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Prepared by Copilevitz & Canter, LLC - (816) 472-9000 | This
chart is not to be used as a substitute for legal counsel.
Recordkeeping Requirements - Federal & State
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| What records must be kept? |
How long must records be kept? |
Citation |
Federal |
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All substantially different advertising, brochures, telemarketing scripts, and promotional materials.
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24 months
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16 C.F.R. § 310.5 |
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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.
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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.
see footnote 1
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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.
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All
verifiable authorizations or records of express informed consent
or express agreement required to be provided or received under
the Telemarketing Sales Rule.
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Written
procedures which address compliance with do-not-call list requirements.
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5 years 2 |
16 C.F.R. § 310.4(b)(3)(i) |
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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)
*§ 310.4(b)(1)(iii)(A) states that it is a violation of the TSR for a seller or telemarketer
to initiate any outbound telephone call to a person when:
(A) that person previously has stated that he or she does not wish to receive an
outbound telephone call made by or on behalf of the seller whose goods or services are being
offered or made on behalf of the charitable organization for which a charitable contribution
is being solicited.
| 5 years 2
"Please note that the FCC internal "do-not-call" list recordkeeping requirement is 5 years. In order
to comply with both FTC and FCC requirements, a 5 year recordkeeping time period would be necessary.
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16 C.F.R. § 310.4(b)(3)(iii) |
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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 2 |
16 C.F.R. § 310.4(b)(3)(iv)
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Records showing that the seller/telemarketer employs technology that ensures abandonment of no more than 3 % of
all calls answered by a person, per day per calling campaign.
| 5 years 2 |
16 C.F.R. § 310.4(b)(4)(i) |
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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 2 |
16 C.F.R. § 310.4(b)(4)(ii) |
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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.
| 5 years 2
| 16 C.F.R. § 310.4(b)(4)(iii) |
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Records ensuring compliance with the 3 % abandonment rate per 30-day period.
| 4 years 3
| 47 C.F.R. § 64.1200(a)(6) |
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A list of telephone numbers that the seller may not contact, (internal "do-not-call" lists).
| 5 years
| 47 C.F.R. § 64.1200(c)(1)(i)(C), (D)
47 C.F.R. § 64.1200(d)(6) |
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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 3
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Written policy for maintaining an internal do-not-call list.
| 4 years 3
| 47 C.F.R. § 64.1200(d)(2),(3) |
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Delaware
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All
substantially different advertising, brochures, telemarketing
scripts and promotional materials.
The
name and last known address of each prize recipient and the
description of the prize awarded for prizes represented to have a
value of $ 25 or more.
The
name and last known address of each prize recipient and the
description of the prize awarded for any prize in connection with
a consumer call to a 900 number and any prize promotion when the
consumer is told that the consumer will definitely win 1 of
several prizes and any of the prizes is represented to have a
value of $ 25 or more.
The
name and last known address of each customer, the merchandise
purchased, the date such merchandise was ordered and shipped or
provided, the amount of merchandise ordered and shipped or
provided, and the amount paid by the customer.
The
name, any fictitious name used, the last known home address and
telephone number, and the job title for each current and former
employee directly involved in the telemarketing activities.
All
written or recorded authorizations required to be provided or
received under this chapter, including, but not limited to, any
express verifiable authorization.
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24 months
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6 Del. Code § 2504A
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Hawaii
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The
location of the telephone solicitor and seller and the street
addresses of any locations from which the outbound telephone
calls originated.
Copies
of any injunction, temporary restraining order, judgment, consent
judgment, or assurance of voluntary compliance in any civil or
administrative action, including any pending action, involving a
violation or alleged violation by telephone solicitor or the
seller of any state or federal telemarketing law.
