Rule2021-14711
Pallone-Thune Telephone Robocall Abuse Criminal Enforcement and Deterrence Act (TRACED Act)
Primary source
Metadata and text below are from the Federal Register, a public-domain U.S. government work. Always verify the official published version before relying on it for any legal matter.
Published
September 23, 2021
Effective
October 25, 2021
Issuing agencies
Federal Communications Commission
Abstract
In this document, the Federal Communications Commission (Commission) adopts rules to implement the Pallone-Thune Telephone Robocall Abuse Criminal Enforcement and Deterrence Act (TRACED Act) to streamline the process by which private entities may submit information to the Commission about violations of the Communications Act.
Full Text
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<title>Federal Register, Volume 86 Issue 182 (Thursday, September 23, 2021)</title>
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[Federal Register Volume 86, Number 182 (Thursday, September 23, 2021)]
[Rules and Regulations]
[Pages 52840-52843]
From the Federal Register Online via the Government Publishing Office [<a href="http://www.gpo.gov">www.gpo.gov</a>]
[FR Doc No: 2021-14711]
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FEDERAL COMMUNICATIONS COMMISSION
47 CFR Parts 0 and 64
[EB Docket No. 20-374; FCC 21-75; FR ID 36061]
Pallone-Thune Telephone Robocall Abuse Criminal Enforcement and
Deterrence Act (TRACED Act)
AGENCY: Federal Communications Commission.
ACTION: Final rule.
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SUMMARY: In this document, the Federal Communications Commission
(Commission) adopts rules to implement the Pallone-Thune Telephone
Robocall Abuse Criminal Enforcement and Deterrence Act (TRACED Act) to
streamline the process by which private entities may submit information
to the Commission about violations of the Communications Act.
DATES: Effective October 25, 2021.
FOR FURTHER INFORMATION CONTACT: For further information, contact
Daniel Stepanicich, Attorney, Telecommunications Consumers Division,
Enforcement Bureau, at (202) 418-7451 or <a href="/cdn-cgi/l/email-protection#93f7f2fdfaf6ffbde0e7f6e3f2fdfaf0faf0fbd3f5f0f0bdf4fce5"><span class="__cf_email__" data-cfemail="5d393c33343831732e29382d3c33343e343e351d3b3e3e733a322b">[email protected]</span></a>.
SUPPLEMENTARY INFORMATION: This is a summary of the Commission's Report
and Order, in EB Docket No. 20-374, FCC-21-75, adopted and released on
June 17, 2021. The full text of this document is available for public
inspection online at <a href="https://ecfsapi.fcc.gov/file/06171386503472/FCC-21-75A3.pdf">https://ecfsapi.fcc.gov/file/06171386503472/FCC-21-75A3.pdf</a>. To request this document in accessible formats for people
with disabilities (e.g., Braille, large print, electronic files, audio
format, etc.) or to request reasonable accommodations (e.g., accessible
format documents, sign language interpreters, CART, etc.), send an
email to <a href="/cdn-cgi/l/email-protection#72141111474246321411115c151d04"><span class="__cf_email__" data-cfemail="284e4b4b1d181c684e4b4b064f475e">[email protected]</span></a> or call the FCC's Consumer and Governmental
Affairs Bureau at (202) 418-0530 (voice), (202) 418-0432 (TTY).
Synopsis
1. This Report and Order establishes a streamlined process for
private entities to submit information about unlawful, unwanted calls.
In the Pallone-Thune Telephone Robocall Abuse Criminal Enforcement and
Deterrence Act (TRACED Act), Congress directed the Commission to
establish regulations to create a process that ``streamlines the ways
in which a private entity may voluntarily share with the Commission
information relating to'' a call or text message that violates
prohibitions regarding robocalls or spoofing set forth section 227(b)
and 227(e) of the Communications Act of 1934, as amended. We adopt
rules to establish an online web portal where private entities may
submit information about suspected violations of sections 227(b) and
227(e). The Commission's Enforcement Bureau (Bureau) will monitor the
portal.
2. Section 227 of the Communications Act of 1934, as amended (the
Communications Act), is designed to protect consumers from unlawful
robocalls. Sections 227(b), (c), and (d) impose specific requirements
on telemarketing and prerecorded voice message calls to give consumers
the ability to know who is calling and to control the calls they
receive. Section 227(e) prohibits unlawful spoofing--the transmission
of misleading or inaccurate caller ID information with the intent to
defraud, cause harm, or wrongfully obtain anything of value. The
Commission vigorously enforces violations of section 227.
