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FEDERAL COMMUNICATIONS COMMISSION
WASHINGTON, D.C. 20554
October 28, 2003
2901 Neals Creek Drive .
Raleigh, North Carolina 27610-6145
Attn: John Burwell, Principal
Dear Mr. Burwell:
This is an official CITATION issued pursuant to section
503(b)(5) of the Communications Act of 1934, as amended (the
Act), for violations of the Act, and the Federal Communications
Commission's rules that govern telephone solicitation.1
It has come to our attention that your company, or an entity
acting on behalf of your company, delivered a telephone
solicitation to a residential telephone line despite a previous
do-not-call request by a member of the household. Section
64.1200(e) of the Commission's rules requires entities that make
telephone solicitations to residential telephone subscribers to
follow certain procedures to ensure that the subscribers are able
to stop such solicitation calls. Specifically, entities that
advertise through telephone solicitation must (1) develop written
policies for maintaining a do-not-call list and make such written
policies available upon demand; (2) inform and train their
personnel engaged in any aspect of telephone solicitation about
the existence and use of the do-not-call list; (3) place
consumers who request not to receive telephone solicitations on
the do-not-call list; and (4) honor each do-not-call request for
ten years from the time the request is made.2 In addition, the
Commission has found that it is unlawful to call a residential
telephone line to deliver a telephone solicitation if any member
of the household has made a do-not-call request.3
Under the Act and the Commission's rules, a telephone
solicitation is ``the initiation of a telephone call or message
for the purpose of encouraging the purchase or rental of, or
investment in, property, goods, or services, which is transmitted
to any person;'' calls that are made either by tax-exempt
nonprofit organizations or to any person who has provided prior
express invitation or permission to call or has an established
business relationship with the caller are not considered
The attached information provided to the Commission
indicates that your company failed to honor a do-not-call request
that was made by or on behalf of a residential telephone
subscriber. That action violated section 64.1200(e)(2)(vi) of
the Commission's rules.
It has also come to our attention that your company has
delivered one or more prerecorded unsolicited advertisements to
residential telephone lines (see attachment). The Act and the
Commission's Rules prohibit transmission of unsolicited
advertisements through prerecorded messages to residential
telephone lines except under the very limited circumstances
described in the Rules.5 The term ``unsolicited advertisement''
is defined in the Communications Act and the Commission's rules
as ``any material advertising the commercial availability or
quality of any property, goods, or services which is transmitted
to any person without that person's prior express invitation or
permission.''6 The attached information provided to the
Commission indicates that your company delivered such unsolicited
advertisements, through prerecorded messages, to one or more
residential telephone subscribers who do not have an established
business relationship with your company and had not expressly
invited or authorized the call(s). Those actions violate section
64.1200(a)(2) of the Commission's rules.
Separately, it appears that your company may have violated
other Commission rules governing prerecorded messages and
telephone solicitation. Under section 64.1200(e)(2)(iv), any
telephone solicitation - whether live or prerecorded - must
provide the called party with the name of the individual caller,
the name of the person or entity on whose behalf the call is
being made, and an address or telephone number (which may not be
for an autodialer or prerecorded message player) at which the
person or entity may be contacted.7 According to the attached
information received by the Commission, it appears that your
telephone solicitation did not contain all the required
Subsequent violations of the Communications Act, and the
Commission's rules and orders of the type described herein may
result in the imposition of monetary forfeitures not to exceed
$11,000 for each such violation or each day of a continuing
Pursuant to section 503(b)(5) of the Communications Act, you
may request a personal interview at the Commission's Field
Office nearest to your place of business.
