduct random and unannounced the TRS Fund pursuant to § 64.606 as of inspections of at least five percent (5%) March 23, 2017 may participate in the of all at-home workstations during the voluntary at-home VRS call handling pilot program; and pilot program. The pilot program shall be in effect for one year, for service (I) A commitment to comply with all provided by participants beginning No- other safeguards enumerated in this vember 1, 2017, and ending October 31, paragraph (b)(8) and the applicable 2018. rules in this chapter governing TRS. (i) Notification of intent to participate. (ii) Authorization for at-home VRS call A VRS provider seeking to participate handling. Upon Commission approval of in the pilot program shall notify the a VRS provider’s plan, the provider Commission of its intent to participate may conduct at-home VRS call han- on or before September 1, 2017, and dling during the period of the pilot pro- shall include in such notification a de- gram. The Commission may cancel tailed plan demonstrating that the such approval if a VRS provider fails to VRS provider intends to achieve com- comply with any of the safeguards enu- pliance with the mandatory minimum merated in this paragraph (b)(8) or standards applicable to VRS and with other applicable mandatory minimum the safeguards enumerated in this TRS standards. VRS providers may be paragraph (b)(8). Plans submitted by subject to withholding, forfeitures, and VRS providers shall specify the fol- penalties for noncompliant minutes lowing: handled by at-home workstations, as is (A) A description of the screening the case for non-compliant minutes process used to select CAs for the at- handled by call centers. home call handling program; (iii) Limit on minutes handled. In any (B) A description of specific training month of the program, a VRS provider to be provided for at-home CAs; may be compensated for minutes (C) A description of the protocols and served by at-home CA workstations up CA expectations developed for the at- to a maximum of either thirty percent home call handling program; (30%) of a VRS provider’s total minutes (D) A description of the grounds for for which compensation is paid in that dismissing a CA from the at-home pro- month or thirty percent (30%) of the gram and the process for such termi- provider’s average monthly minutes for nation in the event that the CA fails to the 12 months ending October 31, 2017, adhere to applicable requirements; whichever is greater.

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(iv) Personnel safeguards. Before per- from the at-home VRS call handling mitting CAs to handle VRS calls from program. at-home workstations, VRS providers (v) Technical and environmental safe- shall: guards. Participating VRS providers (A) Ensure that each CA handling shall ensure that each home environ- calls from an at-home workstation has ment used for at-home VRS call han- the experience, skills, and knowledge dling enables the provision of confiden- necessary to effectively interpret from tial and uninterrupted services to the these workstations, including a thor- same extent as the provider’s call cen- ough understanding of the TRS manda- ters and is seamlessly integrated into tory minimum standards and at least the provider’s call routing, distribu- three years of experience as a call cen- tion, tracking, and support systems. ter CA. VRS providers shall ensure that each (B) Establish protocols for the han- at-home workstation: dling of calls from at-home (A) Resides in a separate, secure loca- workstations (to the extent there are tion in the CA’s home, where access is additional protocols that differ from restricted solely to the CA; those applicable to the provider’s call (B) Allows a CA to use all call-han- centers) and provide training to at- dling technology to the same extent as home CAs on such protocols, in addi- other CAs, including the ability to tion to all applicable training that is transition a non-emergency call to an required of CAs working from call cen- emergency call, engage in virtual ters. teaming with another CA, and allow (C) Provide each CA working from an supervisors to communicate with and at-home workstation equivalent sup- oversee calls; port to that provided to CAs working (C) Is capable of supporting VRS in from call centers, as needed to effec- compliance with the applicable manda- tively handle calls, including, where tory minimum technical and emer- appropriate, the opportunity to team gency call handling standards to the interpret and consult with supervisors, same degree as these are available at and ensure that supervisors are readily call centers, including the ability to available to a CA working from home route VRS calls around individual CA to resolve problems that may arise dur- workstations in the event the CA expe- ing a relay call, such as difficulty in riences a network outage or other serv- understanding a VRS user’s signs, the ice interruption; need for added support for emergency (D) Is equipped with an effective calls, and relieving a CA in the event of means to prevent eavesdropping, such the CA’s sudden illness. as white noise emitters or sound- (D) Establish grounds for dismissing proofing, and to ensure that interrup- a CA from the at-home VRS call han- tions from noises outside the room do dling program (i.e., for noncompliance not adversely affect a CA’s ability to with the standards and safeguards enu- interpret a call accurately and effec- merated in this paragraph (b)(8) and tively; and the rules governing TRS), including a (E) Is connected to the provider’s process for such termination in the network over a secure connection to event that the CA fails to adhere to ensure caller privacy. these requirements, and provide such (vi) Monitoring and oversight obliga- grounds and process in writing to each tions. VRS providers shall: CA participating in the pilot program. (A) Inspect and approve each at-home (E) Obtain from each CA handling workstation before activating a CA’s calls from an at-home workstation a workstation for use; certification in writing of the CA’s un- (B) Assign a unique call center iden- derstanding of and commitment to tification number (ID) to each VRS at- complying with the rules in this chap- home workstation and use this call ter governing TRS, including rules gov- center ID to identify all minutes han- erning caller confidentiality and fraud dled from each such workstation in its prevention, and the CA’s understanding call detail records submitted monthly of the reasons and process for dismissal to the TRS Fund administrator;

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(C) Equip each at-home workstation (B) Copies of training materials pro- with monitoring technology sufficient vided to at-home CAs; to ensure that off-site supervision ap- (C) Copies of written protocols used proximates the level of supervision at for CAs working from home; the provider’s call center, including the (D) The total number of CAs handling ability to monitor both ends of a call, VRS calls from at-home workstations i.e., video and audio, to the same ex- over the first six months of the pro- tent as is possible in a call center, and gram; regularly analyze the records and data (E) The number of 911 calls handled produced by such monitoring to by the provider’s at-home proactively address possible waste, workstations; fraud, and abuse; (F) A description and copies of any (D) Keep all records pertaining to at- surveys or evaluations taken of CAs home workstations, including the data concerning their experience using at- produced by any at-home workstation home workstations and participating monitoring technology, except for any in an at-home call handling program; data that records the content of an in- (G) The total number of CAs termi- terpreted conversation, for a minimum nated from the program; of five years; and (H) The total number of complaints, (E) Conduct random and unan- if any, submitted to the provider re- nounced inspections of at least five garding its at-home call handling pro- percent (5%) of all at-home gram or calls handled by at-home CAs; workstations during the pilot program. (I) The total number of on-site in- (vii) Commission audits and inspec- spections conducted of at-home tions. At-home workstations and workstations and the date and location workstation records shall be subject to of each inspection; review, audit, and inspection by the (J) A description of the monitoring Commission and the Fund adminis- technology used to monitor CAs work- trator and unannounced on-site inspec- ing at home and an analysis of the ex- tions by the Commission to the same perience of supervisors overseeing at- extent as other call centers and call home CAs compared to overseeing CAs center records subject to the rules in in a call center; this chapter. (K) Copies of any reports produced by (viii) Monthly reports. Each partici- tracking software and a description ex- pating VRS provider shall report the plaining how the provider analyzed the following information to the TRS Fund reports for anomalies; and administrator with its monthly re- (L) Detailed documentation of costs quests for compensation: incurred in the use of at-home (A) The call center ID and full street workstations, including any costs asso- address (number, street, city, state, ciated with CA recruitment, training, and zip code) for each at-home and compensation, engineering and workstation and the CA ID number for technical set-up (including each individual handling VRS calls workstation set-up), and administra- from that workstation; and tive and management support (includ- (B) The location and call center IDs ing oversight, evaluation, and record- of call centers providing supervision ing). for at-home workstations, plus the (c) Functional standards—(1) Consumer names of persons at such call centers complaint logs. (i) States and interstate responsible for oversight of such providers must maintain a log of con- workstations. sumer complaints including all com- (ix) Six-month report. Each partici- plaints about TRS in the state, wheth- pating VRS provider shall submit, no er filed with the TRS provider or the later than seven months after the start State, and must retain the log until of its program, a report covering the the next application for certification is first six months of its program, con- granted. The log shall include, at a taining the following information: minimum, the date the complaint was (A) A description of the actual filed, the nature of the complaint, the screening process used to select CAs for date of resolution, and an explanation the at-home call handling program; of the resolution.

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(ii) Beginning July 1, 2002, states and time of day, and the distance from the TRS providers shall submit summaries point of origination to the point of ter- of logs indicating the number of com- mination. plaints received for the 12-month pe- (5) Jurisdictional separation of costs— riod ending May 31 to the Commission (i) General. Where appropriate, costs of by July 1 of each year. Summaries of providing TRS shall be separated in ac- logs submitted to the Commission on cordance with the jurisdictional sepa- July 1, 2001 shall indicate the number ration procedures and standards set of complaints received from the date of forth in the Commission’s regulations OMB approval through May 31, 2001. adopted pursuant to section 410 of the (2) Contact persons. Beginning on Communications Act of 1934, as amend- June 30, 2000, State TRS Programs, ed. interstate TRS providers, and TRS pro- (ii) Cost recovery. Costs caused by viders that have state contracts must interstate TRS shall be recovered from submit to the Commission a contact all subscribers for every interstate person and/or office for TRS consumer service, utilizing a shared-funding cost information and complaints about a recovery mechanism. Except as noted certified State TRS Program’s provi- in this paragraph (c)(5)(ii), costs caused sion of intrastate TRS, or, as appro- by intrastate TRS shall be recovered priate, about the TRS provider’s serv- from the intrastate jurisdiction. In a ice. This submission must include, at a state that has a certified program minimum, the following: under § 64.606, the state agency pro- (i) The name and address of the office viding TRS shall, through the state’s that receives complaints, grievances, regulatory agency, permit a common inquiries, and suggestions; carrier to recover costs incurred in pro- (ii) Voice and TTY telephone num- viding TRS by a method consistent bers, fax number, e-mail address, and with the requirements of this section. web address; and Costs caused by the provision of inter- (iii) The physical address to which state and intrastate VRS and IP Relay correspondence should be sent. shall be recovered from all subscribers (3) Public access to information. Car- for every interstate service, utilizing a riers, through publication in their di- shared-funding cost recovery mecha- rectories, periodic billing inserts, nism. Costs caused by the provision of placement of TRS instructions in tele- interstate and intrastate IP CTS, if not phone directories, through directory provided through a certified state pro- assistance services, and incorporation gram under § 64.606, shall be recovered of TTY numbers in telephone direc- from all subscribers for every inter- tories, shall assure that callers in their state and intrastate service, using a service areas are aware of the avail- shared-funding cost recovery mecha- ability and use of all forms of TRS. Ef- nism. forts to educate the public about TRS (iii) Telecommunications Relay Services should extend to all segments of the Fund. Effective July 26, 1993, an Inter- public, including individuals who are state Cost Recovery Plan, hereinafter hard of hearing, speech disabled, and referred to as the TRS Fund, shall be senior citizens as well as members of administered by an entity selected by the general population. In addition, the Commission (administrator). The each common carrier providing tele- initial administrator, for an interim phone voice transmission services shall period, will be the National Exchange conduct, not later than October 1, 2001, Carrier Association, Inc. ongoing education and outreach pro- (A) Contributions. Every carrier programs that publicize the availability of viding interstate or intrastate tele- 711 access to TRS in a manner reason- communications services (including ably designed to reach the largest num- interconnected VoIP service providers ber of consumers possible. pursuant to § 64.601(b)) and every pro- (4) Rates. TRS users shall pay rates vider of non-interconnected VoIP serv- no greater than the rates paid for func- ice shall contribute to the TRS Fund tionally equivalent voice communica- as described in this paragraph tion services with respect to such fac- (c)(5)(iii): For the support of TRS other tors as the duration of the call, the than IP CTS on the basis of interstate

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end-user revenues; and for the support of the Communications Act of 1934, as of IP CTS on the basis of interstate and amended. The fund administrator may intrastate revenues. Contributions bill contributors a separate assessment shall be made by all carriers who pro- for reasonable administrative expenses vide interstate or intrastate services, and interest resulting from improper including, but not limited to, cellular filing or overdue contributions. The telephone and paging, mobile radio, op- Chief of the Consumer and Govern- erator services, personal communica- mental Affairs Bureau may waive, re- tions service (PCS), access (including duce, modify or eliminate contributor subscriber line charges), alternative reporting requirements that prove un- access and special access, packet- necessary and require additional re- switched, WATS, 800, 900, message tele- porting requirements that the Bureau phone service (MTS), private line, deems necessary to the sound and effi- telex, telegraph, video, satellite, cient administration of the TRS Fund. intraLATA, international and resale (C) Registration Requirements for Pro- services. viders of Non-Interconnected VoIP Serv- (B) Contribution computations. Con- ice—(1)Applicability. A non-inter- tributors’ contributions to the TRS connected VoIP service provider that fund shall be the product of their sub- will provide interstate service that ject revenues for the prior calendar generates interstate end-user revenue year and the applicable contribution that is subject to contribution to the factors determined annually by the Telecommunications Relay Service Commission. The contribution factor Fund shall file the registration infor- shall be based on the ratio between ex- mation described in paragraph pected TRS Fund expenses to the con- (c)(5)(iii)(C)(2) of this section in accord- tributors’ revenues subject to contribu- ance with the procedures described in tion. In the event that contributions paragraphs (c)(5)(iii)(C)(3) and exceed TRS payments and administra- (c)(5)(iii)(C)(4) of this section. Any non- tive costs, the contribution factor for interconnected VoIP service provider the following year will be adjusted by already providing interstate service an appropriate amount, taking into that generates interstate end-user rev- consideration projected cost and usage enue that is subject to contribution to changes. In the event that contribu- the Telecommunications Relay Service tions are inadequate, the fund adminis- Fund on the effective date of these trator may request authority from the rules shall submit the relevant portion Commission to borrow funds commer- of its FCC Form 499–A in accordance cially, with such debt secured by future with paragraphs (c)(5)(iii)(C)(2) and (3) years’ contributions. Each subject con- of this section. tributor that has revenues subject to (2) Information required for purposes of contribution must contribute at least TRS Fund contributions. A non-inter- $25 per year. Contributors whose an- connected VoIP service provider that is nual contributions total less than subject to the registration requirement $1,200 must pay the entire contribution pursuant to paragraph (c)(5)(iii)(C)(1) of at the beginning of the contribution this section shall provide the following period. Contributors whose contribu- information: tions total $1,200 or more may divide (i) The provider’s business name(s) their contributions into equal monthly and primary address; payments. Contributors shall complete (ii) The names and business addresses and submit, and contributions shall be of the provider’s chief executive offi- based on, a ‘‘Telecommunications Re- cer, chairman, and president, or, in the porting Worksheet’’ (as published by event that a provider does not have the Commission in the FEDERAL REG- such executives, three similarly senior- ISTER). The worksheet shall be certified level officials of the provider; to by an officer of the contributor, and (iii) The provider’s regulatory con- subject to verification by the Commis- tact and/or designated agent; sion or the administrator at the discre- (iv) All names that the provider has tion of the Commission. Contributors’ used in the past; and statements in the worksheet shall be (v) The state(s) in which the provider subject to the provisions of section 220 provides such service.

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(3) Submission of registration. A pro- complete copies of such contracts and vider that is subject to the registration related correspondence or other records requirement pursuant to paragraph and information relevant to deter- (c)(5)(iii)(C)(1) of this section shall sub- mining the nature of the services pro- mit the information described in para- vided and the allocation of the costs of graph (c)(5)(iii)(C)(2) of this section in such services to cost categories. accordance with the Instructions to (2) Call data required from all TRS pro- FCC Form 499–A. FCC Form 499–A must viders. In addition to the data re- be submitted under oath and penalty of quested by paragraph (c)(5)(iii)(D)(1) of perjury. this section, TRS providers seeking (4) Changes in information. A provider compensation from the TRS Fund shall must notify the Commission of any submit the following specific data asso- changes to the information provided ciated with each TRS call for which pursuant to paragraph (c)(5)(iii)(C)(2) of compensation is sought: this section within no more than one (i) The call record ID sequence; week of the change. Providers may sat- (ii) CA ID number; isfy this requirement by filing the rel- (iii) Session start and end times evant portion of FCC Form 499–A in ac- noted at a minimum to the nearest sec- cordance with the Instructions to such ond; form. (iv) Conversation start and end times (D) Data collection and audits. (1) TRS noted at a minimum to the nearest sec- providers seeking compensation from ond; the TRS Fund shall provide the admin- (v) Incoming telephone number and istrator with true and adequate data, IP address (if call originates with an and other historical, projected and IP-based device) at the time of the call; state rate related information reason- (vi) Outbound telephone number (if ably requested to determine the TRS call terminates to a telephone) and IP Fund revenue requirements and pay- address (if call terminates to an IP- ments. TRS providers shall provide the based device) at the time of call; administrator with the following: total (vii) Total conversation minutes; TRS minutes of use, total interstate (viii) Total session minutes; TRS minutes of use, total TRS invest- (ix) The call center (by assigned cen- ment in general in accordance with ter ID number) that handled the call; part 32 of this chapter, and other his- and torical or projected information rea- (x) The URL address through which sonably requested by the administrator the call is initiated. for purposes of computing payments (3) Additional call data required from and revenue requirements. In annual internet-based Relay Providers. In addi- cost data filings and supplementary in- tion to the data required by paragraph formation provided to the adminis- (c)(5)(iii)(D)(2) of this section, internet- trator regarding such cost data, IP based Relay Providers seeking com- CTS providers that contract for the pensation from the Fund shall submit supply of services used in the provision speed of answer compliance data. of TRS shall include information about (4) Call record and speed of answer payments under such contracts, classi- data. Providers submitting call record fied according to the substantive cost and speed of answer data in compliance categories specified by the adminis- with paragraphs (c)(5)(iii)(D)(2) and (3) trator. To the extent that a third par- of this section shall: ty’s provision of services covers more (i) Employ an automated record than one cost category, the resub- keeping system to capture such data mitted cost reports must provide an ex- required pursuant to paragraph planation of how the provider deter- (c)(5)(iii)(D)(2) of this section for each mined or calculated the portion of con- TRS call for which minutes are sub- tractual payments attributable to each mitted to the fund administrator for cost category. To the extent that the compensation; and administrator reasonably deems nec- (ii) Submit such data electronically, essary, providers shall submit addi- in a standardized format. For purposes tional detail on such contractor ex- of this subparagraph, an automated penses, including but not limited to record keeping system is a system that

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captures data in a computerized and (7) Call data record retention. Internet- electronic format that does not allow based TRS providers shall retain the human intervention during the call data required to be submitted by this session for either conversation or ses- section, and all other call detail sion time. records, other records that support (5) Certification. The chief executive their claims for payment from the TRS officer (CEO), chief financial officer Fund, and records used to substantiate (CFO), or other senior executive of a the costs and expense data submitted TRS provider with first hand knowl- in the annual relay service data re- edge of the accuracy and completeness quest form, in an electronic format of the information provided, when sub- that is easily retrievable, for a min- mitting a request for compensation imum of five years. from the TRS Fund must, with each (E) Payments to TRS providers. (1) TRS such request, certify as follows: Fund payments shall be distributed to I swear under penalty of perjury that: TRS providers based on formulas ap- (i) I am llllll (name and proved or modified by the Commission. title)llllll, an officer of the above- The administrator shall file schedules named reporting entity and that I have ex- of payment formulas with the Commis- amined the foregoing reports and that all re- sion. Such formulas shall be designed quested information has been provided and to compensate TRS providers for rea- all statements of fact, as well as all cost and sonable costs of providing interstate demand data contained in this Relay Serv- ices Data Request, are true and accurate; TRS, and shall be subject to Commis- and sion approval. Such formulas shall be (ii) The TRS calls for which compensation based on total monthly interstate TRS is sought were handled in compliance with minutes of use. The formulas should Section 225 of the Communications Act and appropriately compensate interstate the Commission’s rules and orders, and are providers for the provision of TRS, not the result of impermissible financial in- whether intrastate or interstate. centives or payments to generate calls. (2) TRS minutes of use for purposes (6) Audits. The Fund administrator of interstate cost recovery under the and the Commission, including the Of- TRS Fund are defined as the minutes fice of Inspector General, shall have of use for completed interstate TRS the authority to examine and verify calls placed through the TRS center TRS provider data as necessary to as- beginning after call set-up and con- sure the accuracy and integrity of TRS cluding after the last message call Fund payments. TRS providers must unit. submit to audits annually or at times (3) In addition to the data required determined appropriate by the Com- under paragraph (c)(5)(iii)(C) of this mission, the fund administrator, or by section, all TRS providers, including an entity approved by the Commission providers who are not interexchange for such purpose. A TRS provider that carriers, local exchange carriers, or fails to submit to a requested audit, or certified state relay providers, must fails to provide documentation nec- submit reports of interstate TRS min- essary for verification upon reasonable utes of use to the administrator in request, will be subject to an auto- order to receive payments. matic suspension of payment until it (4) The administrator shall establish submits to the requested audit or pro- procedures to verify payment claims, vides sufficient documentation. In the and may suspend or delay payments to course of an audit or otherwise upon a TRS provider if the TRS provider demand, an IP CTS provider must fails to provide adequate verification of make available any relevant docu- payment upon reasonable request, or if mentation, including contracts with directed by the Commission to do so. entities providing services or equip- The TRS Fund administrator shall ment directly related to the provision make payments only to eligible TRS of IP CTS, to the Commission, the TRS providers operating pursuant to the Fund administrator, or any person au- mandatory minimum standards as re- thorized by the Commission or TRS quired in this section, and after dis- Fund administrator to conduct an bursements to the administrator for audit. reasonable expenses incurred by it in

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connection with TRS Fund administra- Fund thirty (30) days prior to submit- tion. TRS providers receiving pay- ting reports of TRS interstate minutes ments shall file a form prescribed by of use in order to receive payment set- the administrator. The administrator tlements for interstate TRS, and fail- shall fashion a form that is consistent ure to file may exclude the TRS pro- with 47 CFR parts 32 and 36 procedures vider from eligibility for the year. reasonably tailored to meet the needs (H) Administrator reporting, moni- of TRS providers. toring, and filing requirements. The (5) The Commission shall have au- administrator shall perform all filing thority to audit providers and have ac- and reporting functions required in cess to all data, including carrier spe- paragraphs (c)(5)(iii)(A) through cific data, collected by the fund admin- (c)(5)(iii)(J) of this section. TRS pay- istrator. The fund administrator shall ment formulas and revenue require- have authority to audit TRS providers ments shall be filed with the Commis- reporting data to the administrator. sion on May 1 of each year, to be effec- (6) The administrator shall not be ob- tive the following July 1. The adminis- ligated to pay any request for com- trator shall report annually to the pensation until it has been established Commission an itemization of monthly as compensable. A request shall be es- administrative costs which shall con- tablished as compensable only after the sist of all expenses, receipts, and pay- administrator, in consultation with the ments associated with the administra- Commission, or the Commission deter- tion of the TRS Fund. The adminis- mines that the provider has met its trator is required to keep the TRS burden to demonstrate that the claim Fund separate from all other funds ad- is compensable under applicable Com- ministered by the administrator, shall mission rules and the procedures estab- file a cost allocation manual (CAM) lished by the administrator. Any re- and shall provide the Commission full quest for compensation for which pay- access to all data collected pursuant to ment has been suspended or withheld the administration of the TRS Fund. in accordance with paragraph The administrator shall account for (c)(5)(iii)(L) of this section shall not be the financial transactions of the TRS established as compensable until the Fund in accordance with generally ac- administrator, in consultation with the cepted accounting principles for federal Commission, or the Commission deter- agencies and maintain the accounts of mines that the request is compensable the TRS Fund in accordance with the in accordance with paragraph United States Government Standard (c)(5)(iii)(L)(4) of this section. General Ledger. When the adminis- (F) Eligibility for payment from the TRS trator, or any independent auditor Fund. (1) TRS providers, except Inter- hired by the administrator, conducts net-based TRS providers, eligible for audits of providers of services under receiving payments from the TRS Fund the TRS program or contributors to must be: the TRS Fund, such audits shall be (i) TRS facilities operated under con- conducted in accordance with gen- tract with and/or by certified state erally accepted government auditing TRS programs pursuant to § 64.606; or standards. In administering the TRS (ii) TRS facilities owned or operated Fund, the administrator shall also under contract with a common carrier comply with all relevant and applica- providing interstate services operated ble federal financial management and pursuant to this section; or reporting statutes. The administrator (iii) Interstate common carriers offer- shall establish a non-paid voluntary ing TRS pursuant to this section. advisory committee of persons from (2) Internet-based TRS providers eli- the hearing and speech disability com- gible for receiving payments from the munity, TRS users (voice and text tele- TRS fund must be certified by the phone), interstate service providers, Commission pursuant to § 64.606. state representatives, and TRS pro- (G) Any eligible TRS provider as de- viders, which will meet at reasonable fined in paragraph (c)(5)(iii)(F) of this intervals (at least semi-annually) in section shall notify the administrator order to monitor TRS cost recovery of its intent to participate in the TRS matters. Each group shall select its

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own representative to the committee. Commission shall make all decisions The administrator’s annual report regarding nondisclosure of company- shall include a discussion of the advi- specific information. sory committee deliberations. (J) [Reserved] (I) Information filed with the adminis- (K) All parties providing services or trator. The Chief Executive Officer contributions or receiving payments (CEO), Chief Financial Officer (CFO), under this section are subject to the or other senior executive of a provider enforcement provisions specified in the submitting minutes to the Fund for Communications Act, the Americans compensation must, in each instance, with Disabilities Act, and the Commis- certify, under penalty of perjury, that sion’s rules. the minutes were handled in compli- (L) Procedures for the suspension/with- ance with section 225 of the Commu- holding of payment. (1) The Fund admin- nications Act of 1934 and the Commis- istrator will continue the current prac- sion’s rules and orders, and are not the tice of reviewing monthly requests for result of impermissible financial incen- compensation of TRS minutes of use tives or payments to generate calls. within two months after they are filed The CEO, CFO, or other senior execu- with the Fund administrator. tive of a provider submitting cost and (2) If the Fund administrator in con- demand data to the TRS Fund adminis- sultation with the Commission, or the trator shall certify under penalty of Commission on its own accord, deter- perjury that such information is true mines that payments for certain min- and correct. The administrator shall utes should be withheld, a TRS pro- keep all data obtained from contribu- vider will be notified within two tors and TRS providers confidential months from the date for the request and shall not disclose such data in for compensation was filed, as to why company-specific form unless directed its claim for compensation has been to do so by the Commission. Subject to withheld in whole or in part. TRS pro- any restrictions imposed by the Chief viders then will be given two additional of the Consumer and Governmental Af- months from the date of notification to fairs Bureau, the TRS Fund adminis- provide additional justification for trator may share data obtained from payment of such minutes of use. Such carriers with the administrators of the justification should be sufficiently de- universal support mechanisms (see tailed to provide the Fund adminis- § 54.701 of this chapter), the North trator and the Commission the infor- American Numbering Plan administra- mation needed to evaluate whether the tion cost recovery (see § 52.16 of this minutes of use in dispute are compen- chapter), and the long-term local num- sable. If a TRS provider does not re- ber portability cost recovery (see § 52.32 spond, or does not respond with suffi- of this chapter). The TRS Fund admin- ciently detailed information within istrator shall keep confidential all data two months after notification that obtained from other administrators. payment for minutes of use is being The administrator shall not use such withheld, payment for the minutes of data except for purposes of admin- use in dispute will be denied perma- istering the TRS Fund, calculating the nently. regulatory fees of interstate and intra- (3) If, the TRS provider submits addi- state common carriers and VoIP serv- tional justification for payment of the ice providers, and aggregating such fee minutes of use in dispute within two payments for submission to the Com- months after being notified that its mission. The Commission shall have initial justification was insufficient, access to all data reported to the ad- the Fund administrator or the Com- ministrator, and authority to audit mission will review such additional TRS providers. Contributors may make justification documentation, and may requests for Commission nondisclosure ask further questions or conduct fur- of company-specific revenue informa- ther investigation to evaluate whether tion under § 0.459 of this chapter by so to pay the TRS provider for the min- indicating on the Telecommunications utes of use in dispute, within eight Reporting Worksheet at the time that months after submission of such addi- the subject data are submitted. The tional justification.

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(4) If the provider meets its burden to porting person reasonably believes evi- establish that the minutes in question dences known or suspected violations are compensable under the Commis- of the Communications Act or TRS sion’s rules, the Fund administrator regulations, or any other activity that will compensate the provider for such the reporting person reasonably be- minutes of use. Any payment by the lieves constitutes waste, fraud, or Commission will not preclude any fu- abuse, or that otherwise could result in ture action by either the Commission the improper billing of minutes of use or the U.S. Department of Justice to to the TRS Fund and discloses that in- recover past payments (regardless of formation to a designated manager of whether the payment was the subject the provider, the Commission, the TRS of withholding) if it is determined at Fund administrator or to any Federal any time that such payment was for or state law enforcement entity. Pro- minutes billed to the Commission in viders shall provide an accurate and violation of the Commission’s rules or complete description of these TRS any other civil or criminal law. whistleblower protections, including (5) If the Commission determines the right to notify the FCC’s Office of that the provider has not met its bur- Inspector General or its Enforcement den to demonstrate that the minutes of Bureau, to all employees and contrac- use in dispute are compensable under tors, in writing. Providers that already the Commission’s rules, payment will disseminate their internal business be permanently denied. The Fund ad- policies to its employees in writing ministrator or the Commission will no- (e.g. in employee handbooks, policies tify the provider of this decision within and procedures manuals, or bulletin one year of the initial request for pay- board postings—either online or in ment. hard copy) must include an accurate (6) If the VRS provider submits a and complete description of these TRS waiver request asserting exigent cir- whistleblower protections in those cumstances affecting one or more call written materials. centers that will make it highly im- (N) In addition to the provisions set probable that the VRS provider will forth above, VRS providers shall be meet the speed-of-answer standard for subject to the following provisions: call attempts occurring in a period of (1) Eligibility for reimbursement from time identified by beginning and end- the TRS Fund. (i) Only an eligible VRS ing dates, the Fund administrator shall provider, as defined in paragraph not withhold TRS Fund payments for a (c)(5)(iii)(F) of this section, may hold VRS provider’s failure to meet the itself out to the general public as pro- speed-of-answer standard during the viding VRS. identified period of time while the (ii) VRS service must be offered waiver request is under review by the under the name by which the eligible Commission. In the event that the VRS provider offering such service be- waiver request is denied, the speed-of- came certified and in a manner that answer requirement is not met, and clearly identifies that provider of the payment has been made to the provider service. Where a TRS provider also uti- from the TRS Fund for the identified lizes sub-brands to identify its VRS, period of time or a portion thereof, the each sub-brand must clearly identify provider shall return such payment to the eligible VRS provider. Providers the TRS Fund for any period of time must route all VRS calls through a sin- when the speed-of-answer requirement gle URL address used for each name or was not met. sub-brand used. (M) Whistleblower protections. Pro- (iii) An eligible VRS provider may viders shall not take any reprisal in not contract with or otherwise author- the form of a personnel action against ize any third party to provide interpre- any current or former employee or con- tation services or call center functions tractor who discloses to a designated (including call distribution, call rout- manager of the provider, the Commis- ing, call setup, mapping, call features, sion, the TRS Fund administrator or to billing, and registration) on its behalf, any Federal or state law enforcement unless that authorized third party also entity, any information that the re- is an eligible provider.

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(iv) To the extent that an eligible with such a training session. Such pro- VRS provider contracts with or other- hibited involvement includes training wise authorizes a third party to pro- programs or comparable activities in vide any other services or functions re- which the provider or any affiliate or lated to the provision of VRS other related party thereto, including but than interpretation services or call not limited to its subcontractors, part- center functions, that third party must ners, employees or sponsoring organi- not hold itself out as a provider of zations or entities, has any role in ar- VRS, and must clearly identify the eli- ranging, scheduling, sponsoring, gible VRS provider to the public. To hosting, conducting or promoting such the extent an eligible VRS provider programs or activities. contracts with or authorizes a third (6) Complaints—(i) Referral of com- party to provide any services or func- plaint. If a complaint to the Commis- tions related to marketing or outreach, sion alleges a violation of this subpart and such services utilize VRS, those with respect to intrastate TRS within VRS minutes are not compensable on a a state and certification of the proper minute basis from the TRS fund. gram of such state under § 64.606 is in (v) All third-party contracts or agree- effect, the Commission shall refer such ments entered into by an eligible pro- complaint to such state expeditiously. vider must be in writing. Copies of such (ii) Intrastate complaints shall be re- agreements shall be made available to solved by the state within 180 days the Commission and to the TRS Fund after the complaint is first filed with a administrator upon request. state entity, regardless of whether it is (2) Call center reports. VRS providers filed with the state relay adminis- shall file a written report with the trator, a state PUC, the relay provider, Commission and the TRS Fund admin- or with any other state entity. istrator, on April 1st and October 1st of (iii) Jurisdiction of Commission. After each year for each call center that han- referring a complaint to a state entity dles VRS calls that the provider owns under paragraph (c)(6)(i) of this sec- or controls, including centers located tion, or if a complaint is filed directly outside of the United States, that in- with a state entity, the Commission cludes: shall exercise jurisdiction over such (i) The complete street address of the complaint only if: center; (A) Final action under such state (ii) The number of individual CAs and CA managers; and program has not been taken within: (iii) The name and contact informa- (1) 180 days after the complaint is tion (phone number and e-mail address) filed with such state entity; or of the manager(s) at the center. VRS (2) A shorter period as prescribed by providers shall also file written notifi- the regulations of such state; or cation with the Commission and the (B) The Commission determines that TRS Fund administrator of any change such state program is no longer quali- in a center’s location, including the fied for certification under § 64.606. opening, closing, or relocation of any (iv) The Commission shall resolve center, at least 30 days prior to any within 180 days after the complaint is such change. filed with the Commission any inter- (3) Compensation of CAs. VRS pro- state TRS complaint alleging a viola- viders may not compensate, give a tion of section 225 of the Act or any preferential work schedule or other- complaint involving intrastate relay wise benefit a CA in any manner that services in states without a certified is based upon the number of VRS min- program. The Commission shall resolve utes or calls that the CA relays, either intrastate complaints over which it ex- individually or as part of a group. ercises jurisdiction under paragraph (4) Remote training session calls. VRS (c)(6)(iii) of this section within 180 calls to a remote training session or a days. comparable activity will not be com- (v) Complaint procedures. Complaints pensable from the TRS Fund when the against TRS providers for alleged vio- provider submitting minutes for such a lations of this subpart may be either call has been involved, in any manner, informal or formal.

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(A) Informal complaints—(1) Form. An cases, the Commission shall inform the informal complaint may be trans- parties of its review and disposition of mitted to the Consumer & Govern- a complaint filed under this subpart. mental Affairs Bureau by any reason- Where practicable, this information able means, such as letter, facsimile shall be transmitted to the complain- transmission, telephone (voice/TRS/ ant and defendant in the manner re- TTY), Internet e-mail, or some other quested by the complainant (e.g., let- method that would best accommodate ter, facsmile transmission, telephone a complainant’s hearing or speech dis- (voice/TRS/TTY) or Internet e-mail. ability. (2) A complainant unsatisfied with (2) Content. An informal complaint the defendant’s response to the infor- shall include the name and address of mal complaint and the staff’s decision the complainant; the name and address to terminate action on the informal of the TRS provider against whom the complaint may file a formal complaint complaint is made; a statement of facts with the Commission pursuant to para- supporting the complainant’s allega- graph (c)(6)(v)(C) of this section. tion that the TRS provided it has vio- (C) Formal complaints. A formal com- lated or is violating section 225 of the plaint shall be in writing, addressed to Act and/or requirements under the the Federal Communications Commis- Commission’s rules; the specific relief sion, Enforcement Bureau, Tele- or satisfaction sought by the complain- communications Consumer Division, ant; and the complainant’s preferred Washington, DC 20554 and shall con- format or method of response to the tain: complaint by the Commission and the (1) The name and address of the com- defendant TRS provider (such as letter, plainant, facsimile transmission, telephone (2) The name and address of the de- (voice/TRS/TTY), Internet e-mail, or fendant against whom the complaint is some other method that would best ac- made, commodate the complainant’s hearing or speech disability). (3) A complete statement of the facts, including supporting data, where avail- (3) Service; designation of agents. The Commission shall promptly forward able, showing that such defendant did any complaint meeting the require- or omitted to do anything in con- ments of this subsection to the TRS travention of this subpart, and provider named in the complaint. Such (4) The relief sought. TRS provider shall be called upon to (D) Amended complaints. An amended satisfy or answer the complaint within complaint setting forth transactions, the time specified by the Commission. occurrences or events which have hap- Every TRS provider shall file with the pened since the filing of the original Commission a statement designating complaint and which relate to the an agent or agents whose principal re- original cause of action may be filed sponsibility will be to receive all com- with the Commission. plaints, inquiries, orders, decisions, (E) Number of copies. An original and and notices and other pronouncements two copies of all pleadings shall be forwarded by the Commission. Such filed. designation shall include a name or de- (F) Service. (1) Except where a com- partment designation, business ad- plaint is referred to a state pursuant to dress, telephone number (voice and § 64.604(c)(6)(i), or where a complaint is TTY), facsimile number and, if avail- filed directly with a state entity, the able, internet e-mail address. Commission will serve on the named (B) Review and disposition of informal party a copy of any complaint or complaints. (1) Where it appears from amended complaint filed with it, to- the TRS provider’s answer, or from gether with a notice of the filing of the other communications with the par- complaint. Such notice shall call upon ties, that an informal complaint has the defendant to satisfy or answer the been satisfied, the Commission may, in complaint in writing within the time its discretion, consider the matter specified in said notice of complaint. closed without response to the com- (2) All subsequent pleadings and plainant or defendant. In all other briefs shall be served by the filing

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party on all other parties to the pro- user with the called parties desired by ceeding in accordance with the require- that TRS user. Such information shall ments of § 1.47 of this chapter. Proof of not be sold, distributed, shared or re- such service shall also be made in ac- vealed in any other way by the relay cordance with the requirements of said center or its employees, unless com- section. pelled to do so by lawful order. (G) Answers to complaints and amended (8) Incentives for use of IP CTS and complaints. Any party upon whom a VRS. (i) An IP CTS provider shall not copy of a complaint or amended com- offer or provide to any person or entity plaint is served under this subpart that registers to use IP CTS any form shall serve an answer within the time of direct or indirect incentives, finan- specified by the Commission in its no- cial or otherwise, to register for or use tice of complaint. The answer shall ad- IP CTS. vise the parties and the Commission (ii) An IP CTS provider shall not fully and completely of the nature of offer or provide to a hearing health the defense and shall respond specifi- professional any direct or indirect in- cally to all material allegations of the centives, financial or otherwise, that complaint. In cases involving allega- are tied to a consumer’s decision to tions of harm, the answer shall indi- register for or use IP CTS. Where an IP cate what action has been taken or is CTS provider offers or provides IP CTS proposed to be taken to stop the occur- equipment, directly or indirectly, to a rence of such harm. Collateral or im- hearing health professional, and such material issues shall be avoided in an- professional makes or has the oppor- swers and every effort should be made tunity to make a profit on the sale of to narrow the issues. Matters alleged the equipment to consumers, such IP as affirmative defenses shall be sepa- CTS provider shall be deemed to be of- rately stated and numbered. Any de- fering or providing a form of incentive fendant failing to file and serve an an- tied to a consumer’s decision to reg- swer within the time and in the man- ister for or use IP CTS. ner prescribed may be deemed in de- (iii) Joint marketing arrangements fault. between IP CTS providers and hearing (H) Replies to answers or amended an- health professionals shall be prohib- swers. Within 10 days after service of an ited. answer or an amended answer, a com- (iv) For the purpose of this paragraph plainant may file and serve a reply (c)(8), a hearing health professional is which shall be responsive to matters any medical or non-medical profes- contained in such answer or amended sional who advises consumers with re- answer and shall not contain new mat- gard to hearing disabilities. ter. Failure to reply will not be deemed (v) A VRS provider shall not offer or an admission of any allegation con- provide to any person or entity any tained in such answer or amended an- form of direct or indirect incentives, fi- swer. nancial or otherwise, for the purpose of (I) Defective pleadings. Any pleading encouraging individuals to register for filed in a complaint proceeding that is or use the VRS provider’s service. not in substantial conformity with the (vi) Any IP CTS or VRS provider that requirements of the applicable rules in does not comply with this paragraph this subpart may be dismissed. (c)(8) shall be ineligible for compensa- (7) Treatment of TRS customer information for such service from the TRS tion. Beginning on July 21, 2000, all fu- Fund. ture contracts between the TRS admin- (9) [Reserved] istrator and the TRS vendor shall pro- (10) IP CTS settings. Each IP CTS provide for the transfer of TRS customer vider shall ensure that, for each IP profile data from the outgoing TRS CTS device it distributes, directly or vendor to the incoming TRS vendor. indirectly: Such data must be disclosed in usable (i) The device includes a button, key, form at least 60 days prior to the pro- icon, or other comparable feature that vider’s last day of service provision. is easily operable and requires only one Such data may not be used for any pur- step for the consumer to turn on cap- pose other than to connect the TRS tioning; and

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(ii) On or after December 8, 2018, any (c)(11), such records shall state whether volume control or other amplification and when the label required by para- feature can be adjusted separately and graph (c)(11)(iii) of this section was dis- independently of the caption feature. tributed to such consumer. Such (11)(i)[Reserved] records shall be maintained for a min- (ii) No person shall use IP CTS equip- imum period of five years after the ment or software with the captioning consumer ceases to obtain service from on, unless: the provider. (A) Such person is registered to use (v) IP CTS providers shall ensure IP CTS pursuant to paragraph (c)(9) of that their informational materials and this section; or websites used to market, advertise, (B) Such person was an existing IP educate, or otherwise inform con- CTS user as of March 7, 2013, and either sumers and professionals about IP CTS paragraph (c)(9)(xi) of this section is include the following language in a not yet in effect or the registration prominent location in a clearly legible deadline in paragraph (c)(9)(xi) of this font: ‘‘FEDERAL LAW PROHIBITS section has not yet passed. ANYONE BUT REGISTERED USERS (iii) IP CTS providers shall ensure WITH HEARING LOSS FROM USING that any newly distributed IP CTS INTERNET PROTOCOL (IP) CAP- equipment has a label on its face in a TIONED TELEPHONES WITH THE conspicuous location with the fol- CAPTIONS TURNED ON. IP Captioned lowing language in a clearly legible Telephone Service may use a live oper- font: ‘‘FEDERAL LAW PROHIBITS ator. The operator generates captions ANYONE BUT REGISTERED USERS of what the other party to the call WITH HEARING LOSS FROM USING says. These captions are then sent to THIS DEVICE WITH THE CAPTIONS your phone. There is a cost for each ON.’’ For IP CTS equipment already minute of captions generated, paid distributed to consumers by any IP from a federally administered fund.’’ CTS provider as of July 11, 2014, such For IP CTS provider websites, the lan- provider shall, no later than August 11, guage shall be included on the 2014, distribute to consumers equip- website’s home page, each page that ment labels with the same language as provides consumer information about mandated by this paragraph for newly IP CTS, and each page that provides in- distributed equipment, along with formation on how to order IP CTS or clear and specific instructions direct- IP CTS equipment. IP CTS providers ing the consumer to attach such labels that do not make any use of live CAs to the face of their IP CTS equipment to generate captions may shorten the in a conspicuous location. For software notice to leave out the second, third, applications on mobile phones, laptops, and fourth sentences. tablets, computers or other similar de- (12) Discrimination and preferences. A vices, IP CTS providers shall ensure VRS provider shall not: that, each time the consumer logs into (i) Directly or indirectly, by any the application, the notification lan- means or device, engage in any unjust guage required by this paragraph ap- or unreasonable discrimination related pears in a conspicuous location on the to practices, facilities, or services for device screen immediately after log-in. or in connection with like relay serv- (iv) IP CTS providers shall maintain, ice, with each consumer’s registration (ii) Engage in or give any undue or records, records describing any IP CTS unreasonable preference or advantage equipment provided, directly or indi- to any particular person, class of per- rectly, to such consumer, stating the sons, or locality, or amount paid for such equipment, and (iii) Subject any particular person, stating whether the label required by class of persons, or locality to any paragraph (c)(11)(iii) of this section was undue or unreasonable prejudice or dis- affixed to such equipment prior to its advantage. provision to the consumer. For con- (13) Unauthorized and unnecessary use sumers to whom IP CTS equipment was of VRS or IP CTS. (i) A VRS or IP CTS provided directly or indirectly prior to provider shall not engage in any prac- the effective date of this paragraph tice that the provider knows or has

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reason to know will cause or encour- and 64.5110 of this part are to be consid- age: ered mandatory minimum standards. (A) False or unverified claims for [65 FR 38436, June 21, 2000] TRS Fund compensation; (B) Unauthorized use of VRS or IP EDITORIAL NOTE: For FEDERAL REGISTER ci- CTS; tations affecting § 64.604, see the List of CFR (C) The making of VRS or IP CTS Sections Affected, which appears in the calls that would not otherwise be Finding Aids section of the printed volume and at www.govinfo.gov. made; or (D) The use of VRS or IP CTS by per- EFFECTIVE DATE NOTE: At 85 FR 27313, May, sons who do not need the service in 8, 2020, § 64.604 was amended by revising para- order to communicate in a functionally graphs (b)(4)(iii), (b)(8) and (c)(5)(5)(iii)(D)(2)(ix), the effective date has equivalent manner. been delayed indefinitely. For the conven- (ii) A VRS or IP CTS provider shall ience of the user, the revised text is set forth not seek payment from the TRS Fund as follows: for any minutes of service it knows or has reason to know are resulting from § 64.604 Mandatory minimum standards. the practices listed in paragraph (c)(13)(i) of this section or from the use * * * * * of IP CTS by an individual who does (b) * * * not need captions to communicate in a (4) * * * functionally equivalent manner. (iii) A VRS provider shall not allow its CAs (iii) Any VRS or IP CTS provider to handle VRS calls from a home that becomes aware of any practices workstation unless so authorized by the listed in paragraphs (c)(13)(i) or (ii) of Commission. this section being or having been committed by any person shall, as soon as * * * * * practicable, report such practices to the Commission or the TRS Fund ad- (8) At-home VRS call handling—(i) Limit on minutes handled. In any calendar month, a ministrator. VRS provider authorized by the Commission (iv) An IP CTS provider may com- to employ at-home CAs may be compensated plete and request compensation for IP for minutes handled from home workstations CTS calls to or from unregistered users up to a maximum of the greater of: at a temporary, public IP CTS device (A) Fifty percent (50%) of a VRS provider’s set up in an emergency shelter. The IP total minutes for which compensation is paid CTS provider shall notify the TRS in that month; or Fund administrator of the dates of ac- (B) Fifty percent (50%) of the provider’s av- tivation and termination for such de- erage projected monthly conversation minutes for the calendar year, according to the vice. projections most recently filed with the TRS (14) TRS calls requiring the use of mul- Fund administrator. tiple CAs. The following types of calls (ii) Personnel safeguards. A VRS provider that require multiple CAs for their shall: handling are compensable from the (A) Allow a CA to work at home only if the TRS Fund: CA is a qualified interpreter with at least (i) VCO-to-VCO calls between mul- three years of professional interpreting expe- tiple captioned telephone relay service rience, has the experience, skills, and knowledge necessary to effectively interpret VRS users, multiple IP CTS users, or cap- calls without in-person supervision, has tioned telephone relay service users learned the provider’s protocols for at-home and IP CTS users; call handling, and understands and follows (ii) Calls between captioned tele- the TRS mandatory minimum standards set phone relay service or IP CTS users out in this section; and and TTY service users; and (B) Provide at-home CAs equivalent sup- (iii) Calls between captioned tele- port to that provided to CAs working from phone relay service or IP CTS users call centers, including, where appropriate, and VRS users. the opportunity to team-interpret and consult with supervisors, and ensure that super- (d) Other standards. The applicable visors are readily available to resolve prob- requirements of § 9.14 of this chapter lems that may arise during a relay call. and §§ 64.611, 64.615, 64.617, 64.621, 64.631, (iii) Technical and environmental safeguards. 64.632, 64.5105, 64.5107, 64.5108, 64.5109, A VRS provider shall ensure that each home

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workstation enables the provision of con- (C) The call center identification number, fidential and uninterrupted service to the street address, and name of supervisor of the same extent as the provider’s call centers call center responsible for oversight of that and is seamlessly integrated into the pro- workstation. vider’s call routing, distribution, tracking, (c) * * * and support systems. Each home (5) * * * workstation shall: (iii) * * * (A) Reside in a separate, secure workspace (D) * * * where access during working hours is re- (2) *** stricted solely to the CA; (ix) The call center (by assigned center ID (B) Allow a CA to use all call-handling number) or home workstation (by assigned technology to the same extent as call-center home workstation identification number) CAs; that handled the call; and (C) Be capable of supporting VRS in compliance with the applicable mandatory min- § 64.605 [Reserved] imum standards set out in this section to the same degree as at call centers; § 64.606 Internet-based TRS provider (D) Be equipped with an effective means to and TRS program certification. prevent eavesdropping and outside interrup- (a) Documentation—(1) Certified state tions; and program. Any state, through its office (E) Be connected to the provider’s network of the governor or other delegated ex- over a secure connection to ensure caller pri- ecutive office empowered to provide vacy. (iv) Monitoring and oversight obligations. A TRS, desiring to establish a state pro- VRS provider shall: gram under this section shall submit, (A) Inspect each home workstation and its not later than October 1, 1992, docu- home environment to confirm their compli- mentation to the Commission ad- ance with paragraph (b)(8)(iii) of this section dressed to the Federal Communica- before activating the workstation for use; tions Commission, Chief, Consumer & (B) Assign a unique workstation identifica- Governmental Affairs Bureau, TRS tion number to each VRS home workstation; Certification Program, Washington, DC (C) Equip each home workstation with 20554, and captioned ‘‘TRS State Cer- monitoring technology sufficient to ensure that off-site supervision approximates the tification Application.’’ All docu- level of supervision at the provider’s call mentation shall be submitted in nar- center and regularly analyze the records and rative form, shall clearly describe the data produced by such monitoring to state program for implementing intra- proactively address possible waste, fraud, state TRS, and the procedures and and abuse; remedies for enforcing any require- (D) Keep all records pertaining to home ments imposed by the state program. workstations, except records of the content The Commission shall give public no- of interpreted conversations, for a minimum of five years; and tice of states filing for certification in- (E) Conduct random and unannounced including notification in the FEDERAL spections of at least five percent (5%) of all REGISTER. home workstations, including their home en- (2) Internet-based TRS provider. Any vironments, in each 12-month period. entity desiring to provide Internet- (v) Commission audits and inspections. Home based TRS and to receive compensation workstations and workstation records shall from the Interstate TRS Fund, shall be subject to review, audit, and inspection by submit documentation to the Commis- the Commission and the TRS Fund adminis- sion addressed to the Federal Commu- trator and unannounced on-site inspections by the Commission to the same extent as nications Commission, Chief, Con- call centers and call center records subject sumer and Governmental Affairs Bu- to the rules in this chapter. reau, TRS Certification Program, (vi) Monthly reports. With its monthly re- Washington, DC 20554, and captioned quests for compensation, a VRS provider em- ‘‘Internet-based TRS Certification Ap- ploying at-home CAs shall report the fol- plication.’’ The documentation shall lowing information to the TRS Fund admin- include, in narrative form: istrator for each home workstation: (i) A description of the forms of (A) The home workstation identification number and full street address (number, Internet-based TRS to be provided (i.e., street, city, state, and zip code); VRS, IP Relay, and/or IP captioned (B) The CA identification number of each telephone relay service); individual handling VRS calls from that (ii) A detailed description of how the home workstation; and applicant will meet all non-waived

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mandatory minimum standards appli- center functions for each call center cable to each form of TRS offered, in- operated by the applicant within the cluding documentary and other evi- United States; dence, and in the case of VRS, such (6) Operating more than five call cen- documentary and other evidence shall ters within the United States, a copy of demonstrate that the applicant leases, each proof of purchase, lease or license licenses or has acquired its own facili- agreement for technology and equip- ties and operates such facilities associ- ment used to support their call center ated with TRS call centers and em- functions for a representative sampling ploys communications assistants, on a (taking into account size (by number of full or part-time basis, to staff such communications assistants) and loca- call centers at the date of the application) of five call centers operated by tion. Such evidence shall include, but the applicant within the United States; not be limited to: a copy of each proof of purchase, lease (A) In the case of VRS applicants or or license agreement for technology providers, and equipment used to support their (1) Operating five or fewer call cen- call center functions for all call centers within the United States, a copy of ters operated by the applicant within each deed or lease for each call center the United States must be retained by operated by the applicant within the the applicant for three years from the United States; date of the application, and submitted (2) Operating more than five call cen- to the Commission upon request; ters within the United States, a copy of (7) Operating call centers outside of each deed or lease for a representative the United States, a copy of each proof sampling (taking into account size (by of purchase, lease or license agreement number of communications assistants) for all technology and equipment used and location) of five call centers oper- to support their call center functions ated by the applicant within the for each call center operated by the ap- United States, together with a list of plicant outside of the United States; all other call centers that they operate and that includes the information required (8) A complete copy of each lease or under § 64.604(c)(5)(iii)(N)(2); license agreement for automatic call (3) Operating call centers outside of distribution. the United States, a copy of each deed (B) For all applicants, a list of indi- or lease for each call center operated viduals or entities that hold at least a by the applicant outside of the United 10 percent equity interest in the appli- States; cant, have the power to vote 10 percent (4) A description of the technology or more of the securities of the appli- and equipment used to support their cant, or exercise de jure or de facto call center functions—including, but control over the applicant, a descrip- not limited to, automatic call distribution of the applicant’s organizational tion, routing, call setup, mapping, call structure, and the names of its execu- features, billing for compensation from tives, officers, members of its board of the TRS Fund, and registration—and directors, general partners (in the case for each core function of each call cen- of a partnership), and managing mem- ter for which the applicant must pro- bers (in the case of a limited liability vide a copy of technology and equip- company); ment proofs of purchase, leases or li- (C) For all applicants, a list of the cense agreements in accordance with number of applicant’s full-time and paragraphs (a)(2)(ii)(A)(5) through (7) of part-time employees involved in TRS this section, a statement whether such operations, including and divided by technology and equipment is owned, the following positions: executives and leased or licensed (and from whom if officers; video phone installers (in the leased or licensed); case of VRS), communications assist- (5) Operating five or fewer call cen- ants, and persons involved in mar- ters within the United States, a copy of keting and sponsorship activities; each proof of purchase, lease or license (D) For all applicants, copies of em- agreement for all technology and ployment agreements for all of the pro- equipment used to support their call vider’s employees directly involved in

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TRS operations, executives, and com- order to assess the merits of a certifi- munications assistants, and a list of cation application submitted by an names of employees directly involved Internet-based TRS provider, the Com- in TRS operations, need not be submission may conduct one or more on- mitted with the application, but must site visits of the applicant’s premises, be retained by the applicant for five to which the applicant must consent. years from the date of application, and (b)(1) Requirements for state certifi- submitted to the Commission upon re- cation. After review of state docu- quest; and mentation, the Commission shall cer- (E) For all applicants, a list of all tify, by letter, or order, the state pro- sponsorship arrangements relating to gram if the Commission determines Internet-based TRS, including on that that the state certification documenta- list a description of any associated tion: written agreements; copies of all such (i) Establishes that the state pro- arrangements and agreements must be gram meets or exceeds all operational, retained by the applicant for three technical, and functional minimum years from the date of the application, standards contained in § 64.604; and submitted to the Commission upon (ii) Establishes that the state pro- request; gram makes available adequate proce- (F) In the case of applicants to pro- dures and remedies for enforcing the vide IP CTS or IP CTS providers, a de- requirements of the state program, in- scription of measures taken by such cluding that it makes available to TRS applicants or providers to ensure that users informational materials on state they do not and will not request or col- and Commission complaint procedures lect payment from the TRS Fund for sufficient for users to know the proper service to consumers who do not sat- procedures for filing complaints; and isfy the registration and certification (iii) Where a state program exceeds requirements in § 64.604(c)(9), and an ex- the mandatory minimum standards planation of how these measures pro- contained in § 64.604, the state estab- vide such assurance. lishes that its program in no way con- (iii) A description of the provider’s flicts with federal law. complaint procedures; and (2) Requirements for Internet-based TRS (iv) A statement that the provider Provider FCC certification. After review will file annual compliance reports of certification documentation, the demonstrating continued compliance Commission shall certify, by Public with these rules. Notice, that the Internet-based TRS (v) The chief executive officer (CEO), provider is eligible for compensation chief financial officer (CFO), or other from the Interstate TRS Fund if the senior executive of an applicant for Commission determines that the cer- Internet-based TRS certification under tification documentation: this section with first hand knowledge (i) Establishes that the provision of of the accuracy and completeness of Internet-based TRS will meet or exceed the information provided, when sub- all non-waived operational, technical, mitting an application for certification and functional minimum standards under paragraph (a)(2) of this section, contained in § 64.604; must certify as follows: I swear under (ii) Establishes that the Internet- penalty of perjury that I am based TRS provider makes available llllllll(name and title), adequate procedures and remedies for llllllllan officer of the above- ensuring compliance with the require- named applicant, and that I have ex- ments of this section and the manda- amined the foregoing submissions, and tory minimum standards contained in that all information required under the § 64.604, including that it makes avail- Commission’s rules and orders has been able for TRS users informational mate- provided and all statements of fact, as rials on complaint procedures suffi- well as all documentation contained in cient for users to know the proper pro- this submission, are true, accurate, and cedures for filing complaints. complete. (c)(1) State certification period. State (3) Assessment of internet-based TRS certification shall remain in effect for provider certification application. In five years. One year prior to expiration

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of certification, a state may apply for compliance with the minimum stand- renewal of its certification by filing ards. documentation as prescribed by para- (f) Notification of substantive change. graphs (a) and (b) of this section. (1) States must notify the Commission (2) Internet-based TRS Provider FCC of substantive changes in their TRS certification period. Certification grant- programs within 60 days of when they ed under this section shall remain in occur, and must certify that the state effect for five years. An Internet-based TRS program continues to meet federal TRS provider applying for renewal of minimum standards after imple- its certification must file documenta- menting the substantive change. tion with the Commission containing (2) VRS and IP Relay providers cer- the information described in paragraph tified under this section must notify (a)(2) of this section at least 90 days the Commission of substantive changes prior to expiration of its certification. in their TRS programs, services, and (d) Method of funding. Except as pro- features within 60 days of when such vided in § 64.604, the Commission shall changes occur, and must certify that not refuse to certify a state program the interstate TRS provider continues based solely on the method such state to meet Federal minimum standards will implement for funding intrastate after implementing the substantive TRS, but funding mechanisms, if la- change. Substantive changes shall in- beled, shall be labeled in a manner that clude, but not be limited to: promote national understanding of (i) The use of new equipment or tech- TRS and do not offend the public. nologies to facilitate the manner in (e)(1) Suspension or revocation of state which relay services are provided; certification. The Commission may sus- (ii) Providing services from a new fa- pend or revoke such certification if, cility not previously identified to the after notice and opportunity for hear- Commission or the Fund adminis- ing, the Commission determines that trator; and such certification is no longer war- (iii) Discontinuation of service from ranted. In a state whose program has any facility. been suspended or revoked, the Com- (g) Internet-based TRS providers cer- mission shall take such steps as may tified under this section shall file with be necessary, consistent with this sub- the Commission, on an annual basis, a part, to ensure continuity of TRS. The report demonstrating that they are in Commission may, on its own motion, compliance with § 64.604. require a certified state program to (1) Such reports must update the in- submit documentation demonstrating formation required in paragraph (a)(2) ongoing compliance with the Commis- of this section and include updated doc- sion’s minimum standards if, for exam- umentation and a summary of the up- ple, the Commission receives evidence dates, or certify that there are no that a state program may not be in changes to the information and docu- compliance with the minimum stand- mentation submitted with the applica- ards. tion for certification, application for (2) Suspension or revocation of Internet- renewal of certification, or the most based TRS Provider FCC certification. recent annual report, as applicable. The Commission may suspend or re- (2) The chief executive officer (CEO), voke the certification of an Internet- chief financial officer (CFO), or other based TRS provider if, after notice and senior executive of an Internet-based opportunity for hearing, the Commis- TRS provider under this section with sion determines that such certification first hand knowledge of the accuracy is no longer warranted. The Commis- and completeness of the information sion may, on its own motion, require a provided, when submitting an annual certified Internet-based TRS provider report under paragraph (g) of this sec- to submit documentation dem- tion, must, with each such submission, onstrating ongoing compliance with certify as follows: the Commission’s minimum standards I swear under penalty of perjury that I am if, for example, the Commission re- llllllllllllllllll (name and ceives evidence that a certified Inter- title), an officer of the above-named report- net-based TRS provider may not be in ing entity, and that I have examined the