3. The Commission has a well-established process for individual
consumers to submit complaints about unwanted and suspected illegal
robocalls and spoofed calls: The Commission's informal consumer
complaint process, which the Consumer and Governmental Affairs Bureau
oversees. We also have a process for obtaining information from certain
public entities: Federal and state law enforcement agencies routinely
coordinate with the Enforcement Bureau about robocall and caller ID
spoofing enforcement and mitigation efforts. In addition, public
entities often contact Enforcement Bureau staff directly about
robocalling and spoofing matters. Against that background, Congress
directed the Commission to develop a streamlined process for private
entities to submit robocall information to the Commission.
4. Timely and thorough information from private entities is crucial
to enable the Commission to mitigate illegal robocall incidents and
bring swift enforcement actions. Our past robocall enforcement actions
have relied extensively upon information from private entities. For
example, in two enforcement actions, a medical paging company was a key
source; it informed the Bureau that the paging company's phone lines
were being bombarded by spoofed robocalls. Another enforcement action
relied extensively on information from an industry group, the
USTelecom's Industry Traceback Group (Traceback Group).
5. The TRACED Act directs the Commission no later than June 30,
2021 to ``prescribe regulations to establish a process that streamlines
the ways in which a private entity may voluntarily share with the
Commission information relating'' to violations of section 227(b) or
227(e) of the Communications Act. We released a Notice of Proposed
Rulemaking (NPRM) on December 8, 2020, proposing to establish a
streamlined process for private entities to submit information about
robocall violations to the Commission. CTIA, SAFE Credit Union (SAFE),
Twilio, Inc., and USTelecom-The Broadband Association (USTelecom) filed
comments.
6. We amend our rules to establish a streamlined process for
private entities to submit information about violations of Sections
227(b) and 227(e) of the Act to the Commission. To achieve this
objective, we direct the Enforcement Bureau to create and monitor an
online portal located on the Commission
[[Page 52841]]
website. We anticipate that this portal will be particularly useful to
private entities experiencing large scale robocall incidents and voice
service providers that have network analytic information. This robocall
``tip'' line will provide a streamlined process for reporting potential
violations, and will enable the Enforcement Bureau to respond quickly
to disruptive robocalling events.
7. Definition of Private Entity. We define ``private entity'' as
any entity other than (1) an individual natural person or (2) a public
entity. In the NPRM, we proposed to include individuals in the
definition of ``private entity'' but sought comment on the proposed
interpretation, and whether there was a basis for a different
interpretation of the term. Commenters suggested that the Commission
consolidate the new portal and its existing informal consumer complaint
process, which the Consumer and Governmental Affairs Bureau
administers, or better distinguish the two processes by defining
``private entity'' to exclude consumers. Commenters were concerned that
the definition proposed in the NPRM would create consumer confusion and
duplicate existing Commission robocall information collection efforts.
8. We agree with the commenters and therefore exclude individual
natural persons from the definition of private entity. First, we find
that interpreting the term to exclude individual consumers from the
definition of private entity is consistent with Congress's other uses
of that term and similar terms. Congress did not define ``private
entity'' in the TRACED Act. Elsewhere in the Communications Act,
however, Congress used the term ``person'' to include individuals and
organizational entities. Thus, if Congress had intended to include
individuals, we presume that it would have used the term ``person.''
Moreover, in other statutes the term ``private entity'' is often used
to refer to organizations rather than individuals. Black's Law
Dictionary defines ``entity'' as ``[a]n organization (such as a
business or a governmental unit) that has a legal identity apart from
its members or owners.'' Second, we find that, as a policy matter, we
should exclude individuals from the definition of private entity as the
term is used in section 10(a) of the TRACED Act. We agree with
commenters that including individuals within the definition of private
entity would undermine the intent of the statute to streamline
information collection about robocalls and spoofed calls, and would
create confusion for consumers about whether to use the existing
informal complaint process or the new portal, or both. Consumers are
already served by the existing informal complaint intake process, and
the TRACED Act gives no indication that Congress intended to upset or
replace that process. Third, consumers will not be adversely affected
by our decision to exclude them from the definition of private entity.
If an individual consumer mistakenly files a complaint with the new
portal, the Bureau will forward the complaint to the Consumer and
Governmental Affairs Bureau.
9. We also clarify that a ``public entity'' is any governmental
organization at the federal, state, or local level. This definition is
consistent with common usage. Black's Law Dictionary defines ``public
entity'' as ``a governmental entity, such as a state government or one
of its political subdivisions.'' At least one statute, the Americans
with Disabilities Act, defines public entity as any state or local
government and ``any department, agency, special purpose district, or
other instrumentality of a State or States or local government.''