The nearest office appears to be the Atlanta Office at 3575 Koger
Boulevard, Room 320, Duluth, Georgia 30096-4958, which you can
contact by telephone at (770) 935-3370. You must schedule the
interview to take place within 30 days of the date of this
citation. You should be prepared to discuss when your company
recorded the do-not-call request(s) referenced in the attached
consumer correspondence and why your company failed to honor such
request(s). You also will be expected to discuss your procedures
for training your company's telephone solicitors as to do-not-
call responsibilities, and to specify what steps your company has
taken to ensure future compliance with the Commission's do-not-
call rules. Finally, you must supply a copy of your company's
written do-not-call policy as required by section
64.1200(e)(2)(i) of the Commission's rules. Alternatively, you
may submit a written statement addressing the specified topics,
and attaching your company's written do-not-call policy, to the
following address within 30 days of the date of this citation:
Kurt A. Schroeder
Telecommunications Consumers Division
Federal Communications Commission
445 - 12th Street, S.W.
Washington, D.C. 20554
You should reference EB-03-TC-090 when corresponding with the
If you request a meeting, reasonable accommodations for
people with disabilities are available upon request. Include a
description of the accommodation you will need including as much
detail as you can. Also include a way we can contact you if we
need more information. Please allow at least 5 days advance
notice; last minute requests will be accepted, but may be
impossible to fill. Send an e-mail to firstname.lastname@example.org or call the
Consumer & Governmental Affairs Bureau:
For sign language interpreters, CART, and other
202-418-0530 (voice), 202-418-0432 (tty);
For accessible format materials (braille, large print,
electronic files, and audio
format): 202-418-0531 (voice), 202-418-7365 (tty).
As required by the Privacy Act of 1974, 5 U.S.C. §
552(a)(e)(3), you are hereby notified that the Commission's staff
will use all relevant material information to determine what, if
any, enforcement action is required to ensure your compliance
with the Commission's rules. This will include any information
that you disclose in your interview or written statement
Finally, you should be aware that the knowing and willful
making of any false statement or the concealment of any material
fact in reply to this citation is punishable by fine or
imprisonment under 18 U.S.C. § 1001.
Thank you in advance for your anticipated cooperation.
Kurt A. Schroeder
Federal Communications Commission
1 47 U.S.C. § 227; 47 C.F.R. § 64.1200. References to the
Commission's rules in this citation are to the rules as they
existed at the time of the facts at issue here.
2 47 C.F.R. § 64.1200(e).
3 Consumer.Net v. AT&T, Order, 15 FCC Rcd 281, 298 (1999).
4 47 U.S.C. § 227(a)(3); 47 C.F.R. § 64.1200(f)(3).
5 The Commission's rules make it unlawful to ``initiate any
telephone call using an artificial or prerecorded voice to
deliver a message without the prior express consent of the called
party unless the call is initiated for emergency purposes or ...
is not made for a commercial purpose, is made for a commercial
purpose but does not include the transmission of any unsolicited
advertisement, [is made] to any person with whom the caller has
an established business relationship at the time the call is
made, or [is made by or on behalf of] a tax-exempt nonprofit
organization. 47 C.F.R. § 64.1200(a)(2), (c); see also 47 U.S.C.
§ 227(b)(1)(B) (prohibiting all prerecorded calls to residential
lines ``unless the call is initiated for emergency purposes or is
exempted by rule or order by the Commission....'').
6 47 U.S.C. 227(a)(4); 47 C.F.R. 64.1200(f)(5).
7 47 C.F.R. § 64.1200(e)(2)(iv). In addition, the Act and the
Commission's rules impose separate identification requirements
for prerecorded messages. Under section 227(d)(3)(A) of the Act,
all prerecorded messages ``shall, at the beginning of the
message, state clearly the identity of the business, individual,
or other entity initiating the call, and ... shall, during or
after the message, state clearly the telephone number or address
of such business, other entity, or individual.'' 47 U.S.C. §
227(d)(3)(A) (emphasis added); see also 47 C.F.R. §
64.1200(d)(e)(2)(iv) (imposing identification requirements for
prerecorded messages delivered by automatic telephone dialing
8 See 47 C.F.R. § 1.80(b)(3).