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foregoing submissions, and that all informa- (h) Unauthorized service interruptions. tion required under the Commission’s rules (1) Each certified VRS provider must and orders has been provided and all state- provide Internet-based TRS without ments of fact, as well as all documentation unauthorized voluntary service inter- contained in this submission, are true, accurate, and complete. ruptions. (2) A VRS provider seeking to volun- (3) Each VRS provider shall include tarily interrupt service for a period of within its annual report a compliance 30 minutes or more in duration must plan describing the provider’s policies, first obtain Commission authorization procedures, and practices for com- by submitting a written request to the plying with the requirements of Commission’s Consumer and Govern- § 64.604(c)(13) of this subpart. Such com- mental Affairs Bureau (CGB) at least 60 pliance plan shall include, at a min- days prior to any planned service inter- imum: ruption, with detailed information of: (i) Identification of any officer(s) or (i) Its justification for such interrup- managerial employee(s) responsible for tion; ensuring compliance with § 64.604(c)(13) (ii) Its plan to notify customers of this subpart; about the impending interruption; and (ii) A description of any compliance (iii) Its plans for resuming service, so training provided to the provider’s offi- as to minimize the impact of such dis- cers, employees, and contractors; ruption on consumers through a (iii) Identification of any telephone smooth transition of temporary service numbers, Web site addresses, or other to another provider, and restoration of mechanisms available to employees for its service at the completion of such reporting abuses; interruption. CGB will grant or deny (iv) A description of any internal such a request and provide a response audit processes used to ensure the ac- to the provider at least 35 days prior to curacy and completeness of minutes the proposed interruption, in order to submitted to the TRS Fund adminis- afford an adequate period of notifica- trator; and tion to consumers. In evaluating such a (v) A description of all policies and request, CGB will consider such factors practices that the provider is following as the length of time of the proposed to prevent waste, fraud, and abuse of interruption, the reason for such inter- the TRS Fund. A provider that fails to ruption, the frequency with which such file a compliance plan shall not be en- requests have been made by the pro- titled to compensation for the provi- vider in the past, the potential impact sion of VRS during the period of non- of the interruption on consumers, and compliance. the provider’s plans for a smooth serv- (4) If, at any time, the Commission ice restoration. determines that a VRS provider’s com- (3) In the event of an unforeseen serv- pliance plan currently on file is inad- ice interruption due to circumstances equate to prevent waste, fraud, and beyond an Internet-based TRS service abuse of the TRS Fund, the Commis- provider’s control, or in the event of a sion shall so notify the provider, shall VRS provider’s voluntary service inter- explain the reasons the plan is inad- ruption of less than 30 minutes in dura- equate, and shall direct the provider to tion, the provider must submit a writ- correct the identified defects and sub- ten notification to CGB within two mit an amended compliance plan re- business days of the commencement of flecting such correction within a speci- the service interruption, with an expla- fied time period not to exceed 60 days. nation of when and how the provider A provider that fails to comply with has restored service or the provider’s such directive shall not be entitled to plan to do so imminently. In the event compensation for the provision of VRS the provider has not restored service at during the period of noncompliance. A the time such report is filed, the pro- submitted compliance plan shall not be vider must submit a second report prima facie evidence of the plan’s ade- within two business days of the res- quacy; nor shall it be evidence that the toration of service with an explanation provider has fulfilled its obligations of when and how the provider has re- under § 64.604(c)(13) of this subpart. stored service. The provider also must

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provide notification of service outages fective at-home call-handling compliance covered by this paragraph to con- plan. sumers on an accessible Web site, and that notification of service status must § 64.607 Furnishing related customer be updated in a timely manner. premises equipment. (4) A VRS provider that fails to ob- (a) Any communications common tain prior Commission authorization carrier may provide, under tariff, cus- for a voluntary service interruption or tomer premises equipment (other than fails to provide written notification hearing aid compatible telephones as after a voluntary service interruption defined in part 68 of this chapter, need- of less than 30 minutes in duration, or ed by persons with hearing, speech, vi- an Internet-based TRS provider that sion or mobility disabilities. Such fails to provide written notification equipment may be provided to persons after the commencement of an unfore- with those disabilities or to associa- seen service interruption due to cir- tions or institutions who require such cumstances beyond the provider’s con- equipment regularly to communicate trol in accordance with this subsection, with persons with disabilities. Exam- may be subject to revocation of certifi- ples of such equipment include, but are cation, suspension of payment from the not limited to, artificial larynxes, bone TRS Fund, or other enforcement action conductor receivers and TTs. by the Commission, as appropriate. (b) Any carrier which provides tele- [70 FR 76215, Dec. 23, 2005. Redesignated at 73 communications devices for persons FR 21259, Apr. 21, 2008; 76 FR 24402, May 2, with hearing and/or speech disabilities, 2011; 76 FR 47474, 47477, Aug. 5, 2011; 76 FR whether or not pursuant to tariff, shall 67073, Oct. 31, 2011;77 FR 33662, June 7, 2012; 78 respond to any inquiry concerning: FR 40608, July 5, 2013; 78 FR 53694, Aug. 30, (1) The availability (including gen- 2013; 82 FR 39683, Aug. 22, 2017] eral price levels) of TTs using ASCII, EFFECTIVE DATE NOTE: At 85 FR 27313, May Baudot, or both formats; and 8, 2020, § 64.606 was amended by adding (a)(4) (2) The compatibility of any TT with and (g)(5), the effective date has been delayed indefinitely. For the convenience of other such devices and computers. the user, the added and text is set forth as [56 FR 36731, Aug. 1, 1991, as amended at 72 follows: FR 43560, Aug. 6, 2007; 73 FR 21252, Apr. 21, 2008. Redesignated at 73 FR 21259, Apr. 21, § 64.606 Internet-based TRS provider and TRS program certification. 2008] (a) * * * § 64.608 Provision of hearing aid com- (4) At-home VRS call handling. An applicant for initial VRS certification that desires to patible telephones by exchange car- provide at-home VRS call handling shall in- riers. clude a detailed plan describing how the VRS In the absence of alternative sup- provider will ensure compliance with the re- pliers in an exchange area, an exchange quirements of § 64.604(b)(8). carrier must provide a hearing aid compatible telephone, as defined in * * * * * § 68.316 of this chapter, and provide re- (g) * * * lated installation and maintenance (5) If a VRS provider is authorized to pro- services for such telephones on a vide at-home call handling, its annual com- detariffed basis to any customer with a pliance report shall include the following in- hearing disability who requests such formation: equipment or services. (i) The total number of CAs handling VRS calls from home workstations over the pre- [61 FR 42185, Aug. 14, 1996. Redesignated at 73 ceding year; FR 21259, Apr. 21, 2008] (ii) The number of 911 calls handled by the provider’s home workstations; § 64.609 Enforcement of related cus- (iii) The total number of complaints, if tomer premises equipment rules. any, submitted to the provider regarding its at-home call handling program or calls han- Enforcement of §§ 64.607 and 64.608 is dled by at-home CAs; and delegated to those state public utility (iv) A description of any substantive or public service commissions which changes in the VRS provider’s currently ef- adopt those sections and provide for

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their enforcement. Subpart G—Fur- NDBEDP and receive reimbursement nishing of Enhanced Services and Cus- for its activities from the TRS Fund. tomer-Premises Equipment by Commu- (3) The Commission shall review ap- nications Common Carriers plications and determine whether to [56 FR 36731, Aug. 1, 1991. Redesignated and grant certification based on the ability amended at 73 FR 21259, Apr. 21, 2008] of a program to meet the following qualifications, either directly or in co- § 64.610 Establishment of a National ordination with other programs or en- Deaf-Blind Equipment Distribution tities, as evidenced in the application Program. and any supplemental materials, in- (a) The National Deaf-Blind Equip- cluding letters of recommendation: ment Distribution Program (NDBEDP) (i) Expertise in the field of deaf- is established as a pilot program to dis- blindness, including familiarity with tribute specialized customer premises the culture and etiquette of people who equipment (CPE) used for tele- are deaf-blind, to ensure that equip- communications service, Internet ac- ment distribution and the provision of cess service, and advanced communica- related services occurs in a manner tions, including interexchange services that is relevant and useful to con- and advanced telecommunications and sumers who are deaf-blind; information services, to low-income in- (ii) The ability to communicate effec- dividuals who are deaf-blind. The dura- tively with people who are deaf-blind tion of this pilot program will be two (for training and other purposes), by years, with a Commission option to ex- among other things, using sign lan- tend such program for an additional guage, providing materials in Braille, year. ensuring that information made avail- (b) Certification to receive funding. For able online is accessible, and using each state, the Commission will certify other assistive technologies and meth- a single program as the sole authorized ods to achieve effective communica- entity to participate in the NDBEDP tion; and receive reimbursement for its pro- (iii) Staffing and facilities sufficient gram’s activities from the Interstate to administer the program, including Telecommunications Relay Service the ability to distribute equipment and Fund (TRS Fund). Such entity will provide related services to eligible in- have full oversight and responsibility dividuals throughout the state, includ- for distributing equipment and pro- ing those in remote areas; viding related services in that state, ei- (iv) Experience with the distribution ther directly or through collaboration, of specialized CPE, especially to people partnership, or contract with other in- who are deaf-blind; dividuals or entities in-state or out-of- (v) Experience in how to train users state, including other NDBEDP cer- on how to use the equipment and how tified programs. to set up the equipment for its effec- (1) Any state with an equipment dis- tive use; and tribution program (EDP) may have its (vi) Familiarity with the tele- EDP apply to the Commission for cer- communications, Internet access, and tification as the sole authorized entity advanced communications services for the state to participate in the that will be used with the distributed NDBEDP and receive reimbursement equipment. for its activities from the TRS Fund. (c) Definitions. For purposes of this (2) Other public programs, including, section, the following definitions shall but not limited to, vocational rehabili- apply: tation programs, assistive technology (1) Equipment. Hardware, software, programs, or schools for the deaf, blind and applications, whether separate or or deaf-blind; or private entities, in- in combination, mainstream or special- cluding but not limited to, organiza- ized, needed by an individual who is tional affiliates, independent living deaf-blind to achieve access to tele- centers, or private educational facili- communications service, Internet ac- ties, may apply to the Commission for cess service, and advanced communica- certification as the sole authorized en- tions, including interexchange services tity for the state to participate in the and advanced telecommunications and

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information services, as these services ing instrument specialists, and medical have been defined by the Communica- or health professionals. tions Act. (ii) Such professionals must attest, (2) Individual who is deaf-blind. (i) either to the best of their knowledge or Any person: under penalty of perjury, that the ap- (A) Who has a central visual acuity plicant is an individual who is deaf- of 20/200 or less in the better eye with blind (as defined in 47 CFR 64.610(b)). corrective lenses, or a field defect such Such professionals may also include, in that the peripheral diameter of visual the attestation, information about the field subtends an angular distance no individual’s functional abilities to use greater than 20 degrees, or a progres- telecommunications, Internet access, sive visual loss having a prognosis and advanced communications services leading to one or both these conditions; in various settings. (B) Who has a chronic hearing im- (iii) Existing documentation that a pairment so severe that most speech person is deaf-blind, such as an individ- cannot be understood with optimum ualized education program (IEP) or a amplification, or a progressive hearing statement from a public or private loss having a prognosis leading to this agency, such as a Social Security de- condition; and termination letter, may serve as verification of disability. (C) For whom the combination of im- (iv) The verification of disability pairments described in clauses must include the attesting profes- (c)(2)(i)(A) and (B) of this section cause sional’s name, title, and contact infor- extreme difficulty in attaining inde- mation, including address, phone num- pendence in daily life activities, ber, and e-mail address. achieving psychosocial adjustment, or (2) Verification of low income status. obtaining a vocation. An individual claiming eligibility (ii) The definition in this paragraph under the NDBEDP must provide also includes any individual who, de- verification that he or she has an in- spite the inability to be measured ac- come that does not exceed 400 percent curately for hearing and vision loss due of the Federal Poverty Guidelines as to cognitive or behavioral constraints, defined at 42 U.S.C. 9902(2) or that he or or both, can be determined through she is enrolled in a federal program functional and performance assessment with a lesser income eligibility re- to have severe hearing and visual dis- quirement, such as the Federal Public abilities that cause extreme difficulty Housing Assistance or Section 8; Sup- in attaining independence in daily life plemental Nutrition Assistance Pro- activities, achieving psychosocial ad- gram, formerly known as Food Stamps; justment, or obtaining vocational ob- Low Income Home Energy Assistance jectives. An applicant’s functional Program; Medicaid; National School abilities with respect to using tele- Lunch Program’s free lunch program; communications, Internet access, and Supplemental Security Income; or advanced communications services in Temporary Assistance for Needy Fami- various environments shall be consid- lies. The NDBEDP Administrator may ered when determining whether the in- identify state or other federal pro- dividual is deaf-blind under clauses grams with income eligibility thresh- (c)(2)(i)(B) and (C) of this section. olds that do not exceed 400 percent of (d) Eligibility criteria (1) Verification of the Federal Poverty Guidelines for de- disability. Individuals claiming eligi- termining income eligibility for par- bility under the NDBEDP must provide ticipation in the NDBEDP. Where an verification of disability from a profes- applicant is not already enrolled in a sional with direct knowledge of the in- qualifying low-income program, low-individual’s disability. come eligibility may be verified by the (i) Such professionals may include, certified program using appropriate but are not limited to, community- and reasonable means. based service providers, vision or hear- (3) Prohibition against requiring em- ing related professionals, vocational ployment. No program certified under rehabilitation counselors, educators, the NDBEDP may impose a require- audiologists, speech pathologists, hear- ment for eligibility in this program

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that an applicant be employed or ac- (ix) Comply with the reporting re- tively seeking employment. quirements contained in 47 CFR (4) Access to communications services. A 64.610(g). program certified under the NDBEDP (2) Each program certified under the may impose, as a program eligibility NDBEDP may not: criterion, a requirement that tele- (i) Impose restrictions on specific communications, Internet access, or brands, models or types of communica- advanced communications services are tions technology that recipients may available for use by the applicant. receive to access the communications (e) Equipment distribution and related services covered in this section; services. (1) Each program certified (ii) Disable or otherwise inten- under the NDBEDP must: tionally make it difficult for recipients (i) Distribute specialized CPE and to use certain capabilities, functions, provide related services needed to or features on distributed equipment make telecommunications service, that are needed to access the commu- Internet access service, and advanced nications services covered in this sec- communications, including inter- tion, or direct manufacturers or ven- exchange services or advanced tele- dors of specialized CPE to disable or communications and information serv- make it difficult for recipients to use ices, accessible to individuals who are certain capabilities, functions, or fea- deaf-blind; tures on distributed equipment that (ii) Obtain verification that NDBEDP are needed to access the communica- applicants meet the definition of an in- tions services covered in this section; dividual who is deaf-blind contained in or 47 CFR 64.610(c)(1) and the income eligi- (iii) Accept any type of financial ar- bility requirements contained in 47 rangement from equipment vendors CFR 64.610(d)(2); that could incentivize the purchase of (iii) When a recipient relocates to an- particular equipment. other state, permit transfer of the recipient’s account and any control of (f) Payments to NDBEDP certified pro- the distributed equipment to the new grams. (1) Programs certified under the state’s certified program; (iv) Permit NDBEDP shall be reimbursed for the transfer of equipment from a prior cost of equipment that has been dis- state, by that state’s NDBEDP cer- tributed to eligible individuals and au- tified program; thorized related services, up to the [Reserved] state’s funding allotment under this (v) Prohibit recipients from transfer- program as determined by the Commis- ring equipment received under the sion or any entity authorized to act for NDBEDP to another person through the Commission on delegated author- sale or otherwise; ity. (vi) Conduct outreach, in accessible (2) Within 30 days after the end of formats, to inform their state residents each six-month period of the Fund about the NDBEDP, which may include Year, each program certified under the the development and maintenance of a NDBEDP pilot must submit docu- program Web site; mentation that supports its claim for (vii) Engage an independent auditor reimbursement of the reasonable costs to perform annual audits designed to of the following: detect and prevent fraud, waste, and (i) Equipment and related expenses, abuse, and submit, as necessary, to au- including maintenance, repairs, war- dits arranged by the Commission, the ranties, returns, refurbishing, upgrad- Consumer and Governmental Affairs ing, and replacing equipment distrib- Bureau, the NDBEDP Administrator, uted to consumers; or the TRS Fund Administrator for (ii) Individual needs assessments; such purpose; (iii) Installation of equipment and in- (viii) Retain all records associated dividualized consumer training; with the distribution of equipment and (iv) Maintenance of an inventory of provision of related services under the equipment that can be loaned to the NDBEDP for two years following the consumer during periods of equipment termination of the pilot program; and repair;

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(v) Outreach efforts to inform state ment and training deaf-blind individ- residents about the NDBEDP; and uals on using equipment; (vi) Administration of the program, (vii) The cost, time and any other re- but not to exceed 15 percent of the sources allocated to maintain, repair, total reimbursable costs for the discover under warranty, and refurbish tribution of equipment and related equipment; services permitted under the NDBEDP. (viii) The cost, time and any other (3) With each request for payment, resources allocated to outreach activi- the chief executive officer, chief finan- ties related to the NDBEDP, and the cial officer, or other senior executive of type of outreach efforts undertaken; the certified program, such as a man- (ix) The cost, time and any other re- ager or director, with first-hand knowl- sources allocated to upgrading the dis- edge of the accuracy and completeness tributed equipment, along with the na- of the claim in the request, must cer- ture of such upgrades; tify as follows: (x) To the extent that the program has denied equipment requests made by I swear under penalty of perjury that I am (name and title), an officer of the above- their deaf-blind residents, a summary named reporting entity and that I have ex- of the number and types of equipment amined all cost data associated with equip- requests denied and reasons for such ment and related services for the claims sub- denials; mitted herein, and that all such data are (xi) To the extent that the program true and an accurate statement of the affairs has received complaints related to the of the above-named certified program. program, a summary of the number (g) Reporting requirements. (1) Each and types of such complaints and their program certified under the NDBEDP resolution; and must submit the following data elec- (xii) The number of qualified appli- tronically to the Commission, as in- cants on waiting lists to receive equip- structed by the NDBEDP Adminis- ment. trator, every six months, commencing (2) With each report, the chief execu- with the start of the pilot program: tive officer, chief financial officer, or (i) For each piece of equipment dis- other senior executive of the certified tributed, the identity of and contact program, such as a director or man- information, including street and e- ager, with first-hand knowledge of the mail addresses, and phone number, for accuracy and completeness of the in- the individual receiving that equip- formation provided in the report, must ment; certify as follows: (ii) For each piece of equipment dis- I swear under penalty of perjury that I am tributed, the identity of and contact (name and title), an officer of the above- information, including street and e- named reporting entity and that I have ex- mail addresses, and phone number, for amined the foregoing reports and that all re- the individual attesting to the dis- quested information has been provided and ability of the individual who is deaf- all statements of fact are true and an accu- blind; rate statement of the affairs of the above- (iii) For each piece of equipment dis- named certified program. tributed, its name, serial number, (h) Administration of the program. The brand, function, and cost, the type of Consumer and Governmental Affairs communications service with which it Bureau shall designate a Commission is used, and the type of relay service it official as the NDBEDP Administrator. can access; (1) The NDBEDP Administrator will (iv) For each piece of equipment dis- work in collaboration with the TRS tributed, the amount of time, following Fund Administrator, and be respon- any assessment conducted, that the re- sible for: questing individual waited to receive (i) Reviewing program applications that equipment; received from state EDPs and alternate (v) The cost, time and any other re- entities and certifying those that qual- sources allocated to assessing an indi- ify to participate in the program; vidual’s equipment needs; (ii) Allocating NDBEDP funding as (vi) The cost, time and any other re- appropriate and in consultation with sources allocated to installing equip- the TRS Fund Administrator;

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(iii) Reviewing certified program sub- Administrator, the TRS Fund Adminis- missions for reimbursement of costs trator, the Commission’s Office of In- under the NDBEDP, in consultation spector General, or to any federal or with the TRS Fund Administrator; state law enforcement entity, any (iv) Working with Commission staff known or suspected violations of the to establish and maintain an NDBEDP Act or Commission rules, or any other Web site, accessible to individuals with activity that the reporting person rea- disabilities, that includes contact in- sonably believes to be unlawful, waste- formation for certified programs by ful, fraudulent, or abusive, or that oth- state and links to their respective Web erwise could result in the improper dis- sites, if any, and overseeing other out- tribution of equipment, provision of reach efforts that may be undertaken services, or billing to the TRS Fund. by the Commission; (2) NDBEDP certified programs shall (v) Obtaining, reviewing, and evalu- include these whistleblower protec- ating reported data for the purpose of tions with the information they pro- assessing the pilot program and deter- vide about the program in any em- mining best practices; ployee handbooks or manuals, on their (vi) Conferring with stakeholders, Web sites, and in other appropriate jointly or separately, during the course publications. of the pilot program to obtain input (j) Suspension or revocation of certifi- and feedback on, among other things, cation. (1) The Commission may sus- the effectiveness of the pilot program, pend or revoke NDBEDP certification new technologies, equipment and serv- if, after notice and opportunity for ices that are needed, and suggestions hearing, the Commission determines for the permanent program; that such certification is no longer (vii) Working with Commission staff warranted. to adopt permanent rules for the (2) In the event of suspension or rev- NDBEDP; and ocation, the Commission shall take (viii) Serving as the Commission such steps as may be necessary, con- point of contact for the NDBEDP, in- sistent with this subpart, to ensure cluding responding to inquiries from continuity of the NDBEDP for the certified programs and consumer com- state whose program has been sus- plaints filed directly with the Commis- pended or revoked. sion. (3) The Commission may, at its dis- (2) The TRS Fund Administrator, as cretion and on its own motion, require directed by the NDBEDP Adminis- a certified program to submit docu- trator, shall have responsibility for: mentation demonstrating ongoing (i) Reviewing cost submissions and compliance with the Commission’s releasing funds for equipment that has rules if, for example, the Commission been distributed and authorized related receives evidence that a state program services, including outreach efforts; may not be in compliance with those (ii) Releasing funds for other author- rules. ized purposes, as requested by the Com- (k) Expiration of rules. These rules mission or the Consumer and Govern- will expire at the termination of the mental Affairs Bureau; and NDBEDP pilot program. (iii) Collecting data as needed for de- [76 FR 26647, May 9, 2011; 76 FR 31261, May 31, livery to the Commission and the 2011] NDBEDP Administrator. (i) Whistleblower protections. (1) § 64.611 Internet-based TRS registra- NDBEDP certified programs shall per- tion. mit, without reprisal in the form of an (a) Default provider registration. Every adverse personnel action, purchase or provider of VRS or IP Relay must, no contract cancellation or discontinu- later than December 31, 2008, provide ance, eligibility disqualification, or users with the capability to register otherwise, any current or former em- with that VRS or IP Relay provider as ployee, agent, contractor, manufac- a ‘‘default provider.’’ Upon a user’s reg- turer, vendor, applicant, or recipient, istration, the VRS or IP Relay provider to disclose to a designated official of shall: the certified program, the NDBEDP (1) Either:

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(i) Facilitate the user’s valid number formation except as required by law or portability request as set forth in 47 regulation. CFR 52.34; or, if the user does not wish (v) VRS providers must, for existing to port a number, registered Internet-based TRS users, (ii) Assign that user a geographically submit the certification required by appropriate North American Num- paragraph (a)(3)(i) of this section to the bering Plan telephone number; and TRS User Registration Database with- (2) Route and deliver all of that in 60 days of notice from the Managing user’s inbound and outbound calls un- Director that the TRS User Registra- less the user chooses to place a call tion Database is ready to accept such with, or receives a call from, an alter- information. nate provider. (vi) When registering a user that is (3) Certification of eligibility of VRS transferring service from another VRS users. (i) A VRS provider seeking com- provider, VRS providers shall obtain pensation from the TRS Fund for pro- and submit a properly executed certifi- viding VRS to a particular user reg- cation if a query of the TRS User Reg- istered with that provider must first istration Database shows a properly ex- obtain a written certification from the ecuted certification has not been filed. user, attesting that the user is eligible (vii) VRS providers shall require to use VRS. their CAs to terminate any call which does not involve an individual eligible (ii) The certification required by to use VRS due to a hearing or speech paragraph (a)(3)(i) of this section must disability or, pursuant to the pro- include the user’s attestation that: vider’s policies, the call does not ap- (A) The user has a hearing or speech pear to be a legitimate VRS call, and disability; and VRS providers may not seek compensa- (B) The user understands that the tion for such calls from the TRS Fund. cost of VRS calls is paid for by con- (4) TRS User Registration Database In- tributions from other telecommuni- formation Requirements for VRS. Each cations users to the TRS Fund. VRS provider shall collect and trans- (iii) The certification required by mit to the TRS User Registration paragraph (a)(3)(i) of this section must Database, in a format prescribed by the be made on a form separate from any administrator of the TRS User Reg- other agreement or form, and must in- istration Database, the following infor- clude a separate user signature specific mation for each of its new and existing to the certification. For the purposes registered internet-based TRS users: of this rule, an electronic signature, Full name; address; ten-digit telephone defined by the Electronic Signatures in number assigned in the TRS numbering Global and National Commerce Act, as directory; last four digits of the social an electronic sound, symbol, or proc- security number or Tribal Identifica- ess, attached to or logically associated tion number, if the registered internet- with a contract or other record and ex- based TRS user is a member of a Tribal ecuted or adopted by a person with the nation and does not have a social secu- intent to sign the record, has the same rity number; date of birth; Registered legal effect as a written signature. For Location; VRS provider name and the purposes of this rule, an electronic dates of service initiation and termi- record, defined by the Electronic Sig- nation; a digital copy of the user’s self- natures in Global and National Com- certification of eligibility for VRS and merce Act as a contract or other record the date obtained by the provider; the created, generated, sent, commu- date on which the user’s identification nicated, received, or stored by elec- was verified; and (for existing users tronic means, constitutes a record. only) the date on which the registered (iv) Each VRS provider shall main- internet-based TRS user last placed a tain the confidentiality of any reg- point-to-point or relay call. istration and certification information (i) Each VRS provider must obtain, obtained by the provider, and may not from each new and existing registered disclose such registration and certifi- internet-based TRS user, consent to cation information or the content of transmit the registered internet-based such registration and certification in- TRS user’s information to the TRS

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User Registration Database. Prior to formation required by this paragraph obtaining consent, the VRS provider (a)(5) to the TRS User Registration must describe to the registered inter- Database. Before obtaining such con- net-based TRS user, using clear, easily sent, the VRS provider, using clear, understood language, the specific infor- easily understood language, shall de- mation being transmitted, that the in- scribe the specific information to be formation is being transmitted to the provided, explain that the information TRS User Registration Database to en- is provided to ensure proper adminis- sure proper administration of the TRS tration of the TRS program and inform program, and that failure to provide the individual that failure to provide consent will result in the registered consent will result in denial of service. internet-based TRS user being denied VRS providers shall obtain and keep a service. VRS providers must obtain and record of affirmative acknowledgment keep a record of affirmative acknowl- of such consent by every hearing point- edgment by every registered internet- to-point video user to whom an iTRS based TRS user of such consent. number is assigned. (ii) VRS providers must, for existing (iii) The certification required by registered internet-based TRS users, paragraph (a)(5)(i) of this section must submit the information in paragraph be made on a form separate from any (a)(3) of this section to the TRS User other agreement or form, and must in- Registration Database within 60 days clude a separate signature specific to of notice from the Commission that the the certification. For the purposes of TRS User Registration Database is this rule, an electronic signature, de- ready to accept such information. Calls fined by the Electronic Signatures in from or to existing registered internet- Global and National Commerce Act, as based TRS users that have not had an electronic sound, symbol, or proc- their information populated in the TRS ess, attached to or logically associated User Registration Database within 60 with a contract or other record and ex- days of notice from the Commission ecuted or adopted by a person with the that the TRS User Registration Data- intent to sign the record, has the same base is ready to accept such informa- legal effect as a written signature. For tion shall not be compensable. the purposes of this rule, an electronic (iii) VRS providers must submit the record, defined by the Electronic Sig- information in paragraph (a)(4) of this natures in Global and National Com- section upon initiation of service for merce Act as a contract or other record users registered after 60 days of notice created, generated, sent, commu- from the Commission that the TRS nicated, received, or stored by elec- User Registration Database is ready to tronic means, constitutes a record. accept such information. (iv) Before commencing service to (5) Assignment of iTRS Numbers to any hearing point-to-point video user Hearing Point-to-Point Video Users. (i) to whom a VRS provider assigns an Before assigning an iTRS telephone iTRS number on or after the TRS User number to a hearing individual, a VRS Registration Database is operational, a provider shall obtain from such indi- VRS provider shall submit to the TRS vidual, the individual’s full name, resi- User Registration Database the infor- dential address, date of birth, and a mation listed in paragraph (a)(5)(i) of written certification, attesting that this section and the following addi- the individual: tional information: (A) Is proficient in sign language; (A) The ten-digit telephone number (B) Understands that the iTRS num- assigned in the TRS Numbering Direc- ber may be used only for the purpose of tory to the hearing point-to-point user; point-to-point communication over dis- (B) The VRS provider’s name and the tances with registered VRS users; and date of service initiation; and (C) Understands that such iTRS num- (C) The date on which a ten-digit ber may not be used to access VRS. number was assigned to or removed (ii) Before assigning an iTRS tele- from a hearing point-to-point user. phone number to a hearing individual, (v) For all other hearing point-to- a VRS provider also shall obtain the point video users to whom a VRS pro- individual’s consent to provide the in- vider has assigned an iTRS number,

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the VRS provider shall transmit the in- (B) Electronic signatures. The certifi- formation required by paragraph cation required by paragraph (a)(5)(iv) of this section within 60 days (a)(6)(ii)(A) of this section must be after the TRS User Registration Data- made on a form separate from any base is operational. other agreement or form, and must in- (vi) Upon the termination of service clude a separate signature specific to to any hearing point-to-point video the certification. For the purposes of user, a VRS provider shall submit to this paragraph (a)(6)(ii)(B), an elec- the TRS User Registration Database tronic signature, defined by the Elec- the date of termination of service. tronic Signatures in Global and Na- (vii) A VRS provider shall maintain tional Commerce Act as an electronic the confidentiality of the information sound, symbol, or process, attached to about hearing individuals required by or logically associated with a contract this paragraph (a)(5) and may not dis- or other record and executed or adopt- close such information except as re- ed by a person with the intent to sign quired by law or regulation. the record, has the same legal effect as (viii) Before commencing service to a a written signature. For the purposes hearing point-to-point video user who of this paragraph (a)(6)(ii)(B), an elec- is transferring point-to-point video tronic record, defined by the Electronic service from another VRS provider, a Signatures in Global and National VRS provider shall notify the TRS Commerce Act as a contract or other User Registration Database of such record created, generated, sent, com- transfer and shall obtain and submit a municated, received, or stored by elec- properly executed certification under tronic means, constitutes a record. paragraph (a)(5)(i) of this section. (C) Consent for transmission and con- (ix) Hearing individuals who are as- fidentiality of enterprise and public signed iTRS numbers under this para- videophone registration. A default VRS graph (a)(5) shall not be deemed reg- provider for an enterprise or public istered VRS users. VRS providers shall videophone must obtain consent from not be compensated and shall not seek the individual responsible for the compensation from the TRS Fund for videophone to transmit the informa- any VRS calls to or from such iTRS tion required by this section to the numbers. TRS User Registration Database. Be- (6) Enterprise and public videophones— fore obtaining such consent, a VRS (i) Definition. For purposes of this sec- provider must describe to such indi- tion, a default VRS provider for an en- vidual, using clear, easily understood terprise or public videophone is the language, the specific information VRS provider that assigns a North being transmitted, that the informa- American Numbering Plan (NANP) tion is being transmitted to the TRS telephone number to such videophone User Registration Database to ensure or receives a port of such number. proper administration of the TRS pro- (ii) Enterprise and public videophone gram, and that failure to provide con- certification. (A) Written certification. A sent will result in denial of service to default VRS provider for an enterprise the videophone. A VRS provider must or public videophone shall obtain a obtain and keep a record of affirmative written certification from the indi- acknowledgment of such consent for vidual responsible for the videophone, every enterprise and public videophone. attesting that the individual under- A VRS provider shall maintain the stands the functions of the videophone confidentiality of any registration and and that the cost of VRS calls made on certification information obtained by the videophone is financed by the fed- the provider, and may not disclose such erally regulated Interstate TRS Fund, registration and certification informa- and for enterprise videophones, that tion, or the content of such registra- the organization, business, or agency tion and certification information, ex- will make reasonable efforts to ensure cept as required by law or regulation. that only persons with a hearing or (iii) Enterprise and public videophone speech disability are permitted to use registration. A default VRS provider for the phone for VRS. an enterprise or public videophone

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shall transmit to the TRS User Reg- the required registration information istration Database, in a format pre- was not received by the TRS User Reg- scribed by the administrator of the istration Database before placement of TRS User Registration Database, the the call. following information for each enter- (v) Notice of removal or disconnection of prise or public videophone for which it enterprise and public videophones. VRS assigns (or receives a port of) a North providers shall notify the TRS Fund American Numbering Plan telephone administrator within one business day number or for which it is the default in the event that a registered enter- VRS provider: prise or public videophone is removed (A) The default VRS provider’s name; or permanently disconnected from (B) The NANP telephone number as- VRS. signed to the videophone; (b) Mandatory registration of new (C) The name and physical address of users. As of December 31, 2008, VRS and the organization, business, or agency IP Relay providers must, prior to the where the enterprise or public initiation of service for an individual videophone is located, and the Reg- that has not previously utilized VRS or istered Location of the phone if that is IP Relay, register that new user as de- different from the physical address; scribed in paragraph (a) of this section. (D) Whether the videophone is a pub- (c) Obligations of default providers and lic or enterprise videophone, and for former default providers. (1) Default pro- enterprise videophones, the type of lo- viders must: cation where the videophone is located (i) Obtain current routing informa- within the organization, business, tion from their Registered internet- agency, or other entity, such as, but based TRS Users, registered enterprise not limited to, a reception desk or and public videophones, and hearing other work area, a private workspace, point-to-point video users; a private room in a long-term care fa- (ii) Provision such information to the cility, or another restricted area; TRS Numbering Directory; and (E) The date of initiation of service (iii) Maintain such information in to the videophone by the default VRS their internal databases and in the provider; TRS Numbering Directory. (F) The name of the individual re- (2) Internet-based TRS providers sponsible for the videophone, confirma- (and, to the extent necessary, their tion that the provider has obtained the Numbering Partners) must: certification required by paragraph (i) Take such steps as are necessary (a)(6)(ii) of this section, and the date to cease acquiring routing information the certification was obtained by the from any VRS, IP Relay, or hearing provider; and point-to-point video user, or any indi- (G) Whether the device is assigned to vidual responsible for maintaining an a hearing individual who knows sign enterprise or public videophone, that language. ports a NANP telephone number to an- (iv) Transmission of data to the TRS other VRS or IP Relay provider or oth- User Registration Database. Default VRS erwise selects a new default provider; providers shall transmit the informa- and tion required by paragraph (a)(6)(iii) of (ii) Communicate among themselves this section for existing enterprise and as necessary to ensure that: public videophones within 120 days (A) Only the default provider provi- after notice from the Commission that sions routing information to the cen- the TRS User Registration Database is tral database; and ready to accept such information. For (B) VRS and IP Relay providers other videophones placed in service more than the default provider are aware than 120 days after such notice, the de- that they must query the TRS Num- fault VRS provider shall submit the re- bering Directory in order to obtain acquired information and certification curate routing information for a par- before initiating service. VRS calls ticular user of VRS or IP Relay, or for placed to or from enterprise or public an enterprise or public videophone. videophones more than 120 days after (d) Proxy numbers. After December 31, such notice shall not be compensable if 2008, a VRS or IP Relay provider:

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(1) May not assign or issue a proxy or (ii) The portability of ten-digit tele- alias for a NANP telephone number to phone numbers assigned to VRS or IP any user; and Relay users; (2) Must cease to use any proxy or (iii) The process by which persons alias for a NANP telephone number as- using VRS or IP Relay may submit, up- signed or issued to any Registered date, and confirm receipt by the pro- Internet-based TRS User. vider of their Registered Location in- (e) Toll free numbers. A VRS or IP formation; Relay provider: (iv) An explanation emphasizing the (1) May not assign or issue a toll free importance of maintaining accurate, number to any VRS or IP Relay user. up-to-date Registered Location infor- (2) That has already assigned or pro- mation with the user’s default provider in the event that the individual places vided a toll free number to a VRS or IP an emergency call via an Internet- Relay user must, at the VRS or IP based relay service; Relay user’s request, facilitate the transfer of the toll free number to a (v) The process by which a VRS or IP Relay user may acquire a toll free toll free subscription with a toll free number, or transfer control of a toll service provider that is under the di- free number from a VRS or IP Relay rect control of the user. provider to the user; (3) Must within one year after the ef- (vi) The process by which persons fective date of this Order remove from holding a toll free number request that the Internet-based TRS Numbering Di- the toll free number be linked to their rectory any toll free number that has ten-digit telephone number in the TRS not been transferred to a subscription Numbering Directory; and with a toll free service provider and for (vii) If the provider assigns iTRS which the user is the subscriber of numbers to hearing point-to-point record. video users, an explanation that hear- (f) iTRS access technology. (1) Every ing point-to-point video users will not VRS or IP Relay provider must ensure be able to place an emergency call. that all iTRS access technology they (2) VRS and IP Relay providers must have issued, leased, or otherwise pro- obtain and keep a record of affirmative vided to VRS or IP Relay users delivers acknowledgment by every Registered routing information or other informa- Internet-based TRS User of having re- tion only to the user’s default provider, ceived and understood the advisory de- except as is necessary to complete or scribed in this subsection. receive ‘‘dial around’’ calls on a case- (h)–(i) [Reserved] by-case basis. (j)(1) IP CTS Registration and Certifi- (2) All iTRS access technology cation Requirements. issued, leased, or otherwise provided to (i) IP CTS providers must first obtain VRS or IP Relay users by Internet- the following registration information based TRS providers must be capable of from each consumer prior to requesting facilitating the requirements of this compensation from the TRS Fund for section. service provided to the consumer: The (g) User notification. Every VRS or IP consumer’s full name, date of birth, Relay provider must include an advi- last four digits of the consumer’s social sory on its website and in any pro- security number, full residential ad- motional materials addressing num- dress, and telephone number. bering or E911 services for VRS or IP (ii) [Reserved] Relay. (iii) [Reserved] (1) At a minimum, the advisory must (iv) Self-certification prior to August 28, address the following issues: 2014. IP CTS providers, in order to be (i) The process by which VRS or IP eligible to receive compensation from Relay users may obtain ten-digit tele- the TRS Fund for providing IP CTS, phone numbers, including a brief sum- also must first obtain a written certifi- mary of the numbering assignment and cation from the consumer, and if ob- administration processes adopted here- tained prior to August 28, 2014, such in; written certification shall attest that

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the consumer needs IP CTS to commu- or process, attached to or logically as- nicate in a manner that is functionally sociated with a contract or other equivalent to the ability of a hearing record and executed or adopted by a individual to communicate using voice person with the intent to sign the communication services. The certifi- record, has the same legal effect as a cation must include the consumer’s written signature. certification that: (vii) Third-party certification prior to (A) The consumer has a hearing loss August 28, 2014. Where IP CTS equip- that necessitates IP CTS to commu- ment is or has been obtained by a con- nicate in a manner that is functionally sumer from an IP CTS provider, di- equivalent to communication by con- rectly or indirectly, at no charge or for ventional voice telephone users; less than $75 and the consumer was reg- (B) The consumer understands that istered in accordance with the require- the captioning service is provided by a ments of paragraph (j)(1) of this section live communications assistant; and prior to August 28, 2014, the IP CTS (C) The consumer understands that provider must also obtain from each the cost of IP CTS is funded by the consumer prior to requesting com- TRS Fund. pensation from the TRS Fund for the (v) Self-certification on or after August consumer, written certification pro- 28, 2014. IP CTS providers must also vided and signed by an independent first obtain from each consumer prior third-party professional, except as pro- to requesting compensation from the vided in paragraph (j)(1)(xi) of this sec- TRS Fund for the consumer, a written tion. certification from the consumer, and if (viii) To comply with paragraph obtained on or after August 28, 2014, (j)(1)(vii) of this section, the inde- such certification shall state that: pendent professional providing certifi- (A) The consumer has a hearing loss cation must: that necessitates use of captioned tele- (A) Be qualified to evaluate an indi- phone service; vidual’s hearing loss in accordance (B) The consumer understands that with applicable professional standards, the captioning on captioned telephone and may include, but are not limited service is provided by a live commu- to, community-based social service nications assistant who listens to the providers, hearing related profes- other party on the line and provides sionals, vocational rehabilitation coun- the text on the captioned phone; selors, occupational therapists, social (C) The consumer understands that workers, educators, audiologists, the cost of captioning each internet speech pathologists, hearing instru- protocol captioned telephone call is ment specialists, and doctors, nurses funded through a federal program; and and other medical or health profes- (D) The consumer will not permit, to sionals; the best of the consumer’s ability, per- (B) Provide his or her name, title, sons who have not registered to use and contact information, including ad- internet protocol captioned telephone dress, telephone number, and email ad- service to make captioned telephone dress; and calls on the consumer’s registered IP (C) Certify in writing that the IP captioned telephone service or device. CTS user is an individual with hearing (vi) The certification required by loss who needs IP CTS to communicate paragraphs (j)(1)(iv) and (v) of this sec- in a manner that is functionally equiv- tion must be made on a form separate alent to telephone service experienced from any other agreement or form, and by individuals without hearing disabil- must include a separate consumer sig- ities. nature specific to the certification. Be- (ix) Third-party certification on or after ginning on August 28, 2014, such certifi- August 28, 2014. Where IP CTS equip- cation shall be made under penalty of ment is or has been obtained by a con- perjury. For purposes of this rule, an sumer from an IP CTS provider, di- electronic signature, defined by the rectly or indirectly, at no charge or for Electronic Signatures in Global and less than $75, the consumer (in cases National Commerce Act, 15 U.S.C. 7001 where the equipment was obtained di- et seq., as an electronic sound, symbol, rectly from the IP CTS provider) has

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not subsequently paid $75 to the IP grams, in lieu of providing an inde- CTS provider for the equipment prior pendent, third-party certification to the date the consumer is registered under paragraphs (j)(1)(vii) and (ix) of to use IP CTS, and the consumer is reg- this section. istered in accordance with the require- (xii) Each IP CTS provider shall ments of paragraph (j)(1) of this section maintain records of any registration on or after August 28, 2014, the IP CTS and certification information for a pe- provider must also, prior to requesting riod of at least five years after the con- compensation from the TRS Fund for sumer ceases to obtain service from the service to the consumer, obtain from provider and shall maintain the con- each consumer written certification fidentiality of such registration and provided and signed by an independent certification information, and may not third-party professional, except as pro- disclose such registration and certifi- vided in paragraph (j)(1)(xi) of this sec- cation information or the content of tion. such registration and certification in- (x) To comply with paragraph formation except as required by law or (j)(1)(ix) of this section, the inde- regulation. pendent third-party professional pro- (xiii) [Reserved] viding certification must: (2) TRS User Registration Database In- (A) Be qualified to evaluate an indi- formation for IP CTS. (i) Each IP CTS vidual’s hearing loss in accordance Provider shall collect and transmit to with applicable professional standards, the TRS User Registration Database, and must be either a physician, audiol- in a format prescribed by the adminis- ogist, or other hearing related profes- trator of the TRS User Registration sional. Such professional shall not have Database, the following information been referred to the IP CTS user, either for each of its new and existing reg- directly or indirectly, by any provider istered IP CTS users: of TRS or any officer, director, part- (A) Full name; ner, employee, agent, subcontractor, or (B) Full residential address; sponsoring organization or entity (col- (C) Telephone number; lectively ‘‘affiliate’’) of any TRS pro- (D) A unique identifier such as the vider. Nor shall the third party profes- electronic serial number (ESN) of the sional making such certification have user’s IP CTS device, the user’s log-in any business, family or social relation- identification, or the user’s email ad- ship with the TRS provider or any af- dress; filiate of the TRS provider from which (E) The last four digits of the user’s the consumer is receiving or will re- social security number or Tribal Iden- ceive service. tification number (or alternative docu- (B) Provide his or her name, title, mentation, if such documentation is and contact information, including ad- permitted by and has been collected dress, telephone number, and email ad- pursuant to Misuse of internet Protocol dress. (IP) Captioned Telephone Service; Tele- (C) Certify in writing, under penalty communications Relay Services and of perjury, that the IP CTS user is an Speech-to-Speech Services for Individuals individual with hearing loss that neces- with Hearing and Speech Disabilities, sitates use of captioned telephone serv- Order, 30 FCC Rcd 1093 (CGB 2015)); ice and that the third party profes- (F) Date of birth; sional understands that the captioning (G) Registered Location (if applica- on captioned telephone service is pro- ble); vided by a live communications assist- (H) IP CTS provider name; ant and is funded through a federal (I) Date of service initiation and program. (when applicable) termination; (xi) In instances where the consumer (J) A digital copy of the user’s self- has obtained IP CTS equipment from a certification of eligibility for IP CTS local, state, or federal governmental and the date obtained by the provider; program, the consumer may present and documentation to the IP CTS provider (K) For existing users onlythe date demonstrating that the equipment was on which the IP CTS user last placed obtained through one of these pro- an IP CTS call.

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(ii) Each IP CTS provider shall ob- CTS provider, IP CTS providers shall tain, from each new and existing reg- obtain and submit a digital copy of a istered IP CTS user, consent to trans- user’s self-certification of eligibility if mit the registered IP CTS user’s infor- a query of the TRS User Registration mation to the TRS User Registration Database shows a properly executed Database. Prior to obtaining such con- certification has not been filed. sent, the IP CTS provider shall de- (3) An IP CTS provider shall not seek scribe to the registered IP CTS user, TRS Fund compensation for providing using clear, easily understood lan- captioning service to any individual or guage, the specific information ob- device if the registration information tained by the IP CTS provider from the for such individual or device has been user that is to be transmitted, and in- removed from the TRS User Registra- form the user that the information is tion Database, or if the provider ob- being transmitted to the TRS User tains information that the individual Registration Database to ensure proper or device is not eligible to receive IP administration of the TRS program, CTS. and that failure to provide consent will result in the registered IP CTS user [73 FR 41295, July 18, 2008, as amended at 76 being denied service. IP CTS providers FR 59557, Sept. 27, 2011; 78 FR 40608, July 5, 2013; 82 FR 17763, Apr. 13, 2017; 82 FR 39683, shall keep a record of affirmative ac- Aug. 22, 2017; 84 FR 8461, Mar. 8, 2019; 84 FR knowledgment of such consent by 26371, June 6, 2019; 85 FR 26858, May 6, 2020; 85 every registered IP CTS user. FR 52489, Aug. 26, 2020] (iii) Registration of Emergency Shelter EFFECTIVE DATE NOTE: At 84 FR 26371, June Devices. An IP CTS provider may seek 6, 2019, § 64.611 was amended by adding para- and receive TRS Fund compensation graph (a)(6) and revising paragraphs (c)(1)(i), for the provision of captioning service (c)(2)(i), and (c)(2)(ii)(B). These paragraphs to users of a temporary, public IP CTS contain information collection and record- device set up in an emergency shelter, keeping requirements and will not become provided that, before commencing serv- effective until approval has been given by ice to such a device, the IP CTS pro- the Office of Management and Budget. vider collects, maintains in its registration records, and submits to the § 64.613 Numbering directory for Internet-based TRS users. TRS User Registration Database all information reasonably requested by the (a) TRS Numbering Directory. (1) The administrator, including the telephone TRS Numbering Directory shall con- number and location of the device. IP tain records mapping the geographi- CTS providers shall remove the de- cally appropriate NANP telephone vice’s registration information from number of each Registered internet- the Database when service for such a based TRS User, registered enterprise device is terminated. videophone, registered public (iv) By the date of initiation of serv- videophone, direct video customer sup- ice to an IP CTS user or device, or one port center, and hearing point-to-point year after notice from the Commission video user to a unique Uniform Re- that the TRS User Registration Data- source Identifier (URI). base is ready to accept such informa- (2) For each record associated with a tion, whichever is later, IP CTS pro- geographically appropriate NANP tele- viders shall submit to the TRS User phone number for a registered VRS Registration Database the registration user, enterprise videophone, public information required by paragraph videophone, direct video customer sup- (j)(2)(i) or (iii) of this section. Calls port center, or hearing point-to-point from or to registered IP CTS users or video user, the URI shall contain a devices whose registration information server domain name or the IP address has not been populated in the TRS of the user’s device. For each record as- User Registration Database by the ap- sociated with an IP Relay user’s geo- plicable date shall not be compensable, graphically appropriate NANP tele- and an IP CTS provider shall not seek phone number, the URI shall contain TRS Fund compensation for such calls. the user’s user name and domain name (v) When registering a user who is that can be subsequently resolved to transferring service from another IP reach the user.

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(3) Within one year after the effective sion addressed to the Federal Commu- date of this Order, Internet-based TRS nications Commission, Chief, Con- providers must ensure that a user’s toll sumer and Governmental Affairs Bu- free number that is associated with a reau and captioned ‘‘Direct Video Num- geographically appropriate NANP numbering Directory Access Application.’’ ber will be associated with the same The application shall include: URI as that geographically appropriate (i) The applicant’s name, address, NANP telephone number. telephone number, and email address; (4) Only the TRS Numbering Admin- (ii) A description of the service to be istrator, internet-based TRS providers, provided; and Qualified Direct Video Entities (iii) An acknowledgment that the au- may access the TRS Numbering Direc- thorization granted under this para- tory. graph (c) is subject to compliance with (5) VRS providers shall route all calls applicable Commission rules; placed to NANP numbers entered in (iv) Contact information for per- the TRS Numbering Directory in ac- sonnel responsible for addressing issues cordance with the associated routing relating to such compliance; and information, except that a call placed (v) Certification that the applicant’s by a registered VRS user to a NANP description of service meets the defini- number that is capable of receiving ei- tion of direct video customer support ther voice or video calls may be han- and that the information provided is dled and routed as a VRS call if the accurate and complete. caller affirmatively so requests. (2) Commission authorization. The (b) Administration—(1) Neutrality. (i) Commission shall approve an applica- The TRS Numbering Administrator tion for a Qualified Direct Video Entity shall be a non-governmental entity to have access to the TRS Numbering that is impartial and not an affiliate of Directory if the applicant dem- any Internet-based TRS provider. onstrates, through its responses to (ii) Neither the TRS Numbering Ad- each of the requests for information in ministrator nor any affiliate may issue paragraph (c)(1) of this section and any a majority of its debt to, nor derive a additional information requested by majority of its revenues from, any the Commission, that the applicant has Internet-based TRS provider. a legitimate need for such access and is (iii) Nor may the TRS Numbering Ad- aware of its regulatory obligations. ministrator nor any affiliate be unduly (3) Termination of authorization. Au- influenced, as determined by the North thorization to access the TRS Num- American Numbering Council, by par- bering Directory shall terminate: ties with a vested interest in the out- (i) If a Qualified Direct Video Entity come of TRS-related numbering admin- relinquishes its authorization by noti- istration and activities. fying the Commission; (iv) Any subcontractor that performs (ii) Automatically if one year elapses any function of the TRS Numbering with no call-routing queries received Administrator must also meet these regarding any of the Qualified Direct neutrality criteria. Video Entity’s NANP telephone num- (2) Terms of Administration. The TRS bers; or Numbering Administrator shall admin- (iii) If the Commission determines, ister the TRS Numbering Directory after notice to the entity and an oppor- pursuant to the terms of its contract. tunity for the entity to contest the (3) Compensation. The TRS Fund, as proposed termination, that the entity defined by 47 CFR 64.604(a)(5)(iii), may is no longer qualified as described in its compensate the TRS Numbering Ad- application, has materially misrepre- ministrator for the reasonable costs of sented information to the Commission, administration pursuant to the terms the TRS Numbering administrator, or of its contract. the TRS User Registration Database (c) Direct video customer support—(1) administrator, has failed to provide re- Registration. Any person seeking to acquired information in the format re- cess the TRS Numbering Directory as a quested, or has violated an applicable Qualified Direct Video Entity shall Commission rule or order or a require- submit an application to the Commis- ment imposed by authority of the TRS

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Numbering administrator or the TRS progress. No later than December 6, User Registration Database adminis- 2019, each VRS provider shall be capa- trator. Following the termination of an ble of activating an effective call authorization, the TRS Numbering ad- transfer procedure within 60 days after ministrator shall remove the pre- receiving a request to do so from a viously authorized entity’s telephone Qualified Direct Video Entity. numbers from the TRS Numbering Di- (7) TRS User Registration Database. rectory. For each direct video number to be en- (4) Notification of material change. A tered into the TRS Numbering Direc- Qualified Direct Video Entity that is tory, unless otherwise instructed by granted access to the TRS Numbering the TRS User Registration Database Directory shall notify the Commission administrator, a Qualified Direct Video within 60 days of any material changes Entity must create an equivalent entry to information provided in its applica- in the TRS User Registration Database tion. by providing: (5) Qualified Direct Video Entities’ obli- (i) The Qualified Direct Video Enti- gations. A Qualified Direct Video Enti- ty’s name; ty shall comply with all relevant rules (ii) The date that the Qualified Di- and obligations applicable to VRS pro- rect Video Entity was approved for viders’ access to the TRS Numbering TRS Numbering Directory access; Directory and the use of numbers (iii) The name of the end-user cus- provisioned in the TRS Numbering Di- tomer support center (if different from rectory, including, but not limited to: the Qualified Direct Video Entity); (i) Provisioning and maintaining cur- (iv) Contact information for the end- rent routing information in the TRS user customer support call center(s); Numbering Directory for each NANP and telephone number that it enters in (v) Other information reasonably re- such directory; quested by the TRS User Registration (ii) Being able to make point-to-point Database administrator. calls and receive point-to-point or VRS calls from any VRS user in accordance [73 FR 41296, July 18, 2008, as amended at 76 with all interoperability standards ap- FR 59577, Sept. 27, 2011; 82 FR 17764, Apr. 13, 2017; 82 FR 39683, Aug. 22, 2017; 84 FR 26371, plicable to VRS providers, including, June 6, 2019] but not limited to, the relevant technical standards specified in § 64.621(b); EFFECTIVE DATE NOTE: At 84 FR 26371, June (iii) Protecting customer proprietary 6, 2019, § 64.613 was amended by revising paragraphs (a)(1),(2),(4) and adding paragraphs network information of any VRS user (a)(5) and (c). These paragraphs contain in- obtained in accordance with §§ 64.5101 formation collection and recordkeeping re- through 64.5111 (TRS Customer Propri- quirements and will not become effective etary Network Information); until approval has been given by the Office of (iv) Following TRS Numbering Direc- Management and Budget. tory access procedures and performing related administrative functions as di- § 64.615 TRS User Registration Data- rected by the TRS Numbering adminis- base and administrator. trator in consultation with the Man- (a) TRS User Registration Database. aging Director and the Chief, Consumer (1) VRS users call validation. VRS pro- and Governmental Affairs Bureau; and viders shall validate the eligibility of (v) Adhering to all other applicable the party on the video side of each call standards pertaining to privacy, secu- by querying the TRS User Registration rity, and reliability. Database or the TRS Numbering Direc- (6) Call transfer capability. A Qualified tory, as directed by the Commission, Direct Video Entity shall ensure that the TRS Fund administrator, or the each customer support center is able to TRS Numbering Administrator, on a initiate a call transfer that converts a per-call basis. Emergency 911 calls are point-to-point video call into a VRS excepted from the requirement in this call, in the event that a VRS user com- paragraph (a)(1). municating with a direct video cus- (i) Validation shall occur during the tomer agent needs to be transferred to call setup process, prior to the place- a hearing person while the call is in ment of the call.