10. Streamlined Process. The rules we adopt today create a
streamlined process by which a private entity may submit information
about suspected robocall and spoofing violations directly to the Bureau
via an online portal located on the FCC website. We interpret section
10(a) of the TRACED Act to encompass ``suspected'' or ``alleged''
violations of section 227(b) or section 227(e) as the most natural
reading the of the statute. A private entity cannot determine whether a
call violated the TCPA or the Truth in Caller ID Act--this
determination is left to the Commission, an action brought by state law
enforcement, or a judicial outcome from a private right of action.
Thus, a private entity is only in a position to provide information
about calls that it suspects are violations of the law. The portal will
request private entities to submit certain minimum information
including, but not necessarily limited to, the name of the reporting
private entity, contact information, including at least one individual
name and means of contacting the entity (e.g., a phone number), the
caller ID information displayed, the phone number(s) called, the
date(s) and time(s) of the relevant calls or texts, the name of the
reporting private entity's service provider, and a description of the
problematic calls or texts. Although the portal will not reject
submissions that fail to include the above information, such failure
will make it more difficult for the Bureau to investigate fully and
take appropriate enforcement action. Once submitted, the Bureau will
review to determine whether the information presents evidence of a
violation of our rules.
11. We agree with comments expressing the importance of vetting
submitted information and protecting confidentiality. The Bureau will
review information submitted through the portal to assess violations of
the rules in the same manner that it reviews information submitted to
the Commission through other means. All persons are required to submit
truthful and accurate statements to the Commission. To protect law
enforcement methods and techniques, we decline to adopt SAFE Credit
Union's suggestion to detail the exact steps and criteria that the
Bureau will use to evaluate the information submitted. Furthermore, we
agree with commenters that the Bureau should protect the
confidentiality of information submitted through the portal, especially
because the data may include personally identifiable information or
customer proprietary network information. Consistent with these privacy
protections, however, the Bureau may share information gathered from
the portal with other government agencies combatting robocalls. To the
extent allowed by the Privacy Act of 1974 and our rules, the portal
will clearly state that the Bureau may share submitted information with
the Department of Justice, Federal Trade Commission, other federal
agencies combatting robocalls, state attorney general offices, other
law enforcement entities with which the Commission has information
sharing agreements, and the registered traceback consortium.
12. The purpose of the portal is to provide private entities a
streamlined method to submit information to the Bureau about suspected
robocall or spoofing violations. USTelecom requests that we encourage
private entities to first coordinate with the registered traceback
consortium prior to filing information in the portal. While we
encourage private entities to make use of the registered consortium's
resources, we decline to mandate that private entities must coordinate
with the consortium prior to submitting information to the Commission.
13. No Impact on Informal Consumer Complaint Process. This new
portal will not affect the process by which a consumer submits an
informal complaint about a robocall or spoofed call, using the long-
standing process located on the Commission's homepage. The current
informal consumer complaint process is a vital tool for the Commission.
The Consumer and Governmental Affairs Bureau uses this
[[Page 52842]]
information to inform Commission consumer protection policies as well
as for analytical and consumer education purposes. The Consumer and
Governmental Affairs Bureau also forwards complaints to the Enforcement
Bureau, which may use them to pursue enforcement actions. Commenters
raise concerns that the new streamlined portal will create consumer
confusion or duplicate current processes. We find that our decision to
exclude individual consumers from the definition of private entity will
greatly reduce, if not eliminate, potential confusion.
14. Twilio recommends that the Commission create one centralized
mechanism for reporting all information regarding robocalling and
spoofing, whether it is from a whistleblower, company, or consumer. We
agree with Twilio that private entities and consumers should be
directed to a centralized reporting mechanism, but we also find that
the new portal should be distinct from the existing informal consumer
complaint process. First, we find that there is value in maintaining
the separate informal consumer complaint process. That process is a
well-established one that consumers have come to understand and depend
upon. In addition, it serves as a valuable clearinghouse for the
Commission to identify trends and activities that are negatively
affecting consumers. The data in turn informs the Commission's policy
work, serves as a deterrent to companies the Commission regulates and
contributes to consumer protection efforts. Second, we find that
establishing a stand-alone process designed specifically to handle
concerns from private entities (i.e., not individual consumers) about
robocalls and spoofing best aligns with the TRACED Act requirement.
