Record Keeping Requirements Summary

Federal Record Keeping Requirements

The Telemarketing Sales Rule and the TCPA both impose certain record-keeping obligations on Sellers and Telemarketers, which are summarized below.

Code Section Types of Records Time Period
16 C.F.R. §310.5(a) 1.      All substantially different advertising, brochures, telemarketing scripts, and promotional materials.

2.      The name and last known address of each prize recipient and the prize awarded for prizes that are represented, directly or by implication, to have a value of $ 25.00 or more.

3.      The name and last known address of each customer, the goods or services purchased, the date such goods or services were shipped or provided, and the amount paid by the customer for the goods or services.

4.      The name, any fictitious name used, the last known home address and telephone number, and the job title(s) for all current and former employees directly involved in telephone sales or solicitations; provided, however, that if the seller or telemarketer permits fictitious names to be used by employees, each fictitious name must be traceable to only one specific employee.

5.      All verifiable authorizations or records of express informed consent or express agreement required to be provided or received under the Telemarketing Sales Rule.

 

24 Months
16 C.F.R. §310.4(b)(3)(i)

 

Written procedures which address compliance with do-not-call list requirements.

 

5 Years
16 C.F.R. §310.4(b)(3)(iii)

 

A list of telephone numbers the seller or charitable organization may not contact, in compliance with § 310.4(b)(1)(iii)(A) (internal “do-not-call” list)

 

5 Years
16 C.F.R. §310.4(b)(3)(iv)

 

Records documenting the process used to prevent telemarketing to numbers on the national “do-not-call” registry, using a version of the registry obtained from the FTC no more than 31 days prior to the date of any call.

 

5 Years
16 C.F.R. §310.4(b)(4)(i)

47 C.F.R. §64.1200(a)(7)

 

Records ensuring compliance with the 3% abandonment rate per 30-day period per campaign

 

5 Years
16 C.F.R. §310.4(b)(4)(ii)

 

Records showing that the seller/telemarketer, for each telemarketing call placed, allows the telephone to ring at least 15 seconds or 4 rings before disconnecting an unanswered call.

 

5 Years
16 C.F.R. §310.4(b)(4)(iii)

47 C.F.R. §64.1200(a)(6)

 

 

Records showing that whenever a sales representative is not available to speak with the person answering the call within 2 seconds after the person’s completed greeting, the seller/telemarketer promptly plays a recorded message stating the name and telephone number of the seller on whose behalf the call was placed and that the call is for telemarketing purposes.

 

5 Years
47 C.F.R. §64.1200(c)(2)(i)(D)

 

Records documenting that access to the national do-not-call database is obtained as well as the implementation of a process to prevent telephone solicitations to any telephone number on any list established pursuant to the do-not-call rules, employing a version of the national do-not-call registry obtained from the administrator of the registry no more than 31 days prior to the date any call is made.

 

4 Years
47 C.F.R. §64.1200(d)(1) Written policy for maintaining an internal DNC list 4 Years
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