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(ii) If the eligibility of at least one (A) Any VRS user that has neither party to the call is not validated using placed nor received a VRS or point-to- the TRS User Registration Database, point call in a one-year period; and the call shall not be completed, and the (B) Any user for which a VRS or IP VRS provider shall either terminate CTS provider makes a request under the call or, if appropriate, offer to reg- paragraph (a)(3)(i) of this section. ister the user if they are able to dem- (5) A VRS or IP CTS provider may onstrate eligibility. query the TRS User Registration Data- (iii) Calls that VRS providers are pro- base only for the purposes provided in hibited from completing because the this subpart, and to determine whether user’s eligibility cannot be validated information with respect to its reg- shall not be included in speed of answer istered users already in the database is calculations and shall not be eligible correct and complete. for compensation from the TRS Fund. (6) User verification. (i) The TRS User (2) Enterprise and public videophone Registration Database shall have the call validation. (i) VRS providers shall capability of performing an identifica- validate the registration of an enter- tion verification check when a VRS prise or public videophone used for a provider, IP CTS provider, or other VRS call by querying the designated party submits a query to the database database in accordance with paragraph about an existing or potential user or (a)(1) of this section. an enterprise or public videophone. (ii) [Reserved] (ii) VRS and IP CTS providers shall (iii) VRS providers shall require their not register individuals or enterprise CAs to terminate any call which does or public videophones that do not pass not include a registered enterprise or the identification verification check public videophone or, pursuant to the conducted through the TRS User Reg- provider’s policies, the call does not istration Database. appear to be a legitimate VRS call, and (iii) VRS providers shall not seek VRS providers may not seek compensa- compensation for calls placed by indi- tion for such calls from the TRS Fund. viduals or for calls placed to or from (iv) Emergency 911 calls from enter- enterprise or public videophones that prise and public videophones shall be do not pass the identification exempt from the videophone validation verification check conducted through requirements of paragraph (a)(2)(i) of the TRS User Registration Database. this section. (iv) IP CTS providers shall not seek (3) The administrator of the TRS User Registration Database shall as- compensation for calls placed to or sign a unique identifier to each user in from individuals that do not pass the the TRS User Registration Database. identification verification check conducted through the TRS User Registra- (4) Data integrity. (i) Each VRS and IP CTS provider shall request that the ad- tion Database. ministrator of the TRS User Registra- (b) Administration—(1) Terms of admin- tion Database remove from the TRS istration. The administrator of the TRS User Registration Database user infor- User Registration Database shall ad- mation for any registered user or hear- minister the TRS User Registration ing point-to-point user: Database pursuant to the terms of its (A) Who informs its default VRS pro- contract. vider or its IP CTS provider that it no (2) Compensation. The TRS Fund, as longer wants use of a ten-digit number defined by § 64.604(a)(5)(iii) of this sub- for TRS or (in the case of a hearing part, may be used to compensate the point-to-point video user) for point-to- administrator of the TRS User Reg- point video service; or istration Database for the reasonable (B) For whom the provider obtains costs of administration pursuant to the information that the user is not eligi- terms of its contract. ble to use the service. [78 FR 40609, July 5, 2013, as amended at 82 (ii) The administrator of the TRS FR 17764, Apr. 13, 2017; 84 FR 8463, Mar. 8, User Registration Database shall re- 2019; 84 FR 26372, June 6, 2019; 85 FR 26858, move the data of: May 6, 2020]

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EFFECTIVE DATE NOTE: At 84 FR 26372, June that their VRS access technologies and 6, 2019, § 64.615 was amended by revising para- their video communication service graph (a)(1) introductory text, redesignating platforms are interoperable with the paragraphs (a)(2) through (5) as paragraphs VRS Access Technology Reference (a)(3) through (6), adding new paragraph (a)(2), and revising newly redesignated para- Platform, including for point-to-point graph (a)(6). These paragraphs contain infor- calls, in accordance with the Interoper- mation collection and recordkeeping require- ability Profile for Relay User Equip- ments and will not become effective until ap- ment (RUE Profile). No VRS provider proval has been given by the Office of Man- shall be compensated for minutes of agement and Budget. use involving their VRS access technologies or video communication serv- § 64.619 VRS Access Technology Ref- ice platforms that are not interoper- erence Platform and administrator. able with the VRS Access Technology (a) VRS Access Technology Reference Reference Platform. Platform. (1) The VRS Access Tech- (4) All VRS providers must ensure nology Reference Platform shall be a that their VRS access technologies and software product that performs con- their video communication service sistently with the rules in this subpart, platforms are interoperable with the including any standards adopted in Neutral Video Communication Service § 64.621 of this subpart. Platform, including for point-to-point (2) The VRS Access Technology Ref- calls. No VRS provider shall be com- erence Platform shall be available for pensated for minutes of use involving use by the public and by developers. their VRS access technologies or video (b) Administration—(1) Terms of ad- communication service platforms that ministration. The administrator of the are not interoperable with the Neutral VRS Access Technology Reference Video Communication Service Plat- Platform shall administer the VRS Ac- form. cess Technology Reference Platform (b) Technical standards for interoper- pursuant to the terms of its contract. ability and portability. (2) Compensation. The TRS Fund, as (1) Beginning no later than December defined by § 64.604(a)(5)(iii) of this sub- 20, 2017, VRS providers shall ensure part, may be used to compensate the that their provision of VRS and video administrator of the VRS Access Tech- communications, including their ac- nology Reference Platform for the rea- cess technology, meets the require- sonable costs of administration pursu- ments of the VRS Provider Interoper- ant to the terms of its contract. ability Profile. [78 FR 40609, July 5, 2013] (2) Beginning no later than October 24, 2017, VRS providers shall provide a § 64.621 Interoperability and port- standard xCard export interface to en- ability. able users to import their lists of con- (a) General obligations of VRS pro- tacts in xCard XML format, in accord- viders. (1) All Video Relay Service ance with IETF RFC 6351. (VRS) users and hearing point-to-point (c) Incorporation by reference. The video users must be able to place a standards required in this section are VRS or point-to-point video call incorporated by reference into this sec- through any of the VRS providers’ tion with the approval of the Director services, and all VRS providers must be of the Federal Register under 5 U.S.C. able to receive calls from, and make 552(a) and 1 CFR part 51. All approved calls to, any VRS or hearing point-to- material is available for inspection at point video user. the Federal Communications Commis- (2) A VRS provider may not take sion (FCC), 445 12th Street, SW., Ref- steps that restrict a user’s unfettered erence Information Center, Room CY– access to another provider’s service, A257, Washington, DC 20554, (202) 418– such as providing degraded service 0270, and is available from the sources quality to VRS users using VRS equip- indicated below. It is also available for ment or service with another provider’s inspection at the National Archives service. and Records Administration (NARA). (3) Beginning no later than April 27, For information on the availability of 2018, all VRS providers must ensure this material at NARA, call 202–741–

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6030 or go to http://www.archives.gov/fed- lated numbering administration and erallregister/ activities. codeloflfederallregulations/ (4) None of the administrator of the ibrllocations.htm. TRS User Registration Database, the (1) FCC (on behalf of SIP Forum), 445 administrator of the VRS Access Tech- 12th Street SW., Washington, DC 20554, nology Reference Platform, or the pro- (888) 225–5322 (voice), (844) 432–2275 vider of the Neutral Video Communica- (videophone), (888) 835–5322 (TTY). tion Service Platform, nor any affili- (i) VRS US Providers Profile TWG– ates thereof, shall be unduly influ- 6.1, the US VRS Provider Interoper- enced, as determined by the Commis- ability Profile, September 23, 2015. sion, by parties with a vested interest https://www.fcc.gov/files/sip-forum-vrs-us- in the outcome of TRS-related activi- providers-profile-twg-6-1. ties. (ii) [Reserved] (5) Any subcontractor that performs (2) The following standards are avail- any function of any Administrator able from the Internet Engineering shall also meet the neutrality criteria Task Force (IETF) Secretariat, 5177 applicable to such Administrator. Brandin Court, Fremont, CA 94538, 510– (c) Terms of administration. The Ad- 492–4080. ministrator shall administer pursuant (i) The Interoperability Profile for to the terms of its contract. Relay User Equipment, draft-vrs-rue- (d) Compensation. The TRS Fund, as dispatch-00, July 20, 2016 https:// defined by § 64.604(a)(5)(iii) of this sub- datatracker.ietf.org/doc/draft-vrs-rue-dis- part, may be used to compensate the patch/. Administrator for the reasonable costs (ii) Request for Comments (RFC) of administration pursuant to the 6351, xCard: vCard XML Representation terms of its contract. (August 2011) https://tools.ietf.org/html/ rfc6351. [78 FR 40609, July 5, 2013] [78 FR 40609, July 5, 2013, as amended at 82 § 64.630 Applicability of change of de- FR 17764, Apr. 13, 2017; 82 FR 19325, Apr. 27, fault TRS provider rules. 2017; 82 FR 39683, Aug. 22, 2017] (a) Sections 64.630 through 64.636 gov- § 64.623 Administrator requirements. erning changes in default TRS providers shall apply to any provider of IP (a) For the purposes of this section, Relay or VRS eligible to receive pay- the term ‘‘Administrator’’ shall refer ments from the TRS Fund. to each of the TRS Numbering admin- (b) For purposes of §§ 64.630 through istrator, the administrator of the TRS 64.636, the term iTRS users is defined as User Registration Database, the ad- any individual that has been assigned a ministrator of the VRS Access Tech- ten-digit NANP number from the TRS nology Reference Platform, and the Numbering Directory for IP Relay, provider of the Neutral Video Commu- VRS, or point-to-point video service. nication Service Platform. A single entity may serve in one or more of these [82 FR 17764, Apr. 13, 2017] capacities. (b) Neutrality. (1) The Administrator § 64.631 Verification of orders for shall be a non-governmental entity change of default TRS providers. that is impartial and not an affiliate of (a) No iTRS provider, either directly any Internet-based TRS provider. or through its numbering partner, shall (2) Neither the Administrator nor initiate or implement the process to any affiliate thereof shall issue a ma- change an iTRS user’s selection of a jority of its debt to, nor derive a ma- default provider prior to obtaining: jority of its revenues from, any Inter- (1) Authorization from the iTRS user, net-based TRS provider. and (3) Neither the TRS Numbering ad- (2) Verification of that authorization ministrator nor any affiliate thereof in accordance with the procedures pre- shall be unduly influenced, as deter- scribed in this section. The new default mined by the North American Num- provider shall maintain and preserve bering Council, by parties with a vest- without alteration or modification all ed interest in the outcome of TRS-re- records of verification of the iTRS

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user’s authorization for a minimum pe- (i) Methods of third party riod of five years after obtaining such verification. Third party verification verification and shall make such systems and three-way conference calls records available to the Commission may be used for verification purposes upon request. In any case where the so long as the requirements of para- iTRS provider is unable, unwilling or graphs (c)(3)(ii) through (iv) of this sec- otherwise fails to make such records tion are satisfied. It shall be a per se available to the Commission upon re- violation of these rules if at any time quest, it shall be presumed that the the iTRS provider, an iTRS provider’s iTRS provider has failed to comply marketing representative, or any other with its verification obligations under person misleads the iTRS user with re- the rules. spect to the authorization that the (b) Where an iTRS provider is offer- iTRS user is giving, the purpose of that ing more than one type of TRS, that authorization, the purpose of the provider must obtain separate author- verification, the verification process, ization from the iTRS user for each or the identity of the person who is service, although the authorizations placing the call as well as on whose be- may be obtained within the same half the call is being placed, if applica- transaction. Each authorization must ble. be verified separately from any other (ii) Provider initiation of third party authorizations obtained in the same verification. An iTRS provider or an transaction. Each authorization must iTRS provider’s marketing representa- be verified in accordance with the tive initiating a three-way conference verification procedures prescribed in call must drop off the call once the this part. three-way connection has been estab- (c) A new iTRS provider shall not, ei- lished. ther directly or through its numbering (iii) Requirements for content and partner, initiate or implement the format of third party verification. Any process to change a default provider description of the default provider unless and until the order has been change transaction by a third party verified in accordance with one of the verifier must not be misleading. At the following procedures: start of the third party verification (1) The iTRS provider has obtained process, the third party verifier shall the iTRS user’s written or electroni- identify the new default provider to the cally signed authorization in a form iTRS user and shall confirm that the that meets the requirements of § 64.632 iTRS user understands that the iTRS of this part; or user is changing default providers and (2) An independent third party meet- will no longer receive service from the ing the qualifications in this sub- iTRS user’s current iTRS provider. In section has obtained, in accordance addition, all third party verification with the procedures set forth in para- methods shall elicit, at a minimum: graphs (c)(2)(i) through (iv) of this sec- The date of the verification; the iden- tion, the iTRS user’s authorization to tity of the iTRS user; confirmation implement the default provider change that the person on the call is the iTRS order that confirms and includes appro- user; confirmation that the iTRS user priate verification of registration data wants to make the default provider with the TRS User Registration Data- change; confirmation that the iTRS base as defined in § 64.601(a) of this user understands that a default pro- part. The independent third party must vider change, not an upgrade to exist- not be owned, managed, controlled, or ing service, or any other misleading de- directed by the iTRS provider or the scription of the transaction, is being iTRS provider’s marketing agent; must authorized; confirmation that the iTRS not have any financial incentive to user understands what the change in confirm default provider change orders default provider means, including that for the iTRS provider or the iTRS pro- the iTRS user may need to return any vider’s marketing agent; and must op- video equipment belonging to the origi- erate in a location physically separate nal default provider; the name of the from the iTRS provider or the iTRS new default provider affected by the provider’s marketing agent. change; the telephone number of record

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to be transferred to the new default (2) Third party verification of the provider; and the type of TRS used iTRS user’s default provider change with the telephone number being trans- order in accordance with paragraph ferred. If the iTRS user has additional (c)(2) of this section. If not imple- questions for the iTRS provider’s mar- mented within 60 days as required here- keting representative during the in, such default provider change order verification process, the verifier shall shall be deemed void. instruct the iTRS user that they are (e) At any time during the process of terminating the verification process, changing an iTRS user’s default pro- that the iTRS user may contact the vider, and until such process is com- marketing representative with addi- pleted, which is when the new default tional questions, and that the iTRS provider assumes the role of default user’s default provider will not be provider, the original default provider changed. The marketing representative shall not: may again initiate the verification (1) Reduce the level or quality of process following the procedures set iTRS service provided to such iTRS out in this section after the iTRS user user, or contacts the marketing representative (2) Reduce the functionality of any with any additional questions. Third VRS access technology provided by the party verifiers may not market the iTRS provider to such iTRS user. iTRS provider’s services by providing (f) An iTRS provider that is certified additional information. pursuant to § 64.606(a)(2) of this part (iv) Other requirements for third may acquire, through a sale or trans- party verification. All third party fer, either part or all of another iTRS verifications shall be conducted in the provider’s iTRS user base without ob- same language and format that were taining each iTRS user’s authorization used in the underlying marketing and verification in accordance with transaction and shall be recorded in paragraph (c) of this section, provided their entirety. In the case of VRS, this that the acquiring iTRS provider com- means that if the marketing process plies with the following streamlined was conducted in American Sign Lan- procedures. An iTRS provider shall not guage (ASL), then the third party use these streamlined procedures for verification shall be conducted in ASL. any fraudulent purpose, including any In the event that the underlying mar- attempt to avoid liability for viola- keting transaction was conducted via tions under part 64 of the Commission text over IP Relay, such text format rules. shall be used for the third party (1) Not later than 30 days before the verification. The third party verifier transfer of the affected iTRS users shall inform both the iTRS user and, from the selling or transferring iTRS where applicable, the communications provider to the acquiring iTRS pro- assistant relaying the call, that the vider, the acquiring iTRS provider call is being recorded. The third party shall provide notice to each affected verifier shall provide the new default iTRS user of the information specified provider an audio, video, or IP Relay herein. The acquiring iTRS provider is transcript of the verification of the required to fulfill the obligations set iTRS user authorization. New default forth in the advance iTRS user notice. providers shall maintain and preserve In the case of VRS, the notice shall be audio and video records of verification provided as a pre-recorded video mes- of iTRS user authorization in accord- sage in American Sign Language sent ance with the procedures set forth in to all affected iTRS users. In the case paragraph (a)(2) of this section. of IP Relay, the notice shall be pro- (d) A new default provider shall im- vided as a pre-recorded text message plement an iTRS user’s default pro- sent to all affected iTRS users. The ad- vider change order within 60 days of ob- vance iTRS user notice shall be pro- taining either: vided in a manner consistent with 47 (1) A written or electronically signed U.S.C. 255, 617, 619 and the Commis- letter of agency in accordance with sion’s rules regarding accessibility to § 64.632 of this part or blind and visually-impaired consumers,

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§§ 6.3, 6.5, 14.20, and 14.21 of this chap- tain clear and unambiguous language ter. The following information must be that confirms: included in the advance iTRS user no- (1) The iTRS user’s registered name tice: and address and each telephone number (i) The date on which the acquiring to be covered by the default provider iTRS provider will become the iTRS change order; user’s new default provider; (2) The decision to change the default (ii) The iTRS user’s right to select a provider from the original default pro- different default provider for the iTRS vider to the new default provider; at issue, if an alternative iTRS pro- (3) That the iTRS user designates [in- vider is available; sert the name of the new default pro- (iii) Whether the acquiring iTRS provider] to act as the iTRS user’s agent vider will be responsible for handling and authorizing the new default pro- any complaints filed, or otherwise vider to implement the default pro- raised, prior to or during the transfer vider change; and against the selling or transferring (4) That the iTRS user understands iTRS provider, and that only one iTRS provider may be (iv) The toll-free customer service designated as the TRS user’s default telephone number of the acquiring provider for any one telephone number. iTRS provider. (e) If any portion of a letter of authorization is translated into another (2) All iTRS users receiving the no- language then all portions of the letter tice will be transferred to the acquiring of authorization must be translated iTRS provider, unless they have se- into that language. Every letter of au- lected a different default provider be- thorization must be translated into the fore the transfer date. same language as any promotional ma- [78 FR 40609, July 5, 2013] terials, descriptions or instructions provided with the letter of authoriza- § 64.632 Letter of authorization form tion. and content. (f) Letters of authorization sub- (a) An iTRS provider may use a writ- mitted with an electronically signed ten or electronically signed letter of authorization must include the con- authorization to obtain authorization sumer disclosures required by Section of an iTRS user’s request to change his 101(c) of the Electronic Signatures in or her default provider. A letter of au- Global and National Commerce Act. thorization that does not conform with [78 FR 40609, July 5, 2013] this section is invalid for purposes of this subpart. § 64.633 Procedures for resolution of (b) The letter of authorization shall unauthorized changes in default be a separate document or located on a provider. separate screen or Web page. The letter (a) Notification of alleged unauthorized of authorization shall contain the fol- provider change. Original default pro- lowing title ‘‘Letter of Authorization viders who are informed of an unau- to Change my Default Provider’’ at the thorized default provider change by an top of the page, screen, or Web page, as iTRS user shall immediately notify the applicable, in clear and legible type. allegedly unauthorized provider and (c) The letter of authorization shall the Commission’s Consumer and Gov- contain only the authorizing language ernmental Affairs Bureau of the inci- described in paragraph (d) of this sec- dent. tion and be strictly limited to author- (b) Referral of complaint. Any iTRS izing the new default provider to im- provider that is informed by an iTRS plement a default provider change user or original default provider of an order. The letter of authorization shall unauthorized default provider change be signed and dated by the iTRS user shall: requesting the default provider change. (1) Notify the Commission’s Con- (d) At a minimum, the letter of au- sumer and Governmental Affairs Bu- thorization must be printed with a reau, and type of sufficient size and readable (2) Shall inform that iTRS user of the type to be clearly legible and must con- iTRS user’s right to file a complaint

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with the Commission’s Consumer and § 64.634 Procedures where the Fund Governmental Affairs Bureau. iTRS has not yet reimbursed the pro- providers shall also inform the iTRS vider. user that the iTRS user may contact (a) This section shall only apply after and file a complaint with the alleged an iTRS user or iTRS provider has unauthorized default provider. An complained to or notified the Commis- original default provider shall have the sion that an allegedly unauthorized right to file a complaint with the Com- change, as defined by § 64.601(a) of this mission in the event that one of its re- part, has occurred, and the TRS Fund spective iTRS users is the subject of an (Fund), as defined in § 64.604(c)(5)(iii) of alleged unauthorized default provider this part, has not reimbursed the alleg- change. edly unauthorized default provider for (c) Notification of receipt of complaint. service attributable to the iTRS user Upon receipt of an unauthorized de- after the allegedly unauthorized fault provider change complaint or no- change occurred. tification filed pursuant to this sec- (b) An allegedly unauthorized pro- tion, the Commission will notify the vider shall identify to the Fund admin- allegedly unauthorized provider and istrator all minutes submitted by the allegedly unauthorized provider to the the Fund administrator of the com- Fund for reimbursement that are at- plaint or notification and order that tributable to the iTRS user after the the unauthorized provider identify to allegedly unauthorized change of de- the Fund administrator all minutes at- fault provider, as defined by § 64.601(a) tributable to the iTRS user after the of this part, is alleged to have oc- alleged unauthorized change of default curred. provider is alleged to have occurred. (c) If the Commission determines The Fund administrator shall withhold that an unauthorized change, as de- reimbursement for such minutes pend- fined by § 64.601(a) of this part, has oc- ing Commission determination of curred, the Commission shall direct the whether an unauthorized change, as de- Fund administrator to not reimburse fined by § 64.601(a) of this part, has oc- for any minutes attributable to the curred, if it has not already done so. iTRS user after the unauthorized (d) Proof of verification. Not more change occurred, and neither the au- than 30 days after notification of the thorized nor the unauthorized default complaint or other notification, the al- provider may seek reimbursement from leged unauthorized default provider the fund for those charges. The rem- shall provide to the Commission’s Con- edies provided in this section are in ad- sumer and Governmental Affairs Bu- dition to any other remedies available reau a copy of any valid proof of by law. verification of the default provider (d) If the Commission determines change. This proof of verification must that the default provider change was clearly demonstrate a valid authorized authorized, the default provider may default provider change, as that term seek reimbursement from the Fund for minutes of service provided to the is defined in § § 64.631 through 64.632 of iTRS user. this part. The Commission will determine whether an unauthorized change, [78 FR 40609, July 5, 2013] as defined by § 64.601(a) of this part, has occurred using such proof and any evi- § 64.635 Procedures where the Fund dence supplied by the iTRS user or has already reimbursed the provider. other iTRS providers. Failure by the allegedly unauthorized provider to re- (a) The procedures in this section spond or provide proof of verification shall only apply after an iTRS user or will be presumed to be sufficient evi- iTRS provider has complained to or no- dence of a violation. tified the Commission that an unauthorized change, as defined by [78 FR 40609, July 5, 2013] § 64.601(a) of this part, has occurred, and the Fund has reimbursed the allegedly unauthorized default provider for

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minutes of service provided to the vided, however, that the Commission iTRS user. may prohibit any such common carrier (b) If the Commission determines from engaging directly or indirectly in that an unauthorized change, as de- furnishing enhanced services or cus- fined by § 64.601(a) of this part, has oc- tomer-premises equipment to others curred, it shall direct the unauthorized except as provided for in paragraph (c) default provider to remit to the Fund of this section, or as otherwise author- an amount equal to 100% of all pay- ized by the Commission. ments the unauthorized default pro- (c) A Bell Operating Company com- vider received from the Fund for min- mon carrier prohibited by the Commis- utes attributable to the iTRS user sion pursuant to paragraph (b) of this after the unauthorized change oc- section from engaging in the furnishing curred. The remedies provided in this of enhanced services or customer-prem- section are in addition to any other ises equipment may, subject to other remedies available by law. provisions of law, have a controlling or [78 FR 40609, July 5, 2013] lesser interest in, or be under common control with, a separate corporate enti- § 64.636 Prohibition of default pro- ty that furnishes enhanced services or vider freezes. customer-premises equipment to oth- (a) A default provider freeze prevents ers provided the following conditions a change in an iTRS user’s default pro- are met: vider selection unless the iTRS user (1) Each such separate corporation gives the provider from whom the shall obtain all transmission facilities freeze was requested his or her express necessary for the provision of enhanced consent. services pursuant to tariff, and may (b) Default provider freezes shall be not own any network or local distribu- prohibited. tion transmission facilities or equipment. [78 FR 40609, July 5, 2013] (2) Each such separate corporation shall operate independently in the fur- Subpart G—Furnishing of En- nishing of enhanced services and cus- hanced Services and Cus- tomer-premises equipment. It shall tomer-Premises Equipment by maintain its own books of account, Bell Operating Companies; have separate officers, utilize separate Telephone Operator Services operating, marketing, installation, and maintenance personnel, and utilize sep- § 64.702 Furnishing of enhanced serv- arate computer facilities in the provi- ices and customer-premises equip- sion of enhanced services. ment. (3) Each such separate corporation (a) For the purpose of this subpart, which provides customer-premises the term enhanced service shall refer to equipment or enhanced services shall services, offered over common carrier deal with any affiliated manufacturing transmission facilities used in inter- entity only on an arm’s length basis. state communications, which employ (4) Any research or development per- computer processing applications that formed on a joint or separate basis for act on the format, content, code, pro- the subsidiary must be done on a com- tocol or similar aspects of the sub- pensatory basis. Except for generic scriber’s transmitted information; pro- software within equipment, manufac- vide the subscriber additional, dif- tured by an affiliate, that is sold ‘‘off ferent, or restructured information; or the shelf’’ to any interested purchaser, involve subscriber interaction with the separate corporation must develop stored information. Enhanced services its own software, or contract with non- are not regulated under title II of the affiliated vendors. Act. (5) All transactions between the sepa- (b) Bell Operating Companies com- rate corporation and the carrier or its mon carriers subject, in whole or in affiliates which involve the transfer, part, to the Communications Act may either direct or by accounting or other directly provide enhanced services and record entries, of money, personnel, re- customer-premises equipment; pro- sources, other assets or anything of

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value, shall be reduced to writing. A tomer premises equipment shall not be copy of any contract, agreement, or offered on a tariffed basis. other arrangement entered into be- [45 FR 31364, May 13, 1980, as amended at 46 tween such entities shall be filed with FR 6008, Jan. 21, 1981; 63 FR 20338, Apr. 24, the Commission within 30 days after 1998; 64 FR 14148, Mar. 24, 1999; 66 FR 19402, the contract, agreement, or other ar- Apr. 16, 2001] rangement is made. This provision shall not apply to any transaction gov- § 64.703 Consumer information. erned by the provision of an effective (a) Each provider of operator services state or federal tariff. shall: (d) A carrier subject to the proscrip- (1) Identify itself, audibly and dis- tion set forth in paragraph (c) of this tinctly, to the consumer at the begin- section: ning of each telephone call and before (1) Shall not engage in the sale or the consumer incurs any charge for the promotion of enhanced services or cus- call; tomer-premises equipment, on behalf (2) Permit the consumer to terminate of the separate corporation, or sell, the telephone call at no charge before lease or otherwise make available to the call is connected; the separate corporation any capacity (3) Disclose immediately to the con- or computer system component on its sumer, upon request and at no charge computer system or systems which are to the consumer— used in any way for the provision of its (i) A quotation of its rates or charges common carrier communications serv- for the call; ices. (This does not apply to commu- (ii) The methods by which such rates nications services offered the separate or charges will be collected; and subsidiary pursuant to tariff); (iii) The methods by which com- (2) Shall disclose to the public all in- plaints concerning such rates, charges, formation relating to network design or collection practices will be resolved; and technical standards and informa- and tion affecting changes to the tele- (4) Disclose, audibly and distinctly to communications network which would the consumer, at no charge and before affect either intercarrier interconnec- connecting any interstate non-access tion or the manner in which customer- code operator service call, how to ob- premises equipment is attached to the tain the total cost of the call, includ- interstate network prior to implemen- ing any aggregator surcharge, or the tation and with reasonable advance no- maximum possible total cost of the tification. Such information shall be call, including any aggregator sur- disclosed in compliance with the proce- charge, before providing further oral dures set forth in 47 CFR 51.325 through advice to the consumer on how to pro- 51.335. ceed to make the call. The oral disclosure required in this subsection shall (3) [Reserved] instruct consumers that they may ob- (4) Must obtain Commission approval tain applicable rate and surcharge as to the manner in which the separate quotations either, at the option of the corporation is to be capitalized, prior provider of operator services, by dial- to obtaining any interest in the sepa- ing no more than two digits or by re- rate corporation or transferring any maining on the line. The phrase ‘‘total assets, and must obtain Commission cost of the call’’ as used in this para- approval of any modification to a Com- graph means both the variable (dura- mission approved capitalization plan. tion-based) charges for the call and the (e) Except as otherwise ordered by total per-call charges, exclusive of the Commission, the carrier provision taxes, that the carrier, or its billing of customer premises equipment used agent, may collect from the consumer in conjunction with the interstate tele- for the call. It does not include addi- communications network may be of- tional charges that may be assessed fered in combination with the provi- and collected without the involvement sion of common carrier communica- of the carrier, such as a hotel sur- tions services, except that the cus- charge billed by a hotel. Such charges

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are addressed in paragraph (b) of this law or State regulation requires the section. aggregator to take actions that are (b) Each aggregator shall post on or substantially the same as those re- near the telephone instrument, in plain quired in paragraph (b) of this section. view of consumers: (e) Each provider of operator services (1) The name, address, and toll-free shall ensure, by contract or tariff, that telephone number of the provider of op- each aggregator for which such pro- erator services; vider is the presubscribed provider of (2) Except for CMRS aggregators, a operator services is in compliance with written disclosure that the rates for all the requirements of paragraph (b) of operator-assisted calls are available on this section. request, and that consumers have a [56 FR 18523, Apr. 23, 1991, as amended at 61 right to obtain access to the interstate FR 14981, Apr. 4, 1996; 61 FR 52323, Oct. 7, 1996; common carrier of their choice and 63 FR 11617, Mar. 10, 1998; 63 FR 43041, Aug. may contact their preferred interstate 11, 1998; 64 FR 47119, Aug. 30, 1999; 67 FR 2819, common carriers for information on Jan. 22, 2002] accessing that carrier’s service using that telephone; § 64.704 Call blocking prohibited. (3) In the case of a pay telephone, the (a) Each aggregator shall ensure that local coin rate for the pay telephone each of its telephones presubscribed to location; and a provider of operator services allows (4) The name and address of the Con- the consumer to use ‘‘800’’ and ‘‘950’’ sumer Information Bureau of the Com- access code numbers to obtain access mission (Federal Communications to the provider of operator services de- Commission, Consumer Information sired by the consumer. Bureau, Consumer Complaints—Tele- (b) Each provider of operator services phone, Washington, D.C. 20554), to shall: which the consumer may direct com- (1) Ensure, by contract or tariff, that plaints regarding operator services. An each aggregator for which such pro- existing posting that displays the ad- vider is the presubscribed provider of dress that was required prior to the operator services is in compliance with amendment of this rules (i.e., the ad- the requirements of paragraphs (a) and dress of the Common Carrier Bureau’s (c) of this section; and Enforcement Division, which no longer (2) Withhold payment (on a location- exists) may remain until such time as by-location basis) of any compensation, the posting is replaced for any other including commissions, to aggregators purpose. Any posting made after the ef- if such provider reasonably believes fective date of this amendment must that the aggregator is blocking access display the updated address (i.e., the to interstate common carriers in viola- address of the Consumer Information tion of paragraphs (a) or (c) of this sec- Bureau). tion. (c) Updating of postings. The posting (c) Each aggregator shall, by the ear- required by this section shall be up- liest applicable date set forth in this dated as soon as practicable following paragraph, ensure that any of its any change of the carrier presubscribed equipment presubscribed to a provider to provide interstate service at an of operator services allows the con- aggregator location, but no later than sumer to use equal access codes to ob- 30 days following such change. This retain access to the consumer’s desired quirement may be satisfied by applying provider of operator services. to a payphone a temporary sticker dis- (1) Each pay telephone shall, within playing the required posting informa- six (6) months of the effective date of tion, provided that any such temporary this paragraph, allow the consumer to sticker shall be replaced with perma- use equal access codes to obtain access nent signage during the next regularly to the consumer’s desired provider of scheduled maintenance visit. operator services. (d) Effect of state law or regulation. (2) All equipment that is techno- The requirements of paragraph (b) of logically capable of identifying the di- this section shall not apply to an aling of an equal access code followed aggregator in any case in which State by any sequence of numbers that will

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result in billing to the originating tele- and providers of CMRS operator serv- phone and that is technologically capa- ices. ble of blocking access through such di- [56 FR 18523, Apr. 23, 1991, as amended at 56 aling sequences without blocking ac- FR 40799, Aug. 16, 1991; 57 FR 34260, Aug. 4, cess through other dialing sequences 1992; 63 FR 43041, Aug. 11, 1998] involving equal access codes, shall, within six (6) months of the effective § 64.705 Restrictions on charges re- date of this paragraph or upon installa- lated to the provision of operator services. tion, whichever is sooner, allow the consumer to use equal access codes to (a) A provider of operator services obtain access to the consumer’s desired shall: provider of operator services. (1) Not bill for unanswered telephone calls in areas where equal access is (3) All equipment or software that is available; manufactured or imported on or after (2) Not knowingly bill for unanswered April 17, 1992, and installed by any telephone calls where equal access is aggregator shall, immediately upon in- not available; stallation by the aggregator, allow the (3) Not engage in call splashing, un- consumer to use equal access codes to less the consumer requests to be trans- obtain access to the consumer’s desired ferred to another provider of operator provider of operator services. services, the consumer is informed (4) All equipment that can be modi- prior to incurring any charges that the fied at a cost of no more than $15.00 per rates for the call may not reflect the line to be technologically capable of rates from the actual originating loca- identifying the dialing of an equal action of the call, and the consumer then cess code followed by any sequence of consents to be transferred; numbers that will result in billing to (4) Except as provided in paragraph the originating telephone and to be (a)(3) of this section, not bill for a call technologically capable of blocking ac- that does not reflect the location of the cess through such dialing sequences origination of the call; and without blocking access through other (5) Ensure, by contract or tariff, that dialing sequences involving equal ac- each aggregator for which such process codes, shall, within eighteen (18) vider is the presubscribed provider of months of the effective date of this operator services is in compliance with paragraph, allow the consumer to use the requirements of paragraph (b) of equal access codes to obtain access to this section. the consumer’s desired provider of op- (b) An aggregator shall ensure that erator services. no charge by the aggregator to the consumer for using an ‘‘800’’ or ‘‘950’’ ac- (5) All equipment not included in cess code number, or any other access paragraphs (c)(1), (c)(2), (c)(3), or (c)(4) code number, is greater than the of this section shall, no later than amount the aggregator charges for April 17, 1997, allow the consumer to calls placed using the presubscribed use equal access codes to obtain access provider of operator services. to the consumer’s desired provider of (c) The requirements of paragraphs operator services. (a)(5) and (b) of this section shall not (6) This paragraph does not apply to apply to CMRS aggregators and pro- the use by consumers of equal access viders of CMRS operator services. code dialing sequences that result in billing to the originating telephone. [56 FR 18523, Apr. 23, 1991, as amended at 63 FR 43041, Aug. 11, 1998] (d) All providers of operator services, except those employing a store-and- § 64.706 Minimum standards for the forward device that serves only con- routing and handling of emergency sumers at the location of the device, telephone calls. shall establish an ‘‘800’’ or ‘‘950’’ access Upon receipt of any emergency tele- code number within six (6) months of phone call, providers of operator serv- the effective date of this paragraph. ices and aggregators shall ensure im- (e) The requirements of this section mediate connection of the call to the shall not apply to CMRS aggregators appropriate emergency service of the

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reported location of the emergency, if the terminating end of the call. For known, and, if not known, of the origi- bill-to-third-party calling arrange- nating location of the call. ments handled by a provider of oper- [61 FR 14981, Apr. 4, 1996] ator services, the term consumer also includes the party to be billed for the § 64.707 Public dissemination of infor- call if the latter is contacted by the op- mation by providers of operator erator service provider to secure bill- services. ing approval. Providers of operator services shall (g) Equal access has the meaning regularly publish and make available given that term in Appendix B of the at no cost to inquiring consumers writ- Modification of Final Judgment en- ten materials that describe any recent tered by the United States District changes in operator services and in the Court on August 24, 1982, in United choices available to consumers in that States v. Western Electric, Civil Action market. No. 82–0192 (D.D.C. 1982), as amended by [56 FR 18524, Apr. 23, 1991] the Court in its orders issued prior to October 17, 1990; § 64.708 Definitions. (h) Equal access code means an access As used in §§ 64.703 through 64.707 of code that allows the public to obtain this part and § 68.318 of this chapter (47 an equal access connection to the car- CFR 64.703–64.707, 68.318): rier associated with that code; (a) Access code means a sequence of (i) Operator services means any inter- numbers that, when dialed, connect the state telecommunications service initi- caller to the provider of operator serv- ated from an aggregator location that ices associated with that sequence; includes, as a component, any auto- (b) Aggregator means any person that, matic or live assistance to a consumer in the ordinary course of its oper- to arrange for billing or completion, or ations, makes telephones available to both, of an interstate telephone call the public or to transient users of its through a method other than: premises, for interstate telephone calls (1) Automatic completion with bill- using a provider of operator services; ing to the telephone from which the (c) Call splashing means the transfer of a telephone call from one provider of call originated; or operator services to another such pro- (2) Completion through an access vider in such a manner that the subse- code used by the consumer, with billing quent provider is unable or unwilling to an account previously established to determine the location of the origi- with the carrier by the consumer; nation of the call and, because of such (j) Presubscribed provider of operator inability or unwillingness, is prevented services means the interstate provider from billing the call on the basis of of operator services to which the con- such location; sumer is connected when the consumer (d) CMRS aggregator means an places a call using a provider of oper- aggregator that, in the ordinary course ator services without dialing an access of its operations, makes telephones code; available to the public or to transient (k) Provider of CMRS operator services users of its premises for interstate tele- means a provider of operator services phone calls using a provider of CMRS that provides CMRS operator services; operator services; (l) Provider of operator services means (e) CMRS operator services means op- any common carrier that provides operator services provided by means of a erator services or any other person de- commercial mobile radio service as determined by the Commission to be pro- fined in section 20.3 of this chapter. (f) Consumer means a person initi- viding operator services. ating any interstate telephone call [56 FR 18524, Apr. 23, 1991; 56 FR 25721, June using operator services. In collect call- 5, 1991, as amended at 61 FR 14981, Apr. 4, ing arrangements handled by a pro- 1996; 63 FR 43041, Aug. 11, 1998; 67 FR 2820, vider of operator services, the term Jan. 22, 2002] consumer also includes the party on

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§ 64.709 Informational tariffs. interstate, non-access code operator (a) Informational tariffs filed pursu- service call, how to obtain the total ant to 47 U.S.C. 226(h)(1)(A) shall con- cost of the call, including any sur- tain specific rates expressed in dollars charge or premises-imposed-fee. The and cents for each interstate operator oral disclosure required in this para- service of the carrier and shall also graph shall instruct consumers that contain applicable per call aggregator they may obtain applicable rate and surcharges or other per-call fees, if surcharge quotations either, at the op- any, collected from consumers by, or tion of the provider of inmate operator on behalf of, the carrier. services, by dialing no more than two (b) Per call fees, if any, billed on be- digits or by remaining on the line. The half of aggregators or others, shall be phrase ‘‘total cost of the call,’’ as used specified in informational tariffs in in this paragraph, means both the vari- dollars and cents. able (duration-based) charges for the (c) In order to remove all doubt as to call and the total per-call charges, ex- their proper application, all informa- clusive of taxes, that the carrier, or its tional tariffs must contain clear and billing agent, may collect from the explicit explanatory statements re- consumer for the call. Such phrase garding the rates, i.e., the tariffed price shall include any per-call surcharge per unit of service, and the regulations imposed by the correctional institu- governing the offering of service in tion, unless it is subject to regulation that tariff. itself as a common carrier for imposing (d) Informational tariffs shall be ac- such surcharges, if the contract be- companied by a cover letter, addressed tween the carrier and the correctional to the Secretary of the Commission, institution prohibits both resale and explaining the purpose of the filing. the use of pre-paid calling card ar- (1) The original of the cover letter rangements. shall be submitted to the Secretary (2) Permit the consumer to terminate without attachments, along with FCC the telephone call at no charge before Form 159, and the appropriate fee to the call is connected; and the address set forth in § 1.1105 of this (3) Disclose immediately to the con- chapter. sumer, upon request and at no charge (2) Carriers should file informational to the consumer— tariffs and associated documents, such (i) The methods by which its rates or as cover letters and attachments, elec- charges for the call will be collected; tronically in accordance with §§ 61.13 and and 61.14 of this chapter. (ii) The methods by which complaints (e) Any changes to the tariff shall be concerning such rates, charges or col- submitted under a new cover letter lection practices will be resolved. with a complete copy of the tariff, in- (b) As used in this subpart: cluding changes. (1) Consumer means the party to be (1) Changes to a tariff shall be ex- billed for any interstate call from an plained in the cover letter but need not inmate telephone; be symbolized on the tariff pages. (2) Inmate telephone means a tele- (2) Revised tariffs shall be filled pur- phone instrument set aside by authori- suant to the procedures specified in ties of a prison or other correctional this section. institution for use by inmates. [63 FR 11617, Mar. 10, 1998; 63 FR 15316, Mar. (3) Inmate operator services means any 31, 1998, as amended at 67 FR 2820, Jan. 22, interstate telecommunications service 2002; 73 FR 9031, Feb. 19, 2008; 76 FR 43217, initiated from an inmate telephone July 20, 2011] that includes, as a component, any automatic or live assistance to a con- § 64.710 Operator services for prison sumer to arrange for billing or comple- inmate phones. tion, or both, of an interstate tele- (a) Each provider of inmate operator phone call through a method other services shall: than: (1) Identify itself and disclose, audi- (i) Automatic completion with bill- bly and distinctly to the consumer, at ing to the telephone from which the no charge and before connecting any call originated; or

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(ii) Completion through an access (b) Election means (1) a general, spe- code used by the consumer, with billing cial, primary, or runoff election, (2) a to an account previously established convention or caucus of a political with the carrier by the consumer; party held to nominate a candidate, (3) (4) Provider of inmate operator services a primary election held for the selec- means any common carrier that pro- tion of delegates to a national nomi- vides outbound interstate operator nating convention of a political party, services from inmate telephones. and (4) a primary election held for the [63 FR 11617, Mar. 10, 1998, as amended at 67 expression of a preference for the nomi- FR 2820, Jan. 22, 2002] nation of persons for election to the office of President. Subpart H—Extension of Unse- (c) Federal office means the office of cured Credit for Interstate and President or Vice President of the Foreign Communications United States: or of Senator or Rep- Services to Candidates for resentative in, or Delegate or Resident Federal Office Commissioner to, the Congress of the United States. (d) Person means an individual, part- AUTHORITY: Secs. 4, 201, 202, 203, 218, 219, 48 Stat. 1066, 1070, 1077; 47 U.S.C. 154, 201, 202, nership, committee, association, cor- 203, 218, 219; sec. 401, 86 Stat. 19; 2 U.S.C. 451. poration, labor organization, and any other organization or group of persons. SOURCE: 37 FR 9393, May 10, 1972, unless otherwise noted. (e) Unsecured credit means the furnishing of service without maintaining § 64.801 Purpose. on a continuing basis advance pay- Pursuant to section 401 of the Fed- ment, deposit, or other security, that eral Election Campaign Act of 1971, is designed to assure payment of the Public Law 92–225, these rules prescribe estimated amount of service for each the general terms and conditions for future 2 months period, with revised es- the extension of unsecured credit by a timates to be made on at least a communication common carrier to a monthly basis. candidate or person on behalf of such candidate for Federal office. § 64.804 Rules governing the extension of unsecured credit to candidates § 64.802 Applicability. or persons on behalf of such candidates for Federal office for inter- These rules shall apply to each com- state and foreign common carrier munication common carrier subject to communication services. the whole or part of the Communica- tions Act of 1934, as amended. (a) There is no obligation upon a carrier to extend unsecured credit for § 64.803 Definitions. interstate and foreign communication services to a candidate or person on be- For the purposes of this subpart: half of such candidate for Federal of- (a) Candidate means an individual who seeks nomination for election, or fice. However, if the carrier chooses to election, to Federal office, whether or extend such unsecured credit, it shall not such individual is elected, and an comply with the requirements set forth individual shall be deemed to seek in paragraphs (b) through (g) of this nomination for election, or election, if section. he has (1) taken the action necessary (b) If a carrier decides to extend un- under the law of a State to qualify secured credit to any candidate for himself for nomination for election, or Federal office or any person on behalf election, to Federal office, or (2) re- of such candidate, then unsecured cred- ceived contributions or made expendi- it shall be extended on substantially tures, or has given his consent for any equal terms and conditions to all can- other person to receive contributions didates and all persons on behalf of all or make expenditures, with a view to candidates for the same office, with bringing about his nomination for election, or election, to such office.

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due regard for differences in the esti- (iii) When neither direct nor indirect mated quantity of service to be fur- measures of cost allocation can be nished each such candidate or person. found, the cost category shall be allo- [37 FR 9393, May 10, 1972, as amended at 62 cated based upon a general allocator FR 5166, Feb. 4, 1997; 82 FR 48778, Oct. 20, computed by using the ratio of all ex- 2017] penses directly assigned or attributed to regulated and nonregulated activi- Subpart I—Allocation of Costs ties. (4) The allocation of central office § 64.901 Allocation of costs. equipment and outside plant invest- (a) Carriers required to separate their ment costs between regulated and nonregulated costs from nonregulated regulated activities shall be based upon costs shall use the attributable cost the relative regulated and nonregu- method of cost allocation for such pur- lated usage of the investment during pose. the calendar year when nonregulated (b) In assigning or allocating costs to usage is greatest in comparison to reg- regulated and nonregulated activities, ulated usage during the three calendar carriers shall follow the principles de- years beginning with the calendar year scribed herein. during which the investment usage (1) Tariffed services provided to a forecast is filed. nonregulated activity will be charged (c) A telecommunications carrier to the nonregulated activity at the may not use services that are not com- tariffed rates and credited to the regu- petitive to subsidize services subject to lated revenue account for that service. competition. Services included in the Nontariffed services, offered pursuant definition of universal service shall to a section 252(e) agreement, provided bear no more than a reasonable share to a nonregulated activity will be of the joint and common costs of facili- charged to the nonregulated activity at ties used to provide those services. the amount set forth in the applicable interconnection agreement approved [52 FR 6560, Mar. 4, 1987, as amended at 52 FR by a state commission pursuant to sec- 39534, Oct. 22, 1987; 54 FR 49762, Dec. 1, 1989; tion 252(e) and credited to the regu- 62 FR 45588, Aug. 28, 1997; 67 FR 5702, Feb. 6, lated revenue account for that service. 2002] (2) Costs shall be directly assigned to § 64.902 Transactions with affiliates. either regulated or nonregulated activities whenever possible. Except for carriers which employ av- (3) Costs which cannot be directly as- erage schedules in lieu of determining signed to either regulated or nonregu- their costs, all carriers subject to lated activities will be described as § 64.901 are also subject to the provi- common costs. Common costs shall be sions of § 32.27 of this chapter con- grouped into homogeneous cost cat- cerning transactions with affiliates. egories designed to facilitate the proper allocation of costs between a car- [55 FR 30461, July 26, 1990] rier’s regulated and nonregulated ac- § 64.903 Cost allocation manuals. tivities. Each cost category shall be allocated between regulated and non- (a) Each incumbent local exchange regulated activities in accordance with carrier having annual revenues from the following hierarchy: regulated telecommunications oper- (i) Whenever possible, common cost ations that are equal to or above the categories are to be allocated based indexed revenue threshold (as defined upon direct analysis of the origin of in § 32.9000 of this chapter) except mid- the cost themselves. sized incumbent local exchange car- (ii) When direct analysis is not pos- riers is required to file a cost alloca- sible, common cost categories shall be tion manual describing how it sepa- allocated based upon an indirect, cost- rates regulated from nonregulated causative linkage to another cost cat- costs. The manual shall contain the egory (or group of cost categories) for following information regarding the which a direct assignment or alloca- carrier’s allocation of costs between tion is available. regulated and nonregulated activities:

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(1) A description of each of the car- (c) The Commission may by order re- rier’s nonregulated activities; quire any other communications com- (2) A list of all the activities to which mon carrier to file and maintain a cost the carrier now accords incidental ac- allocation manual as provided in this counting treatment and the justifica- section. tion therefor; [57 FR 4375, Feb. 5, 1992, as amended at 59 FR (3) A chart showing all of the car- 46358, Sept. 8, 1994; 61 FR 50246, Sept. 25, 1996; rier’s corporate affiliates; 62 FR 39779, July 24, 1997; 65 FR 16335, Mar. (4) A statement identifying each af- 28, 2000; 67 FR 5702, Feb. 6, 2002; 67 FR 13229, filiate that engages in or will engage in Mar. 21, 2002] transactions with the carrier and de- § 64.904 Independent audits. scribing the nature, terms and frequency of each transaction; (a) Each carrier required to file a (5) A cost apportionment table show- cost allocation manual shall elect to ing, for each account containing costs either have an attest engagement per- incurred in providing regulated serv- formed by an independent auditor every two years, covering the prior two ices, the cost pools with that account, year period, or have a financial audit the procedures used to place costs into performed by an independent auditor each cost pool, and the method used to every two years, covering the prior two apportion the costs within each cost year period. In either case, the initial pool between regulated and nonregu- engagement shall be performed in the lated activities; and calendar year after the carrier is first (6) A description of the time report- required to file a cost allocation man- ing procedures that the carrier uses, ual. including the methods or studies de- (b) The attest engagement shall be an signed to measure and allocate non- examination engagement and shall pro- productive time. vide a written communication that ex- (b) Each carrier shall ensure that the presses an opinion that the systems, information contained in its cost allo- processes, and procedures applied by cation manual is accurate. Carriers the carrier to generate the results re- must update their cost allocation ported pursuant to § 43.21(e)(2) of this manuals at least annually, except that chapter comply with the Commission’s changes to the cost apportionment Joint Cost Orders issued in conjunction table and to the description of time re- with CC Docket No. 86–111, the Com- porting procedures must be filed at the mission’s Accounting Safeguards pro- time of implementation. Annual cost ceeding in CC Docket No. 96–150, and allocation manual updates shall be the Commission’s rules and regulations filed on or before the last working day including §§ 32.23 and 32.27 of this chap- of each calendar year. Proposed ter, and §§ 64.901, and 64.903 in force as changes in the description of time re- of the date of the auditor’s report. At porting procedures, the statement con- least 30 days prior to beginning the at- cerning affiliate transactions, and the testation engagement, the independent cost apportionment table must be ac- auditors shall provide the Commission companied by a statement quantifying with the audit program. The attest en- the impact of each change on regulated gagement shall be conducted in accord- operations. Changes in the description ance with the attestation standards es- of time reporting procedures and the tablished by the American Institute of statement concerning affiliate trans- Certified Public Accountants, except as actions must be quantified in $100,000 otherwise directed by the Chief, En- increments at the account level. forcement Bureau. Changes in cost apportionment tables (c) The biennial financial audit shall must be quantified in $100,000 incre- provide a positive opinion on whether ments at the cost pool level. The Chief, the applicable date shown in the car- Wireline Competition Bureau may sus- rier’s annual report required by pend any such changes for a period not § 43.21(e)(2) of this chapter present fair- to exceed 180 days, and may thereafter ly, in all material respects, the infor- allow the change to become effective or mation of the Commission’s Joint Cost prescribe a different procedure. Orders issued in conjunction with CC

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Docket No. 86–111, the Commission’s § 64.1002 Investments and expenses. Accounting Safeguards proceeding in (a) Investment and expenses not used CC Docket No. 96–150, and the Commis- and useful in the ordinary course. The sion’s rules and regulations including following investments and expenses are §§ 32.23 and 32.27 of this chapter, and presumed not used and useful (and thus §§ 64.901, and 64.903 in force as of the unreasonable): date of the auditor’s report. The audit shall be conducted in accordance with (1) Personal expenses, including but generally accepted auditing standards, not limited to personal expenses for except as otherwise directed by the food and beverages, housing, such as Chief, Enforcement Bureau. The report rent or mortgages, vehicles for per- of the independent auditor shall be sonal use, and personal travel; filed at the time that the carrier files (2) Tangible property not logically the annual reports required by related or necessary to offering voice § 43.21(e)(2) of this chapter. or broadband services; (3) Political contributions; [67 FR 5702, Feb. 6, 2002, as amended at 67 FR (4) Membership fees and dues in so- 13229, Mar. 21, 2002] cial, service and recreational, or ath- letic clubs or organizations; § 64.905 Annual certification. (5) Penalties or fines for statutory or A mid-sized incumbent local ex- regulatory violations; and change carrier, as defined in § 32.9000 of (6) Penalties or fees for late pay- this chapter, shall file a certification ments on debt, loans, or other pay- with the Commission stating that it is ments. complying with § 64.901. The certifi- (b) Non-customary investments and ex- cation must be signed, under oath, by penses. Unless customary for similarly an officer of the mid-sized incumbent situated companies, the following in- LEC, and filed with the Commission on vestments and expenses are presumed an annual basis at the time that the not used and useful (and thus unrea- mid-sized incumbent LEC files the an- sonable): nual reports required by § 43.21(e)(2) of (1) Personal benefits, such as gifts, this chapter. housing allowances, and childcare, that [67 FR 5702, Feb. 6, 2002] are not part of taxable compensation; (2) Artwork and other objects that Subpart J—Recovery of Invest- possess aesthetic value that are dis- ments and Expenses in Regu- played in the workplace; (3) Aircraft, watercraft, and off-road lated Interstate Rates vehicles used for work and work-related purposes; SOURCE: 83 FR 18965, May 1, 2018, unless (4) Cafeterias and dining facilities; otherwise noted. (5) Charitable donations; § 64.1000 Scope. (6) Entertainment; (7) Food and beverage expenses for This subpart is applicable only to work and work-related travel; rate-of-return carriers as defined in (8) Membership fees and dues associ- § 54.5 of this chapter receiving Connect ated with professional organizations; America Fund Broadband Loop Sup- (9) Scholarships; and port as described in § 54.901 of this (10) Sponsorships of conferences or chapter. community events. § 64.1001 Purpose. This subpart is intended to ensure Subpart K—Changes in Preferred that only used and useful investments Telecommunications Service and expenses are recovered through Providers regulated interstate rates pursuant to section 201(b) of the Communications § 64.1100 Definitions. Act as amended (the Act), 47 U.S.C. (a) The term submitting carrier is gen- 201(b). erally any telecommunications carrier

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that requests on the behalf of a sub- edies, as enumerated in §§ 64.1100 scriber that the subscriber’s tele- through 64.1190. communications carrier be changed, (g) The term relevant governmental and seeks to provide retail services to agency shall be the state commission if the end user subscriber. A carrier may the complainant files a complaint with be treated as a submitting carrier, the state commission or if the com- however, if it is responsible for any un- plaint is forwarded to the state com- reasonable delays in the submission of mission by the Federal Communica- carrier change requests or for the sub- tions Commission, and the Federal mission of unauthorized carrier change Communications Commission if the requests, including fraudulent author- complainant files a complaint with the izations. Federal Communications Commission, (b) The term executing carrier is gen- and the complaint is not forwarded to erally any telecommunications carrier a state commission. that effects a request that a sub- (h) The term subscriber is any one of scriber’s telecommunications carrier the following: (1) The party identified in the ac- be changed. A carrier may be treated count records of a common carrier as as an executing carrier, however, if it responsible for payment of the tele- is responsible for any unreasonable phone bill; delays in the execution of carrier (2) Any adult person authorized by changes or for the execution of unau- such party to change telecommuni- thorized carrier changes, including cations services or to charge services fraudulent authorizations. to the account; or (c) The term authorized carrier is gen- (3) Any person contractually or oth- erally any telecommunications carrier erwise lawfully authorized to represent that submits a change, on behalf of a such party. subscriber, in the subscriber’s selection of a provider of telecommunications [65 FR 47690, Aug. 3, 2000, as amended at 66 service with the subscriber’s authoriza- FR 12892, Mar. 1, 2001] tion verified in accordance with the § 64.1110 State notification of election procedures specified in this part. to administer FCC rules. (d) The term is unauthorized carrier (a) Initial Notification. State notifica- generally any telecommunications car- tion of an intention to administer the rier that submits a change, on behalf of Federal Communications Commission’s a subscriber, in the subscriber’s selec- unauthorized carrier change rules and tion of a provider of telecommuni- remedies, as enumerated in §§ 64.1100 cations service but fails to obtain the through 64.1190, shall be filed with the subscriber’s authorization verified in Commission Secretary in CC Docket accordance with the procedures speci- No. 94–129 with a copy of such notifica- fied in this part. tion provided to the Consumer & Gov- (e) The term unauthorized change is a ernmental Affairs Bureau Chief. Such change in a subscriber’s selection of a notification shall contain, at a min- provider of telecommunications service imum, information on where con- that was made without authorization sumers should file complaints, the type verified in accordance with the of documentation, if any, that must ac- verification procedures specified in this company a complaint, and the proce- part. dures the state will use to adjudicate (f) The term state commission shall in- complaints. clude any state entity with the state- (b) Withdrawal of Notification. State designated authority to resolve the notification of an intention to dis- complaints of such state’s residents continue administering the Federal arising out of an allegation that an un- Communications Commission’s unau- authorized change of a telecommuni- thorized carrier change rules and rem- cation service provider has occurred edies, as enumerated in §§ 64.1100 that has elected, in accordance with through 64.1190, shall be filed with the the requirements of § 64.1110(a), to ad- Commission Secretary in CC Docket minister the Federal Communications No. 94–129 with a copy of such amended Commission’s slamming rules and rem- notification provided to the Consumer

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& Governmental Affairs Bureau Chief. (3) Commercial mobile radio services Such discontinuance shall become ef- (CMRS) providers shall be excluded fective 60 days after the Commission’s from the verification requirements of receipt of the state’s letter. this part as long as they are not required to provide equal access to com- [65 FR 47691, Aug. 3, 2000, as amended at 73 mon carriers for the provision of tele- FR 13149, Mar. 12, 2008] phone toll services, in accordance with § 64.1120 Verification of orders for 47 U.S.C. 332(c)(8). telecommunications service. (b) Any telecommunications carrier that becomes the subject of a Commis- (a) No telecommunications carrier sion forfeiture action through a viola- shall submit or execute a change on tion of the third-party verification the behalf of a subscriber in the sub- process set forth in paragraph (c)(3) of scriber’s selection of a provider of tele- this section will be suspended for a communications service except in ac- five-year period from utilizing the cordance with the procedures pre- third-party verification process to con- scribed in this subpart. Nothing in this firm a carrier change. section shall preclude any State com- (c) No telecommunications carrier mission from enforcing these proce- shall submit a preferred carrier change dures with respect to intrastate serv- order unless and until the order has ices. been confirmed in accordance with one (1) No submitting carrier shall sub- of the following procedures: mit a change on the behalf of a sub- (1) The telecommunications carrier scriber in the subscriber’s selection of has obtained the subscriber’s written a provider of telecommunications serv- or electronically signed authorization ice prior to obtaining: in a form that meets the requirements (i) Authorization from the subscriber, of § 64.1130; or subject to the following: (2) The telecommunications carrier (A) Material misrepresentation on has obtained the subscriber’s electronic the sales call is prohibited. Upon a con- authorization to submit the preferred sumer’s credible allegation of a sales carrier change order. Such authoriza- call misrepresentation, the burden of tion must be placed from the telephone proof shifts to the carrier making the number(s) on which the preferred car- sales call to provide persuasive evi- rier is to be changed and must confirm dence to rebut the claim. Upon a find- the information in paragraph (a)(1) of ing that such a material misrepresen- this section. Telecommunications car- tation has occurred on a sales call, the riers electing to confirm sales elec- subscriber’s authorization to switch tronically shall establish one or more carriers will be deemed invalid. toll-free telephone numbers exclusively (B) [Reserved] for that purpose. Calls to the number(s) (ii) Verification of that authorization will connect a subscriber to a voice re- in accordance with the procedures pre- sponse unit, or similar mechanism, scribed in this section. The submitting that records the required information carrier shall maintain and preserve regarding the preferred carrier change, records of verification of subscriber au- including automatically recording the thorization for a minimum period of originating automatic number identi- two years after obtaining such fication; or verification. (3) An appropriately qualified inde- (2) An executing carrier shall not pendent third party has obtained, in verify the submission of a change in a accordance with the procedures set subscriber’s selection of a provider of forth in paragraphs (c)(3)(i) through telecommunications service received (c)(3)(iv) of this section, the sub- from a submitting carrier. For an exe- scriber’s oral authorization to submit cuting carrier, compliance with the the preferred carrier change order that procedures described in this part shall confirms and includes appropriate be defined as prompt execution, with- verification data (e.g., the subscriber’s out any unreasonable delay, of changes date of birth or social security num- that have been verified by a submitting ber). The independent third party must carrier. not be owned, managed, controlled, or

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directed by the carrier or the carrier’s rier change. Third party verifiers may marketing agent; must not have any fi- not market the carrier’s services by nancial incentive to confirm preferred providing additional information, in- carrier change orders for the carrier or cluding information regarding pre- the carrier’s marketing agent; and ferred carrier freeze procedures. must operate in a location physically (iv) Other requirements for third party separate from the carrier or the car- verification. All third party rier’s marketing agent. verifications shall be conducted in the (i) Methods of third party verification. same language that was used in the un- Automated third party verification derlying sales transaction and shall be systems and three-way conference calls recorded in their entirety. In accord- may be used for verification purposes ance with the procedures set forth in so long as the requirements of para- 64.1120(a)(1)(ii), submitting carriers graphs (c)(3)(ii) through (c)(3)(iv) of shall maintain and preserve audio this section are satisfied. records of verification of subscriber au- (ii) Carrier initiation of third party thorization for a minimum period of verification. A carrier or a carrier’s two years after obtaining such sales representative initiating a three- verification. Automated systems must way conference call or a call through provide consumers with an option to an automated verification system must speak with a live person at any time drop off the call once the three-way during the call. connection has been established. (4) Any State-enacted verification (iii) Requirements for content and for- procedures applicable to intrastate pre- mat of third party verification. Any de- ferred carrier change orders only. scription of the carrier change trans- (d) Telecommunications carriers action by a third party verifier must must provide subscribers the option of not be misleading, and all third party using one of the authorization and verification methods shall elicit, at a verification procedures specified in minimum: The date of the verification; § 64.1120(c) in addition to an electroni- the identity of the subscriber; con- cally signed authorization and firmation that the person on the call is verification procedure under authorized to make the carrier change; 64.1120(c)(1). confirmation that the person on the (e) A telecommunications carrier call wants to make the carrier change; may acquire, through a sale or trans- confirmation that the person on the fer, either part or all of another call understands that a carrier change, telecommunications carrier’s sub- not an upgrade to existing service, bill scriber base without obtaining each consolidation, or any other misleading subscriber’s authorization and description of the transaction, is being verification in accordance with authorized; the names of the carriers § 64.1120(c), provided that the acquiring affected by the change (not including carrier complies with the following the name of the displaced carrier); the streamlined procedures. A tele- telephone numbers to be switched; and communications carrier may not use the types of service involved (including these streamlined procedures for any a brief description of a service about fraudulent purpose, including any at- which the subscriber demonstrates con- tempt to avoid liability for violations fusion regarding the nature of that under part 64, subpart K of the Com- service). Except in Hawaii, any descrip- mission rules. tion of interLATA or long distance (1) No later than 30 days before the service shall convey that it encom- planned transfer of the affected sub- passes both international and state-to- scribers from the selling or transfer- state calls, as well as some intrastate ring carrier to the acquiring carrier, calls where applicable. If the subscriber the acquiring carrier shall file with the has additional questions for the car- Commission’s Office of the Secretary a rier’s sales representative during the letter notification in CC Docket No. 00– verification, the verifier shall indicate 257 providing the names of the parties to the subscriber that, upon comple- to the transaction, the types of tele- tion of the verification process, the communications services to be pro- subscriber will have authorized a car- vided to the affected subscribers, and

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the date of the transfer of the sub- except where the carrier is acquiring scriber base to the acquiring carrier. In customers by default, other than the letter notification, the acquiring through bankruptcy, and state law re- carrier also shall certify compliance quires the exiting carrier to pay these with the requirement to provide ad- costs; vance subscriber notice in accordance (iv) The subscriber’s right to select a with § 64.1120(e)(3), with the obligations different preferred carrier for the tele- specified in that notice, and with other communications service(s) at issue, if statutory and Commission require- an alternative carrier is available, ments that apply to this streamlined (v) All subscribers receiving the no- process. In addition, the acquiring car- tice, even those who have arranged pre- rier shall attach a copy of the notice ferred carrier freezes through their sent to the affected subscribers. local service providers on the service(s) (2) If, subsequent to the filing of the involved in the transfer, will be trans- letter notification with the Commis- ferred to the acquiring carrier, unless sion required by § 64.1120(e)(1), any ma- they have selected a different carrier terial changes to the required informa- before the transfer date; existing pre- tion should develop, the acquiring car- ferred carrier freezes on the service(s) rier shall file written notification of involved in the transfer will be lifted; these changes with the Commission no and the subscribers must contact their more than 10 days after the transfer local service providers to arrange a date announced in the prior notifica- new freeze. tion. The Commission reserves the (vi) Whether the acquiring carrier right to require the acquiring carrier will be responsible for handling any to send an additional notice to the af- complaints filed, or otherwise raised, fected subscribers regarding such ma- prior to or during the transfer against terial changes. the selling or transferring carrier, and (3) Not later than 30 days before the transfer of the affected subscribers (vii) The toll-free customer service from the selling or transferring carrier telephone number of the acquiring car- to the acquiring carrier, the acquiring rier. carrier shall provide written notice to [65 FR 47691, Aug. 3, 2000, as amended at 66 each affected subscriber of the infor- FR 12892, Mar. 1, 2001; 66 FR 28124, May 22, mation specified. The acquiring carrier 2001; 68 FR 19159, Apr. 18, 2003; 70 FR 12611, is required to fulfill the obligations set Mar. 15, 2005; 73 FR 13149, Mar. 12, 2008; 83 FR forth in the advance subscriber notice. 33143, July 17, 2018] The advance subscriber notice shall be provided in a manner consistent with § 64.1130 Letter of agency form and content. 47 U.S.C. 255 and the Commission’s rules regarding accessibility to blind (a) A telecommunications carrier and visually-impaired consumers, 47 may use a written or electronically CFR 6.3, 6.5 of this chapter. The fol- signed letter of agency to obtain au- lowing information must be included in thorization and/or verification of a sub- the advance subscriber notice: scriber’s request to change his or her (i) The date on which the acquiring preferred carrier selection. A letter of carrier will become the subscriber’s agency that does not conform with this new provider of telecommunications section is invalid for purposes of this service, part. (ii) The rates, terms, and conditions (b) The letter of agency shall be a of the service(s) to be provided by the separate document (or an easily sepa- acquiring carrier upon the subscriber’s rable document) or located on a sepa- transfer to the acquiring carrier, and rate screen or webpage containing only the means by which the acquiring car- the authorizing language described in rier will notify the subscriber of any paragraph (e) of this section having the change(s) to these rates, terms, and sole purpose of authorizing a tele- conditions. communications carrier to initiate a (iii) The acquiring carrier will be re- preferred carrier change. The letter of sponsible for any carrier change agency must be signed and dated by charges associated with the transfer, the subscriber to the telephone line(s)