Congress adopted the requirement to create a streamlined process to
collect information about robocalls and spoofing against the backdrop
of the existing informal consumer complaint process. Instead, the new
portal will be integrated with, but distinct from, the existing
consumer complaint process. Private entities and consumers who wish to
submit information or complaints about robocalls will be directed on
the FCC website to the appropriate intake process for their situation--
the new portal for private entities or the existing informal consumer
complaint process for consumers. We find that adopting a distinct
intake process for private entities best satisfies the statutory
language, while integrating it with the existing process managed by the
Consumer and Governmental Affairs Bureau will reduce administrative
costs and consumer confusion.
15. We acknowledge commenters' concerns that, at least initially,
private entities might be confused about whether the consumer complaint
process or the new streamlined process is a more appropriate place to
submit information. Thus we adopt SAFE Credit Union's suggestion that
the portal ``clearly explain its purpose and intended use.'' To that
end, the new portal's home page will include prominent language that
not only explains its purpose and use, but also distinguishes that
portal from the existing informal consumer complaint process so as to
minimize possible confusion. The portal is available for use by private
entities that wish to submit information about suspected robocall or
spoofing violations. Relevant incidents might include a corporation or
association experiencing a deluge of robocalls overwhelming their
internal phone network or a voice service provider that found evidence
of illegal robocalls traversing its network. The portal is also
available for use by private entities that have had their number(s)
spoofed. Consumers, meanwhile, should continue to submit individual
complaints about unwanted robocalls and spoofed calls that they receive
through the Consumer and Governmental Affairs Bureau's informal
consumer complaint process. We recognize that consumers might
mistakenly file complaints through the new streamlined process rather
than the existing consumer complaint process. In such cases, the
Enforcement Bureau will forward such consumer complaints to the
Consumer and Governmental Affairs Bureau.
16. Delegated Authority. Lastly, we delegate authority to the
Bureau to make further decisions about administration of the portal.
Additional technical issues may arise in the future, and those
decisions can be made by the Bureau.
17. Final Regulatory Flexibility Analysis. As required by the
Regulatory Flexibility Act of 1980, as amended (RFA), the Commission
has prepared a Final Regulatory Flexibility Analysis (FRFA) relating to
this Report and Order. The FRFA is set forth in Appendix C.
18. Paperwork Reduction Act of 1995 Analysis. The Report and Order
contains new or modified information collection requirements subject to
the Paperwork Reduction Act of 1995 (PRA). It will be submitted to the
Office of Management and Budget (OMB) for review under section 3507(d)
of the PRA. OMB, the general public, and other Federal agencies will be
invited to comment on the new or modified information collection
requirements contained in this proceeding. In addition, we note that
pursuant to the Small Business Paperwork Relief Act of 2002, we
previously sought specific comment on how the Commission might further
reduce the information collection burden for small business concerns
with fewer than 25 employees.
19. In this document, we have created a new online portal located
on the Commission website where private entities, including small
businesses, may submit information about robocall or spoofing
violations. The portal will collect contact information of the
reporting entity, information about the suspected illegal robocall, and
a description of the robocall incident. Use of the portal is completely
voluntary and we impose no new requirements on small businesses. Thus,
we have minimized the impact on small businesses.
20. Congressional Review Act. The Commission has determined, and
the Administrator of the Office of Information and Regulatory Affairs,
Office of Management and Budget, concurs that this rule is non-major
under the Congressional Review Act, 5 U.S.C. 804(2). The Commission
will send a copy of this Report and Order to Congress and the
Government Accountability Office pursuant to 5 U.S.C. 801(a)(1)(A).
21. People with Disabilities. To request material in accessible
formats for people with disabilities (braille, large print, electronic
files, audio format), send an email to <a href="/cdn-cgi/l/email-protection#4e282d2d7b7e7a0e282d2d60292138"><span class="__cf_email__" data-cfemail="b8dedbdb8d888cf8dedbdb96dfd7ce">[email protected]</span></a> or call the
Consumer and Governmental Affairs Bureau at 202-418-0530 (voice).
22. Further Information. For further information, contact Daniel
Stepanicich, Attorney, Telecommunications Consumers Division,
Enforcement Bureau, at (202) 418-7451 or <a href="/cdn-cgi/l/email-protection#761217181f131a580502130617181f151f151e3610151558111900"><span class="__cf_email__" data-cfemail="3b5f5a55525e5715484f5e4b5a5552585258537b5d5858155c544d">[email protected]</span></a>.
23. Accordingly, it is ordered, pursuant to sections 4(i), 4(j),
and 227 of the Communications Act of 1934, as amended, 47 U.S.C.
154(i), 154(j), and 227, and section 10(a) of the Pallone-Thune
Telephone Robocall Abuse Criminal Enforcement and Deterrence Act,
Public Law 116-105, 133 Stat. 3274, this Report and Order, is hereby
adopted.
