52840 Federal Register / Vol. 86, No. 182 / Thursday, September 23, 2021 / Rules and Regulations 

EPA-APPROVED REGULATIONS IN THE WEST VIRGINIA SIP—Continued 

State citation 

[Chapter 16–20 

or 45 CSR] 

Title/subject 

State 

effective 

date 

EPA approval date 

Additional 

explanation/citation 

at 40 CFR 52.2565 

Section 45–8–3 .... Adoption of Standards ................. 6/1/20 9/23/21, [Insert Federal Register 

citation].

Docket #2020–0487. Effective 

date is revised. 

Section 45–8–4 .... Inconsistency Between Rules ...... 6/1/20 9/23/21, [Insert Federal Register 

citation].

Docket #2020–0487. Previous 

Approval 2/25/20. 

* * * * * * * 

* * * * * 

[FR Doc. 2021–20322 Filed 9–22–21; 8:45 am] 

BILLING CODE 6560–50–P 

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. 

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 daniel.stepanicich@fcc.gov. 

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 https://ecfsapi.

fcc.gov/file/06171386503472/FCC-21- 

75A3.pdf. 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 fcc504@fcc.gov 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 wellestablished 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 


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Federal Register / Vol. 86, No. 182 / Thursday, September 23, 2021 / Rules and Regulations 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 


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52842 Federal Register / Vol. 86, No. 182 / Thursday, September 23, 2021 / Rules and Regulations 

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 fcc504@fcc.gov 

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 

daniel.stepanicich@fcc.gov. 

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 PalloneThune 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 §§ 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 


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Federal Register / Vol. 86, No. 182 / Thursday, September 23, 2021 / Rules and Regulations 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 §§ 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 

■ 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. 

■ 2. Amend § 0.111 by redesignating 

paragraph (j) as paragraph (k) and 

revising it and by adding new paragraph 

(j) to read as follows: 

§ 0.111 Functions of the Bureau. 

* * * * * 

(j) Collects and reviews information 

received from private entities related to 

violations of §§ 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 

■ 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. 

■ 4. Add § 64.1204 to subpart L to read 

as follows: 

§ 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 § 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. 

■ 5. Add § 64.1606 to subpart P to read 

as follows: 

§ 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 § 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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