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requesting the preferred carrier will apply to the change in the sub- change. scriber’s preferred carrier. (c) The letter of agency shall not be (f) Any carrier designated in a letter combined on the same document, of agency as a preferred carrier must screen, or webpage with inducements of be the carrier directly setting the rates any kind. for the subscriber. (d) Notwithstanding paragraphs (b) (g) Letters of agency shall not sug- and (c) of this section, the letter of gest or require that a subscriber take agency may be combined with checks some action in order to retain the sub- that contain only the required letter of scriber’s current telecommunications agency language as prescribed in para- carrier. graph (e) of this section and the nec- (h) If any portion of a letter of agen- essary information to make the check cy is translated into another language a negotiable instrument. The letter of then all portions of the letter of agency agency check shall not contain any must be translated into that language. promotional language or material. The Every letter of agency must be trans- letter of agency check shall contain in lated into the same language as any easily readable, bold-face type on the promotional materials, oral descrip- front of the check, a notice that the subscriber is authorizing a preferred tions or instructions provided with the carrier change by signing the check. letter of agency. The letter of agency language shall be (i) Letters of agency submitted with placed near the signature line on the an electronically signed authorization back of the check. must include the consumer disclosures (e) At a minimum, the letter of agen- required by Section 101(c) of the Elec- cy must be printed with a type of suffi- tronic Signatures in Global and Na- cient size and readable type to be clear- tional Commerce Act. ly legible and must contain clear and (j) A telecommunications carrier unambiguous language that confirms: shall submit a preferred carrier change (1) The subscriber’s billing name and order on behalf of a subscriber within address and each telephone number to no more than 60 days of obtaining a be covered by the preferred carrier written or electronically signed letter change order; of agency. However, letters of agency (2) The decision to change the pre- for multi-line and/or multi-location ferred carrier from the current tele- business customers that have entered communications carrier to the solic- into negotiated agreements with car- iting telecommunications carrier; riers to add presubscribed lines to their (3) That the subscriber designates business locations during the course of [insert the name of the submitting car- a term agreement shall be valid for the rier] to act as the subscriber’s agent period specified in the term agreement. for the preferred carrier change; (4) That the subscriber understands [64 FR 7760, Feb. 16, 1999. Redesignated at 65 FR 47692, Aug. 3, 2000, as amended at 66 FR that only one telecommunications car- 12893, Mar. 1, 2001; 66 FR 16151, Mar. 23, 2001; rier may be designated as the sub- 68 FR 19159, Apr. 18, 2003; 73 FR 13149, Mar. 12, scriber’s interstate or interLATA pre- 2008] ferred interexchange carrier for any one telephone number. To the extent § 64.1140 Carrier liability for slam- that a jurisdiction allows the selection ming. of additional preferred carriers (e.g., (a) Carrier Liability for Charges. Any local exchange, intraLATA toll, submitting telecommunications carrier interLATA toll, or international interexchange), the letter of agency must that fails to comply with the proce- contain separate statements regarding dures prescribed in this part shall be those choices, although a separate let- liable to the subscriber’s properly au- ter of agency for each choice is not thorized carrier in an amount equal to necessary; and 150% of all charges paid to the submit- (5) That the subscriber may consult ting telecommunications carrier by with the carrier as to whether a fee such subscriber after such violation, as

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well as for additional amounts as pre- incident. This notification must in- scribed in § 64.1170. The remedies pro- clude the identity of both carriers. vided in this part are in addition to (b) Referral of complaint. Any carrier, any other remedies available by law. executing, authorized, or allegedly un- (b) Subscriber Liability for Charges. authorized, that is informed by a sub- Any subscriber whose selection of tele- scriber or an executing carrier of an communications services provider is unauthorized carrier change shall di- changed without authorization verified rect that subscriber either to the state in accordance with the procedures set commission or, where the state com- for in this part is liable for charges as mission has not opted to administer follows: these rules, to the Federal Communica- (1) If the subscriber has not already tions Commission’s Consumer & Gov- paid charges to the unauthorized car- ernmental Affairs Bureau, for resolu- rier, the subscriber is absolved of li- tion of the complaint. Carriers shall ability for charges imposed by the un- also inform the subscriber that he or authorized carrier for service provided she may contact and seek resolution during the first 30 days after the unau- from the alleged unauthorized carrier thorized change. Upon being informed and, in addition, may contact the au- by a subscriber that an unauthorized thorized carrier. change has occurred, the authorized (c) Notification of receipt of complaint. carrier, the unauthorized carrier, or Upon receipt of an unauthorized carrier the executing carrier shall inform the change complaint, the relevant govern- subscriber of this 30-day absolution pe- mental agency will notify the allegedly riod. Any charges imposed by the unau- unauthorized carrier of the complaint thorized carrier on the subscriber for and order that the carrier remove all service provided after this 30–day pe- unpaid charges for the first 30 days riod shall be paid by the subscriber to after the slam from the subscriber’s the authorized carrier at the rates the bill pending a determination of wheth- subscriber was paying to the author- er an unauthorized change, as defined ized carrier at the time of the unau- by § 64.1100(e), has occurred, if it has thorized change in accordance with the not already done so. provisions of § 64.1160(e). (d) Proof of verification. Not more (2) If the subscriber has already paid than 30 days after notification of the charges to the unauthorized carrier, complaint, or such lesser time as is re- and the authorized carrier receives quired by the state commission if a payment from the unauthorized carrier matter is brought before a state com- as provided for in paragraph (a) of this mission, the alleged unauthorized car- section, the authorized carrier shall re- rier shall provide to the relevant gov- fund or credit to the subscriber any ernment agency a copy of any valid amounts determined in accordance proof of verification of the carrier with the provisions of § 64.1170(c). change. This proof of verification must (3) If the subscriber has been absolved contain clear and convincing evidence of liability as prescribed by this sec- of a valid authorized carrier change, as tion, the unauthorized carrier shall that term is defined in §§ 64.1120 also be liable to the subscriber for any through 64.1130. The relevant govern- charge required to return the sub- mental agency will determine whether scriber to his or her properly author- an unauthorized change, as defined by ized carrier, if applicable. § 64.1100(e), has occurred using such [65 FR 47691, Aug. 3, 2000] proof and any evidence supplied by the subscriber. Failure by the carrier to re- § 64.1150 Procedures for resolution of spond or provide proof of verification unauthorized changes in preferred will be presumed to be clear and con- carrier. vincing evidence of a violation. (a) Notification of alleged unauthorized (e) Election of forum. The Federal carrier change. Executing carriers who Communications Commission will not are informed of an unauthorized carrier adjudicate a complaint filed pursuant change by a subscriber must imme- to § 1.719 or §§ 1.720 through 1.736 of this diately notify both the authorized and chapter, involving an alleged unauthor- allegedly unauthorized carrier of the ized change, as defined by § 64.1100(e),

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while a complaint based on the same providing such subscriber with a rea- set of facts is pending with a state sonable opportunity to demonstrate commission. that the requisite complaint was timely filed within the 30-day period de- [65 FR 47692, Aug. 3, 2000, as amended at 68 FR 19159, Apr. 18, 2003; 73 FR 13149, Mar. 12, scribed in this paragraph. 2008] (d) If the relevant governmental agency determines after reasonable in- § 64.1160 Absolution procedures where vestigation that an unauthorized the subscriber has not paid change, as defined by § 64.1100(e), has charges. occurred, an order shall be issued pro- (a) This section shall only apply after viding that the subscriber is entitled to a subscriber has determined that an absolution from the charges incurred unauthorized change, as defined by during the first 30 days after the unau- § 64.1100(e), has occurred and the sub- thorized carrier change occurred, and scriber has not paid charges to the al- neither the authorized or unauthorized legedly unauthorized carrier for service carrier may pursue any collection provided for 30 days, or a portion there- against the subscriber for those of, after the unauthorized change oc- charges. curred. (e) The Federal Communications (b) An allegedly unauthorized carrier Commission will not adjudicate a com- shall remove all charges incurred for plaint filed pursuant to §§ 1.719 or service provided during the first 30 §§ 1.720–1.740 of this chapter, involving days after the alleged unauthorized an alleged unauthorized change, as de- change occurred, as defined by fined by § 64.1100(e), while a complaint § 64.1100(e), from a subscriber’s bill based on the same set of facts is pend- upon notification that such unauthor- ing with a state commission. ized change is alleged to have occurred. (f) If the unauthorized carrier re- (c) An allegedly unauthorized carrier ceived payment from the subscriber for may challenge a subscriber’s allegation services provided after the first 30 days that an unauthorized change, as de- after the unauthorized change oc- fined by § 64.1100(e), occurred. An alleg- curred, the obligations for payments edly unauthorized carrier choosing to and refunds provided for in § 64.1170 challenge such allegation shall imme- shall apply to those payments. If the diately notify the complaining sub- relevant governmental agency deter- scriber that: The complaining sub- mines after reasonable investigation scriber must file a complaint with a that the carrier change was authorized, State commission that has opted to ad- the carrier may re-bill the subscriber minister the FCC’s rules, pursuant to for charges incurred. § 64.1110, or the FCC within 30 days of (g) When a LEC has assigned a sub- either the date of removal of charges scriber to a carrier without authoriza- from the complaining subscriber’s bill tion, and where the subscriber has not in accordance with paragraph (b) of paid the unauthorized charges, the LEC this section, or the date the allegedly shall switch the subscriber to the de- unauthorized carrier notifies the com- sired carrier at no cost to the sub- plaining subscriber of the requirements scriber, and shall also secure the re- of this paragraph, whichever is later; moval of the unauthorized charges and a failure to file such a complaint from the subscriber’s bill in accordance within this 30-day time period will re- with the procedures specified in para- sult in the charges removed pursuant graphs (a) through (f) of this section. to paragraph (b) of this section being [65 FR 47692, Aug. 3, 2000, as amended at 68 reinstated on the subscriber’s bill and, FR 19159, Apr. 18, 2003; 73 FR 13149, Mar. 12, consequently, the complaining sub- 2008; 83 FR 44843, Sept. 4, 2018] scriber will only be entitled to remedies for the alleged unauthorized § 64.1170 Reimbursement procedures change other than those provided for in where the subscriber has paid § 64.1140(b)(1). No allegedly unauthor- charges. ized carrier shall reinstate charges to a (a) The procedures in this section subscriber’s bill pursuant to the provi- shall only apply after a subscriber has sions of this paragraph without first determined that an unauthorized

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change, as defined by § 64.1100(e), has forward to it the appropriate charges, occurred and the subscriber has paid and also inform the subscriber of his or charges to an allegedly unauthorized her right to pursue a claim against the carrier. unauthorized carrier for a refund of all (b) If the relevant governmental charges paid to the unauthorized car- agency determines after reasonable in- rier. vestigation that an unauthorized (f) Where possible, the properly au- change, as defined by § 64.1100(e), has thorized carrier must reinstate the occurred, it shall issue an order direct- subscriber in any premium program in ing the unauthorized carrier to forward which that subscriber was enrolled to the authorized carrier the following, prior to the unauthorized change, if the in addition to any appropriate state subscriber’s participation in that pro- remedies: gram was terminated because of the (1) An amount equal to 150% of all unauthorized change. If the subscriber charges paid by the subscriber to the has paid charges to the unauthorized unauthorized carrier; and carrier, the properly authorized carrier (2) Copies of any telephone bills shall also provide or restore to the sub- issued from the unauthorized carrier to scriber any premiums to which the sub- the subscriber. This order shall be sent scriber would have been entitled had to the subscriber, the unauthorized the unauthorized change not occurred. carrier, and the authorized carrier. The authorized carrier must comply (c) Within ten days of receipt of the with the requirements of this section amount provided for in paragraph (b)(1) regardless of whether it is able to re- of this section, the authorized carrier cover from the unauthorized carrier shall provide a refund or credit to the any charges that were paid by the sub- subscriber in the amount of 50% of all scriber. charges paid by the subscriber to the (g) When a LEC has assigned a sub- unauthorized carrier. The subscriber scriber to a non-affiliated carrier with- has the option of asking the authorized out authorization, and when a sub- carrier to re-rate the unauthorized car- scriber has paid the non-affiliated carrier’s charges based on the rates of the rier the charges for the billed service, authorized carrier and, on behalf of the the LEC shall reimburse the subscriber subscriber, seek an additional refund for all charges paid by the subscriber from the unauthorized carrier, to the to the unauthorized carrier and shall extent that the re-rated amount ex- switch the subscriber to the desired ceeds the 50% of all charges paid by the carrier at no cost to the subscriber. subscriber to the unauthorized carrier. When a LEC makes an unauthorized The authorized carrier shall also send carrier change to an affiliated carrier, notice to the relevant governmental and when the customer has paid the agency that it has given a refund or charges, the LEC must pay to the au- credit to the subscriber. thorized carrier 150% of the amounts (d) If an authorized carrier incurs collected from the subscriber in ac- billing and collection expenses in col- cordance with paragraphs (a) through lecting charges from the unauthorized (f) of this section. carrier, the unauthorized carrier shall [65 FR 47693, Aug. 3, 2000, as amended at 68 reimburse the authorized carrier for FR 19159, Apr. 18, 2003] reasonable expenses. (e) If the authorized carrier has not § 64.1190 Preferred carrier freezes. received payment from the unauthor- (a) A preferred carrier freeze (or ized carrier as required by paragraph freeze) prevents a change in a sub- (c) of this section, the authorized car- scriber’s preferred carrier selection un- rier is not required to provide any re- less the subscriber gives the carrier fund or credit to the subscriber. The from whom the freeze was requested authorized carrier must, within 45 days his or her express consent. All local ex- of receiving an order as described in change carriers who offer preferred car- paragraph (b) of this section, inform rier freezes must comply with the pro- the subscriber and the relevant govern- visions of this section. mental agency that issued the order if (b) All local exchange carriers who the unauthorized carrier has failed to offer preferred carrier freezes shall

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offer freezes on a nondiscriminatory freeze orders electronically shall estab- basis to all subscribers, regardless of lish one or more toll-free telephone the subscriber’s carrier selections. numbers exclusively for that purpose. (c) Preferred carrier freeze proce- Calls to the number(s) will connect a dures, including any solicitation, must subscriber to a voice response unit, or clearly distinguish among tele- similar mechanism that records the re- communications services (e.g., local quired information regarding the pre- exchange, intraLATA toll, and ferred carrier freeze request, including interLATA toll) subject to a preferred automatically recording the origi- carrier freeze. The carrier offering the nating automatic numbering identi- freeze must obtain separate authoriza- fication; or tion for each service for which a pre- (iii) An appropriately qualified inde- ferred carrier freeze is requested. pendent third party has obtained the (d) Solicitation and imposition of pre- subscriber’s oral authorization to sub- ferred carrier freezes. (1) All carrier-pro- mit the preferred carrier freeze and vided solicitation and other materials regarding preferred carrier freezes confirmed the appropriate verification must include: data (e.g., the subscriber’s date of birth (i) An explanation, in clear and neu- or social security number) and the in- tral language, of what a preferred car- formation required in rier freeze is and what services may be § 64.1190(d)(3)(ii)(A) through (D). The subject to a freeze; independent third party must not be (ii) A description of the specific pro- owned, managed, or directly controlled cedures necessary to lift a preferred by the carrier or the carrier’s mar- carrier freeze; an explanation that keting agent; must not have any finan- these steps are in addition to the Com- cial incentive to confirm preferred car- mission’s verification rules in §§ 64.1120 rier freeze requests for the carrier or and 64.1130 for changing a subscriber’s the carrier’s marketing agent; and preferred carrier selections; and an ex- must operate in a location physically planation that the subscriber will be separate from the carrier or the car- unable to make a change in carrier se- rier’s marketing agent. The content of lection unless he or she lifts the freeze. the verification must include clear and (iii) An explanation of any charges conspicuous confirmation that the sub- associated with the preferred carrier scriber has authorized a preferred car- freeze. rier freeze. (2) No local exchange carrier shall (3) Written authorization to impose a implement a preferred carrier freeze preferred carrier freeze. A local exchange unless the subscriber’s request to im- carrier may accept a subscriber’s writ- pose a freeze has first been confirmed ten and signed authorization to impose in accordance with one of the following a freeze on his or her preferred carrier procedures: selection. Written authorization that (i) The local exchange carrier has ob- does not conform with this section is tained the subscriber’s written or elec- invalid and may not be used to impose tronically signed authorization in a a preferred carrier freeze. form that meets the requirements of § 64.1190(d)(3); or (i) The written authorization shall (ii) The local exchange carrier has comply with §§ 64.1130(b), (c), and (h) of obtained the subscriber’s electronic au- the Commission’s rules concerning the thorization, placed from the telephone form and content for letters of agency. number(s) on which the preferred car- (ii) At a minimum, the written au- rier freeze is to be imposed, to impose thorization must be printed with a a preferred carrier freeze. The elec- readable type of sufficient size to be tronic authorization should confirm clearly legible and must contain clear appropriate verification data (e.g., the and unambiguous language that con- subscriber’s date of birth or social se- firms: curity number) and the information re- (A) The subscriber’s billing name and quired in §§ 64.1190(d)(3)(ii)(A) through address and the telephone number(s) to (D). Telecommunications carriers be covered by the preferred carrier electing to confirm preferred carrier freeze;

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(B) The decision to place a preferred scribed in paragraphs (c) and (g) of this carrier freeze on the telephone num- section. Any telecommunications car- ber(s) and particular service(s). To the rier already providing interstate tele- extent that a jurisdiction allows the communications service on the effec- imposition of preferred carrier freezes tive date of these rules shall submit on additional preferred carrier selec- the relevant portion of its FCC Form tions (e.g., for local exchange, 499–A in accordance with paragraphs intraLATA toll, and interLATA toll), (b) and (c) of this section. the authorization must contain sepa- (b) Information required for purposes of rate statements regarding the par- part 64. A telecommunications carrier ticular selections to be frozen; that is subject to the registration re- (C) That the subscriber understands quirement pursuant to paragraph (a) of that she or he will be unable to make this section shall provide the following a change in carrier selection unless she information: or he lifts the preferred carrier freeze; (1) The carrier’s business name(s) and and primary address; (D) That the subscriber understands (2) The names and business addresses that any preferred carrier freeze may of the carrier’s chief executive officer, involve a charge to the subscriber. chairman, and president, or, in the (e) Procedures for lifting preferred car- event that a company does not have rier freezes. All local exchange carriers such executives, three similarly senior- who offer preferred carrier freezes level officials of the company; must, at a minimum, offer subscribers (3) The carrier’s regulatory contact the following procedures for lifting a and/or designated agent; preferred carrier freeze: (4) All names that the carrier has (1) A local exchange carrier admin- used in the past; and istering a preferred carrier freeze must (5) The state(s) in which the carrier accept a subscriber’s written or elec- provides telecommunications service. tronically signed authorization stating (c) Submission of registration. A carrier his or her intent to lift a preferred car- that is subject to the registration re- rier freeze; and quirement pursuant to paragraph (a) of (2) A local exchange carrier admin- this section shall submit the informa- istering a preferred carrier freeze must tion described in paragraph (b) of this accept a subscriber’s oral authorization section in accordance with the Instruc- stating her or his intent to lift a pre- tions to FCC Form 499–A. FCC Form ferred carrier freeze and must offer a 499–A must be submitted under oath mechanism that allows a submitting and penalty of perjury. carrier to conduct a three-way con- (d) Rejection of registration. The Com- ference call with the carrier admin- mission may reject or suspend a car- istering the freeze and the subscriber rier’s registration for any of the rea- in order to lift a freeze. When engaged sons identified in paragraphs (e) or (f) in oral authorization to lift a preferred of this section. carrier freeze, the carrier admin- (e) Revocation or suspension of oper- istering the freeze shall confirm appro- ating authority. After notice and oppor- priate verification data (e.g., the sub- tunity to respond, the Commission scriber’s date of birth or social security may revoke or suspend the authoriza- number) and the subscriber’s intent to tion of a carrier to provide service if lift the particular freeze. the carrier provides materially false or [64 FR 7762, Feb. 16, 1999, as amended at 66 incomplete information in its FCC FR 12893, Mar. 1, 2001; 73 FR 13150, Mar. 12, Form 499–A or otherwise fails to com- 2008] ply with paragraphs (a), (b), and (c) of this section. § 64.1195 Registration requirement. (f) Imposition of fine. After notice and (a) Applicability. A telecommuni- opportunity to respond, the Commis- cations carrier that will provide inter- sion may impose a fine on a carrier state telecommunications service shall that is subject to the registration re- file the registration information de- quirement pursuant to paragraph (a) of scribed in paragraph (b) of this section this section if that carrier fails to sub- in accordance with the procedures de- mit an FCC Form 499–A in accordance

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with paragraphs (a), (b), and (c) of this health care facility, elderly home, or section. similar establishment; or (g) Changes in information. A carrier (iii) To any telephone number as- must notify the Commission of any signed to a paging service, cellular changes to the information provided telephone service, specialized mobile pursuant to paragraph (b) of this sec- radio service, or other radio common tion within no more than one week of carrier service, or any service for the change. Carriers may satisfy this which the called party is charged for requirement by filing the relevant por- the call. tion of FCC Form 499–A in accordance (iv) A person will not be liable for with the Instructions to such form. violating the prohibition in paragraph (h) Duty to confirm registration of other (a)(1)(iii) of this section when the call carriers. The Commission shall make is placed to a wireless number that has available to the public a comprehen- been ported from wireline service and sive listing of registrants and the infor- such call is a voice call; not knowingly mation that they have provided pursu- made to a wireless number; and made ant to paragraph (b) of this section. A within 15 days of the porting of the telecommunications carrier providing number from wireline to wireless serv- telecommunications service for resale ice, provided the number is not already shall have an affirmative duty to ascer- on the national do-not-call registry or tain whether a potential carrier-cus- caller’s company-specific do-not-call tomer (i.e., reseller) that is subject to list. the registration requirement pursuant (2) Initiate, or cause to be initiated, to paragraph (a) of this section has any telephone call that includes or in- filed an FCC Form 499–A with the Com- troduces an advertisement or con- mission prior to offering service to stitutes telemarketing, using an auto- that carrier-customer. After notice and matic telephone dialing system or an opportunity to respond, the Commis- artificial or prerecorded voice, to any sion may impose a fine on a carrier for of the lines or telephone numbers de- failure to confirm the registration sta- scribed in paragraphs (a)(1)(i) through tus of a potential carrier-customer be- (iii) of this section, other than a call fore providing that carrier-customer made with the prior express written with service. consent of the called party or the prior [66 FR 12894, Mar. 1, 2001] express consent of the called party when the call is made by or on behalf of a tax-exempt nonprofit organization, Subpart L—Restrictions on Tele- or a call that delivers a ‘‘health care’’ marketing, Telephone Solici- message made by, or on behalf of, a tation, and Facsimile Adver- ‘‘covered entity’’ or its ‘‘business asso- tising ciate,’’ as those terms are defined in the HIPAA Privacy Rule, 45 CFR § 64.1200 Delivery restrictions. 160.103. (a) No person or entity may: (3) Initiate any telephone call to any (1) Except as provided in paragraph residential line using an artificial or (a)(2) of this section, initiate any tele- prerecorded voice to deliver a message phone call (other than a call made for without the prior express written con- emergency purposes or is made with sent of the called party, unless the call; the prior express consent of the called (i) Is made for emergency purposes; party) using an automatic telephone (ii) Is not made for a commercial pur- dialing system or an artificial or pose; prerecorded voice; (iii) Is made for a commercial pur- (i) To any emergency telephone line, pose but does not include or introduce including any 911 line and any emer- an advertisement or constitute tele- gency line of a hospital, medical physi- marketing; cian or service office, health care facil- (iv) Is made by or on behalf of a tax- ity, poison control center, or fire pro- exempt nonprofit organization; or tection or law enforcement agency; (v) Delivers a ‘‘health care’’ message (ii) To the telephone line of any guest made by, or on behalf of, a ‘‘covered en- room or patient room of a hospital, tity’’ or its ‘‘business associate,’’ as

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those terms are defined in the HIPAA (A) The notice is clear and con- Privacy Rule, 45 CFR 160.103. spicuous and on the first page of the (4) Use a telephone facsimile ma- advertisement; chine, computer, or other device to (B) The notice states that the recipi- send an unsolicited advertisement to a ent may make a request to the sender telephone facsimile machine, unless— of the advertisement not to send any (i) The unsolicited advertisement is future advertisements to a telephone from a sender with an established busi- facsimile machine or machines and ness relationship, as defined in para- that failure to comply, within 30 days, graph (f)(6) of this section, with the re- with such a request meeting the recipient; and quirements under paragraph (a)(4)(v) of this section is unlawful; (ii) The sender obtained the number (C) The notice sets forth the require- of the telephone facsimile machine ments for an opt-out request under through— paragraph (a)(4)(v) of this section; (A) The voluntary communication of (D) The notice includes— such number by the recipient directly (1) A domestic contact telephone to the sender, within the context of number and facsimile machine number such established business relationship; for the recipient to transmit such a re- or quest to the sender; and (B) A directory, advertisement, or (2) If neither the required telephone site on the Internet to which the re- number nor facsimile machine number cipient voluntarily agreed to make is a toll-free number, a separate cost- available its facsimile number for pub- free mechanism including a Web site lic distribution. If a sender obtains the address or email address, for a recipi- facsimile number from the recipient’s ent to transmit a request pursuant to own directory, advertisement, or Inter- such notice to the sender of the adver- net site, it will be presumed that the tisement. A local telephone number number was voluntarily made available also shall constitute a cost-free mecha- for public distribution, unless such ma- nism so long as recipients are local and terials explicitly note that unsolicited will not incur any long distance or advertisements are not accepted at the other separate charges for calls made specified facsimile number. If a sender to such number; and obtains the facsimile number from (E) The telephone and facsimile num- other sources, the sender must take bers and cost-free mechanism identi- reasonable steps to verify that the re- fied in the notice must permit an indi- cipient agreed to make the number vidual or business to make an opt-out available for public distribution. request 24 hours a day, 7 days a week. (iv) A request not to send future un- (C) This clause shall not apply in the solicited advertisements to a telephone case of an unsolicited advertisement facsimile machine complies with the that is sent based on an established requirements under this subparagraph business relationship with the recipi- only if— ent that was in existence before July 9, (A) The request identifies the tele- 2005 if the sender also possessed the phone number or numbers of the tele- facsimile machine number of the re- phone facsimile machine or machines cipient before July 9, 2005. There shall to which the request relates; be a rebuttable presumption that if a (B) The request is made to the tele- valid established business relationship phone number, facsimile number, Web was formed prior to July 9, 2005, the site address or email address identified sender possessed the facsimile number in the sender’s facsimile advertise- prior to such date as well; and ment; and (iii) The advertisement contains a (C) The person making the request notice that informs the recipient of the has not, subsequent to such request, ability and means to avoid future unso- provided express invitation or permis- licited advertisements. A notice con- sion to the sender, in writing or other- tained in an advertisement complies wise, to send such advertisements to with the requirements under this para- such person at such telephone facsimile graph only if— machine.

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(v) A sender that receives a request closing that the call was for ‘‘tele- not to send future unsolicited adver- marketing purposes’’ and states the tisements that complies with para- name of the business, entity, or indi- graph (a)(4)(v) of this section must vidual on whose behalf the call was honor that request within the shortest placed, and a telephone number for reasonable time from the date of such such business, entity, or individual request, not to exceed 30 days, and is that permits the called person to make prohibited from sending unsolicited ad- a do-not-call request during regular vertisements to the recipient unless business hours for the duration of the the recipient subsequently provides telemarketing campaign; provided, prior express invitation or permission that, such telephone number may not to the sender. The recipient’s opt-out be a 900 number or any other number request terminates the established for which charges exceed local or long business relationship exemption for distance transmission charges, and purposes of sending future unsolicited (B) An automated, interactive voice- advertisements. If such requests are re- and/or key press-activated opt-out corded or maintained by a party other mechanism that enables the called per- than the sender on whose behalf the son to make a do-not-call request prior unsolicited advertisement is sent, the to terminating the call, including brief sender will be liable for any failures to explanatory instructions on how to use honor the opt-out request. such mechanism. When the called per- (vi) A facsimile broadcaster will be son elects to opt-out using such mecha- liable for violations of paragraph (a)(4) nism, the mechanism must automati- of this section, including the inclusion cally record the called person’s number of opt-out notices on unsolicited adver- to the seller’s do-not-call list and im- tisements, if it demonstrates a high de- mediately terminate the call. gree of involvement in, or actual no- (ii) A call for telemarketing purposes tice of, the unlawful activity and fails that delivers an artificial or to take steps to prevent such facsimile prerecorded voice message to a residen- transmissions. tial telephone line or to any of the (5) Use an automatic telephone dial- lines or telephone numbers described in ing system in such a way that two or paragraphs (a)(1)(i) through (iii) of this more telephone lines of a multi-line section after the subscriber to such business are engaged simultaneously. line has granted prior express written (6) Disconnect an unanswered tele- consent for the call to be made shall marketing call prior to at least 15 sec- not be considered an abandoned call if onds or four (4) rings. the message begins within two (2) sec- (7) Abandon more than three percent onds of the called person’s completed of all telemarketing calls that are an- greeting. swered live by a person, as measured (iii) The seller or telemarketer must over a 30-day period for a single calling maintain records establishing compli- campaign. If a single calling campaign ance with paragraph (a)(7) of this sec- exceeds a 30-day period, the abandon- tion. ment rate shall be calculated sepa- (iv) Calls made by or on behalf of tax- rately for each successive 30-day period exempt nonprofit organizations are not or portion thereof that such calling covered by this paragraph (a)(7). campaign continues. A call is ‘‘aban- (8) Use any technology to dial any doned’’ if it is not connected to a live telephone number for the purpose of sales representative within two (2) sec- determining whether the line is a fac- onds of the called person’s completed simile or voice line. greeting. (b) All artificial or prerecorded voice (i) Whenever a live sales representa- telephone messages shall: tive is not available to speak with the (1) At the beginning of the message, person answering the call, within two state clearly the identity of the busi- (2) seconds after the called person’s ness, individual, or other entity that is completed greeting, the telemarketer responsible for initiating the call. If a or the seller must provide: business is responsible for initiating (A) A prerecorded identification and the call, the name under which the en- opt-out message that is limited to dis- tity is registered to conduct business

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with the State Corporation Commis- (2) A residential telephone subscriber sion (or comparable regulatory author- who has registered his or her telephone ity) must be stated; number on the national do-not-call reg- (2) During or after the message, state istry of persons who do not wish to re- clearly the telephone number (other ceive telephone solicitations that is than that of the autodialer or maintained by the Federal Govern- prerecorded message player that placed ment. Such do-not-call registrations the call) of such business, other entity, must be honored indefinitely, or until or individual. The telephone number the registration is cancelled by the provided may not be a 900 number or consumer or the telephone number is any other number for which charges removed by the database adminis- exceed local or long distance trans- trator. Any person or entity making mission charges. For telemarketing telephone solicitations (or on whose be- messages to residential telephone sub- half telephone solicitations are made) scribers, such telephone number must will not be liable for violating this re- permit any individual to make a do- quirement if: not-call request during regular busi- (i) It can demonstrate that the viola- ness hours for the duration of the tele- tion is the result of error and that as marketing campaign; and part of its routine business practice, it (3) In every case where the artificial meets the following standards: or prerecorded voice telephone message (A) Written procedures. It has estab- includes or introduces an advertise- lished and implemented written proce- ment or constitutes telemarketing and dures to comply with the national do- is delivered to a residential telephone not-call rules; line or any of the lines or telephone (B) Training of personnel. It has numbers described in paragraphs trained its personnel, and any entity (a)(1)(i) through (iii), provide an auto- assisting in its compliance, in proce- mated, interactive voice- and/or key dures established pursuant to the na- press-activated opt-out mechanism for tional do-not-call rules; the called person to make a do-not-call (C) Recording. It has maintained and request, including brief explanatory in- recorded a list of telephone numbers structions on how to use such mecha- that the seller may not contact; nism, within two (2) seconds of pro- (D) Accessing the national do-not- viding the identification information call database. It uses a process to pre- required in paragraph (b)(1) of this sec- vent telephone solicitations to any tion. When the called person elects to telephone number on any list estab- opt out using such mechanism, the lished pursuant to the do-not-call rules, employing a version of the na- mechanism, must automatically record tional do-not-call registry obtained the called person’s number to the sell- from the administrator of the registry er’s do-not-call list and immediately no more than 31 days prior to the date terminate the call. When the artificial any call is made, and maintains or prerecorded voice telephone message records documenting this process. is left on an answering machine or a voice mail service, such message must NOTE TO PARAGRAPH (c)(2)(i)(D): The re- also provide a toll free number that en- quirement in paragraph 64.1200(c)(2)(i)(D) for ables the called person to call back at persons or entities to employ a version of the a later time and connect directly to national do-not-call registry obtained from the administrator no more than 31 days prior the automated, interactive voice- and/ to the date any call is made is effective Jan- or key press-activated opt-out mecha- uary 1, 2005. Until January 1, 2005, persons or nism and automatically record the entities must continue to employ a version called person’s number to the seller’s of the registry obtained from the adminis- do-not-call list. trator of the registry no more than three (c) No person or entity shall initiate months prior to the date any call is made. any telephone solicitation to: (E) Purchasing the national do-not- (1) Any residential telephone sub- call database. It uses a process to en- scriber before the hour of 8 a.m. or sure that it does not sell, rent, lease, after 9 p.m. (local time at the called purchase or use the national do-not- party’s location), or call database, or any part thereof, for

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any purpose except compliance with whose behalf such calls are made) must this section and any such state or fed- honor a residential subscriber’s do-not- eral law to prevent telephone solicita- call request within a reasonable time tions to telephone numbers registered from the date such request is made. on the national database. It purchases This period may not exceed thirty days access to the relevant do-not-call data from the date of such request. If such from the administrator of the national requests are recorded or maintained by database and does not participate in a party other than the person or entity any arrangement to share the cost of on whose behalf the telemarketing call accessing the national database, in- is made, the person or entity on whose cluding any arrangement with tele- behalf the telemarketing call is made marketers who may not divide the will be liable for any failures to honor costs to access the national database the do-not-call request. A person or en- among various client sellers; or tity making a call for telemarketing (ii) It has obtained the subscriber’s purposes must obtain a consumer’s prior express invitation or permission. prior express permission to share or Such permission must be evidenced by forward the consumer’s request not to a signed, written agreement between be called to a party other than the per- the consumer and seller which states son or entity on whose behalf a tele- that the consumer agrees to be con- marketing call is made or an affiliated tacted by this seller and includes the entity. telephone number to which the calls (4) Identification of sellers and tele- may be placed; or marketers. A person or entity making a (iii) The telemarketer making the call for telemarketing purposes must call has a personal relationship with provide the called party with the name the recipient of the call. of the individual caller, the name of (d) No person or entity shall initiate the person or entity on whose behalf any call for telemarketing purposes to the call is being made, and a telephone a residential telephone subscriber un- number or address at which the person less such person or entity has insti- or entity may be contacted. The tele- tuted procedures for maintaining a list phone number provided may not be a of persons who request not to receive 900 number or any other number for telemarketing calls made by or on be- which charges exceed local or long dis- half of that person or entity. The pro- tance transmission charges. cedures instituted must meet the fol- (5) Affiliated persons or entities. In the lowing minimum standards: absence of a specific request by the (1) Written policy. Persons or entities subscriber to the contrary, a residen- making calls for telemarketing pur- tial subscriber’s do-not-call request poses must have a written policy, shall apply to the particular business available upon demand, for maintain- entity making the call (or on whose being a do-not-call list. half a call is made), and will not apply (2) Training of personnel engaged in to affiliated entities unless the con- telemarketing. Personnel engaged in any sumer reasonably would expect them aspect of telemarketing must be in- to be included given the identification formed and trained in the existence of the caller and the product being ad- and use of the do-not-call list. vertised. (3) Recording, disclosure of do-not-call (6) Maintenance of do-not-call lists. A requests. If a person or entity making a person or entity making calls for tele- call for telemarketing purposes (or on marketing purposes must maintain a whose behalf such a call is made) re- record of a consumer’s request not to ceives a request from a residential tele- receive further telemarketing calls. A phone subscriber not to receive calls do-not-call request must be honored for from that person or entity, the person 5 years from the time the request is or entity must record the request and made. place the subscriber’s name, if pro- (7) Tax-exempt nonprofit organiza- vided, and telephone number on the do- tions are not required to comply with not-call list at the time the request is 64.1200(d). made. Persons or entities making calls (e) The rules set forth in paragraph for telemarketing purposes (or on (c) and (d) of this section are applicable

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to any person or entity making tele- (ii) The subscriber’s established busi- phone solicitations or telemarketing ness relationship with a particular calls to wireless telephone numbers to business entity does not extend to af- the extent described in the Commis- filiated entities unless the subscriber sion’s Report and Order, CG Docket No. would reasonably expect them to be in- 02–278, FCC 03–153, ‘‘Rules and Regula- cluded given the nature and type of tions Implementing the Telephone goods or services offered by the affil- Consumer Protection Act of 1991.’’ iate and the identity of the affiliate. (f) As used in this section: (6) The term established business rela- (1) The term advertisement means any tionship for purposes of paragraph (a)(4) material advertising the commercial of this section on the sending of fac- availability or quality of any property, simile advertisements means a prior or goods, or services. existing relationship formed by a vol- (2) The terms automatic telephone dial- untary two-way communication being system and autodialer mean equip- tween a person or entity and a business ment which has the capacity to store or residential subscriber with or with- or produce telephone numbers to be out an exchange of consideration, on called using a random or sequential the basis of an inquiry, application, number generator and to dial such purchase or transaction by the busi- numbers. ness or residential subscriber regarding (3) The term clear and conspicuous products or services offered by such means a notice that would be apparent person or entity, which relationship to the reasonable consumer, separate has not been previously terminated by and distinguishable from the adver- either party. tising copy or other disclosures. With (7) The term facsimile broadcaster respect to facsimiles and for purposes means a person or entity that trans- of paragraph (a)(4)(iii)(A) of this sec- mits messages to telephone facsimile tion, the notice must be placed at ei- machines on behalf of another person ther the top or bottom of the facsimile. or entity for a fee. (4) The term emergency purposes (8) The term prior express written con- means calls made necessary in any sit- sent means an agreement, in writing, uation affecting the health and safety bearing the signature of the person of consumers. called that clearly authorizes the seller (5) The term established business rela- to deliver or cause to be delivered to tionship for purposes of telephone so- the person called advertisements or licitations means a prior or existing re- telemarketing messages using an auto- lationship formed by a voluntary two- matic telephone dialing system or an way communication between a person artificial or prerecorded voice, and the or entity and a residential subscriber telephone number to which the signa- with or without an exchange of consid- tory authorizes such advertisements or eration, on the basis of the subscriber’s telemarketing messages to be deliv- purchase or transaction with the enti- ered. ty within the eighteen (18) months im- (i) The written agreement shall in- mediately preceding the date of the clude a clear and conspicuous disclo- telephone call or on the basis of the sure informing the person signing that: subscriber’s inquiry or application re- (A) By executing the agreement, such garding products or services offered by person authorizes the seller to deliver the entity within the three months im- or cause to be delivered to the signa- mediately preceding the date of the tory telemarketing calls using an auto- call, which relationship has not been matic telephone dialing system or an previously terminated by either party. artificial or prerecorded voice; and (i) The subscriber’s seller-specific do- (B) The person is not required to sign not-call request, as set forth in para- the agreement (directly or indirectly), graph (d)(3) of this section, terminates or agree to enter into such an agree- an established business relationship for ment as a condition of purchasing any purposes of telemarketing and tele- property, goods, or services. phone solicitation even if the sub- (ii) The term ‘‘signature’’ shall in- scriber continues to do business with clude an electronic or digital form of the seller. signature, to the extent that such form

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of signature is recognized as a valid that person’s prior express invitation signature under applicable federal law or permission, in writing or otherwise. or state contract law. (16) The term personal relationship (9) The term seller means the person means any family member, friend, or or entity on whose behalf a telephone acquaintance of the telemarketer mak- call or message is initiated for the pur- ing the call. pose of encouraging the purchase or (g) Beginning January 1, 2004, com- rental of, or investment in, property, mon carriers shall: goods, or services, which is transmitted (1) When providing local exchange to any person. service, provide an annual notice, via (10) The term sender for purposes of an insert in the subscriber’s bill, of the paragraph (a)(4) of this section means right to give or revoke a notification of the person or entity on whose behalf a an objection to receiving telephone so- facsimile unsolicited advertisement is licitations pursuant to the national do- sent or whose goods or services are ad- not-call database maintained by the vertised or promoted in the unsolicited federal government and the methods by advertisement. which such rights may be exercised by (11) The term telemarketer means the the subscriber. The notice must be person or entity that initiates a tele- clear and conspicuous and include, at a phone call or message for the purpose minimum, the Internet address and of encouraging the purchase or rental toll-free number that residential tele- of, or investment in, property, goods, phone subscribers may use to register or services, which is transmitted to on the national database. any person. (2) When providing service to any (12) The term telemarketing means the initiation of a telephone call or mes- person or entity for the purpose of sage for the purpose of encouraging the making telephone solicitations, make purchase or rental of, or investment in, a one-time notification to such person property, goods, or services, which is or entity of the national do-not-call re- transmitted to any person. quirements, including, at a minimum, citation to 47 CFR 64.1200 and 16 CFR (13) The term telephone facsimile ma- 310. Failure to receive such notification chine means equipment which has the capacity to transcribe text or images, will not serve as a defense to any per- or both, from paper into an electronic son or entity making telephone solici- signal and to transmit that signal over tations from violations of this section. a regular telephone line, or to tran- (h) The administrator of the national scribe text or images (or both) from an do-not-call registry that is maintained electronic signal received over a reg- by the federal government shall make ular telephone line onto paper. the telephone numbers in the database (14) The term telephone solicitation available to the States so that a State means the initiation of a telephone call may use the telephone numbers that or message for the purpose of encour- relate to such State as part of any aging the purchase or rental of, or in- database, list or listing system main- vestment in, property, goods, or serv- tained by such State for the regulation ices, which is transmitted to any per- of telephone solicitations. son, but such term does not include a (i)–(j) [Reserved] call or message: (k) Voice service providers may block (i) To any person with that person’s calls so that they do not reach a called prior express invitation or permission; party as follows: (ii) To any person with whom the (1) A provider may block a voice call caller has an established business rela- when the subscriber to which the origi- tionship; or nating number is assigned has re- (iii) By or on behalf of a tax-exempt quested that calls purporting to origi- nonprofit organization. nate from that number be blocked be- (15) The term unsolicited advertisement cause the number is used for inbound means any material advertising the calls only. commercial availability or quality of (2) A provider may block a voice call any property, goods, or services which purporting to originate from any of the is transmitted to any person without following:

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(i) A North American Numbering Forms 477, aggregated over all the pro- Plan number that is not valid; viders’ affiliates, must begin keeping (ii) A valid North American Num- the records required by paragraph (l)(1) bering Plan number that is not allo- of this section six months after the ef- cated to a provider by the North Amer- fective date for large providers and ican Numbering Plan Administrator or must begin filing the reports required the Pooling Administrator; and by paragraph (l)(2) of this section no (iii) A valid North American Num- later than the 15th day of the month bering Plan number that is allocated to that is six months after the date an- a provider by the North American nounced by the Consumer and Govern- Numbering Plan Administrator or mental Affairs Bureau pursuant to Pooling Administrator, but is unused, paragraph (l)(2). so long as the provider blocking the (m) A person will not be liable for calls is the allocatee of the number and violating the prohibitions in paragraph confirms that the number is unused or (a)(1), (2), or (3) of this section by mak- has obtained verification from the ing a call to a number for which the allocatee that the number is unused at person previously had obtained prior the time of the blocking. express consent of the called party as (3) A provider may not block a voice required in paragraph (a)(1), (2), or (3) call under paragraph (k)(1) or (2) of this but at the time of the call, the number section if the call is an emergency call is not assigned to the subscriber to placed to 911. whom it was assigned at the time such (4) For purposes of this subsection, a prior express consent was obtained if provider may rely on Caller ID infor- the person, bearing the burden of proof mation to determine the purported and persuasion, demonstrates that: originating number without regard to (1) The person, based upon the most whether the call in fact originated recent numbering information reported from that number. to the Administrator pursuant to para- (l) A reporting carrier subject to graph (l) of this section, by querying § 52.15(f) of this title shall: the database operated by the Adminis- (1) Maintain records of the most re- trator and receiving a response of cent date each North American Num- ‘‘no’’, has verified that the number has bering Plan (NANP) telephone number not been permanently disconnected allocated or ported to the reporting since the date prior express consent carrier was permanently disconnected. was obtained as required in paragraph (2) Beginning on the 15th day of the (a)(1), (2), or (3) of this section; and month after the Consumer and Govern- (2) The person’s call to the number mental Affairs Bureau announces that was the result of the database erro- the Administrator is ready to begin ac- neously returning a response of ‘‘no’’ cepting these reports and on the 15th to the person’s query consisting of the day of each month thereafter, report to number for which prior express consent the Administrator the most recent was obtained as required in paragraph date each NANP telephone number al- (a)(1), (2), or (3) of this section and the located to or ported to it was perma- date on which such prior express con- nently disconnected. sent was obtained. (3) For purposes of this paragraph (l), [68 FR 44177, July 25, 2003, as amended at 68 a NANP telephone number has been FR 59131, Oct. 14, 2003; 69 FR 60316, Oct. 8, permanently disconnected when a sub- 2004; 70 FR 19337, Apr. 13, 2005; 71 FR 25977, scriber permanently has relinquished May 3, 2006; 71 FR 56893, Sept. 28, 2006; 71 FR the number, or the provider perma- 75122, Dec. 14, 2006; 73 FR 40185, July 14, 2008; nently has reversed its assignment of 77 FR 34246, June 11, 2012; 83 FR 1577, Jan. 12, 2018; 84 FR 10267, Mar. 20, 2019; 84 FR 11232, the number to the subscriber such that Mar. 26, 2019] the number has been disassociated with the subscriber. A NANP telephone EFFECTIVE DATE NOTE: At 85 FR 56534, number that is ported to another pro- Sept. 14, 2020, § 64.1200 was amended by adding paragraph (f)(17),revising paragraphs (k) vider is not permanently disconnected. introductory text, (k)(3) and (4) and adding (4) Reporting carriers serving 100,000 paragraphs (k)(5) through (8), effective Oct. or fewer domestic retail subscriber 14, 2020. For the convenience of the user, the lines as reported on their most recent added and revised text is set forth as follows:

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§ 64.1200 Delivery restrictions. (7) For purposes of this section, a provider may rely on Caller ID information to deter- * * * * * mine the purported originating number without regard to whether the call, in fact origi- (f) * * * nated from that number. (17) The term effectively mitigate means (8) Any terminating provider blocking pur- identifying the source of the traffic and pre- suant to this subsection must provide a sin- venting that source from continuing to origi- gle point of contact, readily available on the nate traffic of the same or similar nature. terminating provider’s public-facing website, for handling call blocking error complaints * * * * * and must resolve disputes within a reasonable time. When a caller makes a credible (k) Voice service providers may block calls claim of erroneous blocking and the termi- so that they do not reach a called party as nating provider determines that the calls follows: should not have been blocked, the terminating provider must promptly cease block- * * * * * ing calls from that number unless circumstances change. The terminating pro- (3) A terminating provider may block a vider may not impose any charge on callers voice call without liability under the Com- for reporting, investigating, or resolving munications Act or the Commission’s rules blocking error complaints. where: (i) Calls are blocked based on the use of § 64.1201 Restrictions on billing name reasonable analytics designed to identify un- and address disclosure. wanted calls; (ii) Those analytics include consideration (a) As used in this section: of caller ID authentication information (1) The term billing name and address where available; means the name and address provided (iii) A consumer may opt out of blocking to a local exchange company by each of and is provided with sufficient information to make an informed decision; its local exchange customers to which (iv) All analytics are applied in a non-dis- the local exchange company directs criminatory, competitively neutral manner; bills for its services. (v) Blocking services are provided with no (2) The term ‘‘telecommunications additional line-item charge to consumers; service provider’’ means interexchange and carriers, operator service providers, en- (vi) The terminating provider provides, hanced service providers, and any other without charge to the caller, the redress requirements set forth in paragraph (k)(8) of provider of interstate telecommuni- this section. cations services. (4) A provider may block voice calls or (3) The term authorized billing agent cease to accept traffic from an originating or means a third party hired by a tele- intermediate provider without liability communications service provider to under the Communications Act or the Com- perform billing and collection services mission’s rules where the originating or infor the telecommunications service termediate provider, when notified by the Commission, fails to effectively mitigate il- provider. legal traffic within 48 hours or fails to imple- (4) The term bulk basis means billing ment effective measures to prevent new and name and address information for all renewing customers from using its network the local exchange service subscribers to originate illegal calls. Prior to initiating of a local exchange carrier. blocking, the provider shall provide the (5) The term LEC joint use card means Commission with notice and a brief sum- a calling card bearing an account num- mary of the basis for its determination that ber assigned by a local exchange car- the originating or intermediate provider meets one or more of these two conditions rier, used for the services of the local for blocking. exchange carrier and a designated (5) A provider may not block a voice call interexchange carrier, and validated by under paragraphs (k)(1) through (4) of this access to data maintained by the local section if the call is an emergency call exchange carrier. placed to 911. (b) No local exchange carrier pro- (6) A provider may not block calls under viding billing name and address shall paragraphs (k)(1) through (4) of this section unless that provider makes all reasonable ef- disclose billing name and address infor- forts to ensure that calls from public safety mation to any party other than a tele- answering points and government emergency communications service provider or an numbers are not blocked. authorized billing and collection agent

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of a telecommunications service pro- tion, all local exchange carriers provider. viding billing name and address infor- (c)(1) No telecommunications service mation shall notify their subscribers provider or authorized billing and col- with unlisted or nonpublished tele- lection agent of a telecommunications phone numbers that: service provider shall use billing name (i) Customers have a right to request and address information for any pur- that their BNA not be disclosed, and pose other than the following: that customers may prevent BNA dis- (i) Billing customers for using tele- closure for third party and collect calls communications services of that serv- as well as calling card calls; ice provider and collecting amounts (ii) LECs will presume that unlisted due; and nonpublished end users consent to (ii) Any purpose associated with the disclosure and use of their BNA if cus- ‘‘equal access’’ requirement of United tomers do not affirmatively request States v. AT&T 552 F.Supp. 131 (D.D.C. that their BNA not be disclosed; and 1982); and (iii) The presumption in favor of con- (iii) Verification of service orders of sent for disclosure will begin 30 days new customers, identification of cus- after customers receive notice. tomers who have moved to a new ad- (3) No local exchange carrier shall dress, fraud prevention, and similar disclose the billing name and address nonmarketing purposes. information associated with any call- (2) In no case shall any telecommuni- ing card call made by any subscriber cations service provider or authorized who has affirmatively withheld consent billing and collection agent of a tele- for disclosure of BNA information, or communications service provider dis- for any third party or collect call close the billing name and address in- charged to any subscriber who has af- formation of any subscriber to any firmatively withheld consent for dis- third party, except that a tele- closure of BNA information. communications service provider may [53 FR 36145, July 6, 1993, as amended at 58 disclose billing name and address infor- FR 65671, Dec. 16, 1993; 61 FR 8880, Mar. 6, mation to its authorized billing and 1996] collection agent. (d) [Reserved] § 64.1202 Public safety answering (e)(1) All local exchange carriers pro- point do-not-call registry. viding billing name and address infor- (a) As used in this section, the fol- mation shall notify their subscribers lowing terms are defined as: that: (1) Operators of automatic dialing or (i) The subscriber’s billing name and robocall equipment. Any person or enti- address will be disclosed, pursuant to ty who uses an automatic telephone di- Policies and Rules Concerning Local aling system, as defined in section Exchange Carrier Validation and Bill- 227(a)(1) of the Communications Act of ing Information for Joint Use Calling 1934, as amended, to make telephone Cards, CC Docket No. 91–115, FCC 93– calls with such equipment. 254, adopted May 13, 1993, whenever the (2) Public Safety Answering Point subscriber uses a LEC joint use card to (PSAP). A facility that has been des- pay for services obtained from the tele- ignated to receive emergency calls and communications service provider, and route them to emergency service per- (ii) The subscriber’s billing name and sonnel pursuant to section 222(h)(4) of address will be disclosed, pursuant to the Communications Act of 1934, as Policies and Rules Concerning Local amended. As used in this section, this Exchange Carrier Validation and Bill- term includes both primary and sec- ing Information for Joint Use Calling ondary PSAPs. Cards, CC Docket No. 91–115, FCC 93– (3) Emergency purpose. A call made 254, adopted May 13, 1993, whenever the necessary in any situation affecting subscriber accepts a third party or col- the health and safety of any person. lect call to a telephone station pro- (b) PSAP numbers and registration. vided by the LEC to the subscriber. Each PSAP may designate a represent- (2) In addition to the notification ative who shall be required to file a specified in paragraph (e)(1) of this sec- certification with the administrator of

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the PSAP registry, under penalty of (e) Accessing the registry. An operator law, that they are authorized and eligi- of automatic dialing equipment or ble to place numbers onto the PSAP robocall equipment shall, to prevent Do-Not-Call registry on behalf of that such calls to any telephone number on PSAP. The designated PSAP represent- the registry, access and employ a ative shall provide contact informa- version of the PSAP Do-Not-Call reg- tion, including the PSAP represented, istry obtained from the registry admin- contact name, title, address, telephone istrator no more than 31 days prior to number, and email address. Verified the date any call is made, and shall PSAPs shall be permitted to upload to maintain records documenting this the registry any PSAP telephone num- process. It shall not be a violation of bers associated with the provision of paragraph (c) of this section to contact emergency services or communications a number added to the registry subse- with other public safety agencies. On quent to the last required access to the an annual basis designated PSAP rep- registry by operators of automatic di- resentatives shall access the registry, aling or robocall equipment. review their numbers placed on the (f) Restrictions on disclosing or dissemi- registry to ensure that they remain eli- nation of the PSAP registry. No person gible for inclusion on the registry, and or entity, including an operator of remove ineligible numbers. automatic dialing equipment or (c) Prohibiting the use of autodialers to robocall equipment, may sell, rent, contact registered PSAP numbers. An op- lease, purchase, share, or use the PSAP erator of automatic dialing or robocall Do-Not-Call registry, or any part equipment is prohibited from using thereof, for any purpose except to com- such equipment to contact any tele- ply with this section and any such phone number registered on the PSAP state or Federal law enacted to prevent Do-Not-Call registry other than for an autodialed calls to telephone numbers emergency purpose. This prohibition in the PSAP registry. encompasses both voice and text calls. [77 FR 71137, Nov. 29, 2012] (d) Granting and tracking access to the PSAP registry. An operator of auto- § 64.1203 —Consortium registration matic dialing or robocall equipment process. may not obtain access or use the PSAP (a) The Enforcement Bureau shall Do-Not-Call registry until it provides issue a public notice no later than to the designated registry adminis- April 28 annually seeking registration trator contact information that in- of a single consortium that conducts cludes the operator’s name and all al- private-led efforts to trace back the or- ternative names under which the reg- igin of suspected unlawful robocalls. istrant operates, a business address, a (b) Except as provided in paragraph contact person, the contact person’s (c) of this section, an entity that seeks telephone number, the operator’s email to register as the single consortium address, and all outbound telephone that conducts private-led efforts to numbers used to place autodialed calls, trace back the origin of suspected un- including both actual originating num- lawful robocalls must submit a letter bers and numbers that are displayed on and associated documentation in re- caller identification services, and sponse to the public notice issued pur- thereafter obtains a unique identifica- suant to paragraph (a) of this section. tion number or password from the des- In the letter, the entity must: ignated registry administrator. All (1) Demonstrate that the consortium such contact information provided to is a neutral third party competent to the designated registry administrator manage the private-led effort to trace must be updated within 30 days of any back the origin of suspected unlawful change to such information. In addi- robocalls; tion, an operator of automatic dialing (2) Include a copy of the consortium’s equipment must certify when it ac- written best practices, with an expla- cesses the registry, under penalty of nation thereof, regarding the manage- law, that it is accessing the registry ment of its traceback efforts and re- solely to prevent autodialed calls to garding voice service providers’ par- numbers on the registry. ticipation in the consortium’s efforts

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to trace back the origin of suspected rier that completes a local, coinless ac- unlawful robocalls; cess code or subscriber toll-free (3) Certify that, consistent with sec- payphone call. tion 222(d)(2) of the Communications (b) Except as provided herein, a Com- Act of 1934, as amended, the consor- pleting Carrier that completes a tium’s efforts will focus on fraudulent, coinless access code or subscriber toll- abusive, or unlawful traffic; free payphone call from a switch that (4) Certify that the consortium has the Completing Carrier either owns or notified the Commission that it in- leases shall compensate the payphone tends to conduct traceback efforts of service provider for that call at a rate suspected unlawful robocalls in ad- agreed upon by the parties by contract. vance of registration as the single con- (c) The compensation obligation set sortium; and forth herein shall not apply to calls to (5) Certify that, if selected to be the emergency numbers, calls by hearing registered consortium, it will: disabled persons to a telecommuni- (i) Remain in compliance with the re- cations relay service or local calls for quirements of paragraphs (b)(1) which the caller has made the required through (4) of this section; coin deposit. (ii) Conduct an annual review to en- (d) In the absence of an agreement as sure compliance with the requirements required by paragraph (b) of this sec- set forth in paragraphs (b)(1) through tion, the carrier is obligated to com- (4) of this section; and pensate the payphone service provider (iii) Promptly notify the Commission at a per-call rate of $.494. of any changes that reasonably bear on its certification. [71 FR 3014, Jan. 19, 2006] (c) The entity selected to be the registered consortium will not be required § 64.1301 Per-payphone compensation. to file the letter mandated in para- In the absence of a negotiated agree- graph (b) of this section in subsequent ment to pay a different amount, each years after the consortium’s initial entity listed in Appendix C of the Fifth registration. The registered consor- Order on Reconsideration and Order on tium’s initial certifications, required Remand in CC Docket No. 96–128, FCC by paragraph (b) of this section, will 02–292, must pay default compensation continue for the duration of each sub- to payphone service providers for ac- sequent year unless the registered con- cess code calls and payphone subscriber sortium notifies the Commission other- 800 calls for the period beginning April wise in writing on or before the date 21, 1999, in the amount listed in Appen- for filing letters set forth in the annual dix C for any payphone for any month public notice issued pursuant to para- during which per-call compensation for graph (a) of this section. that payphone for that month was or is (d) The current registered consor- not paid by the listed entity. A com- tium shall continue its traceback ef- plete copy of Appendix C is available at forts until the effective date of the se- www.fcc.gov. lection of any new registered consortium. [83 FR 11428, Mar. 15, 2018] [85 FR 21798, Apr. 20, 2020] § 64.1310 Payphone compensation procedures. Subpart M—Provision of Payphone (a) Unless the payphone service pro- Service vider consents to an alternative compensation arrangement, each Com- § 64.1300 Payphone compensation obli- pleting Carrier identified in § 64.1300(a) gation. shall compensate the payphone service (a) For purposes of this subpart, a provider in accordance with paragraphs Completing Carrier is a long distance (a)(1) through (a)(4) of this section. A carrier or switch-based long distance payphone service provider may not un- reseller that completes a coinless ac- reasonably withhold its consent to an cess code or subscriber toll-free alternative compensation arrange- payphone call or a local exchange car- ment.