24. It is further ordered that parts 0 and 64 of the Commission's
rules are amended as set forth in Appendix A.
25. It is further ordered that, pursuant to Sec. Sec. 1.4(b)(1)
and 1.427(a) of the Commission's rules, 47 CFR 1.4(b)(1), 1.427(a),
this Report and Order and the amendments to parts 0 and 64 of the
Commission's rules, as set forth in
[[Page 52843]]
Appendix A, shall be effective 30 days after publication in the Federal
Register. Sections 64.1204(a) and 64.1606(a) contain new or modified
information collection requirements that require review by OMB under
the PRA. The Commission directs the Enforcement Bureau to announce the
effective date for those information collections in a document
published in the Federal Register after OMB completes its review, and
directs the Enforcement Bureau to cause Sec. Sec. 64.1204 and 64.1606
to be revised accordingly.
26. It is further ordered that the Commission shall send a copy of
this Report and Order Rulemaking, including the Final Regulatory
Flexibility Analysis, in a report to Congress and the Government
Accountability Office pursuant to the Congressional Review Act, see 5
U.S.C. 801(a)(1)(A).
27. It is further ordered that the Commission's Consumer and
Governmental Affairs Bureau, Reference Information Center, shall send a
copy of this Report and Order Rulemaking, including the Final
Regulatory Flexibility Analysis, to the Chief Counsel for Advocacy of
the Small Business Administration.
List of Subjects in 47 CFR Parts 0 and 64
Authority delegations (Government agencies), Telecommunications.
Federal Communications Commission.
Marlene Dortch,
Secretary.
Final Rules
For the reasons discussed in the preamble, the Federal
Communications Commission proposes to amend 47 CFR parts 0 and 64 as
follows:
PART 0--COMMISSION ORGANIZATION
0
1. The authority citation for part 0 continues to read as follows:
Authority: 47 U.S.C. 151, 154(i), 154(j), 155, 225, and 409,
unless otherwise noted.
0
2. Amend Sec. 0.111 by redesignating paragraph (j) as paragraph (k)
and revising it and by adding new paragraph (j) to read as follows:
Sec. 0.111 Functions of the Bureau.
* * * * *
(j) Collects and reviews information received from private entities
related to violations of Sec. Sec. 64.1200(a) and 64.1604(a) of this
chapter.
(k) Perform such other functions as may be assigned or referred to
it by the Commission.
PART 64--MISCELLANEOUS RULES RELATING TO COMMON CARRIERS
0
3. The authority citation for part 64 continues to read as follows:
Authority: 47 U.S.C. 151, 152, 154, 201, 202, 217, 218, 220,
222, 225, 226, 227, 227b, 228, 251(a), 251(e), 254(k), 262, 276,
403(b)(2)(B), (c), 616, 620, 1401-1473, unless otherwise noted, Pub.
L. 115-141, Div. P, sec. 503, 132 Stat 348, 1091.
0
4. Add Sec. 64.1204 to subpart L to read as follows:
Sec. 64.1204 Private entity submissions of robocall violations.
(a) Any private entity may submit to the Enforcement Bureau
information related to a call made or a text message sent that the
private entity has reason to believe was in violation of Sec.
64.1200(a) or 47 U.S.C. 227(b).
(b) For the purposes of this section, the term ``private entity''
shall mean any entity other than a natural individual person or a
public entity.
(c) Compliance date--paragraph (a) of this section contains a
voluntary information collection. Compliance with the requirements of
that information collection will not be required until after approval
by the Office of Management and Budget. The Commission will publish a
document in the Federal Register announcing that compliance date and
revising this paragraph accordingly.
0
5. Add Sec. 64.1606 to subpart P to read as follows:
Sec. 64.1606 Private entity submissions of spoofing violations.
(a) Any private entity may submit to the Enforcement Bureau
information related to a call or text message that the private entity
has reason to believe included misleading or inaccurate caller
identification information in violation of Sec. 64.1604(a) or 47
U.S.C. 227(e).
(b) For the purposes of this section, the term ``private entity''
shall mean any entity other than a natural individual person or a
public entity.
(c) Compliance date--paragraph (a) of this section contains a
voluntary information collection. Compliance with the requirements of
that information collection will not be required until after approval
by the Office of Management and Budget. The Commission will publish a
document in the Federal Register announcing that compliance date and
revising this paragraph accordingly.
[FR Doc. 2021-14711 Filed 9-22-21; 8:45 am]
BILLING CODE 6712-01-P
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