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(1) Each Completing Carrier shall es- sponsible for handling the Completing tablish a call tracking system that ac- Carrier’s payphone compensation; and curately tracks coinless access code or (iv) The carrier identification code subscriber toll-free payphone calls to (‘‘CIC’’) of all facilities-based long dis- completion. tance carriers that routed calls to the (2) Each Completing Carrier shall pay Completing Carrier, categorized ac- compensation to payphone service pro- cording to the list of toll-free and ac- viders on a quarterly basis for each cess code numbers identified in para- completed payphone call identified in graph (a)(4)(i) of this section. the Completing Carrier’s quarterly re- (b) For purposes of this subpart, an port required by paragraph (a)(4) of Intermediate Carrier is a facilities- this section. based long distance carrier that (3) When payphone compensation is switches payphone calls to other facili- tendered for a quarter, a company offi- ties-based long distance carriers. cial with the authority to bind the (c) Unless the payphone service pro- Completing Carrier shall submit to vider agrees to other reporting ar- each payphone service provider to rangements, each Intermediate Carrier which compensation is tendered a shall provide the payphone service pro- sworn statement that the payment vider with quarterly reports, in com- amount for that quarter is accurate puter readable format, that include: and is based on 100% of all completed (1) A list of all the facilities-based calls that originated from that long distance carriers to which the In- payphone service provider’s payphones. termediate Carrier switched toll-free Instead of transmitting individualized and access code calls dialed from each statements to each payphone service of that payphone service provider’s provider, a Completing Carrier may payphones; provide a single, blanket sworn state- (2) For each facilities-based long dis- ment addressed to all payphone service tance carrier identified in paragraph providers to which compensation is (c)(1) of this section, a list of the toll- tendered for that quarter and may no- free and access code numbers dialed tify the payphone service providers of from each of that payphone service the sworn statement through any elec- provider’s payphones that all local ex- tronic method, including transmitting change carriers have delivered to the the sworn statement with the Intermediate Carrier and that the In- § 64.1310(a)(4) quarterly report, or post- termediate Carrier switched to the ing the sworn statement on the Com- identified facilities-based long distance pleting Carrier or clearinghouse carrier; website. If a Completing Carrier choos- (3) The volume of calls for each num- es to post the sworn statement on its ber identified in paragraph (c)(2) of this website, the Completing Carrier shall section that the Intermediate Carrier state in its § 64.1310(a)(4) quarterly re- has received from each of that port the web address of the sworn payphone service provider’s payphones, statement. identified by their ANIs, and switched (4) At the conclusion of each quarter, to each facilities-based long distance the Completing Carrier shall submit to carrier identified in paragraph (c)(1) of the payphone service provider, in com- this section; and puter readable format, a report on that (4) The name, address and telephone quarter that includes: number and other identifying informa- (i) A list of the toll-free and access tion of the person or persons for each numbers dialed and completed by the facilities-based long distance carrier Completing Carrier from each of that identified in paragraph (c)(1) of this payphone service provider’s payphones section who serves as the Intermediate and the ANI for each payphone; Carrier’s contact at each identified fa- (ii) The volume of calls for each num- cilities-based long distance carrier. ber identified in paragraph (a)(4)(i) of (d) Local Exchange Carriers must this section that were completed by provide to carriers required to pay the Completing Carrier; compensation pursuant to § 64.1300(a) a (iii) The name, address, and phone list of payphone numbers in their serv- number of the person or persons re- ice areas. The list must be provided on

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a quarterly basis. Local Exchange Car- telecommunications relay service calls riers must verify disputed numbers in a for the hearing disabled is available timely manner, and must maintain from all payphones at no charge to the verification data for 18 months after caller. close of the compensation period. (c) Each state must review its rules (e) Local Exchange Carriers must re- and policies to determine whether it spond to all carrier requests for has provided for public interest payphone number verification in con- payphones consistent with applicable nection with the compensation require- Commission guidelines, evaluate ments herein, even if such verification whether it needs to take measures to is a negative response. ensure that such payphones will con- (f) A payphone service provider that tinue to exist in light of the Commis- seeks compensation for payphones that sion’s implementation of Section 276 of are not included on the Local Exchange the Communications Act, and admin- Carrier’s list satisfies its obligation to ister and fund such programs so that provide alternative reasonable such payphones are supported fairly verification to a payor carrier if it pro- and equitably. vides to that carrier: [61 FR 52323, Oct. 7, 1996, as amended at 71 FR (1) A notarized affidavit attesting 65751, Nov. 9, 2006] that each of the payphones for which the payphone service provider seeks § 64.1340 Right to negotiate. compensation is a payphone that was Unless prohibited by Commission in working order as of the last day of order, payphone service providers have the compensation period; and the right to negotiate with the loca- (2) Corroborating evidence that each tion provider on the location provider’s such payphone is owned by the selecting and contracting with, and, payphone service provider seeking subject to the terms of any agreement compensation and was in working with the location provider, to select order on the last day of the compensa- and contract with, the carriers that tion period. Corroborating evidence carry interLATA and intraLATA calls shall include, at a minimum, the tele- from their payphones. phone bill for the last month of the billing quarter indicating use of a line [61 FR 52323, Oct. 7, 1996] screening service. (g) Each Completing Carrier and each Subpart N—Expanded Intermediate Carrier must maintain Interconnection verification data to support the quarterly reports submitted pursuant to § 64.1401 Expanded interconnection. paragraphs (a)(4) and (c) of this section (a) Every local exchange carrier that for 27 months after the close of that is classified as a Class A company quarter. This data must include the under § 32.11 of this chapter and that is time and date that each call identified not a National Exchange Carrier Asso- in paragraphs (a)(4) and (c) of this sec- ciation interstate tariff participant, as tion was made. This data must be pro- provided in part 69, subpart G of this vided to the payphone service provider chapter, shall offer expanded inter- upon request. connection for interstate special access [68 FR 62755, Nov. 6, 2003, as amended at 70 services at their central offices that FR 722, Jan. 5, 2005; 83 FR 11428, Mar. 15, 2018] are classified as end offices or serving wire centers, and at other rating points § 64.1330 State review of payphone used for interstate special access. entry and exit regulations and pub- (b) The local exchange carriers speci- lic interest payphones. fied in paragraph (a) of this section (a) Each state must review and re- shall offer expanded interconnection move any of its regulations applicable for interstate switched transport serv- to payphones and payphone service ices: providers that impose market entry or (1) In their central offices that are exit requirements. classified as end offices or serving wire (b) Each state must ensure that ac- centers, as well as at all tandem offices cess to dialtone, emergency calls, and housed in buildings containing such

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carriers’ end offices or serving wire ment described in paragraph (d)(1) of centers for which interstate switched this section; and transport expanded interconnection (4) To obtain reasonable amounts of has been tariffed; space in central offices for the equip- (2) Upon bona fide request, in tandem ment described in paragraph (d)(1) of offices housed in buildings not con- this section, allocated on a first-come, taining such carriers’ end offices or first-served basis. serving wire centers, or in buildings (e) For purposes of this subpart, vir- containing the carriers’ end offices or tual collocation means an offering that serving wire centers for which inter- enables interconnectors: state switched transport expanded interconnection has not been tariffed; (1) To designate or specify equipment and needed to terminate basic transmission (3) Upon bona fide request, at remote facilities, including optical termi- nodes/switches that serve as rating nating equipment and multiplexers, to points for interstate switched trans- be located within or upon the local export and that are capable of routing change carrier’s buildings, and dedi- outgoing interexchange access traffic cated to such interconnectors’ use, to interconnectors and in which inter- (2) To use such equipment to connect connectors can route terminating traf- interconnectors’ fiber optic systems or fic to such carriers. No such carrier is microwave radio transmission facili- required to enhance remote nodes/ ties (where reasonably feasible) with switches or to build additional space to the local exchange carrier’s equipment accommodate interstate switched and facilities used to provide interstate transport expanded interconnection at special and switched access services, these locations. and (c) The local exchange carriers speci- (3) To monitor and control their com- fied in paragraph (a) of this section munications channels terminating in shall offer expanded interconnection such equipment. for interstate special access and (f) Under both physical collocation switched transport services through offering and virtual collocation offer- virtual collocation, except that they may offer physical collocation, instead ings for expanded interconnection of of virtual collocation, in specific cen- fiber optic facilities, local exchange tral offices, as a service subject to non- carriers shall provide: streamlined communications common (1) An interconnection point or carrier regulation under Title II of the points at which the fiber optic cable Communications Act (47 U.S.C. 201– carrying an interconnectors’ circuits 228). can enter each local exchange carrier (d) For the purposes of this subpart, location, provided that the local ex- physical collocation means an offering change carrier shall designate inter- that enables interconnectors: connection points as close as reason- (1) To place their own equipment ably possible to each location; and needed to terminate basic transmission (2) At least two such interconnection facilities, including optical termi- points at any local exchange carrier lo- nating equipment and multiplexers, cation at which there are at least two within or upon the local exchange car- entry points for the local exchange carrier’s central office buildings; rier’s cable facilities, and space is (2) To use such equipment to connect available for new facilities in at least interconnectors’ fiber optic systems or two of those entry points. microwave radio transmission facili- (g) The local exchange carriers speci- ties (where reasonably feasible) with the local exchange carrier’s equipment fied in paragraph (a) of this section and facilities used to provide interstate shall offer signalling for tandem special access services; switching, as defined in § 69.2(vv) of this (3) To enter the local exchange car- chapter, at central offices that are rier’s central office buildings, subject classified as equal office end offices or to reasonable terms and conditions, to install, maintain, and repair the equip-

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serving wire centers, or at signal trans- greater than, or in addition to, the fer points if such information is offered charge for transmission of the call; and via common channel signalling. (3) Which is accessed through use of a [57 FR 54331, Nov. 18, 1992, as amended at 58 900 number; FR 48762, Sept. 17, 1993; 59 FR 32930, June 27, (4) Provided, however, such term does 1994; 59 FR 38930, Aug. 1, 1994] not include directory services provided by a common carrier or its affiliate or § 64.1402 Rights and responsibilities of by a local exchange carrier or its affil- interconnectors. iate, or any service for which users are (a) For the purposes of this subpart, assessed charges only after entering an interconnector means a party tak- into a presubscription or comparable ing expanded interconnection offerings. arrangement with the provider of such Any party shall be eligible to be an service. interconnector. (b) Presubscription or comparable ar- (b) Interconnectors shall have the rangement means a contractual agree- right, under expanded interconnection, ment in which: to interconnect their fiber optic sys- (1) The service provider clearly and tems and, where reasonably feasible, conspicuously discloses to the con- their microwave transmission facili- sumer all material terms and condi- ties. tions associated with the use of the (c) Interconnectors shall not be al- service, including the service pro- lowed to use interstate special access vider’s name and address, a business expanded interconnection offerings to telephone number which the consumer connect their transmission facilities may use to obtain additional informa- with the local exchange carrier’s inter- tion or to register a complaint, and the state switched services until that local rates for the service; exchange carrier’s tariffs imple- (2) The service provider agrees to no- menting expanded interconnection for tify the consumer of any future rate switched transport have become effec- changes; tive. (3) The consumer agrees to use the [57 FR 54331, Nov. 18, 1992, as amended at 61 service on the terms and conditions FR 43160, Aug. 21, 1996] disclosed by the service provider; and (4) The service provider requires the Subpart O—Interstate Pay-Per-Call use of an identification number or and Other Information Services other means to prevent unauthorized access to the service by nonsubscribers; (5) Provided, however, that disclosure SOURCE: 58 FR 44773, Aug. 25, 1993, unless of a credit, prepaid account, debit, otherwise noted. charge, or calling card number, along § 64.1501 Definitions. with authorization to bill that number, made during the course of a call to an For purposes of this subpart, the fol- information service shall constitute a lowing definitions shall apply: presubscription or comparable arrange- (a) Pay-per-call service means any ment if an introductory message con- service: taining the information specified in (1) In which any person provides or § 64.1504(c)(2) is provided prior to, and purports to provide: independent of, assessment of any (i) Audio information or audio enter- charges. No other action taken by a tainment produced or packaged by consumer during the course of a call to such person; an information service, for which (ii) Access to simultaneous voice con- charges are assessed, can create a versation services; or presubscription or comparable arrange- (iii) Any service, including the provi- ment. sion of a product, the charges for which (6) Provided, that a presubscription are assessed on the basis of the comple- arrangement to obtain information tion of the call; services provided by means of a toll- (2) For which the caller pays a per- free number shall conform to the recall or per-time-interval charge that is quirements of § 64.1504(c).

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(c) Calling card means an identifying § 64.1504 Restrictions on the use of number or code unique to the indi- toll-free numbers. vidual, that is issued to the individual A common carrier shall prohibit by by a common carrier and enables the tariff or contract the use of any 800 individual to be charged by means of a telephone number, or other telephone phone bill for charges incurred inde- number advertised or widely under- pendent of where the call originates. stood to be toll-free, in a manner that [61 FR 39087, July 26, 1996] would result in: (a) The calling party or the sub- § 64.1502 Limitations on the provision scriber to the originating line being as- of pay-per-call services. sessed, by virtue of completing the call, a charge for a call; Any common carrier assigning a tele- (b) The calling party being connected phone number to a provider of inter- to a pay-per-call service; state pay-per-call service shall require, (c) The calling party being charged by contract or tariff, that such pro- for information conveyed during the vider comply with the provisions of call unless: this subpart and of titles II and III of (1) The calling party has a written the Telephone Disclosure and Dispute agreement (including an agreement Resolution Act (Pub. L. No. 102–556) transmitted through electronic me- (TDDRA) and the regulations pre- dium) that specifies the material terms scribed by the Federal Trade Commis- and conditions under which the infor- sion pursuant to those titles. mation is offered and includes: (i) The rate at which charges are as- § 64.1503 Termination of pay-per-call sessed for the information; and other information programs. (ii) The information provider’s name; (a) Any common carrier assigning a (iii) The information provider’s busi- telephone number to a provider of ness address; interstate pay-per-call service shall (iv) The information provider’s reg- specify by contract or tariff that pay- ular business telephone number; per-call programs not in compliance (v) The information provider’s agree- with § 64.1502 shall be terminated fol- ment to notify the subscriber at least lowing written notice to the informa- one billing cycle in advance of all fu- tion provider. The information pro- ture changes in the rates charged for vider shall be afforded a period of no the information; less than seven and no more than 14 (vi) The subscriber’s choice of pay- days during which a program may be ment method, which may be by direct brought into compliance. Programs not remit, debit, prepaid account, phone in compliance at the expiration of such bill, or credit or calling card and, if a period shall be terminated imme- subscriber elects to pay by means of diately. phone bill, a clear explanation that the (b) Any common carrier providing subscriber will be assessed for calls transmission or billing and collection made to the information service from services to a provider of interstate in- the subscriber’s phone line; formation service through any 800 tele- (vii) A unique personal identification phone number, or other telephone num- number or other subscriber-specific ber advertised or widely understood to identifier that must be used to obtain be toll-free, shall promptly investigate access to the information service and any complaint that such service is not instructions on its use, and, in addi- provided in accordance with § 64.1504 or tion, assures that any charges for serv- § 64.1510(c), and, if the carrier reason- ices accessed by use of the subscriber’s ably determines that the complaint is personal identification number or sub- valid, may terminate the provision of scriber-specific identifier be assessed to subscriber’s source of payment elected service to an information provider un- pursuant to paragraph (c)(1)(vi) of this less the provider supplies evidence of a section; or written agreement that meets the re- (2) The calling party is charged for quirements of this § 64.1504(c)(1). the information by means of a credit, [61 FR 39087, July 26, 1996] prepaid, debit, charge, or calling card

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and the information service provider § 64.1505 Restrictions on collect tele- includes in response to each call an in- phone calls. troductory message that: (a) No common carrier shall provide (i) Clearly states that there is a interstate transmission or billing and charge for the call; collection services to an entity offering (ii) Clearly states the service’s total any service within the scope of cost per minute and any other fees for § 64.1501(a)(1) that is billed to a sub- the service or for any service to which scriber on a collect basis at a per-call the caller may be transferred; or per-time-interval charge that is (iii) Explains that the charges must greater than, or in addition to, the be billed on either a credit, prepaid, charge for transmission of the call. debit, charge, or calling card; (b) No common carrier shall provide (iv) Asks the caller for the card num- interstate transmission services for ber; any collect information services billed (v) Clearly states that charges for the to a subscriber at a tariffed rate unless call begin at the end of the introduc- the called party has taken affirmative tory message; and action clearly indicating that it ac- (vi) Clearly states that the caller can cepts the charges for the collect serv- hang up at or before the end of the in- ice. troductory message without incurring any charge whatsoever. § 64.1506 Number designation. (d) The calling party being called back collect for the provision of audio Any interstate service described in or data information services, simulta- § 64.1501(a)(1)–(2), and not subject to the neous voice conversation services, or exclusions contained in § 64.1501(a)(4), products; and shall be offered only through telephone (e) The calling party being assessed numbers beginning with a 900 service by virtue of the caller being asked to access code. connect or otherwise transfer to a pay- [59 FR 46770, Sept. 12, 1994] per-call service, a charge for the call. (f) Provided, however, that: § 64.1507 Prohibition on disconnection (1) Notwithstanding paragraph (c)(1) or interruption of service for fail- of this section, a written agreement ure to remit pay-per-call and simi- that meets the requirements of that lar service charges. paragraph is not required for: No common carrier shall disconnect (i) Calls utilizing telecommuni- or interrupt in any manner, or order cations devices for the deaf; the disconnection or interruption of, a (ii) Directory services provided by a telephone subscriber’s local exchange common carrier or its affiliate or by a or long distance telephone service as a local exchange carrier or its affiliate; result of that subscriber’s failure to or pay: (iii) Any purchase of goods or of serv- (a) Charges for interstate pay-per- ices that are not information services. call service; (2) The requirements of paragraph (b) Charges for interstate informa- (c)(2) of this section shall not apply to tion services provided pursuant to a calls from repeat callers using a bypass presubscription or comparable arrange- mechanism to avoid listening to the in- ment; or troductory message: Provided, That in- (c) Charges for interstate informa- formation providers shall disable such tion services provided on a collect a bypass mechanism after the institution of any price increase for a period basis which have been disputed by the of time determined to be sufficient by subscriber. the Federal Trade Commission to give [58 FR 44773, Aug. 25, 1993, as amended at 59 callers adequate and sufficient notice FR 46770, Sept. 12, 1994] of a price increase. [61 FR 39087, July 26, 1996, as amended at 69 FR 61154, Oct. 15, 2004]

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§ 64.1508 Blocking access to 900 serving address of any provider of pay-per- ice. call services offered by that carrier; (a) Local exchange carriers must and offer to their subscribers, where tech- (2) Provide to all its telephone sub- nically feasible, an option to block ac- scribers, either directly or through cess to services offered on the 900 serv- contract with any local exchange car- ice access code. Blocking is to be of- rier providing billing and collection fered at no charge, on a one-time basis, services to that carrier, a disclosure to: statement setting forth all rights and (1) All telephone subscribers during obligations of the subscriber and the the period from November 1, 1993 carrier with respect to the use and pay- through December 31, 1993; and ment of pay-per-call services. Such (2) Any subscriber who subscribes to statement must include the prohibition a new telephone number for a period of against disconnection of basic commu- 60 days after the new number is effec- nications services for failure to pay tive. pay-per-call charges established by (b) For blocking requests not within § 64.1507, the right of a subscriber to ob- the one-time option or outside the time tain blocking in accordance with frames specified in paragraph (a) of § 64.1508, the right of a subscriber not to this section, and for unblocking re- be billed for pay-per-call services not quests, local exchange carriers may offered in compliance with federal laws charge a reasonable one-time fee. Re- and regulations established by quests by subscribers to remove 900 § 64.1510(a)(1), and the possibility that a services blocking must be in writing. subscriber’s access to 900 services may (c) The terms and conditions under be involuntarily blocked pursuant to which subscribers may obtain 900 serv- § 64.1512 for failure to pay legitimate ices blocking are to be included in tar- pay-per-call charges. Disclosure state- iffs filed with this Commission. ments must be forwarded to: § 64.1509 Disclosure and dissemination (i) All telephone subscribers no later of pay-per-call information. than 60 days after these regulations (a) Any common carrier assigning a take effect; telephone number to a provider of (ii) All new telephone subscribers no interstate pay-per-call services shall later than 60 days after service is es- make readily available, at no charge, tablished; to Federal and State agencies and all (iii) All telephone subscribers re- other interested persons: questing service at a new location no (1) A list of the telephone numbers later than 60 days after service is es- for each of the pay-per-call services it tablished; and carries; (iv) Thereafter, to all subscribers at (2) A short description of each such least once per calendar year, at inter- service; vals of not less than 6 months nor more (3) A statement of the total cost or than 18 months. the cost per minute and any other fees for each such service; and [58 FR 44773, Aug. 25, 1993, as amended at 61 (4) A statement of the pay-per-call FR 55582, Oct. 28, 1996] service provider’s name, business ad- § 64.1510 Billing and collection of pay- dress, and business telephone number. per-call and similar service charges. (b) Any common carrier assigning a telephone number to a provider of (a) Any common carrier assigning a interstate pay-per-call services and of- telephone number to a provider of fering billing and collection services to interstate pay-per-call services and of- such provider shall: fering billing and collection services to (1) Establish a local or toll-free tele- such provider shall: phone number to answer questions and (1) Ensure that a subscriber is not provide information on subscribers’ billed for interstate pay-per-call serv- rights and obligations with regard to ices that such carrier knows or reason- their use of pay-per-call services and to ably should know were provided in vio- provide to callers the name and mail- lation of the regulations set forth in

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this subpart or prescribed by the Fed- (2) Clearly list the 800 or other toll- eral Trade Commission pursuant to ti- free number dialed. tles II or III of the TDDRA or any [58 FR 44773, Aug. 25, 1993, as amended at 59 other federal law; FR 46771, Sept. 12, 1994; 61 FR 39088, July 26, (2) In any billing to telephone sub- 1996] scribers that includes charges for any interstate pay-per-call service: § 64.1511 Forgiveness of charges and refunds. (i) Include a statement indicating that: (a) Any carrier assigning a telephone (A) Such charges are for non-commu- number to a provider of interstate pay- per-call services or providing trans- nications services; mission for interstate information (B) Neither local nor long distances services provided pursuant to a services can be disconnected for non- presubscription or comparable arrange- payment although an information pro- ment or on a collect basis, and provider may employ private entities to viding billing and collection for such seek to collect such charges; services, shall establish procedures for (C) 900 number blocking is available the handling of subscriber complaints upon request; and regarding charges for those services. A (D) Access to pay-per-call services billing carrier is afforded discretion to may be involuntarily blocked for fail- set standards for determining when a ure to pay legitimate charges; subscriber’s complaint warrants for- (ii) Display any charges for pay-per- giveness, refund or credit of interstate call services in a part of the bill that is pay-per-call or information services identified as not being related to local charges provided that such charges and long distance telephone charges; must be forgiven, refunded, or credited (iii) Specify, for each pay-per-call when a subscriber has complained about such charges and either this charge made, the type of service, the Commission, the Federal Trade Com- amount of the charge, and the date, mission, or a court of competent juris- time, and, for calls billed on a time- diction has found or the carrier has de- sensitive basis, the duration of the call; termined, upon investigation, that the and service has been offered in violation of (iv) Identify the local or toll-free federal law or the regulations that are number established in accordance with either set forth in this subpart or pre- § 64.1509(b)(1). scribed by the Federal Trade Commis- (b) Any common carrier offering bill- sion pursuant to titles II or III of the ing and collection services to an entity TDDRA. Carriers shall observe the providing interstate information serv- record retention requirements set forth ices on a collect basis shall, to the ex- in § 42.6 of this chapter except that rel- tent possible, display the billing infor- evant records shall be retained by car- mation in the manner described in riers beyond the requirements of part paragraphs (a)(2)(i), (A), (B), (D) and 42 of this chapter when a complaint is (a)(2)(ii) of this section. pending at the time the specified reten- (c) If a subscriber elects, pursuant to tion period expires. § 64.1504(c)(1)(vi), to pay by means of a (b) Any carrier assigning a telephone phone bill for any information service number to a provider of interstate pay- per-call services but not providing bill- provided by through any 800 telephone ing and collection services for such number, or other telephone number ad- services, shall, by tariff or contract, re- vertised or widely understood to be quire that the provider and/or its bill- toll-free, the phone bill shall: ing and collection agents have in place (1) Include, in prominent type, the procedures whereby, upon complaint, following disclaimer: ‘‘Common car- pay-per-call charges may be forgiven, riers may not disconnect local or long refunded, or credited, provided that distance telephone service for failure such charges must be forgiven, re- to pay disputed charges for informa- funded, or credited when a subscriber tion services;’’ and has complained about such charges and either this Commission, the Federal

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Trade Commission, or a court of com- § 64.1515 Recovery of costs. petent jurisdiction has found or the No common carrier shall recover its carrier has determined, upon investiga- cost of complying with the provisions tion, that the service has been offered of this subpart from local or long dis- in violation of federal law or the regu- tance ratepayers. lations that are either set forth in this subpart or prescribed by the Federal Trade Commission pursuant to titles II Subpart P—Calling Party or III of the TDDRA. Telephone Number; Privacy [58 FR 44773, Aug. 25, 1993, as amended at 59 FR 46771, Sept. 12, 1994] SOURCE: 59 FR 18319, Apr. 18, 1994, unless otherwise noted. § 64.1512 Involuntary blocking of pay- per-call services. § 64.1600 Definitions. Nothing in this subpart shall pre- (a) Aggregate information. The term clude a common carrier or information ‘‘aggregate information’’ means collec- provider from blocking or ordering the tive data that relate to a group or cat- blocking of its interstate pay-per-call egory of services or customers, from programs from numbers assigned to which individual customer identities or subscribers who have incurred, but not characteristics have been removed. paid, legitimate pay-per-call charges, (b) ANI. The term ‘‘ANI’’ (automatic except that a subscriber who has filed a number identification) refers to the de- complaint regarding a particular pay- livery of the calling party’s billing per-call program pursuant to proce- number by a local exchange carrier to dures established by the Federal Trade any interconnecting carrier for billing Commission under title III of the or routing purposes, and to the subse- TDDRA shall not be involuntarily quent delivery of such number to end blocked from access to that program users. while such a complaint is pending. This (c) Caller identification information. restriction is not intended to preclude The term ‘‘caller identification infor- involuntary blocking when a carrier or mation’’ means information provided IP has decided in one instance to sus- by a caller identification service retain charges against a subscriber but garding the telephone number of, or that subscriber files additional sepa- other information regarding the origi- rate complaints. nation of, a call made using a voice service or a text message sent using a § 64.1513 Verification of charitable sta- text messaging service. tus. (d) Caller identification service. The Any common carrier assigning a tele- term ‘‘caller identification service’’ phone number to a provider of inter- means any service or device designed state pay-per-call services that the car- to provide the user of the service or de- rier knows or reasonably should know vice with the telephone number of, or is engaged in soliciting charitable con- other information regarding the origi- tributions shall obtain verification nation of, a call made using a voice that the entity or individual for whom service or a text message sent using a contributions are solicited has been text messaging service. granted tax exempt status by the In- (e) Calling party number. The term ternal Revenue Service. ‘‘Calling Party Number’’ refers to the subscriber line number or the directory § 64.1514 Generation of signalling number contained in the calling party tones. number parameter of the call set-up No common carrier shall assign a message associated with an interstate telephone number for any pay-per-call call on a Signaling System 7 network. service that employs broadcast adver- (f) Charge number. The term ‘‘charge tising which generates the audible number’’ refers to the delivery of the tones necessary to complete a call to a calling party’s billing number in a Sig- pay-per-call service. naling System 7 environment by a

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local exchange carrier to any inter- (m) Short message service (SMS). The connecting carrier for billing or rout- term ‘‘short message service’’ or SMS ing purposes, and to the subsequent de- refers to a wireless messaging service livery of such number to end users. that enables users to send and receive (g) Information regarding the origina- short text messages, typically 160 char- tion. The term ‘‘information regarding acters or fewer, to or from mobile the origination’’ means any: phones and can support a host of appli- (1) Telephone number; cations. (2) Portion of a telephone number, (n) Signaling System 7. The term such as an area code; ‘‘Signaling System 7’’ (SS7) refers to a (3) Name; carrier to carrier out-of-band signaling (4) Location information; network used for call routing, billing (5) Billing number information, in- and management. cluding charge number, ANI, or pseudo- (o) Text message. The term ‘‘text mes- ANI; or sage’’: (6) Other information regarding the (1) Means a message consisting of source or apparent source of a tele- text, images, sounds, or other informa- phone call. tion that is transmitted to or from a (h) Interconnected VoIP service. The device that is identified as the receiv- term ‘‘interconnected VoIP service’’ ing or transmitting device by means of has the same meaning given the term a 10-digit telephone number or N11 ‘‘interconnected VoIP service’’ in 47 service code; CFR 9.3 as it currently exists or may (2) Includes a short message service hereafter be amended. (SMS) message, and a multimedia mes- (i) Intermediate provider. The term sage service (MMS) message and ‘‘intermediate provider’’ means any en- (3) Does not include: tity that carries or processes traffic (i) A real-time, two-way voice or that traverses or will traverse the pub- video communication; or lic switched telephone network (PSTN) (ii) A message sent over an IP-en- at any point insofar as that entity nei- abled messaging service to another ther originates nor terminates that user of the same messaging service, ex- traffic. cept a message described in paragraph (j) N11 service code. For purposes of (o)(2) of this section. this subpart, the term ‘‘N11 service (p) Text messaging service. The term code’’ means an abbreviated dialing ‘‘text messaging service’’ means a serv- code that allows telephone users to ice that enables the transmission or re- connect with a particular node in the ceipt of a text message, including a network by dialing only three digits, of service provided as part of or in con- which the first digit is any digit other nection with a voice service. than ‘1’ or ‘0’, and each of the last two (q) Threatening call. The term digits is ‘1’. ‘‘threatening call’’ is any call that con- (k) Multimedia message service (MMS). veys an emergency involving danger of The term ‘‘multimedia message serv- death or serious physical injury to any ice’’ or MMS refers to a wireless mes- person requiring disclosure without saging service that is an extension of delay of information relating to the the SMS protocol and can deliver a va- emergency. riety of media, and enables users to (r) Voice service. The term ‘‘voice send pictures, videos, and attachments service’’: over wireless messaging channels. (1) Means any service that is inter- (l) Privacy indicator. The term ‘‘pri- connected with the public switched vacy indicator’’ refers to information, telephone network and that furnishes contained in the calling party number voice communications to an end user parameter of the call set-up message using resources from the North Amer- associated with an interstate call on an ican Numbering Plan or any successor Signaling System 7 network, that indi- to the North American Numbering cates whether the calling party author- Plan adopted by the Commission under izes presentation of the calling party section 251(e)(1) of the Communications number to the called party. Act of 1934, as amended; and

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(2) Includes transmissions from a but not limited to CPN and CN, and telephone facsimile machine, com- also applies to MF signaling informa- puter, or other device to a telephone tion or other signaling information in- facsimile machine. termediate providers receive with a call. This requirement also applies to [60 FR 29490, June 5, 1995, as amended at 76 FR 43205, July 20, 2011; 76 FR 73882, Nov. 29, VoIP signaling messages, such as call- 2011; 82 FR 56917, Dec. 1, 2017; 84 FR 45678, ing party and charge information iden- Aug. 30, 2019] tifiers contained in Session Initiation Protocol (SIP) header fields, and to § 64.1601 Delivery requirements and equivalent identifying information as privacy restrictions. used in other VoIP signaling tech- (a) Delivery. Except as provided in nologies, regardless of the voice call paragraphs (d) and (e) of this section: signaling and transmission technology (1) Telecommunications carriers and used by the carrier or VoIP provider. providers of interconnected Voice over (b) Privacy. Except as provided in Internet Protocol (VoIP) services, in paragraph (d) of this section, origi- originating interstate or intrastate nating carriers using Signaling System traffic on the public switched tele- 7 and offering or subscribing to any phone network (PSTN) or originating service based on Signaling System 7 interstate or intrastate traffic that is functionality will recognize *67 dialed destined for the PSTN (collectively as the first three digits of a call (or ‘‘PSTN Traffic’’), are required to trans- 1167 for rotary or pulse dialing phones) mit for all PSTN Traffic the telephone as a caller’s request that the CPN not number received from or assigned to or be passed on an interstate call. Such otherwise associated with the calling carriers providing line blocking serv- party to the next provider in the path ices will recognize *82 as a caller’s re- from the originating provider to the quest that the CPN be passed on an terminating provider. This provision interstate call. No common carrier sub- applies regardless of the voice call sig- scribing to or offering any service that naling and transmission technology delivers CPN may override the privacy used by the carrier or VoIP provider. indicator associated with an interstate Entities subject to this provision that call. Carriers must arrange their CPN- use Signaling System 7 (SS7) are re- based services, and billing practices, in quired to transmit the calling party such a manner that when a caller re- number (CPN) associated with all quests that the CPN not be passed, a PSTN Traffic in the SS7 ISUP (ISDN carrier may not reveal that caller’s User Part) CPN field to inter- number or name, nor may the carrier connecting providers, and are required use the number or name to allow the to transmit the calling party’s charge called party to contact the calling number (CN) in the SS7 ISUP CN field party. The terminating carrier must to interconnecting providers for any act in accordance with the privacy in- PSTN Traffic where CN differs from dicator unless the call is made to a CPN. Entities subject to this provision called party that subscribes to an ANI who use multi-frequency (MF) sig- or charge number based service and the naling are required to transmit CPN, call is paid for by the called party. or CN if it differs from CPN, associated (c) Charges. No common carrier sub- with all PSTN Traffic in the MF sig- scribing to or offering any service that naling automatic numbering informa- delivers calling party number may tion (ANI) field. (1) Impose on the calling party (2) Intermediate providers within an charges associated with per call block- interstate or intrastate call path that ing of the calling party’s telephone originates and/or terminates on the number, or PSTN must pass unaltered to subse- (2) Impose charges upon connecting quent providers in the call path sig- carriers for the delivery of the calling naling information identifying the party number parameter or its associ- telephone number, or billing number, if ated privacy indicator. different, of the calling party that is (d) Exemptions. Section 64.1601(a) and received with a call. This requirement (b) shall not apply when: applies to SS7 information including (1) A call originates from a payphone.

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(2) A local exchange carrier with Sig- in connection with a threatening call. naling System 7 capability does not Upon report of such a threatening call have the software to provide *67 or *82 by law enforcement on behalf of the functionalities. Such carriers are pro- threatened party, the carrier will prohibited from passing CPN. vide any CPN of the calling party to (3) A Private Branch Exchange or law enforcement and, as directed by Centrex system does not pass end user law enforcement, to security personnel CPN. Centrex systems that rely on *6 for the called party for the purpose of or *8 for a function other than CPN identifying the party responsible for blocking or unblocking, respectively, the threatening call. are also exempt if they employ alter- (g) For law enforcement or security native means of blocking or personnel of the called party inves- unblocking. tigating the threat: (4) CPN delivery— (1) The CPN on incoming restricted (i) Is used solely in connection with calls may not be passed on to the line calls within the same limited system, called; including (but not limited to) a (2) Any system used to record CPN Centrex system, virtual private net- must be operated in a secure way, lim- work, or Private Branch Exchange; iting access to designated tele- (ii) Is used on a public agency’s emer- communications and security per- gency telephone line or in conjunction sonnel, as directed by law enforcement; with 911 emergency services, on a tele- (3) Telecommunications and security phone line to contact non-public emer- personnel, as directed by law enforce- gency services licensed by the state or ment, may access restricted CPN data municipality, or on any entity’s emer- only when investigating phone calls of gency assistance poison control tele- a threatening and serious nature, and phone line; or shall document that access as part of (iii) Is provided in connection with the investigative report; legally authorized call tracing or trap- (4) Carriers transmitting restricted ping procedures specifically requested CPN information must take reasonable by a law enforcement agency. measures to ensure security of such (e) Any person or entity that engages communications; in telemarketing, as defined in section (5) CPN information must be de- 64.1200(f)(10) must transmit caller iden- stroyed in a secure manner after a reasonable retention period; and tification information. (6) Any violation of these conditions (1) For purposes of this paragraph, must be reported promptly to the Com- caller identification information must mission. include either CPN or ANI, and, when available by the telemarketer’s carrier, [60 FR 29490, June 5, 1995; 60 FR 54449, Oct. 24, the name of the telemarketer. It shall 1995, as amended at 62 FR 34015, June 24, 1997; not be a violation of this paragraph to 68 FR 44179, July 25, 2003; 71 FR 75122, Dec. 14, substitute (for the name and phone 2006; 76 FR 73882, Nov. 29, 2011; 82 FR 56917, Dec. 1, 2017] number used in, or billed for, making the call) the name of the seller on be- § 64.1602 Restrictions on use and sale half of which the telemarketing call is of telephone subscriber information placed and the seller’s customer serv- provided pursuant to automatic ice telephone number. The telephone number identification or charge number so provided must permit any number services. individual to make a do-not-call re- (a) Any common carrier providing quest during regular business hours. Automatic Number Identification or (2) Any person or entity that engages charge number services on interstate in telemarketing is prohibited from calls to any person shall provide such blocking the transmission of caller services under a contract or tariff con- identification information. taining telephone subscriber informa- (3) Tax-exempt nonprofit organization requirements that comply with tions are not required to comply with this subpart. Such requirements shall: this paragraph. (1) Permit such person to use the (f) Paragraph (b) of this section shall telephone number and billing informa- not apply when CPN delivery is made tion for billing and collection, routing,

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screening, and completion of the origi- to a called party. Such notification nating telephone subscriber’s call or must be made not later than December transaction, or for services directly re- 1, 1995, and at such times thereafter as lated to the originating telephone sub- to ensure notice to subscribers. The no- scriber’s call or transaction; tification must be effective in inform- (2) Prohibit such person from reusing ing subscribers how to maintain pri- or selling the telephone number or bill- vacy by dialing *67 (or 1167 for rotary ing information without first or pulse-dialing phones) on interstate (i) Notifying the originating tele- calls. The notice shall inform sub- phone subscriber and, scribers whether dialing *82 (or 1182 for (ii) Obtaining the affirmative consent rotary or pulse-dialing phones) on of such subscriber for such reuse or interstate calls is necessary to present sale; and, calling party number to called parties. (3) Prohibit such person from dis- For ANI or charge number services for closing, except as permitted by para- which such privacy is not provided, the graphs (a) (1) and (2) of this section, notification shall inform subscribers of any information derived from the auto- the restrictions on the reuse or sale of matic number identification or charge subscriber information. number service for any purpose other than [60 FR 29491, June 5, 1995; 60 FR 54449, Oct. 24, (i) Performing the services or trans- 1995] actions that are the subject of the orig- § 64.1604 Prohibition on transmission inating telephone subscriber’s call, of inaccurate or misleading caller (ii) Ensuring network performance identification information. security, and the effectiveness of call (a) No person or entity in the United delivery, States, nor any person or entity out- (iii) Compiling, using, and disclosing side the United States if the recipient aggregate information, and is within the United States, shall, with (iv) Complying with applicable law or the intent to defraud, cause harm, or legal process. wrongfully obtain anything of value, (b) The requirements imposed under knowingly cause, directly, or indi- paragraph (a) of the section shall not rectly, any caller identification service prevent a person to whom automatic to transmit or display misleading or number identification or charge num- inaccurate caller identification infor- ber services are provided from using mation in connection with any voice (1) The telephone number and billing service or text messaging service. information provided pursuant to such (b)Paragraph (a) of this section shall service, and not apply to: (2) Any information derived from the (1) Lawfully authorized investigative, automatic number identification or protective, or intelligence activity of a charge number service, or from the law enforcement agency of the United analysis of the characteristics of a States, a State, or a political subdivi- telecommunications transmission, to sion of a State, or of an intelligence offer a product or service that is di- agency of the United States; or rectly related to the products or serv- (2) Activity engaged in pursuant to a ices previously acquired by that cus- court order that specifically authorizes tomer from such person. Use of such in- the use of caller identification manipu- formation is subject to the require- lation. ments of 47 CFR 64.1200 and 64.1504(c). (c) A person or entity that blocks or [60 FR 29490, June 5, 1995] seeks to block a caller identification service from transmitting or displaying § 64.1603 Customer notification. that person or entity’s own caller iden- Any common carrier participating in tification information pursuant to the offering of services providing call- § 64.1601(b) of this part shall not be lia- ing party number, ANI, or charge num- ble for violating the prohibition in ber on interstate calls must notify its paragraph (a) of this section. This subscribers, individually or in conjunc- paragraph (c) does not relieve any per- tion with other carriers, that their son or entity that engages in tele- telephone numbers may be identified marketing, as defined in § 64.1200(f)(10)

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of this part, of the obligation to trans- § 64.1702 Procedures. mit caller identification information If a non-accredited standards devel- under § 64.1601(e). opment organization (NASDO) and the [76 FR 43205, July 20, 2011, as amended at 84 funding parties are unable to agree FR 45678, Aug. 30, 2019] unanimously on a dispute resolution process prior to publishing a text for § 64.1605 Effective date. comment pursuant to 47 U.S.C. The provisions of §§ 64.1600 and 64.1602 273(d)(4)(A)(v), a funding party may use are effective April 12, 1995. The provi- the default dispute resolution process sions of §§ 64.1601 and 64.1603 are effec- set forth in section 64.1703. tive December 1, 1995, except §§ 64.1601 and 64.1603 do not apply to public § 64.1703 Dispute resolution default payphones and partylines until Janu- process. ary 1, 1997. (a) Tri-Partite Panel. Technical dis- [60 FR 29491, June 5, 1995; 60 FR 54449, Oct. 24, putes governed by this section shall be 1995. Redesignated at 76 FR 43205, July 20, resolved in accordance with the rec- 2011] ommendation of a three-person panel, subject to a vote of the funding parties Subpart Q—Implementation of in accordance with paragraph (b) of Section 273(d)(5) of the Com- this section. Persons who participated munications Act: Dispute Res- in the generic requirements or stand- olution Regarding Equipment ards development process are eligible Standards to serve on the panel. The panel shall be selected and operate as follows: (1) Within two (2) days of the filing of SOURCE: 61 FR 24903, May 17, 1996, unless otherwise noted. a dispute with the NASDO invoking the dispute resolution default process, § 64.1700 Purpose and scope. both the funding party seeking dispute resolution and the NASDO shall select The purpose of this subpart is to im- a representative to sit on the panel; plement the Telecommunications Act of 1996 which amended the Communica- (2) Within four (4) days of their selections Act by creating section 273(d)(5), tion, the two panelists shall select a 47 U.S.C. 273(d)(5). Section 273(d) sets neutral third panel member to create a forth procedures to be followed by non- tri-partite panel; accredited standards development or- (3) The tri-partite panel shall, at a ganizations when these organizations minimum, review the proposed text of set industry-wide standards and ge- the NASDO and any explanatory mate- neric requirements for telecommuni- rial provided to the funding parties by cations equipment or customer prem- the NASDO, the comments and any al- ises equipment. The statutory proce- ternative text provided by the funding dures allow outside parties to fund and party seeking dispute resolution, any participate in setting the organiza- relevant standards which have been es- tion’s standards and require the orga- tablished or which are under develop- nization and the parties to develop a ment by an accredited-standards devel- process for resolving any technical dis- opment organization, and any com- putes. In cases where all parties cannot ments submitted by other funding par- agree to a mutually satisfactory dis- ties; pute resolution process, section (4) Any party in interest submitting 273(d)(5) requires the Commission to information to the panel for consider- prescribe a dispute resolution process. ation (including the NASDO, the party seeking dispute resolution and the § 64.1701 Definitions. other funding parties) shall be asked by For purposes of this subpart, the the panel whether there is knowledge terms accredited standards development of patents, the use of which may be es- organization, funding party, generic re- sential to the standard or generic requirement, and industry-wide have the quirement being considered. The fact same meaning as found in 47 U.S.C. 273. that the question was asked along with

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any affirmative responses shall be re- (c) All costs sustained by the tri- corded, and considered, in the panel’s partite panel will be incorporated into recommendation; and the cost of producing the industry-wide (5) The tri-partite panel shall, within standard or industry-wide generic re- fifteen (15) days after being estab- quirement. lished, decide by a majority vote, the issue or issues raised by the party § 64.1704 Frivolous disputes/penalties. seeking dispute resolution and produce (a) No person shall willfully refer a a report of their decision to the fund- dispute to the dispute resolution proc- ing parties. The tri-partite panel must ess under this subpart unless to the adopt one of the five options listed best of his knowledge, information and below: belief there is good ground to support (i) The NASDO’s proposal on the the dispute and the dispute is not issue under consideration; interposed for delay. (b) Any person who fails to comply (ii) The position of the party seeking with the requirements in paragraph (a) dispute resolution on the issue under of this section, may be subject to for- consideration; feiture pursuant to section 503(b) of the (iii) A standard developed by an ac- Communications Act, 47 U.S.C. 503(b). credited standards development organization that addresses the issue under consideration; Subpart R—Geographic Rate (iv) A finding that the issue is not Averaging and Rate Integration ripe for decision due to insufficient technical evidence to support the AUTHORITY: 47 U.S.C. §§ 151, 154(i), 201–205, soundness of any one proposal over any 214(e), 215 and 254(g). other proposal; or § 64.1801 Geographic rate averaging (v) Any other resolution that is con- and rate integration. sistent with the standard described in (a) The rates charged by providers of section 64.1703(a)(6). interexchange telecommunications (6) The tri-partite panel must choose, services to subscribers in rural and from the five options outlined above, high-cost areas shall be no higher than the option that they believe provides the rates charged by each such pro- the most technically sound solution vider to its subscribers in urban areas. and base its recommendation upon the (b) A provider of interstate inter- substantive evidence presented to the exchange telecommunications services panel. The panel is not precluded from shall provide such services to its sub- taking into account complexity of im- scribers in each U.S. state at rates no plementation and other practical con- higher than the rates charged to its siderations in deciding which option is subscribers in any other state. most technically sound. Neither of the disputants (i.e., the NASDO and the [61 FR 42564, Aug. 16, 1996] funding party which invokes the dispute resolution process) will be per- Subpart S—Nondominant Inter- mitted to participate in any decision to exchange Carrier Certifi- reject the mediation panel’s rec- cations Regarding Geo- ommendation. graphic Rate Averaging and (b) The tri-partite panel’s rec- Rate Integration Require- ommendation(s) must be included in ments the final industry-wide standard or industry-wide generic requirement, un- § 64.1900 Nondominant interexchange less three-fourths of the funding par- carrier certifications regarding geo- ties who vote decide within thirty (30) graphic rate averaging and rate in- days of the filing of the dispute to re- tegration requirements. ject the recommendation and accept (a) A nondominant provider of inter- one of the options specified in para- exchange telecommunications services, graphs (a)(5) (i) through (v) of this sec- which provides detariffed interstate, tion. Each funding party shall have one domestic, interexchange services, shall vote. file with the Commission, on an annual

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basis, a certification that it is pro- (2)(i) On February 8, 1996, was deemed viding such services in compliance to be a member of the exchange carrier with its geographic rate averaging and association pursuant to § 69.601(b) of rate integration obligations pursuant this title; or to section 254(g) of the Communica- (ii) Is a person or entity that, on or tions Act of 1934, as amended. after February 8, 1996, became a suc- (b) The certification filed pursuant to cessor or assign of a member described paragraph (a) of this section shall be in paragraph (2)(i) of this section. The signed by an officer of the company Commission may also, by rule, treat an under oath. independent local exchange carrier as an incumbent independent local ex- [61 FR 59366, Nov. 22, 1996] change carrier pursuant to section 251(h)(2) of the Communications Act of Subpart T—Separate Affiliate Re- 1934, as amended. quirements for Incumbent Independent Local Exchange Carrier Independent Local Exchange (Independent LEC). Independent local Carriers That Provide In-Re- exchange carriers are local exchange gion, Interstate Domestic carriers, including GTE, other than the Interexchange Services or In- BOCs. Independent Local Exchange Carrier Region International Inter- Affiliate (Independent LEC Affiliate). exchange Services An independent local exchange carrier affiliate is a carrier that is owned (in SOURCE: 62 FR 36017, July 3, 1997, unless whole or in part) or controlled by, or otherwise noted. under common ownership (in whole or in part) or control with, an inde- § 64.1901 Basis and purpose. pendent local exchange carrier. (a) Basis. These rules are issued pur- In-region service. In-region service suant to the Communications Act of means telecommunications service 1934, as amended. originating in an independent local ex- (b) Purpose. The purpose of these change carrier’s local service areas or rules is to regulate the provision of in- 800 service, private line service, or region, interstate, domestic, inter- their equivalents that: exchange services and in-region inter- (1) Terminate in the independent national interexchange services by in- LEC’s local exchange areas; and cumbent independent local exchange (2) Allow the called party to deter- carriers. mine the interexchange carrier, even if the service originates outside the inde- § 64.1902 Terms and definitions. pendent LEC’s local exchange areas. Terms used in this part have the fol- Local Exchange Carrier. The term lowing meanings: local exchange carrier means any per- Books of account. Books of account son that is engaged in the provision of refer to the financial accounting sys- telephone exchange service or ex- tem a company uses to record, in mon- change access. Such term does not in- etary terms, the basic transactions of a clude a person insofar as such person is company. These books of account re- engaged in the provision of a commer- flect the company’s assets, liabilities, cial mobile service under section 332(c), and equity, and the revenues and ex- except to the extent that the Commis- penses from operations. Each company sion finds that such service should be has its own separate books of account. included in the definition of that term. Incumbent Independent Local Exchange [64 FR 44425, Aug. 16, 1999] Carrier (Incumbent Independent LEC). The term incumbent independent local § 64.1903 Obligations of all incumbent exchange carrier means, with respect independent local exchange car- to an area, the independent local ex- riers. change carrier that: (a) An incumbent independent LEC (1) On February 8, 1996, provided tele- providing in-region, interstate, inter- phone exchange service in such area; exchange services or in-region inter- and national interexchange services shall

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provide such services through an affil- (2) [Reserved] iate that satisfies the following re- [64 FR 44425, Aug. 16, 1999, as amended at 71 quirements: FR 65751, Nov. 9, 2006] (1) The affiliate shall maintain separate books of account from its affiliated exchange companies. Nothing in Subpart U—Customer Proprietary this section requires the affiliate to Network Information maintain separate books of account that comply with part 32 of this title; SOURCE: 82 FR 44419, Sept. 21, 2017 unless (2) The affiliate shall not jointly own otherwise noted. transmission or switching facilities with its affiliated exchange companies. § 64.2001 Basis and purpose. Nothing in this section prohibits an af- (a) Basis. The rules in this subpart filiate from sharing personnel or other are issued pursuant to the Communica- resources or assets with an affiliated tions Act of 1934, as amended. exchange company; and (b) Purpose. The purpose of the rules (3) The affiliate shall acquire any in this subpart is to implement section services from its affiliated exchange 222 of the Communications Act of 1934, companies for which the affiliated ex- as amended, 47 U.S.C. 222. change companies are required to file a tariff at tariffed rates, terms, and con- § 64.2003 Definitions. ditions. Nothing in this section shall (a) Account information. ‘‘Account in- prohibit the affiliate from acquiring formation’’ is information that is spe- any unbundled network elements or ex- cifically connected to the customer’s change services for the provision of a service relationship with the carrier, telecommunications service from its including such things as an account affiliated exchange companies, subject number or any component thereof, the to the same terms and conditions as telephone number associated with the provided in an agreement approved account, or the bill’s amount. under section 252 of the Communica- tions Act of 1934, as amended. (b) Address of record. An ‘‘address of record,’’ whether postal or electronic, (b) Except as provided in paragraph is an address that the carrier has asso- (b)(1) of this section, the affiliate re- ciated with the customer’s account for quired in paragraph (a) of this section at least 30 days. shall be a separate legal entity from its affiliated exchange companies. The af- (c) Affiliate. The term ‘‘affiliate’’ has filiate may be staffed by personnel of the same meaning given such term in its affiliated exchange companies, section 3(1) of the Communications Act housed in existing offices of its affili- of 1934, as amended, 47 U.S.C. 153(1). ated exchange companies, and use its (d) Call detail information. Any infor- affiliated exchange companies’ mar- mation that pertains to the trans- keting and other services, subject to mission of specific telephone calls, in- paragraph (a)(3) of this section. cluding, for outbound calls, the number (1) For an incumbent independent called, and the time, location, or dura- LEC that provides in-region, interstate tion of any call and, for inbound calls, domestic interexchange services or in- the number from which the call was region international interexchange placed, and the time, location, or dura- services using no interexchange switch- tion of any call. ing or transmission facilities or capa- (e) Communications-related services. bility of the LEC’s own (i.e., ‘‘inde- The term ‘‘communications-related pendent LEC reseller,’’) the affiliate re- services’’ means telecommunications quired in paragraph (a) of this section services, information services typically may be a separate corporate division of provided by telecommunications car- such incumbent independent LEC. All riers, and services related to the provi- other provisions of this Subpart appli- sion or maintenance of customer prem- cable to an independent LEC affiliate ises equipment. shall continue to apply, as applicable, (f) Customer. A customer of a tele- to such separate corporate division. communications carrier is a person or

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entity to which the telecommuni- tomer’s CPNI. Under this approval cations carrier is currently providing method, a customer is deemed to have service. consented to the use, disclosure, or ac- (g) Customer proprietary network infor- cess to the customer’s CPNI if the cus- mation (CPNI). The term ‘‘customer tomer has failed to object thereto with- proprietary network information in the waiting period described in (CPNI)’’ has the same meaning given to § 64.2008(d)(1) after the customer is pro- such term in section 222(h)(1) of the vided appropriate notification of the Communications Act of 1934, as amend- carrier’s request for consent consistent ed, 47 U.S.C. 222(h)(1). with the rules in this subpart. (h) Customer premises equipment (CPE). (m) Readily available biographical in- The term ‘‘customer premises equip- formation. ‘‘Readily available bio- ment (CPE)’’ has the same meaning graphical information’’ is information given to such term in section 3(14) of drawn from the customer’s life history the Communications Act of 1934, as and includes such things as the cus- amended, 47 U.S.C. 153(14). tomer’s social security number, or the (i) Information services typically pro- last four digits of that number; moth- vided by telecommunications carriers. The er’s maiden name; home address; or phrase ‘‘information services typically date of birth. provided by telecommunications car- (n) Subscriber list information (SLI). riers’’ means only those information The term ‘‘subscriber list information services (as defined in section 3(20) of (SLI)’’ has the same meaning given to the Communication Act of 1934, as such term in section 222(h)(3) of the amended, 47 U.S.C. 153(20)) that are Communications Act of 1934, as amend- typically provided by telecommuni- ed, 47 U.S.C. 222(h)(3). cations carriers, such as Internet ac- (o) Telecommunications carrier or car- cess or voice mail services. Such rier. The terms ‘‘telecommunications phrase ‘‘information services typically carrier’’ or ‘‘carrier’’ shall have the provided by telecommunications car- same meaning as set forth in section riers,’’ as used in this subpart, shall 3(44) of the Communications Act of not include retail consumer services 1934, as amended, 47 U.S.C. 153(44). For provided using Internet Web sites (such the purposes of this subpart, the term as travel reservation services or mort- ‘‘telecommunications carrier’’ or ‘‘car- gage lending services), whether or not rier’’ shall include an entity that pro- such services may otherwise be consid- vides interconnected VoIP service, as ered to be information services. that term is defined in section 9.3 of (j) Local exchange carrier (LEC). The these rules. term ‘‘local exchange carrier (LEC)’’ (p) Telecommunications service. The has the same meaning given to such term ‘‘telecommunications service’’ term in section 3(26) of the Commu- has the same meaning given to such nications Act of 1934, as amended, 47 term in section 3(46) of the Commu- U.S.C. 153(26). nications Act of 1934, as amended, 47 (k) Opt-in approval. The term ‘‘opt-in U.S.C. 153(46). approval’’ refers to a method for ob- (q) Telephone number of record. The taining customer consent to use, dis- telephone number associated with the close, or permit access to the cus- underlying service, not the telephone tomer’s CPNI. This approval method number supplied as a customer’s ‘‘con- requires that the carrier obtain from tact information.’’ the customer affirmative, express con- (r) Valid photo ID. A ‘‘valid photo ID’’ sent allowing the requested CPNI is a government-issued means of per- usage, disclosure, or access after the sonal identification with a photograph customer is provided appropriate noti- such as a driver’s license, passport, or fication of the carrier’s request con- comparable ID that is not expired. sistent with the requirements set forth in this subpart. § 64.2005 Use of customer proprietary (l) Opt-out approval. The term ‘‘opt- network information without cus- out approval’’ refers to a method for tomer approval. obtaining customer consent to use, dis- (a) Any telecommunications carrier close, or permit access to the cus- may use, disclose, or permit access to

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CPNI for the purpose of providing or CPNI, without customer approval, in marketing service offerings among the its provision of inside wiring installa- categories of service (i.e., local, inter- tion, maintenance, and repair services. exchange, and CMRS) to which the cus- (2) CMRS providers may use, disclose, tomer already subscribes from the or permit access to CPNI for the pur- same carrier, without customer ap- pose of conducting research on the proval. health effects of CMRS. (1) If a telecommunications carrier (3) LECs, CMRS providers, and enti- provides different categories of service, ties that provide interconnected VoIP and a customer subscribes to more service as that term is defined in § 9.3 than one category of service offered by of this chapter, may use CPNI, without the carrier, the carrier is permitted to customer approval, to market services share CPNI among the carrier’s affili- formerly known as adjunct-to-basic ated entities that provide a service of- services, such as, but not limited to, fering to the customer. (2) If a telecommunications carrier speed dialing, computer-provided direc- provides different categories of service, tory assistance, call monitoring, call but a customer does not subscribe to tracing, call blocking, call return, re- more than one offering by the carrier, peat dialing, call tracking, call wait- the carrier is not permitted to share ing, caller I.D., call forwarding, and CPNI with its affiliates, except as pro- certain centrex features. vided in § 64.2007(b). (d) A telecommunications carrier (b) A telecommunications carrier may use, disclose, or permit access to may not use, disclose, or permit access CPNI to protect the rights or property to CPNI to market to a customer serv- of the carrier, or to protect users of ice offerings that are within a category those services and other carriers from of service to which the subscriber does fraudulent, abusive, or unlawful use of, not already subscribe from that car- or subscription to, such services. rier, unless that carrier has customer approval to do so, except as described § 64.2007 Approval required for use of in paragraph (c) of this section. customer proprietary network in- (1) A wireless provider may use, dis- formation. close, or permit access to CPNI derived (a) A telecommunications carrier from its provision of CMRS, without may obtain approval through written, customer approval, for the provision of oral or electronic methods. CPE and information service(s). A (1) A telecommunications carrier re- wireline carrier may use, disclose or lying on oral approval shall bear the permit access to CPNI derived from its burden of demonstrating that such ap- provision of local exchange service or proval has been given in compliance interexchange service, without cus- with the Commission’s rules in this tomer approval, for the provision of part. CPE and call answering, voice mail or (2) Approval or disapproval to use, messaging, voice storage and retrieval disclose, or permit access to a cus- services, fax store and forward, and protocol conversion. tomer’s CPNI obtained by a tele- (2) A telecommunications carrier communications carrier must remain may not use, disclose or permit access in effect until the customer revokes or to CPNI to identify or track customers limits such approval or disapproval. that call competing service providers. (3) A telecommunications carrier For example, a local exchange carrier must maintain records of approval, may not use local service CPNI to whether oral, written or electronic, for track all customers that call local at least one year. service competitors. (b) Use of opt-out and opt-in approval (c) A telecommunications carrier processes. A telecommunications car- may use, disclose, or permit access to rier may, subject to opt-out approval CPNI, without customer approval, as or opt-in approval, use its customer’s described in this paragraph (c). individually identifiable CPNI for the (1) A telecommunications carrier purpose of marketing communications- may use, disclose, or permit access to related services to that customer. A

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telecommunications carrier may, sub- (3) The notification must advise the ject to opt-out approval or opt-in ap- customer of the precise steps the cus- proval, disclose its customer’s individ- tomer must take in order to grant or ually identifiable CPNI, for the purpose deny access to CPNI, and must clearly of marketing communications-related state that a denial of approval will not services to that customer, to its agents affect the provision of any services to and its affiliates that provide commu- which the customer subscribes. How- nications-related services. A tele- ever, carriers may provide a brief communications carrier may also per- statement, in clear and neutral lan- mit such persons or entities to obtain guage, describing consequences di- access to such CPNI for such purposes. rectly resulting from the lack of access Except for use and disclosure of CPNI to CPNI. that is permitted without customer ap- (4) The notification must be com- proval under § 64.2005, or that is de- prehensible and must not be mis- scribed in this paragraph, or as other- leading. wise provided in section 222 of the Com- (5) If written notification is provided, munications Act of 1934, as amended, a the notice must be clearly legible, use telecommunications carrier may only sufficiently large type, and be placed in use, disclose, or permit access to its an area so as to be readily apparent to customer’s individually identifiable a customer. CPNI subject to opt-in approval. (6) If any portion of a notification is translated into another language, then § 64.2008 Notice required for use of all portions of the notification must be customer proprietary network in- translated into that language. formation. (7) A carrier may state in the notifi- (a) Notification, generally. (1) Prior to cation that the customer’s approval to any solicitation for customer approval, use CPNI may enhance the carrier’s a telecommunications carrier must ability to offer products and services provide notification to the customer of tailored to the customer’s needs. A car- the customer’s right to restrict use of, rier also may state in the notification disclosure of, and access to that cus- that it may be compelled to disclose tomer’s CPNI. CPNI to any person upon affirmative (2) A telecommunications carrier written request by the customer. must maintain records of notification, (8) A carrier may not include in the whether oral, written or electronic, for notification any statement attempting at least one year. to encourage a customer to freeze (b) Individual notice to customers third-party access to CPNI. must be provided when soliciting ap- (9) The notification must state that proval to use, disclose, or permit access any approval, or denial of approval for to customers’ CPNI. the use of CPNI outside of the service (c) Content of notice. Customer notifi- to which the customer already sub- cation must provide sufficient informa- scribes from that carrier is valid until tion to enable the customer to make an the customer affirmatively revokes or informed decision as to whether to per- limits such approval or denial. mit a carrier to use, disclose, or permit (10) A telecommunications carrier’s access to, the customer’s CPNI. solicitation for approval must be proxi- (1) The notification must state that mate to the notification of a cus- the customer has a right, and the car- tomer’s CPNI rights. rier has a duty, under federal law, to (d) Notice requirements specific to opt- protect the confidentiality of CPNI. out. A telecommunications carrier (2) The notification must specify the must provide notification to obtain opt types of information that constitute out approval through electronic or CPNI and the specific entities that will written methods, but not by oral com- receive the CPNI, describe the purposes munication (except as provided in for which CPNI will be used, and in- paragraph (f) of this section). The conform the customer of his or her right tents of any such notification must to disapprove those uses, and deny or comply with the requirements of para- withdraw access to CPNI at any time. graph (c) of this section.

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(1) Carriers must wait a 30-day min- provide notification to obtain opt-in imum period of time after giving cus- approval through oral, written, or elec- tomers notice and an opportunity to tronic methods. The contents of any opt-out before assuming customer ap- such notification must comply with proval to use, disclose, or permit access the requirements of paragraph (c) of to CPNI. A carrier may, in its discre- this section. tion, provide for a longer period. Car- (f) Notice requirements specific to one- riers must notify customers as to the time use of CPNI. (1) Carriers may use applicable waiting period for a re- oral notice to obtain limited, one-time sponse before approval is assumed. use of CPNI for inbound and outbound (i) In the case of an electronic form customer telephone contacts for the of notification, the waiting period shall duration of the call, regardless of begin to run from the date on which whether carriers use opt-out or opt-in the notification was sent; and approval based on the nature of the (ii) In the case of notification by contact. mail, the waiting period shall begin to (2) The contents of any such notifica- run on the third day following the date tion must comply with the require- that the notification was mailed. ments of paragraph (c) of this section, (2) Carriers using the opt-out mecha- except that telecommunications car- nism must provide notices to their cus- riers may omit any of the following no- tomers every two years. tice provisions if not relevant to the (3) Telecommunications carriers that limited use for which the carrier seeks use email to provide opt-out notices CPNI: must comply with the following re- (i) Carriers need not advise cus- quirements in addition to the require- tomers that if they have opted-out pre- ments generally applicable to notifica- viously, no action is needed to main- tion: tain the opt-out election; (i) Carriers must obtain express, (ii) Carriers need not advise cus- verifiable, prior approval from con- tomers that they may share CPNI with sumers to send notices via email re- their affiliates or third parties and garding their service in general, or need not name those entities, if the CPNI in particular; limited CPNI usage will not result in (ii) Carriers must allow customers to use by, or disclosure to, an affiliate or reply directly to emails containing third party; CPNI notices in order to opt-out; (iii) Carriers need not disclose the (iii) Opt-out email notices that are means by which a customer can deny returned to the carrier as undeliverable or withdraw future access to CPNI, so must be sent to the customer in an- long as carriers explain to customers other form before carriers may con- that the scope of the approval the car- sider the customer to have received no- rier seeks is limited to one-time use; tice; and (iv) Carriers that use email to send (iv) Carriers may omit disclosure of CPNI notices must ensure that the sub- the precise steps a customer must take ject line of the message clearly and ac- in order to grant or deny access to curately identifies the subject matter CPNI, as long as the carrier clearly of the email; and communicates that the customer can (v) Telecommunications carriers deny access to his CPNI for the call. must make available to every customer a method to opt-out that is of no § 64.2009 Safeguards required for use additional cost to the customer and of customer proprietary network that is available 24 hours a day, seven information. days a week. Carriers may satisfy this (a) Telecommunications carriers requirement through a combination of must implement a system by which the methods, so long as all customers have status of a customer’s CPNI approval the ability to opt-out at no cost and can be clearly established prior to the are able to effectuate that choice use of CPNI. whenever they choose. (b) Telecommunications carriers (e) Notice requirements specific to opt- must train their personnel as to when in. A telecommunications carrier may they are and are not authorized to use

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CPNI, and carriers must have an ex- inability to opt-out is more than an press disciplinary process in place. anomaly. (c) All carriers shall maintain a (1) The notice shall be in the form of record, electronically or in some other a letter, and shall include the carrier’s manner, of their own and their affili- name, a description of the opt-out ates’ sales and marketing campaigns mechanism(s) used, the problem(s) ex- that use their customers’ CPNI. All perienced, the remedy proposed and carriers shall maintain a record of all when it will be/was implemented, instances where CPNI was disclosed or whether the relevant state commis- provided to third parties, or where sion(s) has been notified and whether it third parties were allowed access to has taken any action, a copy of the no- CPNI. The record must include a de- tice provided to customers, and contact scription of each campaign, the specific information. CPNI that was used in the campaign, (2) Such notice must be submitted and what products and services were even if the carrier offers other methods offered as a part of the campaign. Car- by which consumers may opt-out. riers shall retain the record for a minimum of one year. § 64.2010 Safeguards on the disclosure (d) Telecommunications carriers of customer proprietary network must establish a supervisory review information. process regarding carrier compliance (a) Safeguarding CPNI. Telecommuni- with the rules in this subpart for out- cations carriers must take reasonable bound marketing situations and main- measures to discover and protect tain records of carrier compliance for a against attempts to gain unauthorized minimum period of one year. Specifi- access to CPNI. Telecommunications cally, sales personnel must obtain su- carriers must properly authenticate a pervisory approval of any proposed out- customer prior to disclosing CPNI bound marketing request for customer based on customer-initiated telephone approval. contact, online account access, or an (e) A telecommunications carrier in-store visit. must have an officer, as an agent of the carrier, sign and file with the Commis- (b) Telephone access to CPNI. Tele- sion a compliance certificate on an an- communications carriers may only dis- nual basis. The officer must state in close call detail information over the the certification that he or she has per- telephone, based on customer-initiated sonal knowledge that the company has telephone contact, if the customer first established operating procedures that provides the carrier with a password, are adequate to ensure compliance as described in paragraph (e) of this with the rules in this subpart. The car- section, that is not prompted by the rier must provide a statement accom- carrier asking for readily available bio- panying the certificate explaining how graphical information, or account in- its operating procedures ensure that it formation. If the customer does not is or is not in compliance with the provide a password, the telecommuni- rules in this subpart. In addition, the cations carrier may only disclose call carrier must include an explanation of detail information by sending it to the any actions taken against data brokers customer’s address of record, or by and a summary of all customer com- calling the customer at the telephone plaints received in the past year con- number of record. If the customer is cerning the unauthorized release of able to provide call detail information CPNI. This filing must be made annu- to the telecommunications carrier dur- ally with the Enforcement Bureau on ing a customer-initiated call without or before March 1 in EB Docket No. 06– the telecommunications carrier’s as- 36, for data pertaining to the previous sistance, then the telecommunications calendar year. carrier is permitted to discuss the call (f) Carriers must provide written no- detail information provided by the cus- tice within five business days to the tomer. Commission of any instance where the (c) Online access to CPNI. A tele- opt-out mechanisms do not work prop- communications carrier must authen- erly, to such a degree that consumers’ ticate a customer without the use of

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readily available biographical informa- (g) Business customer exemption. Tele- tion, or account information, prior to communications carriers may bind allowing the customer online access to themselves contractually to authen- CPNI related to a telecommunications tication regimes other than those de- service account. Once authenticated, scribed in this section for services they the customer may only obtain online provide to their business customers access to CPNI related to a tele- that have both a dedicated account communications service account representative and a contract that spe- through a password, as described in cifically addresses the carriers’ protec- paragraph (e) of this section, that is tion of CPNI. not prompted by the carrier asking for readily available biographical informa- § 64.2011 Notification of customer pro- tion, or account information. prietary network information secu- (d) In-store access to CPNI. A tele- rity breaches. communications carrier may disclose (a) A telecommunications carrier CPNI to a customer who, at a carrier’s shall notify law enforcement of a retail location, first presents to the breach of its customers’ CPNI as pro- telecommunications carrier or its vided in this section. The carrier shall agent a valid photo ID matching the not notify its customers or disclose the customer’s account information. breach publicly, whether voluntarily or (e) Establishment of a password and under state or local law or these rules, back-up authentication methods for lost until it has completed the process of or forgotten passwords. To establish a notifying law enforcement pursuant to password, a telecommunications car- paragraph (b) of this section. rier must authenticate the customer (b) As soon as practicable, and in no without the use of readily available bi- event later than seven (7) business ographical information, or account in- days, after reasonable determination of formation. Telecommunications car- the breach, the telecommunications riers may create a back-up customer carrier shall electronically notify the authentication method in the event of United States Secret Service (USSS) a lost or forgotten password, but such and the Federal Bureau of Investiga- back-up customer authentication method may not prompt the customer tion (FBI) through a central reporting for readily available biographical infor- facility. The Commission will maintain mation, or account information. If a a link to the reporting facility at http:// customer cannot provide the correct www.fcc.gov/eb/cpni. password or the correct response for (1) Notwithstanding any state law to the back-up customer authentication the contrary, the carrier shall not no- method, the customer must establish a tify customers or disclose the breach to new password as described in this para- the public until 7 full business days graph. have passed after notification to the (f) Notification of account changes. USSS and the FBI except as provided Telecommunications carriers must no- in paragraphs (b)(2) and (b)(3) of this tify customers immediately whenever section. a password, customer response to a (2) If the carrier believes that there is back-up means of authentication for an extraordinarily urgent need to no- lost or forgotten passwords, online ac- tify any class of affected customers count, or address of record is created or sooner than otherwise allowed under changed. This notification is not re- paragraph (b)(1) of this section, in quired when the customer initiates order to avoid immediate and irrep- service, including the selection of a arable harm, it shall so indicate in its password at service initiation. This no- notification and may proceed to imme- tification may be through a carrier- diately notify its affected customers originated voicemail or text message only after consultation with the rel- to the telephone number of record, or evant investigating agency. The carrier by mail to the address of record, and shall cooperate with the relevant in- must not reveal the changed informa- vestigating agency’s request to mini- tion or be sent to the new account in- mize any adverse effects of such cus- formation. tomer notification.

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(3) If the relevant investigating agen- then only to the extent of the incon- cy determines that public disclosure or sistency. notice to customers would impede or compromise an ongoing or potential Subpart V—Rural Call Completion criminal investigation or national security, such agency may direct the car- SOURCE: 78 FR 76239, Dec. 17, 2013, unless rier not to so disclose or notify for an otherwise noted. initial period of up to 30 days. Such period may be extended by the agency as § 64.2101 Definitions. reasonably necessary in the judgment For purposes of this subpart, the fol- of the agency. If such direction is lowing definitions will apply: given, the agency shall notify the car- Affiliate. The term ‘‘affiliate’’ has the rier when it appears that public disclo- same meaning as in 47 U.S.C. 153(2). sure or notice to affected customers Call attempt. The term ‘‘call attempt’’ will no longer impede or compromise a means a call that results in trans- criminal investigation or national se- mission by the covered provider toward curity. The agency shall provide in an incumbent local exchange carrier writing its initial direction to the car- (LEC) of the initial call setup message, rier, any subsequent extension, and regardless of the voice call signaling any notification that notice will no and transmission technology used. longer impede or compromise a crimi- Covered provider. The term ‘‘covered nal investigation or national security provider’’ means a provider of long-dis- and such writings shall be contempora- tance voice service that makes the ini- neously logged on the same reporting tial long-distance call path choice for facility that contains records of notifi- more than 100,000 domestic retail sub- cations filed by carriers. scriber lines, counting the total of all (c) Customer notification. After a tele- business and residential fixed sub- communications carrier has completed scriber lines and mobile phones and ag- the process of notifying law enforce- gregated over all of the providers’ af- ment pursuant to paragraph (b) of this filiates. A covered provider may be a section, it shall notify its customers of local exchange carrier as defined in a breach of those customers’ CPNI. § 64.4001(e), an interexchange carrier as defined in § 64.4001(d), a provider of (d) Recordkeeping. All carriers shall commercial mobile radio service as de- maintain a record, electronically or in fined in § 20.3 of this chapter, a provider some other manner, of any breaches of interconnected voice over Internet discovered, notifications made to the Protocol (VoIP) service as defined in 47 USSS and the FBI pursuant to para- U.S.C. 153(25), or a provider of non- graph (b) of this section, and notifica- interconnected VoIP service as defined tions made to customers. The record in 47 U.S.C. 153(36) to the extent such a must include, if available, dates of dis- provider offers the capability to place covery and notification, a detailed de- calls to the public switched telephone scription of the CPNI that was the sub- network. ject of the breach, and the cir- Covered voice communication. The cumstances of the breach. Carriers term ‘‘covered voice communication’’ shall retain the record for a minimum means a voice communication (includ- of 2 years. ing any related signaling information) (e) Definitions. As used in this sec- that is generated— tion, a ‘‘breach’’ has occurred when a (1) From the placement of a call from person, without authorization or ex- a connection using a North American ceeding authorization, has inten- Numbering Plan resource or a call tionally gained access to, used, or displaced to a connection using such a closed CPNI. numbering resource; and (f) This section does not supersede (2) Through any service provided by a any statute, regulation, order, or inter- covered provider. pretation in any State, except to the Initial long-distance call path choice. extent that such statute, regulation, The term ‘‘initial long-distance call order, or interpretation is inconsistent path choice’’ means the static or dy- with the provisions of this section, and namic selection of the path for a long-

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distance call based on the called num- the same meaning as in § 51.5 of this ber of the individual call. chapter. Intermediate provider. The term ‘‘in- [78 FR 76239, Dec. 17, 2013, as amended at 79 termediate provider’’ means any entity FR 73227, Dec. 10, 2014; 80 FR 1007, Jan. 8, that— 2015; 82 FR 19615, Apr. 28, 2017; 83 FR 21737, (1) Enters into a business arrange- May 10, 2018; 83 FR 47308, Sept. 19, 2018] ment with a covered provider or other intermediate provider for the specific § 64.2103 Retention of call attempt records. purpose of carrying, routing, or transmitting voice traffic that is generated (a) Except as described in § 64.2107, from the placement of a call placed— each covered provider shall record and (i) From an end user connection retain information about each call at- using a North American Numbering tempt to a rural OCN from subscriber Plan resource; or lines for which the covered provider makes the initial long-distance call (ii) To an end user connection using path choice in a readily retrievable such a numbering resource; and form for a period that includes the six (2) Does not itself, either directly or most recent complete calendar months. in conjunction with an affiliate, serve (b) Affiliated covered providers may as a covered provider in the context of record and retain the information re- originating or terminating a given call. quired by this rule individually or in Long-distance voice service. For pur- the aggregate. poses of subparts V and W, the term (c) A call attempt that is returned by ‘‘long-distance voice service’’ includes an intermediate provider to the cov- interstate interLATA, intrastate ered provider and reassigned shall interLATA, interstate interexchange, count as a single call attempt. intrastate interexchange, intraLATA (d) Call attempts to toll-free num- toll, inter-MTA interstate and inter- bers, as defined in § 52.101(f) of this MTA intrastate voice services. chapter, are excluded from these re- Operating company number (OCN). The quirements. term ‘‘operating company number’’ (e) IntraLATA toll calls carried en- means a four-place alphanumeric code tirely over the covered provider’s net- that uniquely identifies a local ex- work or handed off by the covered pro- change carrier. vider directly to the terminating local Rural OCN. The term ‘‘rural OCN’’ exchange carrier or directly to the tan- means an operating company number dem switch serving the terminating that uniquely identifies an incumbent local exchange carrier’s end office (terminating tandem), are excluded from LEC (as defined in § 51.5 of this chapter) these requirements. that is a rural telephone company (as (f) The information contained in each defined in § 51.5 of this chapter). The record shall include: term ‘‘nonrural OCN’’ means an oper- (1) The calling party number; ating company number that uniquely (2) The called party number; identifies an incumbent LEC (as de- (3) The date; fined in § 51.5 of this chapter) that is (4) The time; not a rural telephone company (as de- (5) An indication whether the call at- fined in § 51.5 of this chapter). We direct tempt was handed off to an inter- NECA to update the lists of rural and mediate provider or not and, if so, nonrural OCNs annually and provide which intermediate provider; them to the Wireline Competition Bu- (6) The rural OCN associated with the reau in time for the Bureau to publish called party number; the lists no later than November 15. (7) An indication whether the call at- These lists will be the definitive lists tempt was interstate or intrastate; of rural OCNs and nonrural OCNs for (8) An indication whether the call at- purposes of this subpart for the fol- tempt was answered, which may take lowing calendar year. the form of an SS7 signaling cause code Rural telephone company. The term or SIP signaling message code associ- ‘‘rural telephone company’’ shall have ated with each call attempt; and

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(9) An indication whether the call at- the performance of their intermediate tempt was completed to the incumbent providers. local exchange carrier but signaled as (b) A covered provider that meets the busy, ring no answer, or unassigned requirements described in paragraph number. This indication may take the (a) of this section must comply with form of an SS7 signaling cause code or the data retention requirements in SIP signaling message code associated § 64.2103 for a period that includes only with each call attempt. the three most recent complete cal- (g) The provisions of this section endar months, so long as it continues shall expire on September 15, 2020. to meet the requirements of paragraph (a) of this section. A covered provider [78 FR 76239, Dec. 17, 2013, as amended at 79 that ceases to meet the requirements FR 73227, Dec. 10, 2014; 82 FR 11594, Mar. 4, described in paragraph (a) of this must 2015; 82 FR 19615, Apr. 28, 2017; 84 FR 25706, immediately begin retaining data for June 4, 2019] six months, as required by § 64.2103. § 64.2105 [Reserved] (c) Affiliated covered providers may meet the requirements of paragraph (a) § 64.2107 Reduced recording and re- of this section individually or in the tention requirements for qualifying aggregate. providers under the Safe Harbor. (d) The provisions of this section (a)(1) A covered provider may reduce shall expire on September 15, 2020. its recording and retention require- [78 FR 76239, Dec. 17, 2013, as amended at 80 ments under § 64.2103 if it files one of FR 11594, Mar. 4, 2015; 82 FR 19615, Apr. 28, the following certifications, signed by 2017; 83 FR 21737, May 10, 2018; 84 FR 25706, an officer or director of the covered June, 4, 2019] provider regarding the accuracy and § 64.2109 Safe harbor from inter- completeness of the information pro- mediate provider service quality vided, in WC Docket No. 13–39. standards. I (name), (title), an offi- lll lll (a)(1) A covered provider may qualify cer of (entity), certify that lll lll as a safe harbor provider under this (entity) uses no intermediate pro- subpart if it files, in WC Docket No. 13– viders; 39, one of the following certifications, or signed under penalty of perjury by an I lll (name), lll (title), an offi- officer or director of the covered pro- cer of lll (entity), certify thatlll vider regarding the accuracy and com- (entity) restricts by contract any in- pleteness of the information provided: termediate provider to which a call is ‘‘I ll(name), ll(title), an officer of directed by lll (entity) from permit- ll(entity), certify that ll(entity) ting more than one additional inter- uses no intermediate providers;’’ or mediate provider in the call path be- ‘‘I ll(name), ll(title), an officer of fore the call reaches the terminating ll(entity), certify that ll(entity) provider or terminating tandem. I cer- restricts by contract any intermediate tify that any nondisclosure agreement provider to which a call is directed by with an intermediate provider permits ll(entity) from permitting more than lll (entity) to reveal the identity of one additional intermediate provider in the intermediate provider and any ad- the call path before the call reaches ditional intermediate provider to the the terminating provider or termi- Commission and to the rural incum- nating tandem. I certify that any non- bent local exchange carrier(s) whose disclosure agreement with an inter- incoming long-distance calls are af- mediate provider permits ll(entity) fected by the intermediate provider’s to reveal the identity of the inter- performance. I certify that lll (enti- mediate provider and any additional ty) has a process in place to monitor intermediate provider to the Commis- the performance of its intermediate sion and to the rural incumbent local providers. exchange carrier(s) whose incoming (2) Covered providers that file the long-distance calls are affected by the second certification must describe the intermediate provider’s performance. I process they have in place to monitor certify that ll(entity) has a process

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in place to monitor the performance of call completion issues. Covered pro- its intermediate providers.’’ viders must respond to communica- (2) The certification in paragraph tions regarding rural call completion (a)(1) of this section must be sub- issues via the contact information re- mitted: quired under this rule as soon as rea- (i) For the first time on or before sonably practicable and, under ordi- February 26, 2019; and nary circumstances, within a single (ii) Annually thereafter. business day. (b) The requirements of § 64.2119 shall [83 FR 21738, May 10, 2018] not apply to intermediate provider traffic transmitted by safe harbor § 64.2115 Registration of Intermediate qualifying covered providers func- Providers. tioning as intermediate providers. (a) Registration. An intermediate pro- [84 FR 25706, June 4, 2019] vider that offers or holds itself out as offering the capability to transmit cov- § 64.2111 Covered provider rural call ered voice communications from one completion practices. destination to another and that For each intermediate provider with charges any rate to any other entity which it contracts, a covered provider (including an affiliated entity) for the shall: transmission shall register with the (a) Monitor the intermediate pro- Commission in accordance with this vider’s performance in the completion section. The intermediate provider of call attempts to rural telephone shall provide the following information companies from subscriber lines for in its registration: which the covered provider makes the (1) The intermediate provider’s busi- initial long-distance call path choice; ness name(s) and primary address; and (2) The name(s), telephone number(s), (b) Based on the results of such moni- email address(es), and business ad- toring, take steps that are reasonably dress(es) of the intermediate provider’s calculated to correct any identified regulatory contact and/or designated performance problem with the inter- agent for service of process; mediate provider, including removing (3) All business names that the inter- the intermediate provider from a par- mediate provider has used in the past; ticular route after sustained inad- (4) The state(s) in which the inter- equate performance. mediate provider provides service; [83 FR 21737, May 10, 2018] (5) The name, title, business address, telephone number, and email address of § 64.2113 Covered provider point of at least one person as well as the de- contact. partment within the company respon- Covered providers shall make pub- sible for addressing rural call comple- licly available contact information for tion issues, and; the receipt and handling of rural call (6) The name(s), business address, and completion issues. Covered providers business telephone number(s) for an ex- must designate a telephone number ecutive leadership contact, such as the and email address for the express pur- chief executive officer, chief operating pose of receiving and responding to any officer, or owner(s) of the intermediate rural call completion issues. Covered provider, or persons performing an providers shall include this informa- equivalent function, who directs or tion on their websites, and the required manages the entity. contact information must be easy to (b) Submission of registration. An in- find and use. Covered providers shall termediate provider that is subject to keep this information current and up- the registration requirement in para- date it to reflect any changes within graph (a) of this section shall submit ten (10) business days. Covered pro- the information described therein to viders shall ensure that any staff the intermediate provider registry on reachable through this contact infor- the Commission’s website. The reg- mation has the technical capability to istration shall be made under penalty promptly respond to and address rural of perjury.

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(c) Changes in information. An inter- (4) For purposes of this section, ‘‘dis- mediate provider must update its sub- aster recovery plan’’ means a disaster mission to the intermediate provider response plan developed by the covered registry on the Commission’s website provider for the purpose of responding within 10 business days of any change to a force majeure event. to the information it must provide pur- [83 FR 47309, Sept. 19, 2018] suant to paragraph (a) of this section. [83 FR 47308, Sept. 19, 2018] § 64.2119 Intermediate provider service quality standards. § 64.2117 Use of Registered Inter- Any intermediate provider that of- mediate Providers. fers or holds itself out as offering the (a) Prohibition on use of unregistered capability to transmit covered voice communications from one destination intermediate providers. A covered pro- to another and that charges any rate to vider shall not use an intermediate any other entity (including an affili- provider to carry, route, or transmit ated entity) for the transmission must covered voice communications unless abide by the following service quality such intermediate provider is reg- standards: istered pursuant to section 64.2115 of (a) Duty to complete calls. Inter- this subpart. mediate providers must take steps rea- (b) Force majeure exemption. (1) If, due sonably calculated to ensure that all to a force majeure for which a covered covered voice communications that provider has instituted a disaster re- traverse their networks are delivered covery plan, there are no registered in- to their destination. An intermediate termediate providers available to provider may violate this duty to com- carry, route, or transmit covered voice plete calls if it knows, or should know, communications, a covered provider that calls are not being completed to need not comply with paragraph (a) of certain areas, and it engages in acts or this section for a period of up to 180 omissions that allow, or effectively days with respect to those covered allow, these conditions to persist. voice communications. A covered pro- (b) Rural call completion performance vider shall submit to the Commission a monitoring. For each intermediate pro- certification, signed by a corporate of- vider with which it contracts, an inter- ficer or official with authority to bind mediate provider shall: the corporation, and knowledge of the (1) Monitor the intermediate pro- details of the covered provider’s inabil- vider’s performance in the completion ity to comply with our rules, explain- of call attempts to rural telephone ing the circumstances justifying an ex- companies; and emption under this section as soon as (2) Based on the results of such moni- practicable. toring, take steps that are reasonably (2) A covered provider seeking an ex- calculated to correct any identified tension of the exemption described in performance problem with the inter- paragraph (b)(1) of this section must mediate provider, including removing submit a request for an extension of that provider for sustained poor per- the exemption period to the Commis- formance. sion. Such an extension request shall, (c) Registration of subsequent inter- at minimum, include a status report on mediate providers. Intermediate pro- the covered provider’s attempts to viders shall ensure that any additional comply with paragraph (a) of this sec- intermediate providers to which they tion; and a statement detailing how hand off calls are registered with the the covered provider intends to ensure Commission pursuant to § 64.2115. that calls are completed notwithstanding the unavailability of reg- [84 FR 25706, June 4, 2019] istered intermediate providers. (3) For purposes of this section, Subpart W—Ring Signaling ‘‘force majeure’’ means a highly disrup- Integrity tive event beyond the control of the covered provider, such as a natural dis- SOURCE: 78 FR 76241, Dec. 17, 2013, unless aster or a terrorist attack. otherwise noted.

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§ 64.2201 Ringing indication require- (c) The requirements in paragraphs ments. (a) and (b) of this section apply to both (a) A long-distance voice service pro- interstate and intrastate calls, as well vider shall not convey a ringing indica- as to both originating and terminating tion to the calling party until the ter- international calls while they are with- minating provider has signaled that in the United States. the called party is being alerted to an incoming call, such as by ringing. Subpart X—Subscriber List (1) If the terminating provider sig- Information nals that the called party is being alerted and provides an audio tone or SOURCE: 64 FR 53947, Oct. 5, 2000, unless announcement, originating providers otherwise noted. must cease any locally generated audible tone or announcement and convey § 64.2301 Basis and purpose. the terminating provider’s tone or an- (a) Basis. These rules are issued pur- nouncement to the calling party. suant to the Communications Act of (2) The requirements in this para- 1934, as amended. graph apply to all voice call signaling (b) Purpose. The purpose of these and transmission technologies and to rules is to implement section 222(e) of all long-distance voice service pro- the Communications Act of 1934, as viders, including local exchange car- amended, 47 U.S.C. 222. Section 222(e) riers as defined in § 64.4001(e), inter- requires that ‘‘a telecommunications exchange carriers as defined in carrier that provides telephone ex- § 64.4001(d), providers of commercial change service shall provide subscriber mobile radio service as defined in § 20.3 list information gathered in its capac- of this chapter, providers of inter- ity as a provider of such service on a connected voice over Internet Protocol timely and unbundled basis, under non- (VoIP) service as defined in 47 U.S.C. discriminatory and reasonable rates, 153(25), and providers of non-inter- terms, and conditions, to any person connected VoIP service as defined in 47 upon request for the purpose of pub- U.S.C. 153(36) to the extent such pro- lishing directories in any format.’’ viders offer the capability to place calls to or receive calls from the public § 64.2305 Definitions. switched telephone network. Terms used in this subpart have the (b) Intermediate providers must re- following meanings: turn unaltered to providers in the call (a) Base file subscriber list information. path any signaling information that in- A directory publisher requests base file dicates that the terminating provider subscriber list information when the is alerting the called party, such as by publisher requests, as of a given date, ringing. all of a carrier’s subscriber list infor- (1) An intermediate provider may not mation that the publisher wishes to in- generate signaling information that include in one or more directories. dicates the terminating provider is (b) Business subscriber. Business sub- alerting the called party. An inter- scriber refers to a subscriber to tele- mediate provider must pass the sig- phone exchange service for businesses. naling information indicating that the (c) Primary advertising classification. A called party is being alerted unaltered primary advertising classification is to subsequent providers in the call the principal business heading under path. which a subscriber to telephone ex- (2) Intermediate providers must also change service for businesses chooses return unaltered any audio tone or an- to be listed in the yellow pages, if the nouncement provided by the termi- carrier either assigns that heading or nating provider. is obligated to provide yellow pages (3) In this section, the term ‘‘inter- listings as part of telephone exchange mediate provider’’ has the same mean- service to businesses. In other cir- ing as in § 64.1600(f). cumstances, a primary advertising (4) The requirements in this section classification is the classification of a apply to all voice call signaling and subscriber to telephone exchange serv- transmission technologies. ice as a business subscriber.

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(d) Residential subscriber. Residential and unbundled basis, under nondiscrim- subscriber refers to a subscriber to inatory and reasonable rates, terms, telephone exchange service that is not and conditions, to any person upon re- a business subscriber. quest for the purpose of publishing di- (e) Subscriber list information. Sub- rectories in any format. scriber list information is any informa- (b) The obligation under paragraph tion: (a) to provide a particular telephone (1) Identifying the listed names of subscriber’s subscriber list information subscribers of a carrier and such sub- extends only to the carrier that pro- scribers’ telephone numbers, addresses, vides that subscriber with telephone or primary advertising classifications exchange service. (as such classifications are assigned at the time of the establishment of such § 64.2313 Timely basis. service), or any combination of such (a) For purposes of § 64.2309, a tele- listed names, numbers, addresses, or communications carrier provides sub- classifications; and scriber list information on a timely (2) That the carrier or an affiliate has basis only if the carrier provides the published, caused to be published, or requested information to the request- accepted for publication in any direc- ing directory publisher either: tory format. (1) At the time at which, or according (f) Telecommunications carrier. A tele- to the schedule under which, the direc- communications carrier is any provider tory publisher requests that the sub- of telecommunications services, except scriber list information be provided; that such term does not include (2) When the carrier does not receive aggregators of telecommunications at least thirty days advance notice of services (as defined in 47 U.S.C. the time the directory publisher re- 226(a)(2)). quests that subscriber list information (g) Telephone exchange service. Tele- be provided, on the first business day phone exchange service means: that is at least thirty days from date (1) Service within a telephone ex- the carrier receives that request; or change, or within a connected system (3) At a time determined in accord- of telephone exchanges within the ance with paragraph (b) of this section. same exchange area operated to furnish (b) If a carrier’s internal systems do to subscribers intercommunicating not permit the carrier to provide sub- service of the character ordinarily fur- scriber list information within either nished by a single exchange, and which of the time frames specified in para- is covered by the exchange service graph (a)(1) of this section, the carrier charge, or shall: (B) Comparable service provided (1) Within thirty days of receiving through a system of switches, trans- the publisher’s request, inform the di- mission equipment, or other facilities rectory publisher that the requested (or combination thereof) by which a schedule cannot be accommodated and subscriber can originate and terminate tell the directory publisher which a telecommunications service. schedules can be accommodated; and (h) Updated subscriber list information. (2) Adhere to the schedule the direc- A directory publisher requests updated tory publisher chooses from among the subscriber list information when the available schedules. publisher requests changes to all or any part of a carrier’s subscriber list § 64.2317 Unbundled basis. information occurring between speci- (a) A directory publisher may request fied dates. that a carrier unbundle subscriber list information on any basis for the pur- § 64.2309 Provision of subscriber list pose of publishing one or more direc- information. tories. (a) A telecommunications carrier (b) For purposes of § 64.2309, a tele- that provides telephone exchange serv- communications carrier provides sub- ice shall provide subscriber list infor- scriber list information on an mation gathered in its capacity as a unbundled basis only if the carrier pro- provider of such service on a timely vides:

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(1) The listings the directory pub- mation under reasonable rates if its lisher requests and no other listings, rates are no more than $0.04 a listing products, or services; or for base file subscriber list information (2) Subscriber list information on a and no more than $0.06 a listing for up- basis determined in accordance with dated subscriber list information. paragraph (c) of this section. (b) For purposes of § 64.2309, a tele- (c) If the carrier’s internal systems communications carrier provides sub- do not permit it unbundle subscriber scriber list information under reason- list information on the basis a direc- able terms and conditions only if the tory publisher requests, the carrier carrier does not restrict a directory must: publisher’s choice of directory format. (1) Within thirty days of receiving the publisher’s request, inform the di- § 64.2329 Format. rectory publisher that it cannot (a) A carrier shall provide subscriber unbundle subscriber list information list information obtained in its capac- on the requested basis and tell the di- ity as a provider of telephone exchange rectory publisher the bases on which service to a requesting directory pub- the carrier can unbundle subscriber list lisher in the format the publisher information; and specifies, if the carrier’s internal sys- (2) In accordance with paragraph (d) tems can accommodate that format. of this section, provide subscriber list (b) If a carrier’s internal systems do information to the directory publisher not permit the carrier to provide sub- unbundled on the basis the directory scriber list information in the format publisher chooses from among the the directory publisher specifies, the available bases. carrier shall: (d) If a carrier provides a directory (1) Within thirty days of receiving publisher listings in addition to those the publisher’s request, inform the di- the directory publisher requests, the rectory publisher that the requested carrier may impose charges for, and format cannot be accommodated and the directory publisher may publish, tell the directory publisher which for- only the requested listings. mats can be accommodated; and (e) A carrier must not require direc- (2) Provide the requested subscriber tory publishers to purchase any prod- list information in the format the di- uct or service other than subscriber rectory publisher chooses from among list information as a condition of ob- the available formats. taining subscriber list information. § 64.2333 Burden of proof. § 64.2321 Nondiscriminatory rates, (a) In any future proceeding arising terms, and conditions. under section 222(e) of the Communica- For purposes of § 64.2309, a tele- tions Act or § 64.2309, the burden of communications carrier provides sub- proof will be on the carrier to the ex- scriber list information under non- tent it claims its internal subscriber discriminatory rates, terms, and condi- list information systems cannot actions only if the carrier provides sub- commodate the delivery time, delivery scriber list information gathered in its schedule, unbundling level, or format capacity as a provider of telephone ex- requested by a directory publisher. change service to a requesting direc- (b) In any future proceeding arising tory publisher at the same rates, under section 222(e) of the Communica- terms, and conditions that the carrier tions Act or § 64.2309, the burden of provides the information to its own di- proof will be on the carrier to the ex- rectory publishing operation, its direc- tent it seeks a rate exceeding $0.04 per tory publishing affiliate, or other di- listing for base file subscriber list in- rectory publishers. formation or $0.06 per listing for updated subscriber list information. § 64.2325 Reasonable rates, terms, and conditions. § 64.2337 Directory publishing pur- (a) For purposes of § 64.2309, a tele- poses. communications carrier will be pre- (a) Except to the extent the carrier sumed to provide subscriber list infor- and directory publisher otherwise

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agree, a directory publisher shall use graph (c) portions of requested con- subscriber list information obtained tracts that are wholly unrelated to the pursuant to section 222(e) of the Com- rates, terms, or conditions under which munications Act or § 64.2309 only for the carrier provides subscriber list in- the purpose of publishing directories. formation to itself, an affiliate, or an (b) A directory publisher uses sub- entity that publishes directories on the scriber list information ‘‘for the pur- carrier’s behalf. pose of publishing directories’’ if the (e) A carrier may subject its disclo- publisher includes that information in sure of subscriber list information con- a directory, or uses that information to tracts or records to a directory pub- determine what information should be lisher pursuant to paragraph (c) to a included in a directory, solicit adver- confidentiality agreement that limits tisers for a directory, or deliver direc- access to and use of the information to tories. the purpose of determining the rates, (c) A telecommunications carrier terms, and conditions under which the may require any person requesting sub- carrier provides subscriber list infor- scriber list information pursuant to mation to itself, an affiliate, or an en- section 222(e) of the Communications tity that publishes directories on the Act or § 64.2309 to certify that the pub- carrier’s behalf. lisher will use the information only for purposes of publishing a directory. [28 FR 13239, Dec. 5, 1963, as amended at 69 (d) A carrier must provide subscriber FR 62816, Oct. 28, 2004] list information to a requesting directory publisher even if the carrier be- § 64.2345 Primary advertising classification. lieves that the directory publisher will use that information for purposes other A primary advertising classification than or in addition to directory pub- is assigned at the time of the establish- lishing. ment of telephone exchange service if the carrier that provides telephone ex- § 64.2341 Record keeping. change service assigns the classifica- (a) A telecommunications carrier tion or if a tariff or State requirement must retain, for at least one year after obligates the carrier to provide yellow its expiration, each written contract pages listings as part of telephone ex- that it has executed for the provision change service to businesses. of subscriber list information for directory publishing purposes to itself, an Subpart Y—Truth-in-Billing Re- affiliate, or an entity that publishes di- quirements for Common Car- rectories on the carrier’s behalf. riers; Billing for Unauthorized (b) A telecommunications carrier Charges must maintain, for at least one year after the carrier provides subscriber list information for directory pub- SOURCE: 64 FR 34497, June 25, 1999, unless lishing purposes to itself, an affiliate, otherwise noted. or an entity that publishes directories § 64.2400 Purpose and scope. on the carrier’s behalf, records of any of its rates, terms, and conditions for (a) The purpose of these rules is to providing that subscriber list informa- reduce slamming and other tele- tion which are not set forth in a writ- communications fraud by setting ten contract. standards for bills for telecommuni- (c) Except to the extent specified in cations service. These rules are also in- paragraph (d), a carrier shall make the tended to aid customers in under- contracts and records described in standing their telecommunications paragraphs (a) and (b) available, upon bills, and to provide them with the request, to the Commission and to any tools they need to make informed directory publisher that requests those choices in the market for tele- contracts and records for the purpose communications service. of publishing a directory. (b) These rules shall apply to all tele- (d) A carrier need not disclose to a di- communications common carriers and rectory publisher pursuant to para- to all bills containing charges for

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intrastate or interstate services, ex- electronic bill, such as in an electronic cept as follows: mail message notifying the bill recipi- (1) Sections 64.2401(a)(2), 64.2401(a)(3), ent of the bill and an electronic link or 64.2401(c), and 64.2401(f) shall not apply notice on a Web site or electronic pay- to providers of Commercial Mobile ment portal. Radio Service as defined in § 20.9 of this (4) The telephone bill must clearly chapter, or to other providers of mobile and conspicuously identify any change service as defined in § 20.7 of this chap- in service provider, including identi- ter, unless the Commission determines fication of charges from any new serv- otherwise in a further rulemaking. ice provider. For purpose of this sub- (2) Sections 64.2401(a)(3) and 64.2401(f) paragraph ‘‘new service provider’’ shall not apply to bills containing means a service provider that did not charges only for intrastate services. bill the subscriber for service during (c) Preemptive effect of rules. The re- the service provider’s last billing cycle. quirements contained in this subpart This definition shall include only pro- are not intended to preempt the adop- viders that have continuing relation- tion or enforcement of consistent ships with the subscriber that will re- truth-in-billing requirements by the sult in periodic charges on the sub- states. scriber’s bill, unless the service is subsequently canceled. [64 FR 34497, June 25, 1999; 64 FR 56177, Oct. 18, 1999; 65 FR 36637, June 9, 2000, as amended (b) Descriptions of billed charges. at 65 FR 43258, July 13, 2000; 69 FR 34950, June Charges contained on telephone bills 23, 2004; 70 FR 29983, May 25, 2005; 77 FR 30919, must be accompanied by a brief, clear, May 24, 2012] non-misleading, plain language description of the service or services ren- § 64.2401 Truth-in-Billing Require- dered. The description must be suffi- ments. ciently clear in presentation and spe- (a) Bill organization. Telephone bills cific enough in content so that cus- shall be clearly organized, and must tomers can accurately assess that the comply with the following require- services for which they are billed cor- ments: respond to those that they have re- (1) The name of the service provider quested and received, and that the associated with each charge must be costs assessed for those services con- clearly and conspicuously identified on form to their understanding of the the telephone bill. price charged. (2) Where charges for two or more (c) ‘‘Deniable’’ and ‘‘Non-Deniable’’ carriers appear on the same telephone Charges. Where a bill contains charges bill, the charges must be separated by for basic local service, in addition to service provider. other charges, the bill must distinguish (3) Carriers that place on their tele- between charges for which non-payphone bills charges from third parties ment will result in disconnection of for non-telecommunications services basic, local service, and charges for must place those charges in a distinct which non-payment will not result in section of the bill separate from all such disconnection. The carrier must carrier charges. Charges in each dis- explain this distinction to the cus- tinct section of the bill must be sepa- tomer, and must clearly and conspicu- rately subtotaled. These separate sub- ously identify on the bill those charges totals for carrier and non-carrier for which non-payment will not result charges also must be clearly and con- in disconnection of basic, local service. spicuously displayed along with the Carriers may also elect to devise other bill total on the payment page of a methods of informing consumers on the paper bill or equivalent location on an bill that they may contest charges electronic bill. For purposes of this prior to payment. subparagraph ‘‘equivalent location on (d) Clear and conspicuous disclosure of an electronic bill’’ shall mean any lo- inquiry contacts. Telephone bills must cation on an electronic bill where the contain clear and conspicuous disclo- bill total is displayed and any location sure of any information that the sub- where the bill total is displayed before scriber may need to make inquiries the bill recipient accesses the complete about, or contest, charges on the bill.

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Common carriers must prominently § 64.2500 Prohibited agreements. display on each bill a toll-free number (a) No common carrier shall enter or numbers by which subscribers may into any contract, written or oral, that inquire or dispute any charges on the would in any way restrict the right of bill. A carrier may list a toll-free num- any commercial multiunit premises ber for a billing agent, clearinghouse, owner, or any agent or representative or other third party, provided such thereof, to permit any other common party possesses sufficient information carrier to access and serve commercial to answer questions concerning the tenants on that premises. subscriber’s account and is fully au- (b) No common carrier shall enter thorized to resolve the consumer’s into or enforce any contract, written complaints on the carrier’s behalf. or oral, that would in any way restrict Where the subscriber does not receive a the right of any residential multiunit paper copy of his or her telephone bill, premises owner, or any agent or rep- but instead accesses that bill only by e- resentative thereof, to permit any mail or internet, the carrier may com- other common carrier to access and ply with this requirement by providing serve residential tenants on that prem- on the bill an e-mail or web site ad- ises. dress. Each carrier must make a business address available upon request [73 FR 28057, May 15, 2008] from a consumer. (e) Definition of clear and conspicuous. § 64.2501 Scope of limitation. For purposes of this section, ‘‘clear and For the purposes of this subpart, a conspicuous’’ means notice that would multiunit premises is any contiguous be apparent to the reasonable con- area under common ownership or consumer. trol that contains two or more distinct (f) Blocking of third-party charges. (1) units. A commercial multiunit prem- Carriers that offer subscribers the op- ises is any multiunit premises that is tion to block third-party charges from predominantly used for non-residential appearing on telephone bills must purposes, including for-profit, non- clearly and conspicuously notify sub- profit, and governmental uses. A resi- scribers of this option at the point of dential multiunit premises is any mul- sale and on each carrier’s Web site. tiunit premises that is predominantly (2) Carriers that offer subscribers the used for residential purposes. option to block third-party charges [73 FR 28057, May 15, 2008] from appearing on telephone bills must clearly and conspicuously notify sub- § 64.2502 Effect of state law or regula- scribers of this option on each tele- tion. phone bill. This subpart shall not preempt any (g) Prohibition against unauthorized state law or state regulation that re- charges. Carriers shall not place or quires a governmental entity to enter cause to be placed on any telephone into a contract or understanding with bill charges that have not been author- a common carrier which would restrict ized by the subscriber. such governmental entity’s right to ob- [64 FR 34497, June 25, 1999, as amended at 65 tain telecommunications service from FR 43258, July 13, 2000; 76 FR 63563, Oct. 13, another common carrier. 2011; 77 FR 30919, May 24, 2012; 77 FR 71354, Nov. 30, 2012; 83 FR 33143, July 17, 2018] Subpart AA [Reserved] Subpart Z—Prohibition on Exclu- Subpart BB—Restrictions on Un- sive Telecommunications wanted Mobile Service Com- Contracts mercial Messages

SOURCE: 66 FR 2334, Jan. 11, 2001, unless otherwise noted. AUTHORITY: 15 U.S.C. 7701–7713, Public Law 108–187, 117 Stat. 2699.

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§ 64.3100 Restrictions on mobile serv- and (b)(3) of this section does not result ice commercial messages. in additional charges to the subscriber; (a) No person or entity may initiate (5) Identify themselves in the mes- any mobile service commercial message in a form that will allow a sub- sage, as those terms are defined in scriber to reasonably determine that paragraph (c)(7) of this section, unless: the sender is the authorized entity; and (1) That person or entity has the ex- (6) For no less than 30 days after the press prior authorization of the ad- transmission of any mobile service dressee; commercial message, remain capable of receiving messages or communications (2) That person or entity is for- made to the electronic mail address, warding that message to its own ad- other Internet-based mechanism or, if dress; applicable, other electronic means pro- (3) That person or entity is for- vided by the sender as described in warding to an address provided that paragraph (b)(2) and (b)(3) of this sec- (i) The original sender has not pro- tion. vided any payment, consideration or (c) Definitions. For the purpose of this other inducement to that person or en- subpart: tity; and (1) Commercial Mobile Radio Service (ii) That message does not advertise Provider means any provider that offers or promote a product, service, or Inter- the services defined in 47 CFR Section net website of the person or entity for- 20.9. warding the message; or (2) Commercial electronic mail message (4) The address to which that mes- means the term as defined in the CAN– sage is sent or directed does not in- SPAM Act, 15 U.S.C 7702 and as further clude a reference to a domain name defined under 16 CFR 316.3. The term is that has been posted on the FCC’s wire- defined as ‘‘an electronic message for less domain names list for a period of which the primary purpose is commer- at least 30 days before that message cial advertisement or promotion of a was initiated, provided that the person commercial product or service (includ- or entity does not knowingly initiate a ing content on an Internet Web site op- mobile service commercial message. erated for a commercial purpose).’’ The (b) Any person or entity initiating term ‘‘commercial electronic mail mes- any mobile service commercial message’’ does not include a transactional sage must: or relationship message. (1) Cease sending further messages (3) Domain name means any alpha- within ten (10) days after receiving numeric designation which is reg- such a request by a subscriber; istered with or assigned by any domain (2) Include a functioning return elec- name registrar, domain name registry, tronic mail address or other Internet- or other domain name registration au- based mechanism that is clearly and thority as part of an electronic address conspicuously displayed for the pur- on the Internet. pose of receiving requests to cease the (4) Electronic mail address means a initiating of mobile service commer- destination, commonly expressed as a cial messages and/or commercial elec- string of characters, consisting of a tronic mail messages, and that does unique user name or mailbox and a ref- not require the subscriber to view or erence to an Internet domain, whether hear further commercial content other or not displayed, to which an elec- than institutional identification; tronic mail message can be sent or de- (3) Provide to a recipient who elec- livered. tronically grants express prior author- (5) Electronic mail message means a ization to send commercial electronic message sent to a unique electronic mail messages with a functioning op- mail address. tion and clear and conspicuous instruc- (6) Initiate, with respect to a commer- tions to reject further messages by the cial electronic mail message, means to same electronic means that was used originate or transmit such messages or to obtain authorization; to procure the origination or trans- (4) Ensure that the use of at least one mission of such message, but shall not option provided in paragraphs (b)(2) include actions that constitute routine

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conveyance of such message. For pur- (D) To provide information directly poses of this paragraph, more than one related to an employment relationship person may be considered to have initi- or related benefit plan in which the re- ated a message. ‘‘Routine conveyance’’ cipient is currently involved, partici- means the transmission, routing, re- pating, or enrolled; or laying, handling, or storing, through (E) To deliver goods or services, in- an automatic technical process, or an cluding product updates or upgrades, electronic mail message for which an- that the recipient is entitled to receive other person has identified the recipi- under the terms of a transaction that ents or provided the recipient address- the recipient has previously agreed to es. enter into with the sender. (7) Mobile Service Commercial Message (d) Express Prior Authorization may be means a commercial electronic mail obtained by oral or written means, in- message that is transmitted directly to cluding electronic methods. a wireless device that is utilized by a (1) Written authorization must con- subscriber of a commercial mobile tain the subscriber’s signature, includ- service (as such term is defined in sec- ing an electronic signature as defined tion 332(d) of the Communications Act by 15 U.S.C. 7001 (E-Sign Act). of 1934 (47 U.S.C. 332(d)) in connection (2) All authorizations must include with such service. A commercial mes- the electronic mail address to which sage is presumed to be a mobile service mobile service commercial messages commercial message if it is sent or di- can be sent or directed. If the author- rected to any address containing a ref- ization is made through a website, the erence, whether or not displayed, to an website must allow the subscriber to Internet domain listed on the FCC’s input the specific electronic mail ad- wireless domain names list. The FCC’s dress to which commercial messages wireless domain names list will be may be sent. available on the FCC’s website and at (3) Express Prior Authorization must the Commission headquarters, 445 12th be obtained by the party initiating the St., SW., Washington, DC 20554. mobile service commercial message. In (8) Transactional or relationship mes- the absence of a specific request by the sage means the following and is further subscriber to the contrary, express defined under 16 CFR 316.3 as any elec- prior authorization shall apply only to tronic mail message the primary pur- the particular person or entity seeking pose of which is: the authorization and not to any affili- (i) To facilitate, complete, or confirm ated entities unless the subscriber ex- a commercial transaction that the re- pressly agrees to their being included cipient has previously agreed to enter in the express prior authorization. into with the sender; (4) Express Prior Authorization may (ii) To provide warranty information, be revoked by a request from the sub- product recall information, or safety or scriber, as noted in paragraph (b)(2) security information with respect to a and (b)(3) of this section. commercial product or service used or (5) All requests for express prior au- purchased by the recipient; thorization must include the following (iii) To provide: disclosures: (A) Notification concerning a change (i) That the subscriber is agreeing to in the terms or features of; receive mobile service commercial (B) Notification of a change in the re- messages sent to his/her wireless device cipient’s standing or status with re- from a particular sender. The disclo- spect to; or sure must state clearly the identity of (C) At regular periodic intervals, ac- the business, individual, or other enti- count balance information or other ty that will be sending the messages; type of account statement with respect (ii) That the subscriber may be to a subscription, membership, ac- charged by his/her wireless service pro- count, loan, or comparable ongoing vider in connection with receipt of commercial relationship involving the such messages; and ongoing purchase or use by the recipi- (iii) That the subscriber may revoke ent of products or services offered by his/her authorization to receive MSCMs the sender; at any time.

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(6) All notices containing the re- billing of customer telephone service quired disclosures must be clearly leg- accounts. ible, use sufficiently large type or, if audio, be of sufficiently loud volume, § 64.4001 Definitions. and be placed so as to be readily appar- Terms in this subpart have the fol- ent to a wireless subscriber. Any such lowing meanings: disclosures must be presented sepa- (a) Automatic number identification rately from any other authorizations (ANI). The term automatic number in the document or oral presentation. identification refers to the delivery of If any portion of the notice is trans- the calling party’s billing telephone lated into another language, then all number by a local exchange carrier to portions of the notice must be trans- any interconnecting carrier for billing lated into the same language. or routing purposes. (e) All CMRS providers must identify (b) Billing name and address (BNA). all electronic mail domain names used The term billing name and address to offer subscribers messaging specifi- means the name and address provided cally for wireless devices in connection to a [LEC] by each of its local exchange with commercial mobile service in the customers to which the [LEC] directs manner and time-frame described in a bills for its services. public notice to be issued by the Con- (c) Customer. The term customer sumer & Governmental Affairs Bureau. means the end user to whom a local ex- (f) Each CMRS provider is respon- change carrier or interexchange carrier sible for the continuing accuracy and is providing local exchange or tele- completeness of information furnished phone toll service. for the FCC’s wireless domain names (d) Interexchange carrier (IXC). The list. CMRS providers must: term interexchange carrier means a (1) File any future updates to listings telephone company that provides tele- with the Commission not less than 30 phone toll service. An interexchange days before issuing subscribers any new carrier does not include commercial or modified domain name; mobile radio service providers as de- (2) Remove any domain name that fined by federal law. has not been issued to subscribers or is (e) Local exchange carrier (LEC). The no longer in use within 6 months of term local exchange carrier means any placing it on the list or last date of person that is engaged in the provision use; and of telephone exchange service or ex- (3) Certify that any domain name change access. Such term does not in- placed on the FCC’s wireless domain clude a person insofar as such person is names list is used for mobile service engaged in the provision of a commer- messaging. cial mobile service under § 332(c), ex- [69 FR 55779, Sept. 16, 2004, as amended at 70 cept to the extent that the Commission FR 34666, June 15, 2005] finds that such service should be included in the definition of that term. Subpart CC—Customer Account (f) Preferred interexchange carrier Record Exchange Requirements (PIC). The term preferred interexchange carrier means the carrier to which a customer chooses to be AUTHORITY: 47 U.S.C. 154, 201, 202, 222, 258 presubscribed for purposes of receiving unless otherwise noted. intraLATA and/or interLATA and/or SOURCE: 70 FR 32263, June 2, 2005, unless international toll services. otherwise noted. § 64.4002 Notification obligations of § 64.4000 Basis and purpose. LECs. (a) Basis. The rules in this subpart To the extent that the information is are issued pursuant to the Communica- reasonably available to a LEC, the LEC tions Act of 1934, as amended. shall provide to an IXC the customer (b) Purpose. The purpose of these account information described in this rules is to facilitate the timely and ac- section consistent with § 64.4004. Noth- curate establishment, termination, and ing in this section shall prevent a LEC

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from providing additional customer ac- confirmation provided by the LEC to count information to an IXC to the ex- the IXC must include: tent that such additional information (1) The customer’s billing telephone is necessary for billing purposes or to number, working telephone number, properly execute a customer’s PIC and billing name and address; order. (2) The effective date of the PIC (a) Customer-submitted PIC order. Upon change; receiving and processing a PIC selec- (3) A statement describing the cus- tion submitted by a customer and plac- tomer type (i.e., business or residen- ing the customer on the network of the tial); customer’s preferred interexchange (4) A statement indicating, to the ex- carrier at the LEC’s local switch, the tent appropriate, if the customer’s LEC must notify the IXC of this event. telephone service listing is not printed The notification provided by the LEC in a directory and is not available from to the IXC must contain all of the cus- directory assistance, or is not printed tomer account information necessary in a directory but is available from di- to allow for proper billing of the cus- rectory assistance; tomer by the IXC including but not (5) The jurisdictional scope of the limited to: PIC installation (i.e., intraLATA and/ (1) The customer’s billing telephone or interLATA and/or international); number, working telephone number, and and billing name and address; (6) The carrier identification code of (2) The effective date of the PIC the IXC. If the PIC order at issue origi- change; nally was submitted by an underlying (3) A statement describing the cus- IXC on behalf of a toll reseller, the con- tomer type (i.e., business or residen- firmation provided by the LEC to the tial); IXC must indicate, to the extent that (4) A statement indicating, to the ex- this information is known, a statement tent appropriate, that the customer’s indicating that the customer’s PIC is a telephone service listing is not printed toll reseller. in a directory and is not available from (c) Rejection of IXC-submitted PIC directory assistance or is not printed order. When a LEC rejects or otherwise in a directory but is available from di- does not act upon a PIC order sub- rectory assistance; mitted to it by an IXC, the LEC must (5) The jurisdictional scope of the notify the IXC and provide the rea- PIC installation (i.e., intraLATA and/ son(s) why the PIC order could not be or interLATA and/or international); processed. The notification provided by (6) The carrier identification code of the LEC to the IXC must state that it the IXC; and has rejected the IXC-submitted PIC (7) If relevant, a statement indicating order and specify the reason(s) for the that the customer’s account is subject rejection (e.g., due to a lack of infor- to a PIC freeze. The notification also mation, incorrect information, or a must contain information, if relevant PIC freeze on the customer’s account). and to the extent that it is available, The notification must contain the reflecting the fact that a customer’s identical data elements that were pro- PIC selection was the result of: vided to the LEC in the original IXC- (i) A move (an end user customer has submitted PIC order (i.e., mirror image moved from one location to another of the original order), unless otherwise within a LEC’s service territory); specified by this paragraph. If a LEC (ii) A change in responsible billing rejects an IXC-submitted PIC order for party; or a multi-line account (i.e., the customer (iii) The resolution of a PIC dispute. has selected the IXC as his PIC for two (b) Confirmation of IXC-submitted PIC or more lines or terminals associated order. When a LEC has placed a cus- with his billing telephone number), the tomer on an IXC’s network at the local notification provided by the LEC re- switch in response to an IXC-submitted jecting that order must explain the ef- PIC order, the LEC must send a con- fect of the rejection with respect to firmation to the submitting IXC. The each line (working telephone number

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or terminal) associated with the cus- formation, if relevant and to the extent tomer’s billing telephone number. A that it is available, reflecting the fact LEC is not required to generate a line- that a customer’s PIC removal was the specific or terminal-specific response, result of: however, and may communicate the re- (i) The customer moving from one lo- jection at the billing telephone level, cation to another within the LEC’s when the LEC is unable to process an service territory, but where there is no entire order, including all working change in local service provider; telephone numbers and terminals asso- (ii) A change of responsible party on ciated with a particular billing tele- an account; or phone number. In addition, the notifi- (iii) A disputed PIC selection. cation must indicate the jurisdictional (e) Particular changes to customer’s scope of the PIC order rejection (i.e., local service account. When, according intraLATA and/or interLATA and/or to a LEC’s records, certain account or international). If a LEC rejects a PIC line information changes occur on a order because: presubscribed customer’s account, the (1) The customer’s telephone number LEC must communicate this informa- has been ported to another LEC; or tion to the customer’s PIC. For pur- (2) The customer has otherwise poses of this paragraph, the LEC must changed local service providers, the provide to the appropriate IXC account LEC must include in its notification, change information that is necessary to the extent that it is available, the for the IXC to issue timely and accu- identity of the customer’s new LEC. rate bills to its customers including (d) Customer contacts LEC or new IXC but not limited to: to change PIC(s) or customer contacts (1) The customer’s billing telephone LEC or current IXC to change PIC to No- number, working telephone number, PIC. When a LEC has removed at its and billing name and address; local switch a presubscribed customer (2) The customer code assigned to from an IXC’s network in response to a that customer by the LEC; customer order, upon receipt of a prop- (3) The type of customer account erly verified PIC order submitted by (i.e., business or residential); another IXC, or in response to a notifi- (4) The status of the customer’s tele- cation from the customer’s current IXC phone service listing, to the extent ap- relating to the customer’s request to propriate, as not printed in a directory change his or her PIC to No-PIC, the and not available from directory assist- LEC must notify the customer’s former ance, or not printed in a directory but IXC of this event. The LEC must pro- available from directory assistance; vide to the IXC the customer account and information that is necessary to allow (5) The jurisdictional scope of the for proper final billing of the customer PIC installation (i.e., intraLATA and/ by the IXC including but not limited or interLATA and/or international); to: (6) The effective date of any change (1) The customer’s billing telephone to a customer’s local service account; number, working telephone number, and and billing name and address; (7) The carrier identification code of (2) The effective date of the PIC the IXC. If there are changes to the change; customer’s billing or working tele- (3) A description of the customer phone number, customer code, or cus- type (i.e., business or residential); tomer type, the LEC must supply both (4) The jurisdictional scope of the the old and new information for each of lines or terminals affected (i.e., these categories. intraLATA and/or interLATA and/or (f) Local service disconnection. Upon international); and receipt of an end user customer’s re- (5) The carrier identification code of quest to terminate his entire local the IXC. If a customer changes PICs service account or disconnect one or but retains the same LEC, the LEC is more lines (but not all lines) of a responsible for notifying both the old multi-line account, the LEC must no- PIC and new PIC of the PIC change. tify the PIC(s) for the billing telephone The notification also must contain in- number or working telephone number

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on the account of the account termi- (i) The customer’s billing telephone nation or lines disconnected. In con- number, working telephone number, junction with this notification require- and, billing name and address; ment, the LEC must provide to a cus- (ii) The effective date of the change tomer’s PIC(s) all account termination of local service providers or PIC or single/multi-line disconnection change; change information necessary for the (iii) A description of the customer PIC(s) to maintain accurate billing and type (i.e., business or residential); PIC records, including but not limited (iv) The jurisdictional scope of the to: lines or terminals affected (i.e., (1) The effective date of the termination/disconnection; and intraLATA and/or interLATA and/or (2) The customer’s working and bill- international); and ing telephone numbers and billing (v) The carrier identification code of name and address; the IXC. (3) The type of customer account (h) IXC requests for customer BNA in- (i.e., business or residential); formation. Upon the request of an IXC, (4) The jurisdictional scope of the a LEC must provide the billing name PIC installation (i.e., intraLATA and/ and address information necessary to or interLATA and/or international); facilitate a customer’s receipt of a and timely, accurate bill for services ren- (5) The carrier identification code of dered and/or to prevent fraud, regard- the IXC. less of the type of service the end user (g) Change of local service provider. receives/has received from the request- When a customer changes LECs, the ing carrier (i.e., presubscribed, dial- customer’s former LEC must notify the around, casual). In response to an IXC’s customer’s PIC(s) of the customer’s BNA request for ANI, a LEC must pro- change in LEC and, if known, the iden- vide the BNA for the submitted ANI tity of the customer’s new LEC. If the along with: customer also makes a PIC change, the (1) The working telephone number for customer’s former LEC must also no- the ANI; tify the customer’s former PIC(s) of the change. When a customer only changes (2) The date of the BNA response; LECs, the new LEC must notify the (3) The carrier identification code of customer’s current PIC(s) that the cus- the submitting IXC; and tomer’s PIC selection has not changed. (4) A statement indicating, to the ex- If the customer also makes a PIC tent appropriate, if the customer’s change, the new LEC must notify the telephone service listing is not printed customer’s new PIC of the customer’s in a directory and is not available from PIC selection. If the customer’s former directory assistance, or is not printed LEC is unable to identify the cus- in a directory but is available from di- tomer’s new LEC, the former LEC must rectory assistance. A LEC that is un- notify the customer’s PIC(s) of a local able to provide the BNA requested service disconnection as described in must provide the submitting carrier paragraph (f). with the identical information con- (1) The required notifications also tained in the original BNA request must contain information, if relevant (i.e., the mirror image of the original and to the extent that it is available, request), along with the specific rea- reflecting the fact that an account son(s) why the requested information change was the result of: could not be provided. If the BNA is (i) The customer porting his number not available because the customer has to a new LEC; (ii) A local resale arrangement (cus- changed local service providers or tomer has transferred to local reseller); ported his telephone number, the LEC or must include the identity of the new (iii) The discontinuation of a local provider when this information is resale arrangement; available. (2) The notification provided by the [71 FR 74821, Dec. 13, 2006] LEC to the IXC must include:

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§ 64.4003 Notification obligations of necessary to properly execute the can- IXCs. cellation Order including but not lim- To the extent that the information is ited to: reasonably available to an IXC, the (1) The customer’s billing telephone IXC shall provide to a LEC the cus- number or working telephone number tomer account information described associated with the lines or terminals in this section consistent with § 64.4004. that are affected; Nothing in this section shall prevent (2) The date of the IXC-submitted an IXC from providing additional cus- PIC removal Order; tomer account information to a LEC to (3) The jurisdictional scope of the the extent that such additional infor- PIC removal Order (i.e., intraLATA mation is necessary for billing pur- and/or interLATA and/or inter- poses or to properly execute a cus- national); and tomer’s PIC Order. (4) The carrier identification code of (a) IXC-submitted PIC Order. When a the submitting IXC. customer contacts an IXC to establish interexchange service on a [70 FR 32263, June 2, 2005; 70 FR 54301, Sept. presubscribed basis, the IXC selected 14, 2005] must submit the customer’s properly § 64.4004 Timeliness of required notifi- verified PIC Order (see 47 CFR cations. 64.1120(a)) to the customer’s LEC, in- structing the LEC to install or change Carriers subject to the requirements the PIC for the customer’s line(s) to of this section shall provide the re- that IXC. The notification provided by quired notifications promptly and the IXC to the LEC must contain all of without unreasonable delay. the information necessary to properly execute the Order including but not § 64.4005 Unreasonable terms or conditions on the provision of customer limited to: account information. (1) The customer’s billing telephone number or working telephone number To the extent that a carrier incurs associated with the lines or terminals costs associated with providing the no- that are to be presubscribed to the IXC; tifications required by this section, the (2) The date of the IXC-submitted carrier may recover such costs, con- PIC Order; sistent with federal and state laws, (3) The jurisdictional scope of the through the filing of tariffs, via nego- PIC Order (i.e, intraLATA and/or tiated agreements, or by other appro- interLATA and/or international); and priate mechanisms. Any cost recovery (4) The carrier identification code of method must be reasonable and must the submitting IXC. recover only costs that are associated (b) Customer contacts IXC to cancel with providing the particular informa- PIC and to select no-PIC status. When an tion. The imposition of unreasonable end user customer contacts an IXC to terms or conditions on the provision of discontinue interexchange service on a information required by this section presubscribed basis, the IXC must con- may be considered an unreasonable firm that it is the customer’s desire to carrier practice under section 201(b) of have no PIC and, if that is the case, the the Communications Act of 1934, as IXC must notify the customer’s LEC. amended, and may subject the carrier The IXC also is encouraged to instruct to appropriate enforcement action. the customer to notify his LEC. An IXC may satisfy this requirement by § 64.4006 Limitations on use of cus- establishing a three-way call with the tomer account information. customer and the customer’s LEC to A carrier that receives customer ac- confirm that it is the customer’s desire count information under this section to have no PIC and, where appropriate, shall use such information to ensure to provide the customer the oppor- timely and accurate billing of a cus- tunity to withdraw any PIC freeze that tomer’s account and to ensure timely may be in place. The notification pro- and accurate execution of a customer’s vided by the IXC to the LEC must con- preferred interexchange carrier in- tain the customer account information structions. Such information shall not

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be used for marketing purposes with- communications relay services and out the express consent of the cus- point-to-point video service pursuant tomer. to sections 4, 222, and 225 of the Com- munications Act of 1934, as amended, 47 Subpart DD—Prepaid Calling Card U.S.C. 154, 222, 225. Providers [78 FR 40613, July 5, 2013, as amended at 82 FR 17764, Apr. 13, 2017] SOURCE: 71 FR 43673, Aug. 2, 2006, unless otherwise noted. § 64.5103 Definitions. (a) Address of record. An ‘‘address of § 64.5000 Definitions. record,’’ whether postal or electronic, (a) Prepaid calling card. The term is an address that the TRS provider has ‘‘prepaid calling card’’ means a card or associated with the customer for at similar device that allows users to pay least 30 days. in advance for a specified amount of (b) Affiliate. The term ‘‘affiliate’’ calling, without regard to additional shall have the same meaning given features, functions, or capabilities such term in section 3 of the Commu- available in conjunction with the call- nications Act of 1934, as amended, 47 ing service. U.S.C. 153. (b) Prepaid calling card provider. The (c) Call data information. The term term ‘‘prepaid calling card provider’’ ‘‘call data information’’ means any in- means any entity that provides tele- formation that pertains to the han- communications service to consumers dling of specific TRS calls, including through the use of a prepaid calling the call record identification sequence, card. the communications assistant identification number, the session start and § 64.5001 Reporting and certification end times, the conversation start and requirements. end times, incoming and outbound tele- On a quarterly basis, every prepaid phone numbers, incoming and out- calling card provider must submit to bound internet protocol (IP) addresses, the Commission a certification with re- total conversation minutes, total ses- spect to the prior quarter, signed by an sion minutes, and the electronic serial officer of the company under penalty of number of the consumer device. perjury, stating that it is making the (d) Communications assistant (CA). The required Universal Service Fund con- term ‘‘communications assistant’’ or tribution. This provision shall not ‘‘CA’’ shall have the same meaning apply to any prepaid calling card pro- given to the term in § 64.601(a) of this vider that has timely filed required an- part. nual and quarterly Telecommuni- (e) Customer. The term ‘‘customer’’ cations Reporting Worksheets, FCC means a person: Forms 499–A and 499–Q, during the pre- (1) To whom the TRS provider pro- ceding two-year period. vides TRS or point-to-point service, or (2) Who is registered with the TRS [82 FR 48778, Oct. 20, 2017] provider as a default provider. (f) Customer proprietary network infor- Subpart EE—TRS Customer mation (CPNI). The term ‘‘customer Proprietary Network Information. proprietary network information’’ or ‘‘CPNI’’ means information that re- SOURCE: 78 FR 40613, July 5, 2013, unless lates to the quantity, technical con- otherwise noted. figuration, type, destination, location, and amount of use of a telecommuni- § 64.5101 Basis and purpose. cations service used by any customer (a) Basis. The rules in this subpart of a TRS provider; and information re- are issued pursuant to the Communica- garding a customer’s use of TRS con- tions Act of 1934, as amended. tained in the documentation submitted (b) Purpose. The purpose of the rules by a TRS provider to the TRS Fund ad- in this subpart is to implement cus- ministrator in connection with a re- tomer proprietary network informa- quest for compensation for the provi- tion protections for users of tele- sion of TRS.

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(g) Customer premises equipment (CPE). (q) Telephone number of record. The The term ‘‘customer premises equip- term ‘‘telephone number of record’’ ment’’ or ‘‘CPE’’ shall have the same means the telephone number associ- meaning given to such term in section ated with the provision of TRS, which 3 of the Communications Act of 1934, as may or may not be the telephone num- amended, 47 U.S.C. 153. ber supplied as part of a customer’s (h) Default provider. The term ‘‘de- ‘‘contact information.’’ fault provider’’ shall have the same (r) TRS Fund. The term ‘‘TRS Fund’’ meaning given such term in § 64.601(a) shall have the same meaning given to of this part. the term in § 64.604(c)(5)(iii) of this (i) Internet-based TRS (iTRS). The part. term ‘‘Internet-based TRS’’ or ‘‘iTRS (s) TRS provider. The term ‘‘TRS pro- shall have the same meaning given to vider’’ means an entity that provides the term in § 64.601(a) of this part. TRS and shall include an entity that (j) iTRS access technology. The term provides point-to-point service. ‘‘iTRS access technology’’ shall have (t) TRS-related services. The term the same meaning given to the term in ‘‘TRS-related services’’ means, in the § 64.601(a) of this part. case of traditional TRS, services re- (k) Opt-in approval. The term ‘‘opt-in lated to the provision or maintenance approval’’ shall have the same meaning of customer premises equipment, and given such term in § 64.5107(b)(1) of this in the case of iTRS, services related to subpart. the provision or maintenance of iTRS (l) Opt-out approval. The term ‘‘opt- access technology, including features out approval’’ shall have the same and functions typically provided by meaning given such term in TRS providers in association with § 64.5107(b)(2) of this subpart. iTRS access technology. (m) Point-to-point service. The term (u) Valid photo ID. The term ‘‘valid ‘‘point-to-point service’’ means a serv- photo ID’’ means a government-issued ice that enables a VRS or hearing cus- means of personal identification with a tomer to place and receive non-relay photograph such as a driver’s license, calls without the assistance of a com- passport, or comparable ID that has munications assistant over the facili- not expired. ties of a VRS provider using VRS ac- (v) Video relay service. The term cess technology. Such calls are made ‘‘video relay service’’ or VRS shall by means of ten-digit NANP numbers have the same meaning given to the registered in the TRS Numbering Di- term in § 64.601(a) of this part. rectory and assigned to VRS customers (w) VRS access technology. The term and hearing point-to-point customers ‘‘VRS access technology’’ shall have by VRS providers. The term ‘‘point-to- the same meaning given to the term in point call’’ shall refer to a call placed § 64.601(a) of this part. via a point-to-point service. [78 FR 40613, July 5, 2013, as amended at 82 (n) Readily available biographical infor- FR 17765, Apr. 13, 2017] mation. The term ‘‘readily available biographical information’’ means infor- § 64.5105 Use of customer proprietary mation drawn from the customer’s life network information without cus- history and includes such things as the tomer approval. customer’s social security number, or (a) A TRS provider may use, disclose, the last four digits of that number; or permit access to CPNI for the pur- mother’s maiden name; home address; pose of providing or lawfully mar- or date of birth. keting service offerings among the cat- (o) Sign language. The term ‘‘sign lan- egories of service (i.e., type of TRS) for guage’’ shall have the same meaning which the TRS provider is currently given to the term in § 64.601(a) of this the default provider for that customer, part. without customer approval. (p) Telecommunications relay services (1) If a TRS provider provides dif- (TRS). The term ‘‘telecommunications ferent categories of TRS, and the TRS relay services’’ or ‘‘TRS’’ shall have provider is currently the default pro- the same meaning given to such term vider for that customer for more than in § 64.601(a) of this part. one category of TRS offered by the

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TRS provider, the TRS provider may (4) A TRS provider shall use, disclose, share CPNI among the TRS provider’s or permit access to CPNI to the extent affiliated entities that provide a TRS necessary to: offering to the customer. (i) Accept and handle 911/E911 calls; (2) If a TRS provider provides dif- (ii) Access, either directly or via a ferent categories of TRS, but the TRS third party, a commercially available provider is currently not the default database that will allow the TRS pro- provider for that customer for more vider to determine an appropriate Pub- than one offering by the TRS provider, lic Safety Answering Point, designated the TRS provider shall not share CPNI statewide default answering point, or with its affiliates, except as provided appropriate local emergency authority in § 64.5107(b) of this subpart. that corresponds to the caller’s loca- (b) A TRS provider shall not use, dis- tion; close, or permit access to CPNI as de- (iii) Relay the 911/E911 call to that scribed in this paragraph (b). entity; and (1) A TRS provider shall not use, dis- (iv) Facilitate the dispatch and re- close, or permit access to CPNI to mar- sponse of emergency service or law enforcement personnel to the caller’s lo- ket to a customer TRS offerings that cation, in the event that the 911/E911 are within a category of TRS for which call is disconnected or the caller be- the TRS provider is not currently the comes incapacitated. default provider for that customer, un- (5) A TRS provider shall use, disclose, less that TRS provider has customer or permit access to CPNI upon request approval to do so. by the administrator of the TRS Fund, (2) A TRS provider shall not identify as that term is defined in or track CPNI of customers that call § 64.604(c)(5)(iii) of this part, or by the competing TRS providers and, notwith- Commission for the purpose of admin- standing any other provision of this istration and oversight of the TRS subpart, a TRS provider shall not use, Fund, including the investigation and disclose or permit access to CPNI re- prevention of fraud, abuse, and misuse lated to a customer call to a competing of TRS and seeking repayment to the TRS provider. TRS Fund for non-compensable min- (c) A TRS provider may use, disclose, utes. or permit access to CPNI, without cus- (6) A TRS provider may use, disclose, tomer approval, as described in this or permit access to CPNI to protect the paragraph (c). rights or property of the TRS provider, (1) A TRS provider may use, disclose or to protect users of those services, or permit access to CPNI derived from other TRS providers, and the TRS its provision of TRS without customer Fund from fraudulent, abusive, or un- approval, for the provision of CPE or lawful use of such services. iTRS access technology, and call an- [79 FR 40613, July 5, 2013] swering, voice or video mail or messaging, voice or video storage and re- § 64.5107 Approval required for use of trieval services. customer proprietary network in- (2) A TRS provider may use, disclose, formation. or permit access to CPNI, without cus- (a) A TRS provider may obtain ap- tomer approval, in its provision of in- proval through written, oral, elec- side wiring installation, maintenance, tronic, or sign language methods. and repair services. (1) A TRS provider relying on oral or (3) A TRS provider may use CPNI, sign language approval shall bear the without customer approval, to market burden of demonstrating that such ap- services formerly known as adjunct-to- proval has been given in compliance basic services, such as, but not limited with the Commission’s rules in this to, speed dialing, call waiting, caller part. I.D., and call forwarding, only to those (2) Approval or disapproval to use, customers that are currently reg- disclose, or permit access to a cus- istered with that TRS provider as their tomer’s CPNI obtained by a TRS pro- default provider. vider must remain in effect until the

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customer revokes or limits such ap- to that customer. A TRS provider may proval or disapproval. A TRS provider also permit such persons or entities to shall accept any such customer revoca- obtain access to such CPNI for such tion, whether in written, oral, elec- purposes. tronic, or sign language methods. [79 FR 40613, July 5, 2013] (3) A TRS provider must maintain records of approval, whether oral, writ- § 64.5108 Notice required for use of ten, electronic, or sign language, dur- customer proprietary network in- ing the time period that the approval formation. or disapproval is in effect and for at (a) Notification, generally. (1) Prior to least one year thereafter. any solicitation for customer approval (b) Use of opt-in and opt-out approval to use, disclose, or permit access to processes. (1) Opt-in approval requires CPNI, a TRS provider shall provide no- that the TRS provider obtain from the tification to the customer of the cus- customer affirmative, express consent tomer’s right to deny or restrict use of, allowing the requested CPNI usage, dis- disclosure of, and access to that cus- closure, or access after the customer is tomer’s CPNI. provided appropriate notification of (2) A TRS provider shall maintain the TRS provider’s request consistent records of notification, whether oral, with the requirements set forth in this written, electronic, or sign language, subpart. during the time period that the ap- (2) With opt-out approval, a customer proval is in effect and for at least one is deemed to have consented to the use, year thereafter. disclosure, or access to the customer’s (b) Individual notice. A TRS provider CPNI if the customer has failed to ob- shall provide individual notice to cus- ject thereto within the waiting period tomers when soliciting approval to use, described in § 64.5108(d)(1) of this sub- disclose, or permit access to customers’ part after the TRS provider has pro- CPNI. vided to the customer appropriate noti- (c) Content of notice. Customer notifi- fication of the TRS provider’s request cation shall provide sufficient informa- for consent consistent with the rules in tion in clear and unambiguous lan- this subpart. guage to enable the customer to make (3) A TRS provider may only use, dis- an informed decision as to whether to close, or permit access to the cus- permit a TRS provider to use, disclose, tomer’s individually identifiable CPNI or permit access to, the customer’s with the customer’s opt-in approval, CPNI. except as follows: (1) The notification shall state that (i) Where a TRS provider is permitted the customer has a right to deny any to use, disclose, or permit access to TRS provider the right to use, disclose CPNI without customer approval under or permit access to the customer’s § 64.5105 of this subpart. CPNI, and the TRS provider has a duty, (ii) Where a TRS provider is per- under federal law, to honor the cus- mitted to use, disclose, or permit ac- tomer’s right and to protect the con- cess to CPNI by making use of cus- fidentiality of CPNI. tomer opt-in or opt-out approval under (2) The notification shall specify the paragraph (?)(4) of this section. types of information that constitute (4) A TRS provider may make use of CPNI and the specific entities that will customer opt-in or opt-out approval to use, receive or have access to the CPNI, take the following actions with respect describe the purposes for which CPNI to CPNI: will be used, and inform the customer (i) Use its customer’s individually of his or her right to disapprove those identifiable CPNI for the purpose of uses, and deny or withdraw the cus- lawfully marketing TRS-related serv- tomer’s consent to use, disclose, or per- ices to that customer. mit access to access to CPNI at any (ii) Disclose its customer’s individ- time. ually identifiable CPNI to its agents (3) The notification shall advise the and its affiliates that provide TRS-re- customer of the precise steps the cus- lated services for the purpose of law- tomer must take in order to grant or fully marketing TRS-related services deny use, disclosure, or access to CPNI,

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and must clearly state that customer approval to use, disclose, or permit ac- denial of approval will not affect the cess to CPNI. A TRS provider may, in TRS provider’s provision of any serv- its discretion, provide for a longer pe- ices to the customer. However, TRS riod. TRS providers shall notify cus- providers may provide a brief state- tomers as to the applicable waiting pe- ment, in clear and neutral language, riod for a response before approval is describing consequences directly re- assumed. sulting from the lack of access to (i) In the case of an electronic form CPNI. of notification, the waiting period shall (4) TRS providers shall provide the begin to run from the date on which notification in a manner that is acces- the notification was sent; and sible to the customer, comprehensible, (ii) In the case of notification by and not misleading. mail, the waiting period shall begin to (5) If the TRS provider provides writ- run on the third day following the date ten notification to the customer, the that the notification was mailed. notice shall be clearly legible, use suf- (2) TRS providers using the opt-out ficiently large type, and be placed in an mechanism shall provide notices to area so as to be readily apparent to a their customers every two years. customer. (3) TRS providers that use email to (6) If any portion of a notification is provide opt-out notices shall comply translated into another language, then with the following requirements in ad- all portions of the notification must be dition to the requirements generally translated into that language. applicable to notification: (7) A TRS provider may state in the (i) TRS providers shall obtain ex- notification that the customer’s ap- press, verifiable, prior approval from proval to use CPNI may enhance the consumers to send notices via email re- TRS provider’s ability to offer products garding their service in general, or and services tailored to the customer’s CPNI in particular; needs. A TRS provider also may state (ii) TRS providers shall either: in the notification that it may be com- (A) Allow customers to reply directly pelled to disclose CPNI to any person to the email containing the CPNI no- upon affirmative written request by tice in order to opt-out; or the customer. (B) Include within the email con- (8) The notification shall state that taining the CPNI notice a conspicuous any approval or denial of approval for link to a Web page that provides to the the use of CPNI outside of the service customer a readily usable opt-out for which the TRS provider is the de- mechanism; fault provider for the customer is valid (iii) Opt-out email notices that are until the customer affirmatively re- returned to the TRS provider as un- vokes or limits such approval or denial. deliverable shall be sent to the cus- (9) A TRS provider’s solicitation for tomer in another form before the TRS approval to use, disclose, or have ac- provider may consider the customer to cess to the customer’s CPNI must be have received notice; proximate to the notification of a cus- (iv) TRS providers that use email to tomer’s CPNI rights to non-disclosure. send CPNI notices shall ensure that the (d) Notice requirements specific to opt- subject line of the message clearly and out. A TRS provider shall provide noti- accurately identifies the subject mat- fication to obtain opt-out approval ter of the email; and through electronic or written methods, (v) TRS providers shall make avail- but not by oral or sign language com- able to every customer a method to munication (except as provided in opt-out that is of no additional cost to paragraph (f) of this section). The con- the customer and that is available 24 tents of any such notification shall hours a day, seven days a week. TRS comply with the requirements of para- providers may satisfy this requirement graph (c) of this section. through a combination of methods, so (1) TRS providers shall wait a 30-day long as all customers have the ability minimum period of time after giving to opt-out at no cost and are able to ef- customers notice and an opportunity fectuate that choice whenever they to opt-out before assuming customer choose.

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(e) Notice requirements specific to opt- established prior to the use of CPNI. in. A TRS provider may provide notifi- Except as provided for in §§ 64.5105 and cation to obtain opt-in approval 64.5108(f) of this subpart, TRS providers through oral, sign language, written, shall provide access to and shall re- or electronic methods. The contents of quire all personnel, including any any such notification shall comply agents, contractors, and subcontrac- with the requirements of paragraph (c) tors, who have contact with customers of this section. to verify the status of a customer’s (f) Notice requirements specific to one- CPNI approval before using, disclosing, time use of CPNI. (1) TRS providers may or permitting access to the customer’s use oral, text, or sign language notice CPNI. to obtain limited, one-time use of CPNI (b) TRS providers shall train their for inbound and outbound customer personnel, including any agents, con- telephone, TRS, or point-to-point contractors, and subcontractors, as to tacts for the duration of the call, re- when they are and are not authorized gardless of whether TRS providers use to use CPNI, including procedures for opt-out or opt-in approval based on the verification of the status of a cus- nature of the contact. tomer’s CPNI approval. TRS providers (2) The contents of any such notifica- shall have an express disciplinary proc- tion shall comply with the require- ess in place, including in the case of ments of paragraph (c) of this section, agents, contractors, and subcontrac- except that TRS providers may omit tors, a right to cancel the applicable any of the following notice provisions contract(s) or otherwise take discipli- if not relevant to the limited use for nary action. which the TRS provider seeks CPNI: (c) TRS providers shall maintain a (i) TRS providers need not advise record, electronically or in some other customers that if they have opted-out manner, of their own and their affili- previously, no action is needed to ates’ sales and marketing campaigns maintain the opt-out election; that use their customers’ CPNI. All (ii) TRS providers need not advise TRS providers shall maintain a record customers that the TRS provider may of all instances where CPNI was dis- share CPNI with the TRS provider’s af- closed or provided to third parties, or filiates or third parties and need not where third parties were allowed access name those entities, if the limited to CPNI. The record shall include a de- CPNI usage will not result in use by, or scription of each campaign, the specific disclosure to, an affiliate or third CPNI that was used in the campaign, party; including the customer’s name, and (iii) TRS providers need not disclose what products and services were of- the means by which a customer can fered as a part of the campaign. TRS deny or withdraw future access to providers shall retain the record for a CPNI, so long as the TRS provider ex- minimum of three years. plains to customers that the scope of (d) TRS providers shall establish a the approval the TRS provider seeks is supervisory review process regarding limited to one-time use; and TRS provider compliance with the (iv) TRS providers may omit disclo- rules in this subpart for outbound mar- sure of the precise steps a customer keting situations and maintain records must take in order to grant or deny ac- of TRS provider compliance for a min- cess to CPNI, as long as the TRS pro- imum period of three years. Sales per- vider clearly communicates that the sonnel must obtain supervisory ap- customer can deny access to his or her proval of any proposed outbound mar- CPNI for the call. keting request for customer approval. [79 FR 40613, July 5, 2013] (e) A TRS provider shall have an officer, as an agent of the TRS provider, § 64.5109 Safeguards required for use sign and file with the Commission a of customer proprietary network compliance certification on an annual information. basis. The officer shall state in the cer- (a) TRS providers shall implement a tification that he or she has personal system by which the status of a cus- knowledge that the company has estab- tomer’s CPNI approval can be clearly lished operating procedures that are

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adequate to ensure compliance with § 64.5110 Safeguards on the disclosure the rules in this subpart. The TRS proof customer proprietary network vider must provide a statement accom- information. panying the certification explaining (a) Safeguarding CPNI. TRS providers how its operating procedures ensure shall take all reasonable measures to that it is or is not in compliance with discover and protect against attempts the rules in this subpart. In addition, to gain unauthorized access to CPNI. the TRS provider must include an ex- TRS providers shall authenticate a planation of any actions taken against customer prior to disclosing CPNI data brokers, a summary of all cus- based on a customer-initiated tele- tomer complaints received in the past phone contact, TRS call, point-to-point year concerning the unauthorized recall, online account access, or an in- lease of CPNI, and a report detailing store visit. (b) Telephone, TRS, and point-to-point all instances where the TRS provider, access to CPNI. A TRS provider shall or its agents, contractors, or sub- authenticate a customer without the contractors, used, disclosed, or per- use of readily available biographical mitted access to CPNI without com- information, or account information, plying with the procedures specified in prior to allowing the customer tele- this subpart. In the case of iTRS pro- phonic, TRS, or point-to-point access viders, this filing shall be included in to CPNI related to his or her TRS ac- the annual report filed with the Com- count. Alternatively, the customer mission pursuant to § 64.606(g) of this may obtain telephonic, TRS, or point- part for data pertaining to the previous to-point access to CPNI related to his year. In the case of all other TRS pro- or her TRS account through a pass- viders, this filing shall be made annu- word, as described in paragraph (e) of ally with the Disability Rights Office this section. of the Consumer and Governmental Af- (c) Online access to CPNI. A TRS pro- fairs Bureau on or before March 1 in CG vider shall authenticate a customer Docket No. 03–123 for data pertaining without the use of readily available bi- to the previous calendar year. ographical information, or account in- (f) TRS providers shall provide writ- formation, prior to allowing the cus- ten notice within five business days to tomer online access to CPNI related to the Disability Rights Office of the Con- his or her TRS account. Once authenticated, the customer may only obtain sumer and Governmental Affairs Bu- online access to CPNI related to his or reau of the Commission of any instance her TRS account through a password, where the opt-out mechanisms do not as described in paragraph (e) of this work properly, to such a degree that section. consumers’ inability to opt-out is more (d) In-store access to CPNI. A TRS pro- than an anomaly. vider may disclose CPNI to a customer (1) The notice shall be in the form of who, at a TRS provider’s retail loca- a letter, and shall include the TRS pro- tion, first presents to the TRS provider vider’s name, a description of the opt- or its agent a valid photo ID matching out mechanism(s) used, the problem(s) the customer’s account information. experienced, the remedy proposed and (e) Establishment of a password and when it will be/was implemented, back-up authentication methods for lost whether the relevant state commis- or forgotten passwords. To establish a sion(s) has been notified, if applicable, password, a TRS provider shall authen- and whether the state commission(s) ticate the customer without the use of has taken any action, a copy of the no- readily available biographical informa- tice provided to customers, and contact tion, or account information. TRS pro- information. viders may create a back-up customer (2) Such notice shall be submitted authentication method in the event of even if the TRS provider offers other a lost or forgotten password, but such methods by which consumers may opt- back-up customer authentication method may not prompt the customer out. for readily available biographical infor- [79 FR 40613, July 5, 2013] mation, or account information. If a

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customer cannot provide the correct not notify customers or disclose the password or the correct response for breach to the public until 7 full busi- the back-up customer authentication ness days have passed after notifica- method, the customer shall establish a tion to the USSS and the FBI except as new password as described in this para- provided in paragraphs (b)(2) and (3) of graph. this section. (f) Notification of account changes. (2) If the TRS provider believes that TRS providers shall notify customers there is an extraordinarily urgent need immediately whenever a password, cus- to notify any class of affected customer response to a back-up means of tomers sooner than otherwise allowed authentication for lost or forgotten under paragraph (b)(1) of this section, passwords, online account, or address in order to avoid immediate and irrep- of record is created or changed. This arable harm, it shall so indicate in its notification is not required when the notification and may proceed to imme- customer initiates service, including diately notify its affected customers the selection of a password at service only after consultation with the rel- initiation. This notification may be evant investigating agency. The TRS through a TRS provider-originated provider shall cooperate with the rel- voicemail, text message, or video mail evant investigating agency’s request to to the telephone number of record, by minimize any adverse effects of such mail to the physical address of record, customer notification. or by email to the email address of (3) If the relevant investigating agen- record, and shall not reveal the cy determines that public disclosure or changed information or be sent to the notice to customers would impede or new account information. compromise an ongoing or potential [79 FR 40613, July 5, 2013] criminal investigation or national security, such agency may direct the § 64.5111 Notification of customer pro- TRS provider not to so disclose or no- prietary network information secu- tify for an initial period of up to 30 rity breaches. days. Such period may be extended by (a) A TRS provider shall notify law the agency as reasonably necessary in enforcement of a breach of its cus- the judgment of the agency. If such di- tomers’ CPNI as provided in this sec- rection is given, the agency shall no- tion. The TRS provider shall not notify tify the TRS provider when it appears its customers or disclose the breach that public disclosure or notice to af- publicly, whether voluntarily or under fected customers will no longer impede state or local law or these rules, until or compromise a criminal investiga- it has completed the process of noti- tion or national security. The agency fying law enforcement pursuant to shall provide in writing its initial di- paragraph (b) of this section. The TRS rection to the TRS provider, any subse- provider shall file a copy of the notifi- quent extension, and any notification cation with the Disability Rights Of- that notice will no longer impede or fice of the Consumer and Governmental compromise a criminal investigation Affairs Bureau at the same time as or national security and such writings when the TRS provider notifies the shall be contemporaneously logged on customers. the same reporting facility that con- (b) As soon as practicable, and in no tains records of notifications filed by event later than seven (7) business TRS providers. days, after reasonable determination of (c) Customer notification. After a TRS the breach, the TRS provider shall provider has completed the process of electronically notify the United States notifying law enforcement pursuant to Secret Service (USSS) and the Federal paragraph (b) of this section, and con- Bureau of Investigation (FBI) through sistent with the waiting requirements a central reporting facility. The Com- specified in paragraph (b) of this sec- mission will maintain a link to the re- tion, the TRS provider shall notify its porting facility at http://www.fcc.gov/eb/ customers of a breach of those cus- cpni. tomers’ CPNI. (1) Notwithstanding any state law to (d) Recordkeeping. All TRS providers the contrary, the TRS provider shall shall maintain a record, electronically

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or in some other manner, of any (3) Live Agent Fee means a fee associ- breaches discovered, notifications ated with the optional use of a live op- made to the USSS and the FBI pursu- erator to complete Inmate Calling ant to paragraph (b) of this section, Services transactions; and notifications made to customers. (4) Paper Bill/Statement Fees means The record must include, if available, fees associated with providing cus- dates of discovery and notification, a tomers of Inmate Calling Services an detailed description of the CPNI that optional paper billing statement; was the subject of the breach, and the (5) Third-Party Financial Transaction circumstances of the breach. TRS pro- Fees means the exact fees, with no viders shall retain the record for a min- markup, that Providers of Inmate Call- imum of 2 years. ing Services are charged by third par- (e) Definition. As used in this section, ties to transfer money or process finan- a ‘‘breach’’ has occurred when a person, cial transactions to facilitate a Con- without authorization or exceeding authorization, has intentionally gained sumer’s ability to make account pay- access to, used, or disclosed CPNI. ments via a third party. (f) This section does not supersede (b) Authorized Fee means a govern- any statute, regulation, order, or inter- ment authorized, but discretionary, fee pretation in any State, except to the which a Provider must remit to a fed- extent that such statute, regulation, eral, state, or local government, and order, or interpretation is inconsistent which a Provider is permitted, but not with the provisions of this section, and required, to pass through to Con- then only to the extent of the incon- sumers. An Authorized Fee may not in- sistency. clude a markup, unless the markup is specifically authorized by a federal, [78 FR 40613, July 5, 2013] state, or local statute, rule, or regulation. Subpart FF—Inmate Calling (c) Average Daily Population (ADP) Services means the sum of all inmates in a facility for each day of the preceding cal- SOURCE: 78 FR 67975, Nov. 13, 2013, unless endar year, divided by the number of otherwise noted. days in the year. ADP shall be calculated in accordance with § 64.6010(e) § 64.6000 Definitions. and (f); As used in this subpart: (d) Collect Calling means an arrange- (a) Ancillary Service Charge means any ment whereby the called party takes charge Consumers may be assess for affirmative action clearly indicating the use of Inmate Calling services that that it will pay the charges associated are not included in the per-minute with a call originating from an Inmate charges assessed for individual calls. Telephone; Ancillary Service Charges that may be (e) Consumer means the party paying charged include the following. All a Provider of Inmate Calling Services; other Ancillary Service Charges are prohibited. (f) Correctional Facility or Correctional (1) Automated Payment Fees means Institution means a Jail or a Prison; credit card payment, debit card pay- (g) Debit Calling means a ment, and bill processing fees, includ- presubscription or comparable service ing fees for payments made by inter- which allows an Inmate, or someone active voice response (IVR), web, or acting on an Inmate’s behalf, to fund kiosk; an account set up though a Provider (2) Fees for Single-Call and Related that can be used to pay for Inmate Services means billing arrangements Calling Services calls originated by the whereby an Inmate’s collect calls are Inmate; billed through a third party on a per- (h) Flat Rate Calling means a calling call basis, where the called party does plan under which a Provider charges a not have an account with the Provider single fee for an Inmate Calling Serv- of Inmate Calling Services or does not ices call, regardless of the duration of want to establish an account; the call;

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(i) Inmate means a person detained at ices, including calls that originate with a Jail or Prison, regardless of the dura- an Inmate; tion of the detention; (q) Prepaid Collect Calling means a (j) Inmate Calling Service means a calling arrangement that allows an In- service that allows Inmates to make mate to initiate an Inmate Calling calls to individuals outside the Correc- Services call without having a pre-es- tional Facility where the Inmate is tablished billing arrangement and also being held, regardless of the tech- provides a means, within that call, for nology used to deliver the service; the called party to establish an ar- (k) Inmate Telephone means a tele- rangement to be billed directly by the phone instrument, or other device ca- Provider of Inmate Calling Services for pable of initiating calls, set aside by future calls from the same Inmate; authorities of a Correctional Facility (r) Prison means a facility operated for use by Inmates; by a territorial, state, or federal agen- (l) International Calls means calls cy that is used primarily to confine in- that originate in the United States and dividuals convicted of felonies and sen- terminate outside the United States; tenced to terms in excess of one year. (m) Jail means a facility of a local, The term also includes public and pri- state, or federal law enforcement agen- vate facilities that provide outsource cy that is used primarily to hold indi- housing to other agencies such as the viduals who are; State Departments of Correction and (1) Awaiting adjudication of criminal the Federal Bureau of Prisons; and fa- charges; cilities that would otherwise fall under the definition of a Jail but in which the (2) Post-conviction and committed to majority of inmates are post-convic- confinement for sentences of one year tion or are committed to confinement or less; or for sentences of longer than one year; (3) Post-conviction and awaiting (s) Provider of Inmate Calling Services, transfer to another facility. The term or Provider means any communications also includes city, county or regional service provider that provides Inmate facilities that have contracted with a Calling Services, regardless of the private company to manage day-to-day technology used; operations; privately-owned and operated facilities primarily engaged in (t) Site Commission means any form of housing city, county or regional in- monetary payment, in-kind payment, mates; and facilities used to detain in- gift, exchange of services or goods, fee, dividuals pursuant to a contract with technology allowance, or product that U.S. Immigration and Customs En- a Provider of Inmate Calling Services forcement; or affiliate of an Provider of Inmate Calling Services may pay, give, donate, (n) Mandatory Tax or Mandatory Fee or otherwise provide to an entity that means a fee that a Provider is required operates a correctional institution, an to collect directly from consumers, and entity with which the Provider of In- remit to federal, state, or local govern- mate Calling Services enters into an ments. A Mandatory Tax or Fee that is agreement to provide ICS, a govern- passed through to a Consumer may not mental agency that oversees a correc- include a markup, unless the markup is tional facility, the city, county, or specifically authorized by a federal, state where a facility is located, or an state, or local statute, rule, or regula- agent of any such facility. tion; (o) Per-Call, or Per-Connection Charge [80 FR 79178, Dec. 18, 2015, as amended at 81 means a one-time fee charged to a Con- FR 62825, Sept. 13, 2016] sumer at call initiation; (p) Prepaid Calling means a § 64.6010 Inmate Calling Services rate presubscription or comparable service caps. in which a Consumer, other than an In- (a) No Provider shall charge, in the mate, funds an account set up through Jails it serves, a per-minute rate for a Provider of Inmate Calling Services. Debit Calling, Prepaid Calling, or Pre- Funds from the account can then be paid Collect Calling in excess of: used to pay for Inmate Calling Serv- (1) $0.31 in Jails with an ADP of 0–349;

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(2) $0.21 in Jails with an ADP of 350– Debit Calling, Prepaid Calling, or Pre- 999; or paid Collect Calling in excess of: (3) $0.19 in Jails with an ADP of 1,000 (1) $0.13; or greater. (2) [Reserved] (b) No Provider shall charge, in any (c) No Provider shall charge, in the Prison it serves, a per-minute rate for Jails it serves, a per-minute rate for Collect Calling in excess of:

Collect rate Collect rate Collect rate cap per MOU cap per MOU cap per MOU Size and type of facility as of effective as of July 1, as of July 1, date 2017 2018

0–349 Jail ADP ...... $0.58 $0.45 $0.31 350–999 Jail ADP ...... 0.54 0.38 0.21 1,000+ Jail ADP ...... 0.54 0.37 0.19

(d) No Provider shall charge, in the come effective on January 31st of the Prisons it serves, a per-minute rate for following year. Collect Calling in excess of: [80 FR 79179, Dec. 18, 2015, as amended at 81 (1) $0.16 after the December 12, 2016; FR 62825, Sept. 13, 2016; 81 FR 62825, Sept. 13, (2) $0.15 after July 1, 2017; and 2016] (3) $0.13 after July 1, 2018, and going forward. § 64.6020 Ancillary Service Charge. (e) For purposes of this section, the (a) No Provider shall charge an An- initial ADP shall be calculated, for all cillary Service Charge other than those of the Correctional Facilities covered permitted charges listed in § 64.6000. by an Inmate Calling Services con- (b) No Provider shall charge a rate tract, by summing the total number of for a permitted Ancillary Service inmates from January 1, 2015, through Charge in excess of: the effective date of the Order, divided (1) For Automated Payment Fees— by the number of days in that time pe- $3.00 per use; riod; (2) For Single-Call and Related Serv- (f) In subsequent years, for all of the ices—the exact transaction fee charged correctional facilities covered by an In- by the third-party provider, with no mate Calling Services contract, the markup, plus the adopted, per-minute ADP will be the sum of the total num- rate; ber of inmates from January 1st (3) For Live Agent Fee—$5.95 per use; through December 31st divided by the (4) For Paper Bill/Statement Fee— number of days in the year and will be- $2.00 per use; come effective on January 31st of the (5) For Third-Party Financial Trans- following year. action Fees—the exact fees, with no (e) For purposes of this section, the markup that result from the trans- initial ADP shall be calculated, for all action. of the Correctional Facilities covered by an Inmate Calling Services con- [80 FR 79179, Dec. 18, 2015] tract, by summing the total number of § 64.6030 Inmate Calling Services in- inmates from January 1, 2015, through terim rate cap. January 19, 2016, divided by the number of days in that time period; No Provider shall charge a rate for (f) In subsequent years, for all of the Collect Calling in excess of $0.25 per minute, or a rate for Debit Calling, correctional facilities covered by an In- Prepaid Calling, or Prepaid Collect mate Calling Services contract, the Calling in excess of $0.21 per minute. ADP will be the sum of the total num- These interim rate caps shall sunset ber of inmates from January 1st upon the effectiveness of the rates es- through December 31st divided by the tablished in § 64.6010. number of days in the year and will be- [80 FR 79179, Dec. 18, 2015]

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§ 64.6040 Rates for calls involving a curate and complete to the best of his TTY device. or her knowledge, information, and be- (a) No Provider shall levy or collect lief. any charge in excess of 25 percent of [80 FR 79179, Dec. 18, 2015] the applicable per-minute rate for TTY-to-TTY calls when such calls are § 64.6070 Taxes and fees. associated with Inmate Calling Serv- ices. (a) No Provider shall charge any (b) No Provider shall levy or collect taxes or fees to users of Inmate Calling any charge or fee for TRS-to-voice or Services, other than those permitted voice-to-TTY calls. under § 64.6020, Mandatory Taxes, Man- datory Fees, or Authorized Fees. [80 FR 79179, Dec. 18, 2015] [80 FR 79179, Dec. 18, 2015] § 64.6050 Billing-related call blocking. No Provider shall prohibit or prevent § 64.6080 Per-Call, or Per-Connection Charges. completion of a Collect Calling call or decline to establish or otherwise de- No Provider shall impose a Per-Call grade Collect Calling solely for the rea- or Per-Connection Charge on a Con- son that it lacks a billing relationship sumer. with the called party’s communications service provider unless the Pro- [80 FR 79179, Dec. 18, 2015] vider offers Debit Calling, Prepaid Call- § 64.6090 Flat-Rate Calling. ing, or Prepaid Collect Calling. No Provider shall offer Flat-Rate § 64.6060 Annual reporting and certifi- Calling for Inmate Calling Services. cation requirement. [80 FR 79179, Dec. 18, 2015] (a) Providers must submit a report to the Commission, by April 1st of each § 64.6100 Minimum and maximum Pre- year, regarding interstate, intrastate, paid Calling account balances. and international Inmate Calling Serv- ices for the prior calendar year. The re- (a) No Provider shall institute a min- port shall be categorized both by facil- imum balance requirement for a Con- ity type and size and shall contain: sumer to use Debit or Prepaid Calling. (1) Current interstate, intrastate, and (b) No Provider shall prohibit a con- international rates for Inmate Calling sumer from depositing at least $50 per Services; transaction to fund a Debit or Prepaid (2) Current Ancillary Service Charge Calling account. amounts and the instances of use of [80 FR 79179, Dec. 18, 2015] each; (3) The Monthly amount of each Site § 64.6110 Consumer disclosure of In- Commission paid; mate Calling Services rates. (4) Minutes of use, per-minute rates and ancillary service charges for video Providers must clearly, accurately, visitation services; and conspicuously disclose their inter- (5) The number of TTY-based Inmate state, intrastate, and international Calling Services calls provided per fa- rates and Ancillary Service Charges to cility during the reporting period; consumers on their Web sites or in an- (6) The number of dropped calls the other reasonable manner readily avail- reporting Provider experienced with able to consumers. TTY-based calls; and [80 FR 79180, Dec. 18, 2015] (7) The number of complaints that the reporting Provider received related to e.g., dropped calls, poor call quality Subpart GG—National Deaf-Blind and the number of incidences of each Equipment Distribution Program by TTY and TRS users. (b) An officer or director of the re- SOURCE: 81 FR 65975, Sept. 26, 2016, unless porting Provider must certify that the otherwise noted. reported information and data are ac-

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§ 64.6201 Purpose. assessment to have severe hearing and The National Deaf-Blind Equipment visual disabilities that cause extreme Distribution Program (NDBEDP) is es- difficulty in attaining independence in tablished to support programs that dis- daily life activities, achieving psycho- tribute Equipment to low-income indi- social adjustment, or obtaining voca- viduals who are deaf-blind. tional objectives. (d) Specialized customer premises equip- § 64.6203 Definitions. ment means equipment employed on the premises of a person, which is com- For purposes of this subpart, the following definitions shall apply: monly used by individuals with disabil- (a) Covered Services. Telecommuni- ities to achieve access to Covered Serv- cations service, Internet access service, ices. and advanced communications serv- (e) TRS Fund Administrator. The enti- ices, including interexchange services ty selected by the Commission to ad- and advanced telecommunications and minister the Interstate Telecommuni- information services. cations Relay Service Fund (TRS (b) Equipment. Hardware, software, Fund) established pursuant to subpart and applications, whether separate or F. in combination, mainstream or special- § 64.6205 Administration of the pro- ized, needed by an individual who is gram. deaf-blind to achieve access to Covered Services. The Consumer and Governmental Af- (c) Individual who is deaf-blind. (1) fairs Bureau shall designate a Commis- Any individual: sion official as the NDBEDP Adminis- (i) Who has a central visual acuity of trator to ensure the effective, efficient, 20/200 or less in the better eye with cor- and consistent administration of the rective lenses, or a field defect such program, determine annual funding al- that the peripheral diameter of visual locations and reallocations, and review field subtends an angular distance no reimbursement claims to ensure that greater than 20 degrees, or a progres- the claimed costs are consistent with sive visual loss having a prognosis the NDBEDP rules. leading to one or both these conditions; (ii) Who has a chronic hearing im- § 64.6207 Certification to receive fund- pairment so severe that most speech ing. cannot be understood with optimum For each state, including the District amplification, or a progressive hearing of Columbia and U.S. territories, the loss having a prognosis leading to this Commission will certify a single pro- condition; and gram as the sole entity authorized to (iii) For whom the combination of receive reimbursement for NDBEDP impairments described in paragraphs activities from the TRS Fund. Such en- (c)(1)(i) and (ii) of this section cause ex- tity will have full responsibility for treme difficulty in attaining independ- distributing equipment and providing ence in daily life activities, achieving related services, such as outreach, as- psychosocial adjustment, or obtaining sessments, installation, and training, a vocation. in that state, either directly or (2) An individual’s functional abili- through collaboration, partnership, or ties with respect to using Covered contract with other individuals or enti- Services in various environments shall ties in-state or out-of-state, including be considered when determining wheth- other NDBEDP certified programs. er the individual is deaf-blind under (a) Eligibility for certification. Public paragraphs (c)(1)(ii) and (iii) of this or private entities, including, but not section. limited to, equipment distribution pro- (3) The definition in this paragraph grams, vocational rehabilitation pro- (c) also includes any individual who, grams, assistive technology programs, despite the inability to be measured schools for the deaf, blind, or deaf- accurately for hearing and vision loss blind, organizational affiliates, inde- due to cognitive or behavioral con- pendent living centers, or private edu- straints, or both, can be determined cational facilities, may apply to the through functional and performance Commission for certification.

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(b) When to apply. Applications for (7) Familiarity with Covered Serv- certification shall be filed: ices; and, (1) Within 60 days after the effective (8) If the applicant is seeking renewal date of this section; of certification, ability to provide (2) At least one year prior to the ex- Equipment and related services in com- piration of a program’s certification; pliance with this subpart. (3) Within 30 days after public notice (d) Conflicts of interest. (1) An appli- of a program’s relinquishment of cer- cant for certification shall disclose in tification; and its application any relationship, ar- (4) If an application deadline is ex- rangement, or agreement with a manu- tended or a vacancy exists for other facturer or provider of Equipment or reasons than relinquishment or expira- related services that poses an actual or tion of a certification, within the time potential conflict of interest, as well as period specified by public notice. the steps the applicant will take to (c) Qualifications. Applications shall eliminate such actual or potential con- contain sufficient detail to dem- flict or to minimize the associated onstrate the entity’s ability to meet risks. If an applicant learns of a poten- all criteria required for certification tial or actual conflict while its applica- and a commitment to comply with all tion is pending, it must immediately Commission requirements governing disclose such conflict to the Commis- the NDBEDP. The Commission shall sion. The Commission may reject an review applications and determine application for NDBEDP certification, whether to grant certification based on or may require an applicant, as a con- the ability of an entity to meet the fol- dition of certification, to take addi- lowing qualifications, either directly or in coordination with other programs tional steps to eliminate, or to mini- or entities, as evidenced in the applica- mize the risks associated with, an action and any supplemental materials, tual or potential conflict of interest, if including letters of recommendation: relationships, arrangements, or agree- (1) Expertise in the field of deaf- ments affecting the applicant are like- blindness, including familiarity with ly to impede its objectivity in the dis- the culture and etiquette of individuals tribution of Equipment or its ability to who are deaf-blind; comply with NDBEDP requirements. (2) The ability to communicate effec- (2) A certified entity shall disclose to tively with individuals who are deaf- the Commission any relationship, ar- blind (for training and other purposes), rangement, or agreement with a manu- by among other things, using sign lan- facturer or provider of Equipment or guage, providing materials in Braille, related services that comes into being ensuring that information made avail- or is discovered after certification is able online is accessible, and using granted and that poses an actual or po- other assistive technologies and meth- tential conflict of interest, as well as ods to achieve effective communica- the steps the entity will take to elimi- tion; nate such actual or potential conflict (3) Administrative and financial or to minimize the associated risks, management experience; within 30 days after the entity learns (4) Staffing and facilities sufficient or should have learned of such actual to administer the program, including or potential conflict of interest. The the ability to distribute equipment and Commission may suspend or revoke an provide related services to low-income NDBEDP certification or may require a individuals who are deaf-blind through- certified entity, as a condition of con- out the state, including those in re- tinued certification, to take additional mote areas; steps to eliminate, or to minimize the (5) Experience with the distribution risks associated with, an actual or po- of specialized customer premises equip- tential conflict of interest, if relation- ment, especially to individuals who are ships, arrangements, or agreements af- deaf-blind; fecting the entity are likely to impede (6) Experience in training consumers its objectivity in the distribution of on how to use Equipment and how to Equipment or its ability to comply set up Equipment for its effective use; with NDBEDP requirements.

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(e) Certification period. Certification event of suspension or revocation, the granted under this section shall be for Commission shall take such steps as a period of five years. A program may may be necessary, consistent with this apply for renewal of its certification by subpart, to ensure continuity and effec- filing a new application at least one tive oversight of the NDBEDP for the year prior to the expiration of the cer- affected state. tification period. If a certified entity is (i) [Reserved] replaced prior to the expiration of the (j) Certification transitions. When a certification period, the successor enti- new entity is certified as a state’s pro- ty’s certification will expire on the gram, the previously certified entity date that the replaced entity’s certifi- shall: cation would have expired. (1) Within 30 days after the new enti- (f) Notification of substantive change. A ty is certified, and as a condition certified program shall notify the Com- precedent to receiving payment for any mission within 60 days of any sub- reimbursement claims pending as of or stantive change that bears directly on after the date of certification of the its ability to meet the qualifications successor entity, necessary for certification under para- (i) Transfer to the new entity all graph (c) of this section. NDBEDP data, records, and informa- (g) Relinquishment of certification. A tion for the previous five years, and program wishing to relinquish its cer- any Equipment remaining in inven- tification before its certification ex- tory; pires shall electronically provide writ- (ii) Provide notification in accessible ten notice of its intent to do so to the formats about the newly-certified state NDBEDP Administrator and the TRS program to state residents who are in Fund Administrator at least 90 days in the process of obtaining Equipment or advance, explaining the reason for such related services, or who received relinquishment and providing its pro- Equipment during the previous three- posed departure date. After receiving year period; and such notice, the Commission shall take (iii) Inform the NDBEDP Adminis- such steps as may be necessary, con- trator that such transfer and notifica- sistent with this subpart, to ensure tion have been completed; continuity and effective oversight of (2) Submit all reimbursement claims, the NDBEDP for the affected state. reports, audits, and other required in- (h) Suspension or revocation of certifi- formation relating to the previously cation. The Commission may suspend certified entity’s provision of Equip- or revoke NDBEDP certification if, ment and related services; and after notice and an opportunity to ob- (3) Take all other steps reasonably ject, the Commission determines that necessary to ensure an orderly transfer an entity is no longer qualified for cer- of responsibilities and uninterrupted tification. Within 30 days after being functioning of the state program. notified of a proposed suspension or revocation of certification, the reason § 64.6209 Eligibility criteria. therefor, and the applicable suspension Before providing Equipment or re- or revocation procedures, a certified lated services to an individual, a cer- entity may present written arguments tified program shall verify the individ- and any relevant documentation as to ual’s eligibility in accordance with this why suspension or revocation of certifi- section. cation is not warranted. Failure to re- (a) Verification of disability. A cer- spond to a notice of suspension or rev- tified program shall require an indi- ocation within 30 days may result in vidual applying for Equipment and re- automatic suspension or revocation of lated services to provide verification of certification. A suspension of certifi- disability in accordance with para- cation will remain in effect until the graph (a)(1) or (2) of this section. expiration date, if any, or until the ful- (1) The individual may provide an at- fillment of conditions stated in a sus- testation from a professional with di- pension decision. A revocation will be rect knowledge of the individual’s dis- effective for the remaining portion of ability, either to the best of the profes- the current certification period. In the sional’s knowledge or under penalty of

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perjury, that the applicant is deaf- (e) Age. A certified program may not blind (as defined in § 64.6203(c) of this establish eligibility criteria that ex- part). Such attestation shall include clude low-income individuals who are the attesting professional’s full name, deaf-blind of a certain age from apply- title, and contact information, including for or receiving Equipment if the ing business name, address, phone needs of such individuals are not being number, and email address. Such attes- met through other available resources. tation shall also include the basis of (f) Reverification. If an individual who the attesting professional’s knowledge has previously received equipment that the individual is deaf-blind and from a certified program applies to a may also include information about certified program for additional Equip- the individual’s functional abilities to ment or related services one year or use Covered Services in various set- more after the individual’s income was tings. last verified, the certified program (2) The individual may provide exist- shall re-verify an individual’s income ing documentation that the individual eligibility in accordance with para- is deaf-blind, such as an individualized graph (b) before providing new Equip- education program (IEP) or a Social ment or related services. If a certified Security determination letter. program has reason to believe that an individual’s vision or hearing has im- (b) Verification of income eligibility. A proved sufficiently that the individual certified program shall require an indi- is no longer eligible for Equipment or vidual applying for Equipment and re- related services, the certified program lated services to provide verification shall require reverification of the indi- that his or her income does not exceed vidual’s disability in accordance with 400 percent of the Federal Poverty paragraph (a) before providing new Guidelines, as defined in 42 U.S.C. Equipment or related services. 9902(2), or that he or she is enrolled in a federal program with an income eligi- § 64.6211 Equipment distribution and bility requirement that does not exceed related services. 400 percent of the Federal Poverty (a) A certified program shall: Guidelines, such as Medicaid, Supple- (1) Distribute Equipment and provide mental Nutrition Assistance Program, related services; Supplemental Security Income, Fed- (2) Permit the transfer of a recipi- eral Public Housing Assistance, or Vet- ent’s account, records, and any title to erans and Survivors Pension Benefit. and control of the distributed Equip- The NDBEDP Administrator may iden- ment to another state’s certified pro- tify state or other federal programs gram when a recipient relocates to an- with income eligibility thresholds that other state; do not exceed 400 percent of the Fed- (3) Permit the transfer of a recipi- eral Poverty Guidelines for deter- ent’s account, records, and any title to mining income eligibility for participa- and control of the distributed Equip- tion in the NDBEDP. When an appli- ment from another state’s NDBEDP cant is not already enrolled in a quali- certified program when a recipient re- fying low-income program, income eli- locates to the program’s state; gibility may be verified by the certified (4) Prohibit recipients from transfer- program using appropriate and reason- ring Equipment received under the able means. NDBEDP to another person through (c) Prohibition against requiring em- sale or otherwise, and if it learns that ployment. No certified program may re- an individual has unlawfully obtained, quire, for eligibility, that an applicant sold, or transferred Equipment, take be employed or actively seeking em- appropriate steps to reclaim the Equip- ployment. ment or its worth; (d) Availability of Covered Services. A (5) Include the following or a sub- certified program may require an stantially similar attestation on all equipment recipient to demonstrate, consumer application forms: for eligibility, that a Covered Service I certify that all information provided on that the Equipment is designed to use this application, including information is available for use by the individual. about my disability and income, is true,

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complete, and accurate to the best of my tures on distributed Equipment that knowledge. I authorize program representa- are needed to access Covered Services; tives to verify the information provided. I permit information about me to be (3) Accept any type of financial ar- shared with my state’s current and successor rangement from Equipment vendors program managers and representatives for that creates improper incentives to the administration of the program and for purchase particular Equipment. the delivery of equipment and services to me. I also permit information about me to be § 64.6213 Payments to NDBEDP cer- reported to the Federal Communications tified programs. Commission for the administration, operation, and oversight of the program. (a) Programs certified under the If I am accepted into the program, I agree NDBEDP shall be reimbursed for the to use program services solely for the pur- cost of Equipment that has been dis- poses intended. I understand that I may not tributed to low-income individuals who sell, give, or lend to another person any equipment provided to me by the program. are deaf blind and authorized related If I provide any false records or fail to services, up to the state’s funding allo- comply with these or other requirements or cation under this program as deter- conditions of the program, program officials mined by the Commission or any enti- may end services to me immediately. Also, if ty authorized to act for the Commis- I violate these or other requirements or con- sion on delegated authority. ditions of the program on purpose, program officials may take legal action against me. (b) Upon certification and at the be- I certify that I have read, understand, and ginning of each TRS Fund year, state accept these conditions to participate in programs may elect to submit reim- iCanConnect (the National Deaf-Blind Equip- bursement claims on a monthly, quar- ment Distribution Program); terly, or semiannual basis; (6) Conduct outreach, in accessible (c) Within 30 days after the end of formats, to inform state residents each reimbursement period during the about the NDBEDP, which may include TRS Fund year, each certified program the development and maintenance of a must submit documentation that sup- program Web site; ports its claim for reimbursement of (7) Engage an independent auditor to the reasonable costs of the following: conduct an annual audit, submit a copy (1) Equipment and related expenses, of the annual audit to the NDBEDP Ad- including maintenance, repairs, war- ministrator, and submit to audits as ranties, returns, refurbishing, upgrad- deemed appropriate by the Commission ing, and replacing Equipment distrib- or its delegated authorities; (8) Document compliance with all uted to consumers; Commission requirements governing (2) Individual needs assessments; the NDBEDP and provide such docu- (3) Installation of Equipment and in- mentation to the Commission upon re- dividualized consumer training; quest; (4) Maintenance of an inventory of (9) Retain all records associated with Equipment that can be loaned to con- the distribution of Equipment and pro- sumers during periods of Equipment revision of related services under the pair or used for other NDBEDP pur- NDBEDP, including records that sup- poses, such as conducting individual port reimbursement claims and reports needs assessments; required by §§ 64.6213 and 64.6215 of this (5) Outreach efforts to inform state part, for a minimum of five years; and residents about the NDBEDP; (10) Comply with other applicable (6) Train-the-trainer activities and provisions of this section. programs; (b) A certified program shall not: (1) Impose restrictions on specific (7) Travel expenses; and brands, models or types of communica- (8) Administrative costs, defined as tions technology that recipients may indirect and direct costs that are not receive to access Covered Services; or included in other cost categories of (2) Disable or hinder the use of, or di- this paragraph (c) and that are nec- rect manufacturers or vendors of essary for the operation of a program, Equipment to disable or hinder the use but not to exceed 15 percent of the cer- of, any capabilities, functions, or fea- tified program’s funding allocation.

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(d) Documentation will be provided program, such as a director or man- in accordance with claim filing in- ager, with first-hand knowledge of the structions issued by the TRS Fund Ad- accuracy and completeness of the in- ministrator. The NDBEDP Adminis- formation provided in the report, must trator and the TRS Fund Adminis- certify as follows: trator may require a certified program to submit supplemental information I swear under penalty of perjury that I am and documentation when necessary to (name and title), an officer of the above- named reporting entity, and that the entity verify particular claims. has policies and procedures in place to en- (e) With each request for payment, sure that recipients satisfy the NDBEDP eli- the chief executive officer, chief finan- gibility requirements, that the entity is in cial officer, or other senior executive of compliance with the Commission’s NDBEDP the certified program, such as a man- rules, that I have examined the foregoing re- ager or director, with first-hand knowl- ports and that all requested information has edge of the accuracy and completeness been provided, and all statements of fact are of the claim in the request, must cer- true and an accurate statement of the busi- tify as follows: ness activities conducted pursuant to the NDBEDP by the above-named certified pro- I swear under penalty of perjury that I am gram. (name and title), an officer of the above- named reporting entity, and that I have ex- § 64.6217 Complaints. amined all cost data associated with equipment and related services for the claims sub- Complaints against NDBEDP cer- mitted herein, and that all such data are tified programs for alleged violations true and an accurate statement of the busi- of this subpart may be either informal ness activities conducted pursuant to the or formal. NDBEDP by the above-named certified pro- (a) Informal complaints. (1) An infor- gram. mal complaint may be transmitted to § 64.6215 Reporting requirements. the Consumer and Governmental Af- fairs Bureau by any reasonable means, (a) Every six months, for the periods such as letter, fax, telephone, TTY, January through June and July through December, a certified program email, or the Commission’s online com- shall submit data to the Commission in plaint filing system. the following categories: (2) Content. An informal complaint (1) Each Equipment recipient’s iden- shall include the name and address of tity and other relevant characteristics; the complainant; the name of the (2) Information about the Equipment NDBEDP certified program against provided, including costs; whom the complaint is made; a state- (3) Information about assessments, ment of facts supporting the complain- installation, and training, including ant’s allegation that the NDBEDP cer- costs; tified program has violated or is vio- (4) Information about local outreach lating section 719 of the Communica- undertaken, including costs; and tions Act or the Commission’s rules, or (5) Promptness of service. both; the specific relief or satisfaction (b) The categories of information to sought by the complainant; and the be reported may be supplemented by complainant’s preferred format or the Chief, Consumer and Governmental method of response to the complaint by Affairs Bureau, as necessary to further the Commission and the NDBEDP cer- the purposes of the program and pre- tified program, such as by letter, fax, vent fraud, waste, and abuse. Reports telephone, TTY, or email. are due 60 days after the end of a re- (3) Service. The Commission shall porting period. The specific items of in- promptly forward any complaint meet- formation to be reported in each cating the requirements of this subsection egory and the manner in which they to the NDBEDP certified program are to be reported shall be set forth in named in the complaint and call upon instructions issued by the NDBEDP the program to satisfy or answer the Administrator. complaint within the time specified by (c) With each report, the chief execu- the Commission. tive officer, chief financial officer, or (b) Review and disposition of informal other senior executive of the certified complaints. (1) Where it appears from

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the NDBEDP certified program’s an- an adverse personnel action, purchase swer, or from other communications or contract cancellation or discontinu- with the parties, that an informal com- ance, eligibility disqualification, or plaint has been satisfied, the Commis- otherwise, any current or former em- sion may, in its discretion, consider ployee, agent, contractor, manufac- the matter closed. In all other cases, turer, vendor, applicant, or recipient, the Commission shall inform the par- to disclose to a designated official of ties of its review and disposition of a the certified program, the NDBEDP complaint filed under this subpart. Administrator, the TRS Fund Adminis- Where practicable, this information trator, the Commission, or to any fed- shall be transmitted to the complain- eral or state law enforcement entity, ant and NDBEDP certified program in any known or suspected violations of the manner requested by the complain- the Communications Act or Commis- ant. sion rules, or any other activity that (2) A complainant unsatisfied with the reporting person reasonably be- the NDBEDP certified program’s relieves to be unlawful, wasteful, fraudu- sponse to the informal complaint and lent, or abusive, or that otherwise the Commission’s disposition of the in- could result in the improper distribu- formal complaint may file a formal tion of Equipment, provision of serv- complaint with the Commission pursu- ices, or billing to the TRS Fund. ant to paragraph (c) of this section. (b) NDBEDP certified programs shall (c) Formal complaints. Formal com- include these whistleblower protec- plaints against an NDBEDP certified tions with the information they pro- program may be filed in the form and vide about the program in any em- in the manner prescribed under §§ 1.720 ployee handbooks or manuals, on their through 1.740 of this chapter. Commis- Web sites, and in other appropriate sion staff may grant waivers of, or ex- publications. ceptions to, particular requirements under §§ 1.720 through 1.740 of this chapter for good cause shown; provided, Subpart HH—Caller ID however, that such waiver authority Authentication may not be exercised in a manner that relieves, or has the effect of relieving, SOURCE: 85 FR 22043, Apr. 21, 2020, unless a complainant of the obligation under otherwise noted. §§ 1.721 and 1.722 of this chapter to al- lege facts which, if true, are sufficient § 64.6300 Definitions. to constitute a violation or violations (a) Authenticate caller identification in- of section 719 of the Communications formation. The term ‘‘authenticate call- Act or this subpart. er identification information’’ refers to (d) Actions by the Commission on its the process by which a voice service own motion. The Commission may on provider attests to the accuracy of its own motion conduct such inquiries caller identification information trans- and hold such proceedings as it may mitted with a call it originates. deem necessary to enforce the require- (b) Caller identification information. ments of this subpart and section 719 of The term ‘‘caller identification infor- the Communications Act. The proce- mation’’ has the same meaning given dures to be followed by the Commission the term ‘‘caller identification infor- shall, unless specifically prescribed by mation’’ in 47 CFR 64.1600(c) as it cur- the Communications Act and the Com- rently exists or may hereafter be mission’s rules, be such as in the opin- amended. ion of the Commission will best serve (c) Intermediate provider. The term the purposes of such inquiries and pro- ‘‘intermediate provider’’ means any en- ceedings. tity that carriers or processes traffic [81 FR 65975, Sept. 26, 2016, as amended at 83 that traverses or will traverse the FR 44843, Sept.4, 2018] PSTN at any point insofar as that entity neither originates nor terminates § 64.6219 Whistleblower protections. that traffic. (a) NDBEDP certified programs shall (d) SIP call. The term ‘‘SIP call’’ re- permit, without reprisal in the form of fers to calls initiated, maintained, and

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terminated using the Session Initiation technically feasible, transmit that call Protocol signaling protocol. with caller ID authentication informa- (e) STIR/SHAKEN authentication tion to the next voice service provider framework. The term ‘‘STIR/SHAKEN or intermediate provider in the call authentication framework’’ means the path; and secure telephone identity revisited and (3) Verify caller identification infor- signature-based handling of asserted mation for all SIP calls it receives information using tokens standards. from another voice service provider or (f) Verify caller identification informa- intermediate provider which it will ter- tion. The term ‘‘verify caller identifica- minate and for which the caller identi- tion information’’ refers to the process fication information has been authenti- by which a voice service provider con- cated. firms that the caller identification in- (b) [Reserved]. formation transmitted with a call it terminates was properly authenticated. APPENDIX A TO PART 64—TELECOMMUNI- (g) Voice service. The term ‘‘voice CATIONS SERVICE PRIORITY (TSP) service’’— SYSTEM FOR NATIONAL SECURITY (1) Means any service that is inter- EMERGENCY PREPAREDNESS (NSEP) connected with the public switched 1. Purpose and Authority telephone network and that furnishes voice communications to an end user a. This appendix establishes policies and using resources from the North Amer- procedures and assigns responsibilities for ican Numbering Plan or any successor the National Security Emergency Prepared- ness (NSEP) Telecommunications Service to the North American Numbering Priority (TSP) System. The NSEP TSP Sys- Plan adopted by the Commission under tem authorizes priority treatment to certain section 251(e)(1) of the Communications domestic telecommunications services (in- Act of 1934, as amended; and cluding portions of U.S. international tele- (2) Includes— communication services provided by U.S. (i) Transmissions from a telephone service vendors) for which provisioning or facsimile machine, computer, or other restoration priority (RP) levels are re- device to a telephone facsimile ma- quested, assigned, and approved in accordance with this appendix. chine; and b. This appendix is issued pursuant to sec- (ii) Without limitation, any service tions 1, 4(i), 201 through 205 and 303(r) of the that enables real-time, two-way voice Communications Act of 1934, as amended, 47 communications, including any service U.S.C. 151, 154(i), 201 through 205 and 303(r). that requires internet Protocol-com- These sections grant to the Federal Commu- patible customer premises equipment nications Commission (FCC) the authority and permits out-bound calling, whether over the assignment and approval of prior- or not the service is one-way or two- ities for provisioning and restoration of common carrier-provided telecommunications way voice over internet Protocol. services. Under section 706 of the Commu- nications Act, this authority may be super- § 64.6301 Caller ID authentication. seded, and expanded to include non-common (a) STIR/SHAKEN Implementation by carrier telecommunication services, by the Voice Service Providers. Not later than war emergency powers of the President of June 30, 2021, a voice service provider the United States. This appendix provides shall fully implement the STIR/SHAK- the Commission’s Order to telecommuni- EN authentication framework in its cation service vendors and users to comply with policies and procedures establishing the internet Protocol networks. To fulfill NSEP TSP System, until such policies and this obligation, a voice service provider procedures are superseded by the President’s shall: war emergency powers. This appendix is in- (1) Authenticate and verify caller tended to be read in conjunction with regula- identification information for all SIP tions and procedures that the Executive Of- calls that exclusively transit its own fice of the President issues (1) to implement network; responsibilities assigned in section 6(b) of (2) Authenticate caller identification this appendix, or (2) for use in the event this appendix is superseded by the President’s information for all SIP calls it origi- war emergency powers. nates and that will exchange with an- c. Together, this appendix and the regula- other voice service provider or inter- tions and procedures issued by the Executive mediate provider and, to the extent Office of the President establish one uniform

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system of priorities for provisioning and res- 3. Definitions toration of NSEP telecommunication serv- As used in this part: ices both before and after invocation of the a. Assignment means the designation of pri- President’s war emergency powers. In order ority level(s) for a defined NSEP tele- that government and industry resources may communications service for a specified time be used effectively under all conditions, a period. single set of rules, regulations, and proce- b. Audit means a quality assurance review dures is necessary, and they must be applied in response to identified problems. on a day-to-day basis to all NSEP services so c. Government refers to the Federal govern- that the priorities they establish can be im- ment or any foreign, state, county, munic- plemented at once when the need arises. ipal or other local government agency or or- * In sections 2(a)(2) and 2(b)(2) of Executive ganization. Specific qualifications will be Order No. 12472, ‘‘Assignment of National Se- supplied whenever reference to a particular curity and Emergency Preparedness Tele- level of government is intended (e.g., ‘‘Fed- communications Functions’’ April 3, 1984 (49 eral government’’, ‘‘state government’’). FR 13471 (1984)), the President assigned to ‘‘Foreign government’’ means any sovereign the Director, Office of Science and Tech- empire, kingdom, state, or independent po- nology Policy, certain NSEP telecommuni- litical community, including foreign diplo- cation resource management responsibil- matic and consular establishments and coa- ities. The term ‘‘Executive Office of the litions or associations of governments (e.g., President’’ as used in this appendix refers to North Atlantic Treaty Organization (NATO), the official or organization designated by the Southeast Asian Treaty Organization President to act on his behalf. (SEATO), Organization of American States (OAS), and government agencies or organiza- 2. Applicability and Revocation tion (e.g., Pan American Union, Inter- national Postal Union, and International a. This appendix applies to NSEP tele- Monetary Fund)). communications services: d. National Communications System (NCS) re- (1) For which initial or revised priority fers to that organization established by the level assignments are requested pursuant to President in Executive Order No. 12472, ‘‘As- section 8 of this appendix. signment of National Security and Emer- (2) Which were assigned restoration prior- gency Preparedness Telecommunications ities under the provision of FCC Order 80–581; Functions,’’ April 3, 1984, 49 FR 13471 (1984). 81 FCC 2d 441 (1980); 47 CFR part 64, appendix e. National Coordinating Center (NCC) refers A, ‘‘Priority System for the Restoration of to the joint telecommunications industry- Common Carrier Provided Intercity Private Federal government operation established by Line Services’’; and are being resubmitted the National Communications System to as- for priority level assignments pursuant to sist in the initiation, coordination, restora- section 10 of this appendix. (Such services tion, and reconstitution of NSEP tele- will retain assigned restoration priorities communication services or facilities. until a resubmission for a TSP assignment is f. National Security Emergency Preparedness completed or until the existing RP rules are (NSEP) telecommunications services, or terminated.) ‘‘NSEP services,’’ means telecommunication b. FCC Order 80–581 will continue to apply services which are used to maintain a state to all other intercity, private line circuits of readiness or to respond to and manage any assigned restoration priorities thereunder event or crisis (local, national, or inter- until the fully operating capability date of national), which causes or could cause injury this appendix, 30 months after the initial op- or harm to the population, damage to or loss erating capability date referred to in sub- of property, or degrades or threatens the NSEP posture of the United States. These section d of this section. services fall into two specific categories, c. In addition, FCC Order, ‘‘Precedence Emergency NSEP and Essential NSEP, and System for Public Correspondence Services are assigned priority levels pursuant to sec- Provided by the Communications Common tion 9 of this appendix. Carriers’’ (34 FR 17292 (1969)); (47 CFR part 64, g. NSEP treatment refers to the provisioning appendix B), is revoked as of the effective of a telecommunication service before others date of this appendix. based on the provisioning priority level as- d. The initial operating capability (IOC) signed by the Executive Office of the Presi- date for NSEP TSP will be nine months after dent. release in the FEDERAL REGISTER of the h. Priority action means assignment, revi- FCC’s order following review of procedures sion, revocation, or revalidation by the Exec- submitted by the Executive Office of the utive Office of the President of a priority President. On this IOC date requests for pri- level associated with an NSEP telecommuni- ority assignments generally will be accepted cations service. only by the Executive Office of the Presi- i. Priority level means the level that may be dent. assigned to an NSEP telecommunications

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service specifying the order in which provi- supported by a telecommunications service sioning or restoration of the service is to for which a priority level has been requested occur relative to other NSEP and/or non- or assigned pursuant to section 8 or 9 of this NSEP telecommunication services. Priority appendix. levels authorized by this appendix are des- u. Service vendor refers to any person, asso- ignated (highest to lowest) ‘‘E,’’ ‘‘1,’’ ‘‘2,’’ ciation, partnership, corporation, organiza- ‘‘3,’’ ‘‘4,’’ and ‘‘5,’’ for provisioning and ‘‘1,’’ tion, or other entity (including common car- ‘‘2,’’ ‘‘3,’’ ‘‘4,’’ and ‘‘5,’’ for restoration. riers and government organizations) that of- j. Priority level assignment means the pri- fers to supply any telecommunications ority level(s) designated for the provisioning equipment, facilities, or services (including and/or restoration of a particular NSEP tele- customer premises equipment and wiring) or communications service under section 9 of combination thereof. The term includes re- this appendix. sale carriers, prime contractors, subcontrac- k. Private NSEP telecommunications services tors, and interconnecting carriers. include non-common carrier telecommuni- v. Spare circuits or services refers to those cations services including private line, vir- not being used or contracted for by any cus- tual private line, and private switched net- tomer. work services. w. Telecommunication services means the l. Provisioning means the act of supplying transmission, emission, or reception of sig- telecommunications service to a user, in- nals, signs, writing, images, sounds, or intel- cluding all associated transmission, wiring ligence of any nature, by wire, cable, sat- and equipment. As used herein, ‘‘provi- ellite, fiber optics, laser, radio, visual or sioning’’ and ‘‘initiation’’ are synonymous other electronic, electric, electromagnetic, and include altering the state of an existing or acoustically coupled means, or any com- priority service or capability. bination thereof. The term can include nec- m. Public switched NSEP telecommunications essary telecommunication facilities. services include those NSEP telecommuni- x. Telecommunications Service Priority (TSP) cations services utilizing public switched system user refers to any individual, organiza- networks. Such services may include both tion, or activity that interacts with the interexchange and intraexchange network NSEP TSP System. facilities (e.g., switching systems, interoffice trunks and subscriber loops). 4. Scope n. Reconciliation means the comparison of NSEP service information and the resolution a. Domestic NSEP services. The NSEP TSP of identified discrepancies. System and procedures established by this o. Restoration means the repair or return- appendix authorize priority treatment to the ing to service of one or more telecommuni- following domestic telecommunication serv- cation services that have experienced a services (including portions of U.S. international ice outage or are unusable for any reason, in- telecommunication services provided by U.S. cluding a damaged or impaired telecommuni- vendors) for which provisioning or restora- cations facility. Such repair or returning to tion priority levels are requested, assigned, service may be done by patching, rerouting, and approved in accordance with this appen- substitution of component parts or path- dix: ways, and other means, as determined nec- (1) Common carrier services which are: essary by a service vendor. (a) Interstate or foreign telecommuni- p. Revalidation means the rejustification by cations services, a service user of a priority level assignment. (b) Intrastate telecommunication services This may result in extension by the Execu- inseparable from interstate or foreign tele- tive Office of the President of the expiration communications services, and intrastate date associated with the priority level as- telecommunication services to which pri- signment. ority levels are assigned pursuant to section q. Revision means the change of priority 9 of this appendix. level assignment for an NSEP telecommuni- NOTE: Initially, the NSEP TSP System’s cations service. This includes any extension applicability to public switched services is of an existing priority level assignment to an limited to (a) provisioning of such services expanded NSEP service. (e.g., business, centrex, cellular, foreign ex- r. Revocation means the elimination of a change, Wide Area Telephone Service priority level assignment when it is no (WATS) and other services that the selected longer valid. All priority level assignments vendor is able to provision) and (b) restora- for an NSEP service are revoked upon serv- tion of services that the selected vendor is ice termination. able to restore. s. Service identification refers to the information uniquely identifying an NSEP tele- (2) Services which are provided by govern- communications service to the service ven- ment and/or non-common carriers and are dor and/or service user. interconnected to common carrier services t. Service user refers to any individual or assigned a priority level pursuant to section organization (including a service vendor) 9 of this appendix.

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b. Control services and orderwires. The NSEP Mobilization period will remain in effect. At TSP System and procedures established by all times, priority level assignments will be this appendix are not applicable to authorize subject to revision by the FCC or (on an in- priority treatment to control services or terim basis) the Executive Office of the orderwires owned by a service vendor and President, based upon changing NSEP needs. needed for provisioning, restoration, or No other system of telecommunication serv- maintenance of other services owned by that ice priorities which conflicts with the NSEP service vendor. Such control services and TSP System is authorized. orderwires shall have priority provisioning and restoration over all other telecommuni- 6. Responsibilities cation services (including NSEP services) a. The FCC will: and shall be exempt from preemption. How- (1) Provide regulatory oversight of imple- ever, the NSEP TSP System and procedures mentation of the NSEP TSP System. established by this appendix are applicable (2) Enforce NSEP TSP System rules and to control services or orderwires leased by a regulations, which are contained in this ap- service vendor. pendix. c. Other services. The NSEP TSP System (3) Act as final authority for approval, re- may apply, at the discretion of and upon spe- vision, or disapproval of priority actions by cial arrangements by the NSEP TSP System users involved, to authorize priority treat- the Executive Office of the President and ad- ment to the following telecommunication judicate disputes regarding either priority services: actions or denials of requests for priority ac- (1) Government or non-common carrier tions by the Executive Office of the Presi- services which are not connected to common dent, until superseded by the President’s war carrier provided services assigned a priority emergency powers under section 706 of the level pursuant to section 9 of this appendix. Communications Act. (2) Portions of U.S. international services (4) Function (on a discretionary basis) as a which are provided by foreign correspond- sponsoring Federal organization. (See sec- ents. (U.S. telecommunication service ven- tion 6(c) below.) dors are encouraged to ensure that relevant b. The Executive Office of the President operating arrangements are consistent to will: the maximum extent practicable with the (1) During exercise of the President’s war NSEP TSP System. If such arrangements do emergency powers under section 706 of the not exist, U.S. telecommunication service Communications Act, act as the final ap- vendors should handle service provisioning proval authority for priority actions or deni- and/or restoration in accordance with any als of requests for priority actions, adjudi- system acceptable to their foreign cor- cating any disputes. respondents which comes closest to meeting (2) Until the exercise of the President’s war the procedures established in this appendix.) emergency powers, administer the NSEP TSP System which includes: 5. Policy (a) Receiving, processing, and evaluating The NSEP TSP System is the regulatory, requests for priority actions from service administrative, and operational system au- users, or sponsoring Federal government or- thorizing and providing for priority treat- ganizations on behalf of service users (e.g., ment, i.e., provisioning and restoration, of Department of State or Defense on behalf of NSEP telecommunication services. As such, foreign governments, Federal Emergency it establishes the framework for tele- Management Agency on behalf of state and communication service vendors to provision, local governments, and any Federal organi- restore, or otherwise act on a priority basis zation on behalf of private industry entities). to ensure effective NSEP telecommunication Action on such requests will be completed services. The NSEP TSP System allows the within 30 days of receipt. assignment of priority levels to any NSEP (b) Assigning, revising, revalidating, or re- service across three time periods, or stress voking priority levels as necessary or upon conditions: Peacetime/Crisis/Mobilizations, request of service users concerned, and deny- Attack/War, and Post-Attack/Recovery. Al- ing requests for priority actions as nec- though priority levels normally will be as- essary, using the categories and criteria signed by the Executive Office of the Presi- specified in section 12 of this appendix. Ac- dent and retained by service vendors only for tion on such requests will be completed with- the current time period, they may be pre- in 30 days of receipt. assigned for the other two time periods at (c) Maintaining data on priority level as- the request of service users who are able to signments. identify and justify in advance, their war- (d) Periodically forwarding to the FCC time or post-attack NSEP telecommuni- lists of priority actions by the Executive Of- cation requirements. Absent such pre- fice of the President for review and approval. assigned priority levels for the Attack/War (e) Periodically initiating reconciliation. and Post-Attack/Recovery periods, priority (f) Testing and evaluating the NSEP TSP level assignments for the Peacetime/Crisis/ System for effectiveness.

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(g) Conducting audits as necessary. Any on the categories and criteria in section 12 of Telecommunications Service Priority (TSP) this appendix. System user may request the Executive Of- (2) Forward notification of priority actions fice of the President to conduct an audit. or denials of requests for priority actions (h) Issuing, subject to review by the FCC, from the Executive Office of the President to regulations and procedures supplemental to the requesting foreign, state, and local gov- and consistent with this appendix regarding ernment and private industry entities. operation and use of the NSEP TSP System. (3) Cooperate with the Executive Office of (i) Serving as a centralized point-of-con- the President during reconciliation, re- tact for collecting and disseminating to all validation, and audits. interested parties (consistent with require- (4) Comply with any regulations and proce- ments for treatment of classified and propri- dures supplemental to and consistent with etary material) information concerning use and abuse of the NSEP TSP System. this appendix which are issued by the Execu- (j) Establishing and assisting a TSP Sys- tive Office of the President. tem Oversight Committee to identify and re- d. Service users will: view any problems developing in the system (1) Identify services requiring priority and recommend actions to correct them or level assignments and request and justify prevent recurrence. In addition to represent- priority level assignments in accordance atives of the Executive Office of the Presi- with this appendix and any supplemental dent, representatives from private industry regulations and procedures issued by the Ex- (including telecommunication service ven- ecutive Office of the President that are con- dors), state and local governments, the FCC, sistent with this appendix. and other organizations may be appointed to (2) Request and justify revalidation of all that Committee. priority level assignments at least every (k) Reporting at least quarterly to the FCC three years. and TSP System Oversight Committee, to- (3) For services assigned priority levels, gether with any recommendations for action, ensure (through contractual means or other- the operational status of and trends in the wise) availability of customer premises NSEP TSP System, including: equipment and wiring necessary for end-to- (i) Numbers of requests processed for the end service operation by the service due various priority actions, and the priority date, and continued operation; and, for such levels assigned. services in the Emergency NSEP category, (ii) Relative percentages of services as- by the time that vendors are prepared to pro- signed to each priority level under each vide the services. Additionally, designate the NSEP category and subcategory. organization responsible for the service on (iii) Any apparent serious misassignment an end-to-end basis. or abuse of priority level assignments. (4) Be prepared to accept services assigned (iv) Any existing or developing problem. priority levels by the service due dates or, (l) Submitting semi-annually to the FCC for services in the Emergency NSEP cat- and TSP System Oversight Committee a egory, when they are available. summary report identifying the time and (5) Pay vendors any authorized costs asso- event associated with each invocation of ciated with services that are assigned pri- NSEP treatment under section 9(c) of this ority levels. appendix, whether the NSEP service requirement was adequately handled, and whether (6) Report to vendors any failed or unus- any additional charges were incurred. These able services that are assigned priority lev- reports will be due by April 30th for the pre- els. ceding July through December and by Octo- (7) Designate a 24-hour point-of-contact for ber 31 for the preceding January through matters concerning each request for priority June time periods. action and apprise the Executive Office of (m) All reports submitted to the FCC the President thereof. should be directed to Chief, Public Safety (8) Upon termination of services that are and Homeland Security Bureau, Washington, assigned priority levels, or circumstances DC 20554. warranting revisions in priority level assign- (3) Function (on a discretionary basis) as a ment (e.g., expansion of service), request and sponsoring Federal organization. (See sec- justify revocation or revision. tion 6(c) below.) (9) When NSEP treatment is invoked under c. Sponsoring Federal organizations will: section 9(c) of this appendix, within 90 days (1) Review and decide whether to sponsor following provisioning of the service in- foreign, state, and local government and pri- volved, forward to the National Coordinating vate industry (including telecommunication Center (see section 3(e) of this appendix) service vendors) requests for priority ac- complete information identifying the time tions. Federal organizations will forward and event associated with the invocation and sponsored requests with recommendations regarding whether the NSEP service require- for disposition to the Executive Office of the ment was adequately handled and whether President. Recommendations will be based any additional charges were incurred.

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(10) Cooperate with the Executive Office of might result in restoration of services as- the President during reconciliation, re- signed no or lower priority levels along with, validation, and audits. or sometimes ahead of, some higher priority (11) Comply with any regulations and pro- level services.) Restoration will require serv- cedures supplemental to and consistent with ice vendors to restore NSEP services in order this appendix that are issued by the Execu- of restoration priority level assignment (i.e., tive Office of the President. ‘‘1’’, ‘‘2’’, ‘‘3’’, ‘‘4’’, or ‘‘5’’) by: e. Non-federal service users, in addition to (a) Allocating available resources to re- responsibilities prescribed above in section store NSEP services as quickly as prac- 6(d), will obtain a sponsoring Federal organi- ticable, dispatching outside normal business zation for all requests for priority actions. If hours to restore services assigned priority unable to find a sponsoring Federal organiza- levels ‘‘1’’, ‘‘2’’, and ‘‘3’’ when necessary, and tion, a non-federal service user may submit services assigned priority level ‘‘4’’ and ‘‘5’’ its request, which must include documenta- when the next business day is more than 24 tion of attempts made to obtain a sponsor hours away; and reasons given by the sponsor for its re- fusal, directly to the Executive Office of the (b) Restoring NSEP services assigned the President. same restoration priority level based upon f. Service vendors will: which can be first restored. (However, res- (1) When NSEP treatment is invoked by toration actions in progress should not nor- service users, provision NSEP telecommuni- mally be interrupted to restore another cation services before non-NSEP services, NSEP service assigned the same restoration based on priority level assignments made by priority level); the Executive Office of the President. Provi- (c) Patching and/or rerouting NSEP serv- sioning will require service vendors to: ices assigned restoration priority levels from (a) Allocate resources to ensure best ef- ‘‘1’’ through ‘‘5,’’ when use of patching and/or forts to provide NSEP services by the time rerouting will hasten restoration; required. When limited resources constrain (d) Seeking National Coordinating Center response capability, vendors will address (NCC) assistance authorized under the NCC conflicts for resources by: Charter; and (i) Providing NSEP services in order of pro- (e) Referring any conflicts which cannot be visioning priority level assignment (i.e., ‘‘E’’, resolved (to the mutual satisfaction of serv- ‘‘1’’, ‘‘2’’, ‘‘3’’, ‘‘4’’, or ‘‘5’’); ice vendors and users) to the Executive Of- (ii) Providing Emergency NSEP services fice of the President for resolution. (i.e., those assigned provisioning priority (3) Respond to provisioning requests of cus- level ‘‘E’’) in order of receipt of the service tomers and/or other service vendors, and to requests; restoration priority level assignments when (iii) Providing Essential NSEP services an NSEP service suffers an outage or is re- (i.e., those assigned priority levels ‘‘1’’, ‘‘2’’, ported as unusable, by: ‘‘3’’, ‘‘4’’, or ‘‘5’’) that have the same provi- (a) Ensuring that vendor personnel under- sioning priority level in order of service due stand their responsibilities to handle NSEP dates; and provisioning requests and to restore NSEP (iv) Referring any conflicts which cannot service; and be resolved (to the mutual satisfaction of servicer vendors and users) to the Executive (b) Providing a 24-hour point-of-contact for Office of the President for resolution. receiving provisioning requests for Emer- (b) Comply with NSEP service requests by: gency NSEP services and reports of NSEP (i) Allocating resources necessary to pro- service outages or unusability. vide Emergency NSEP services as soon as (c) Seek verification from an authorized possible, dispatching outside normal busi- entity if legitimacy of a priority level as- ness hours when necessary; signment or provisioning request for an (ii) Ensuring best efforts to meet requested NSEP service is in doubt. However, proc- service dates for Essential NSEP services, essing of Emergency NSEP service requests negotiating a mutually (customer and ven- will not be delayed for verification purposes. dor) acceptable service due date when the re- (4) Cooperate with other service vendors quested service due date cannot be met; and involved in provisioning or restoring a por- (iii) Seeking National Coordinating Center tion of an NSEP service by honoring provi- (NCC) assistance as authorized under the sioning or restoration priority level assign- NCC Charter (see section 1.3, NCC Charter, ments, or requests for assistance to provi- dated October 9, 1985). sion or restore NSEP services, as detailed in (2) Restore NSEP telecommunications sections 6(f)(1), (2), and (3) above. services which suffer outage, or are reported (5) All service vendors, including resale as unusable or otherwise in need of restora- carriers, are required to ensure that service tion, before non-NSEP services, based on res- vendors supplying underlying facilities are toration priority level assignments. (NOTE: provided information necessary to imple- For broadband or multiple service facilities, ment priority treatment of facilities that restoration is permitted even though it support NSEP services.

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(6) Preempt, when necessary, existing services assigned a provisioning priority level ices to provide an NSEP service as author- ‘‘E’’ or restore NSEP services assigned a res- ized in section 7 of this appendix. toration priority level from ‘‘1’’ through ‘‘5’’: (7) Assist in ensuring that priority level as- (1) Non-NSEP services: If suitable spare signments of NSEP services are accurately services are not available, then, based on the identified ‘‘end-to-end’’ by: considerations in this appendix and the serv- (a) Seeking verification from an authorized ice vendor’s best judgment, non-NSEP serv- Federal government entity if the legitimacy ices will be preempted. After ensuring a suf- of the restoration priority level assignment ficient number of public switched services is in doubt; are available for public use, based on the (b) Providing to subcontractors and/or service vendor’s best judgment, such services interconnecting carriers the restoration pri- may be used to satisfy a requirement for pro- ority level assigned to a service; visioning or restoring NSEP services. (c) Supplying, to the Executive Office of (2) NSEP services: If no suitable spare or the President, when acting as a prime con- non-NSEP services are available, then exist- tractor to a service user, confirmation infor- ing NSEP services may be preempted to pro- mation regarding NSEP service completion vision or restore NSEP services with higher for that portion of the service they have con- priority level assignments. When this is nec- tracted to supply; essary, NSEP services will be selected for (d) Supplying, to the Executive Office of preemption in the inverse order of priority the President, NSEP service information for level assignment. the purpose of reconciliation. (3) Service vendors who are preempting (e) Cooperating with the Executive Office services will ensure their best effort to no- of the President during reconciliation. tify the service user of the preempted service (f) Periodically initiating reconciliation and state the reason for and estimated dura- with their subcontractors and arranging for tion of the preemption. subsequent subcontractors to cooperate in b. Service vendors may, based on their best the reconciliation process. judgment, determine the sequence in which (8) Receive compensation for costs author- existing services may be preempted to provi- ized through tariffs or contracts by: sion NSEP services assigned a provisioning (a) Provisions contained in properly filed priority of ‘‘1’’ through ‘‘5’’. Preemption is state or Federal tariffs; or not subject to the consent of the user whose (b) Provisions of properly negotiated con- service will be preempted. tracts where the carrier is not required to file tariffs. 8. Requests for Priority Assignments. (9) Provision or restore only the portions of services for which they have agreed to be All service users are required to submit re- responsible (i.e., have contracted to supply), quests for priority actions through the Exec- unless the President’s war emergency powers utive Office of the President in the format under section 706 of the Communications Act and following the procedures prescribed by are in effect. that Office. (10) Cooperate with the Executive Office of the President during audits. 9. Assignment, Approval, Use, and Invocation of (11) Comply with any regulations or proce- Priority Levels dures supplemental to and consistent with a. Assignment and approval of priority levels. this appendix that are issued by the Execu- Priority level assignments will be based tive Office of the President and reviewed by upon the categories and criteria specified in the FCC. section 12 of this appendix. A priority level (12) Insure that at all times a reasonable assignment made by the Executive Office of number of public switched network services the President will serve as that Office’s rec- are made available for public use. ommendation to the FCC. Until the Presi- (13) Not disclose information concerning dent’s war emergency powers are invoked, NSEP services they provide to those not hav- priority level assignments must be approved ing a need-to-know or might use the infor- by the FCC. However, service vendors are or- mation for competitive advantage. dered to implement any priority level assignments that are pending FCC approval. 7. Preemption of Existing Services After invocation of the President’s war When necessary to provision or restore emergency powers, these requirements may NSEP services, service vendors may preempt be superseded by other procedures issued by services they provide as specified below. the Executive Office of the President. ‘‘User’’ as used in this Section means any b. Use of Priority Level Assignments. user of a telecommunications service, in- (1) All provisioning and restoration pri- cluding both NSEP and non-NSEP services. ority level assignments for services in the Prior consent by a preempted user is not re- Emergency NSEP category will be included quired. in initial service orders to vendors. Provi- a. The sequence in which existing services sioning priority level assignments for Essen- may be preempted to provision NSEP serv- tial NSEP services, however, will not usually

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be included in initial service orders to ven- restoration priority level assignment under dors. NSEP treatment for Essential NSEP the provisions of this appendix. Circuits cur- services will be invoked and provisioning pri- rently assigned restoration priorities, and ority level assignments will be conveyed to for which restoration priority level assign- service vendors only if the vendors cannot ments are requested under section 8 of this meet needed service dates through the nor- appendix, will be resubmitted to the Execu- mal provisioning process. tive Office of the President. To resubmit (2) Any revision or revocation of either such circuits, service users will comply with provisioning or restoration priority level as- applicable provisions of section 6(d) of this signments will also be transmitted to ven- appendix. dors. (3) Service vendors shall accept priority 11. Appeal levels and/or revisions only after assignment Service users or sponsoring Federal organi- by the Executive Office of the President. zations may appeal any priority level assign- NOTE: Service vendors acting as prime con- ment, denial, revision, revocation, approval, tractors will accept assigned NSEP priority or disapproval to the Executive Office of the levels only when they are accompanied by President within 30 days of notification to the Executive Office of the President des- the service user. The appellant must use the ignated service identification, i.e., TSP Au- form or format required by the Executive Of- thorization Code. However, service vendors fice of the President and must serve the FCC are authorized to accept priority levels and/ with a copy of its appeal. The Executive Of- or revisions from users and contracting ac- fice of the President will act on the appeal tivities before assignment by the Executive within 90 days of receipt. Service users and Office of the President when service vendor, sponsoring Federal organizations may only user, and contracting activities are unable to then appeal directly to the FCC. Such FCC communicate with either the Executive Of- appeal must be filed within 30 days of notifi- fice of the President or the FCC. Processing cation of the Executive Office of the Presi- of Emergency NSEP service requests will not dent’s decision on appeal. Additionally, the be delayed for verification purposes. Executive Office of the President may appeal c. Invocation of NSEP treatment. To invoke any FCC revisions, approvals, or dis- NSEP treatment for the priority provi- approvals to the FCC. All appeals to the FCC sioning of an NSEP telecommunications must be submitted using the form or format service, an authorized Federal official either required. The party filing its appeal with the within, or acting on behalf of, the service FCC must include factual details supporting user’s organization must make a written or its claim and must serve a copy on the Exec- oral declaration to concerned service ven- utive Office of the President and any other dor(s) and the Executive Office of the Presi- party directly involved. Such party may file dent that NSEP treatment is being invoked. a response within 20 days, and replies may be Authorized Federal officials include the head filed within 10 days thereafter. The Commis- or director of a Federal agency, commander sion will not issue public notices of such sub- of a unified/specified military command, missions. The Commission will provide no- chief of a military service, or commander of tice of its decision to the parties of record. a major military command; the delegates of Any appeals to the Executive Office of the any of the foregoing; or any other officials as President that include a claim of new infor- specified in supplemental regulations or pro- mation that has not been presented before cedures issued by the Executive Office of the for consideration may be submitted at any President. The authority to invoke NSEP time. treatment may be delegated only to a general or flag officer of a military service, ci- 12. NSEP TSP System Categories, Criteria, and vilian employee of equivalent grade (e.g., Priority Levels Senior Executive Service member), Federal a. General. NSEP TSP System categories Coordinating Officer or Federal Emergency and criteria, and permissible priority level Communications Coordinator/Manager, or assignments, are defined and explained any other such officials specified in supple- below. mental regulations or procedures issued by (1) The Essential NSEP category has four the Executive Office of the President. Dele- subcategories: National Security Leadership; gates must be designated as such in writing, National Security Posture and U.S. Popu- and written or oral invocations must be ac- lation Attack Warning; Public Health, Safe- complished, in accordance with supple- ty, and Maintenance of Law and Order; and mental regulations or procedures issued by Public Welfare and Maintenance of National the Executive Office of the President. Economic Posture. Each subcategory has its own criteria. Criteria are also shown for the 10. Resubmission of Circuits Presently Assigned Emergency NSEP category, which has no Restoration Priorities sub-categories. All circuits assigned restoration priorities (2) Priority levels of ‘‘1,’’ ‘‘2,’’ ‘‘3,’’ ‘‘4,’’ and must be reviewed for eligibility for initial ‘‘5’’ may be assigned for provisioning and/or

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restoration of Essential NSEP telecommuni- specified command, chief of a military serv- cation services. However, for Emergency ice, or commander of a major military com- NSEP telecommunications services, a pri- mand, that the telecommunications service ority level ‘‘E’’ is assigned for provisioning. is so critical to protection of life and prop- A restoration priority level from ‘‘1’’ erty or to NSEP that it must be provided im- through ‘‘5’’ may be assigned if an Emer- mediately. gency NSEP service also qualifies for such a (g) A request from an official authorized restoration priority level under the Essential pursuant to the Foreign Intelligence Surveil- NSEP category. lance Act (50 U.S.C. 1801 et seq. and 18 U.S.C. (3) The NSEP TSP System allows the as- 2511, 2518, 2519). signment of priority levels to any NSEP (2) Priority Level Assignment. telecommunications service across three (a) Services qualifying under the Emer- time periods, or stress conditions: Peace- gency NSEP category are assigned priority time/Crisis/Mobilization, Attack/War, and level ‘‘E’’ for provisioning. Post-Attack/Recovery. Priority levels will (b) After 30 days, assignments of provi- normally be assigned only for the first time sioning priority level ‘‘E’’ for Emergency period. These assigned priority levels will NSEP services are automatically revoked apply through the onset of any attack, but it unless extended for another 30-day period. A is expected that they would later be revised notice of any such revocation will be sent to by surviving authorized telecommunication service vendors. resource managers within the Executive Of- (c) For restoration, Emergency NSEP serv- fice of the President based upon specific ices may be assigned priority levels under facts and circumstances arising during the the provisions applicable to Essential NSEP Attack/War and Post-Attack/Recovery time services (see section 12(c)). Emergency NSEP periods. services not otherwise qualifying for restora- (4) Service users may, for their own inter- tion priority level assignment as Essential nal use, assign subpriorities to their services NSEP may be assigned a restoration priority assigned priority levels. Receipt of and re- level ‘‘5’’ for a 30-day period. Such 30-day res- sponse to any such subpriorities is optional toration priority level assignments will be for service vendors. revoked automatically unless extended for (5) The following paragraphs provide a de- another 30-day period. A notice of any such tailed explanation of the categories, subcat- revocation will be sent to service vendors. egories, criteria, and priority level assign- c. Essential NSEP. Telecommunication ments, beginning with the Emergency NSEP services in the Essential NSEP category are category. those required to be provisioned by due dates b. Emergency NSEP. Telecommunications specified by service users, or restored services in the Emergency NSEP category promptly, normally without regard to asso- are those new services so critical as to be re- ciated overtime or expediting costs. They quired to be provisioned at the earliest pos- may be assigned priority level of ‘‘1,’’ ‘‘2,’’ sible time, without regard to the costs of ob- ‘‘3,’’ ‘‘4,’’ or ‘‘5’’ for both provisioning and taining them. restoration, depending upon the nature and (1) Criteria. To qualify under the Emer- urgency of the supported function, the im- gency NSEP category, the service must meet pact of lack of service or of service interrup- criteria directly supporting or resulting from tion upon the supported function, and, for at least one of the following NSEP functions: priority access to public switched services, (a) Federal government activity respond- the user’s level of responsibility. Priority ing to a Presidentially declared disaster or level assignments will be valid for no more emergency as defined in the Disaster Relief than three years unless revalidated. To be Act (42 U.S.C. 5122). categorized as Essential NSEP, a tele- (b) State or local government activity re- communications service must qualify under sponding to a Presidentially declared dis- one of the four following subcategories: Na- aster or emergency. tional Security Leadership; National Secu- (c) Response to a state of crisis declared by rity Posture and U.S. Population Attack the National Command Authorities (e.g., ex- Warning; Public Health, Safety and Mainte- ercise of Presidential war emergency powers nance of Law and Order; or Public Welfare under section 706 of the Communications and Maintenance of National Economic Pos- Act.) ture. (NOTE Under emergency circumstances, (d) Efforts to protect endangered U.S. per- Essential NSEP telecommunication services sonnel or property. may be recategorized as Emergency NSEP (e) Response to an enemy or terrorist ac- and assigned a priority level ‘‘E’’ for provi- tion, civil disturbance, natural disaster, or sioning.) any other unpredictable occurrence that has (1) National security leadership. This sub- damaged facilities whose uninterrupted oper- category will be strictly limited to only ation is critical to NSEP or the management those telecommunication services essential of other ongoing crises. to national survival if nuclear attack threat- (f) Certification by the head or director of ens or occurs, and critical orderwire and con- a Federal agency, commander of a unified/ trol services necessary to ensure the rapid

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and efficient provisioning or restoration of (3) Public health, safety, and maintenance of other NSEP telecommunication services. law and order. This subcategory covers the Services in this subcategory are those for minimum number of telecommunication which a service interruption of even a few services necessary for giving civil alert to minutes would have serious adverse impact the U.S. population and maintaining law and upon the supported NSEP function. order and the health and safety of the U.S. (a) Criteria. To qualify under this sub- population in times of any national, re- category, a service must be at least one of gional, or serious local emergency. These the following: services are those for which a service inter- (i) Critical orderwire, or control service, ruption ranging from a few minutes to one supporting other NSEP functions. day would have serious adverse impact upon (ii) Presidential communications service the supported NSEP functions. critical to continuity of government and na- (a) Criteria. To qualify under this sub- tional leadership during crisis situations. category, a service must support at least one (iii) National Command Authority commu- of the following NSEP functions: nications service for military command and (i) Population warning (other than attack control critical to national survival. warning). (iv) Intelligence communications service (ii) Law enforcement. critical to warning of potentially cata- (iii) Continuity of critical state and local strophic attack. government functions (other than support of (v) Communications service supporting the the Federal government during and after na- conduct of diplomatic negotiations critical tional emergencies). to arresting or limiting hostilities. (vi) Hospitals and distributions of medical (b) Priority level assignment. Services under supplies. this subcategory will normally be assigned (v) Critical logistic functions and public priority level ‘‘1’’ for provisioning and res- utility services. toration during the Peace/Crisis/Mobilization (vi) Civil air traffic control. time period. (vii) Military assistance to civil authori- (2) National security posture and U.S. popu- ties. lation attack warning. This subcategory cov- (viii) Defense and protection of critical in- ers those minimum additional telecommuni- dustrial facilities. cation services essential to maintaining an (ix) Critical weather services. optimum defense, diplomatic, or continuity- (x) Transportation to accomplish the fore- of-government postures before, during, and going NSEP functions. after crises situations. Such situations are (b) Priority level assignment. Service under those ranging from national emergencies to this subcategory will normally be assigned international crises, including nuclear at- priority levels ‘‘3,’’ ‘‘4,’’ or ‘‘5’’ for provi- tack. Services in this subcategory are those sioning and restoration during Peacetime/ for which a service interruption ranging Crisis/Mobilization. from a few minutes to one day would have (4) Public welfare and maintenance of na- serious adverse impact upon the supported tional economic posture. This subcategory cov- NSEP function. ers the minimum number of telecommuni- (a) Criteria. To qualify under this sub- cations services necessary for maintaining category, a service must support at least one the public welfare and national economic of the following NSEP functions: posture during any national or regional (i) Threat assessment and attack warning. emergency. These services are those for (ii) Conduct of diplomacy. which a service interruption ranging from a (iii) Collection, processing, and dissemina- few minutes to one day would have serious tion of intelligence. adverse impact upon the supported NSEP (iv) Command and control of military function. forces. (a) Criteria. To qualify under this sub- (v) Military mobilization. category, a service must support at least one (vi) Continuity of Federal government be- of the following NSEP functions: fore, during, and after crises situations. (i) Distribution of food and other essential (vii) Continuity of state and local govern- supplies. ment functions supporting the Federal gov- (ii) Maintenance of national monetary, ernment during and after national emer- credit, and financial systems. gencies. (iii) Maintenance of price, wage, rent, and (viii) Recovery of critical national func- salary stabilization, and consumer rationing tions after crises situations. programs. (ix) National space operations. (iv) Control of production and distribution (b) Priority level assignment. Services under of strategic materials and energy supplies. this subcategory will normally be assigned (v) Prevention and control of environ- priority level ‘‘2,’’ ‘‘3,’’ ‘‘4,’’ or ‘‘5’’ for provi- mental hazards or damage. sioning and restoration during Peacetime/ (vi) Transportation to accomplish the fore- Crisis/Mobilization. going NSEP functions.

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(b) Priority level assignment. Services under 2. BACKGROUND this subcategory will normally be assigned a. Purpose. This appendix establishes regu- priority levels ‘‘4’’ or ‘‘5’’ for provisioning latory authorization for PAS to support the and restoration during Peacetime/Crisis/Mo- needs of NSEP CMRS users. bilization. b. Applicability. This appendix applies to d. Limitations. Priority levels will be as- the provision of PAS by CMRS licensees to signed only to the minimum number of tele- users who qualify under the provisions of communication services required to support section 5 of this appendix. an NSEP function. Priority levels will not normally be assigned to backup services on a c. Description. PAS provides the means for continuing basis, absent additional justifica- NSEP telecommunications users to obtain tion, e.g., a service user specifies a require- priority access to available radio channels ment for physically diverse routing or con- when necessary to initiate emergency calls. tracts for additional continuity-of-service It does not preempt calls in progress and is features. The Executive Office of the Presi- to be used during situations when CMRS net- dent may also establish limitations upon the work congestion is blocking NSEP call at- relative numbers of services which may be tempts. PAS is to be available to authorized assigned any restoration priority level. NSEP users at all times in equipped CMRS These limitations will not take precedence markets where the service provider has vol- over laws or executive orders. Such limita- untarily decided to provide such service. Au- tions shall not be exceeded absent waiver by thorized users would activate the feature on the Executive Office of the President. a per call basis by dialing a feature code such as *XX. PAS priorities 1 through 5 are re- e. Non-NSEP services. Telecommunication served for qualified and authorized NSEP services in the non-NSEP category will be users, and those users are provided access to those which do not meet the criteria for ei- CMRS channels before any other CMRS call- ther Emergency NSEP or Essential NSEP. ers. [53 FR 47536, Nov. 23, 1988; 54 FR 152, Jan. 4, d. Definitions. As used in this appendix: 1989; 54 FR 1471, Jan. 13, 1989, as amended at 1. Authorizing agent refers to a Federal or 67 FR 13229, Mar. 21, 2002; 71 FR 69038, Nov. State entity that authenticates, evaluates 29, 2006] and makes recommendations to the Execu- tive Office of the President regarding the as- APPENDIX B TO PART 64—PRIORITY AC- signment of priority access service levels. CESS SERVICE (PAS) FOR NATIONAL 2. Service provider means an FCC-licensed SECURITY AND EMERGENCY PRE- CMRS provider. The term does not include PAREDNESS (NSEP) agents of the licensed CMRS provider or re- sellers of CMRS service. 1. AUTHORITY 3. Service user means an individual or organization (including a service provider) to This appendix is issued pursuant to sec- whom or which a priority access assignment tions 1, 4(i), 201 through 205 and 303(r) of the has been made. Communications Act of 1934, as amended. 4. The following terms have the same Under these sections, the Federal Commu- meaning as in Appendix A to Part 64: nications Commission (FCC) may permit the (a) Assignment; assignment and approval of priorities for ac- (b) Government; cess to commercial mobile radio service (CMRS) networks. Under section 706 of the (c) National Communications System; Communications Act, this authority may be (d) National Coordinating Center; superseded by the war emergency powers of (e) National Security Emergency Prepared- the President of the United States. This ap- ness (NSEP) Telecommunications Services pendix provides the Commission’s Order to (excluding the last sentence); CMRS providers and users to comply with (f) Reconciliation; policies and procedures establishing the Pri- (g) Revalidation; ority Access Service (PAS). This appendix is (h) Revision; intended to be read in conjunction with regu- (i) Revocation. lations and procedures that the Executive e. Administration. The Executive Office of Office of the President issues: the President will administer PAS. (1) To implement responsibilities assigned 3. RESPONSIBILITIES in section 3 of this appendix, or (2) For use in the event this appendix is su- a. The Federal Communications Commission perseded by the President’s emergency war will provide regulatory oversight of the im- powers. Together, this appendix and the reg- plementation of PAS, enforce PAS rules and ulations and procedures issued by the Execu- regulations, and act as final authority for tive Office of the President establish one approval, revision, or disapproval of priority uniform system of priority access service assignments by the Executive Office of the both before and after invocation of the Presi- President by adjudicating disputes regarding dent’s emergency war powers. either priority assignments or the denial

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thereof by the Executive Office of the Presi- 3. Ensure that documentation is complete dent until superseded by the President’s war and accurate before forwarding it to the emergency powers under Section 706 of the EOP. Communications Act. 4. Serve as a conduit for forwarding PAS b. The Executive Office of the President information from the EOP to the service (EOP) will administer the PAS system. It user and vice versa. Information will include will: PAS requests and assignments, reconcili- 1. Act as the final approval or denial au- ation and revalidation notifications, and thority for the assignment of priorities and other information. the adjudicator of disputes during the exer- 5. Participate in reconciliation and re- cise of the President’s war emergency powers validation of PAS information at the request under section 706 of the Communications of the EOP. Act. 6. Comply with any regulations and procedures supplemental to and consistent with 2. Receive, process, and evaluate requests this appendix that are issued by the EOP. for priority actions from authorizing agents 7. Disclose content of the NSEP PAS data- on behalf of service users or directly from base only to those having a need-to-know. service users. Assign priorities or deny re- d. Service users will: quests for priority using the priorities and 1. Determine the need for and request PAS criteria specified in section 5 of this appen- assignments in a planned process, not wait- dix. Actions on such requests should be coming until an emergency has occurred. pleted within 30 days of receipt. 2. Request PAS assignments for the lowest 3. Convey priority assignments to the serv- applicable priority level and minimum num- ice provider and the authorizing agent. ber of CMRS services necessary to provide 4. Revise, revalidate, reconcile, and revoke NSEP telecommunications management and priority level assignments with service users response functions during emergency/dis- and service providers as necessary to main- aster situations. tain the viability of the PAS system. 3. Initiate PAS requests through the appro- 5. Maintain a database for PAS related in- priate authorizing agent. The EOP will make formation. final approval or denial of PAS requests and 6. Issue new or revised regulations, proce- may direct service providers to remove PAS dures, and instructional material supple- if appropriate. (Note: State and local governmental to and consistent with this appendix ment or private users will apply for PAS regarding the operation, administration, and through their designated State government use of PAS. authorizing agent. Federal users will apply 7. Provide training on PAS to affected en- for PAS through their employing agency. tities and individuals. State and local users in states where there 8. Enlarge the role of the Telecommuni- has been no designation will be sponsored by cations Service Priority System Oversight the Federal agency concerned with the emer- Committee to include oversight of the PAS gency function as set forth in Executive system. Order 12656. If no authorizing agent is determined using these criteria, the EOP will 9. Report periodically to the FCC on the serve as the authorizing agent.) status of PAS. 4. Submit all correspondence regarding 10. Disclose content of the NSEP PAS PAS to the authorizing agent. database only as may be required by law. 5. Invoke PAS only when CMRS congestion c. An Authorizing agent shall: blocks network access and the user must es- 1. Identify itself as an authorizing agent tablish communications to fulfill an NSEP and its community of interest (State, Fed- mission. Calls should be as brief as possible eral Agency) to the EOP. State Authorizing so as to afford CMRS service to other NSEP Agents will provide a central point of con- users. tact to receive priority requests from users 6. Participate in reconciliation and re- within their state. Federal Authorizing validation of PAS information at the request Agents will provide a central point of con- of the authorizing agent or the EOP. tact to receive priority requests from federal 7. Request discontinuance of PAS when the users or federally sponsored entities. NSEP qualifying criteria used to obtain PAS 2. Authenticate, evaluate, and make rec- is no longer applicable. ommendations to the EOP to approve pri- 8. Pay service providers as billed for PAS. ority level assignment requests using the 9. Comply with regulations and procedures priorities and criteria specified in section 5 that are issued by the EOP which are supple- of this appendix. As a guide, PAS author- mental to and consistent with this appendix. izing agents should request the lowest pri- e. Service providers who offer any form of ority level that is applicable and the min- priority access service for NSEP purposes imum number of CMRS services required to shall provide that service in accordance with support an NSEP function. When appro- this appendix. As currently described in the priate, the authorizing agent will rec- Priority Access and Channel Assignment ommend approval or deny requests for PAS. Standard (IS–53–A), service providers will:

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1. Provide PAS levels 1, 2, 3, 4, or 5 only 3. Public Health, Safety and Law Enforce- upon receipt of an authorization from the ment Command EOP and remove PAS for specific users at 4. Public Services/Utilities and Public Wel- the direction of the EOP. fare 2. Ensure that PAS system priorities su- 5. Disaster Recovery persede any other NSEP priority which may These priority levels were selected to meet be provided. the needs of the emergency response commu- 3. Designate a point of contact to coordi- nity and provide priority access for the com- nate with the EOP regarding PAS. mand and control functions critical to man- 4. Participate in reconciliation and re- agement of and response to national security validation of PAS information at the request and emergency situations, particularly dur- of the EOP. ing the first 24 to 72 hours following an 5. As technically and economically fea- event. Priority assignments should only be sible, provide roaming service users the same requested for key personnel and those indi- grade of PAS provided to local service users. viduals in national security and emergency 6. Disclose content of the NSEP PAS data- response leadership positions. PAS is not in- base only to those having a need-to-know or tended for use by all emergency service per- who will not use the information for eco- sonnel. nomic advantage. A. Priority 1: Executive Leadership and 7. Comply with regulations and procedures Policy Makers. supplemental to and consistent with this appendix that are issued by the EOP. Users who qualify for the Executive Lead- 8. Insure that at all times a reasonable ership and Policy Makers priority will be as- amount of CMRS spectrum is made available signed priority one. A limited number of for public use. CMRS technicians who are essential to re- 9. Notify the EOP and the service user if storing the CMRS networks shall also re- PAS is to be discontinued as a service. ceive this highest priority treatment. Exam- f. The Telecommunications Service Priority ples of those eligible include: Oversight Committee will identify and review (i) The President of the United States, the any systemic problems associated with the Secretary of Defense, selected military lead- PAS system and recommend actions to cor- ers, and the minimum number of senior staff rect them or prevent their recurrence. necessary to support these officials; (ii) State governors, lieutenant governors, 4. APPEAL cabinet-level officials responsible for public safety and health, and the minimum number Service users and authorizing agents may of senior staff necessary to support these of- appeal any priority level assignment, denial, ficials; and revision or revocation to the EOP within 30 (iii) Mayors, county commissioners, and days of notification to the service user. The the minimum number of senior staff to sup- EOP will act on the appeal within 90 days of port these officials. receipt. If a dispute still exists, an appeal may then be made to the FCC within 30 days B. Priority 2: Disaster Response/Military of notification of the EOP’s decision. The Command and Control party filing the appeal must include factual Users who qualify for the Disaster Re- details supporting its claim and must pro- sponse/Military Command and Control pri- vide a copy of the appeal to the EOP and any ority will be assigned priority two. Individ- other party directly involved. Involved par- uals eligible for this priority include per- ties may file a response to the appeal made sonnel key to managing the initial response to the FCC within 20 days, and the initial fil- to an emergency at the local, state, regional ing party may file a reply within 10 days and federal levels. Personnel selected for this thereafter. The FCC will provide notice of its priority should be responsible for ensuring decision to the parties of record. Until a de- the viability or reconstruction of the basic cision is made, the service will remain status infrastructure in an emergency area. In addi- quo. tion, personnel essential to continuity of 5. PAS PRIORITY LEVELS AND QUALIFYING government and national security functions CRITERIA (such as the conduct of international affairs and intelligence activities) are also included The following PAS priority levels and in this priority. Examples of those eligible qualifying criteria apply equally to all users include: and will be used as a basis for all PAS as- (i) Federal emergency operations center signments. There are five levels of NSEP pri- coordinators, e.g., Manager, National Coordi- orities, priority one being the highest. The nating Center for Telecommunications, Na- five priority levels are: tional Interagency Fire Center, Federal Co- 1. Executive Leadership and Policy Makers ordinating Officer, Federal Emergency Com- 2. Disaster Response/Military Command munications Coordinator, Director of Mili- and Control tary Support;

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(ii) State emergency Services director, Na- (iv) Critical Disaster Field Office support tional Guard Leadership, State and Federal personnel. Damage Assessment Team Leaders; (iii) Federal, state and local personnel with 6. LIMITATIONS continuity of government responsibilities; PAS will be assigned only to the minimum (iv) Incident Command Center Managers, local emergency managers, other state and number of CMRS services required to sup- local elected public safety officials; and port an NSEP function. The Executive Office (v) Federal personnel with intelligence and of the President may also establish limita- diplomatic responsibilities. tions upon the relative numbers of services that may be assigned PAS or the total num- C. Priority 3: Public Health, Safety, and Law ber of PAS users in a serving area. These Enforcement Command limitations will not take precedence over Users who qualify for the Public Health, laws or executive orders. Limitations estab- Safety, and Law Enforcement Command pri- lished shall not be exceeded. ority will be assigned priority three. Eligible [65 FR 48396, Aug. 8, 2000] for this priority are individuals who direct operations critical to life, property, and maintenance of law and order immediately PART 65—INTERSTATE RATE OF RE- following an event. Examples of those eligi- TURN PRESCRIPTION, PROCE- ble include: (i) Federal law enforcement command; DURES, AND METHODOLOGIES (ii) State police leadership; (iii) Local fire and law enforcement com- Subpart A—General mand; (iv) Emergency medical service leaders; Sec. (v) Search and rescue team leaders; and 65.1 Application of part 65. (vi) Emergency communications coordinators. Subpart B—Procedures

D. Priority 4: Public Services/Utilities and 65.100 Participation and acceptance of serv- Public Welfare ice designation. Users who qualify for the Public Services/ 65.101 Initiation of unitary rate of return Utilities and Public Welfare priority will be prescription proceedings. assigned priority four. Eligible for this pri- 65.102 Petitions for exclusion from unitary ority are those users whose responsibilities treatment and for individual treatment include managing public works and utility in determining authorized return for infrastructure damage assessment and res- interstate exchange access service. toration efforts and transportation to ac- 65.103 Procedures for filing rate of return complish emergency response activities. Ex- submissions. amples of those eligible include: 65.104 Page limitations for rate of return (i) Army Corps of Engineers leadership; submissions. (ii) Power, water and sewage and telecommunications utilities; and 65.105 Discovery. (iii) Transportation leadership. Subpart C—Exchange Carriers E. Priority 5: Disaster Recovery 65.300 Calculations of the components and Users who qualify for the Disaster Recov- weights of the cost of capital. ery priority will be assigned priority five. El- 65.301 Cost of equity. igible for this priority are those individuals responsible for managing a variety of recov- 65.302 Cost of debt. ery operations after the initial response has 65.303 Cost of preferred stock. been accomplished. These functions may in- 65.304 Capital structure. clude managing medical resources such as 65.305 Calculation of the weighted average supplies, personnel, or patients in medical cost of capital. facilities. Other activities such as coordina- 65.306 Calculation accuracy. tion to establish and stock shelters, to ob- 65.450 Net income. tain detailed damage assessments, or to support key disaster field office personnel may Subpart D—Interexchange Carriers be included. Examples of those eligible include: 65.500 Net income. (i) Medical recovery operations leadership; (ii) Detailed damage assessment leader- Subpart E—Rate of Return Reports ship; (iii) Disaster shelter coordination and 65.600 Rate of return reports. management; and

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