The
name, any fictitious name used, last known home address,
telephone number, and job title of all telephone solicitors, who
place or placed calls on behalf of a seller or who participate in
or are responsible for the management of the business of the
telephone solicitor; however, if the seller or telephone
solicitor permits fictitious names to be used by employees or
agents, each fictitious name shall be traceable to only one
specific telephone solicitor, employee or agent.
see footnote 2
Copies
of all substantially different scripts, outlines, or presentation
materials the seller requires a telephone solicitor to use when
soliciting, as well as of all information to be provided by a
telephone solicitor to a consumer in connection with any
telemarketing.
All
written consents to utilize a name or names of any person, in any
endorsement.
Materials
that substantiate any claims about the performance, efficacy,
nature, or characteristics of health, nutrition, or diet related
goods or services that are the subject of telemarketing.
A
copy of the refund, cancellation, exchange, or repurchase
policies for any goods or services offered by a seller or
telephone solicitor, unless the seller or telephone solicitor
offers and provides an unconditional satisfaction guaranteed
policy and provides a full refund for returned goods or cancelled
services.
Copies
of all written confirmations of telemarketing transactions.
Copies
of all express verifiable authorizations and signed order
confirmations.
Copies
of any training instructions, handbooks, or other guidelines
distributed by telephone solicitors to their staff or by sellers
to their telephone solicitors, employees, or agents.
Procedures
for maintaining an internal "do-not-call" list, which
procedures shall meet the minimum standards set forth in the
TCPA, as well as the do not call lists maintained pursuant to
those procedures.
Copies
of written contracts and agreements between the telephone
solicitor and the seller.
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24 months
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Haw. Rev. Stat. § 481P-4
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Illinois
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That
the person or entity has obtained copies of the Registry and
updates in compliance with the Illinois "Do-not-call" Act and
has established and implemented written policies and procedures
related to the requirements of the Act.
That
the person or entity has trained its personnel in the
requirements of the state law.
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Not specified
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815 ILCS 402/40
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Louisiana
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Telephone
call log including:
Number
called
Time
called
Date
called.
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12 months
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Gen. Order § V(C)(6)
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Missouri
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All
substantially different advertising, brochures, telemarketing
scripts and promotional materials.
For
any prize with a value of twenty-five dollars or greater, the
name and last known address of each prize recipient and the prize
awarded.
The
name and last known address of each consumer, the merchandise
purchased, the date such merchandise was shipped or provided and
the amount paid by the consumer for the merchandise.
The
name, any fictitious name used, the last known home address and
telephone number, and the job title for all current and former
employees directly involved in telephone sales, provided, that if
the seller permits fictitious names to be used by employees, each
fictitious name must be traceable to only one specific employee.
All written authorizations
required to be provided or received.
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24 months
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Mo. Code § 407.1079
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Montana
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All
substantially different advertising, brochures, telemarketing
scripts, and promotional materials.
The
name and last-known address of each prize recipient and the prize
awarded.
The
name and last-known address of each consumer, the goods or
services purchased, the date the goods or services were shipped
or provided, the amount of goods or services provided, and the
amount paid by the consumer for the goods or services.
The
name, any fictitious name used, the last-known home address and
telephone number, and the job title for all current and former
employees directly involved in telephone sales; however, if the
seller or telemarketer permits fictitious names to be used by
employees, each fictitious name must be traceable to only one
specific employee.
All
written authorizations required to be provided or received.
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24 months
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Mont. Code § 30-14-1408
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North Carolina
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The
legal name, any fictitious name used, the resident address, the
telephone number, and the job title of each individual who makes a telephone
solicitation for that telephone solicitor.
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24 months
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N.C. Stat. § 75-102(j)
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Puerto Rico
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The
location of any telephone solicitor and the exact address of the
different locations from which the calls originate.
Copies
of the script or presentation of a specific product, which the
salesperson must use during the telephone call to sell same.
Copies
of all written authorization of telemarketing transactions
provided by the consumers.
The
complete name and address of all the persons who have expressed
that they do not wish to receive telephone solicitations and the
date on which they made such notification.
Copy
of the cancellation, reimbursement or return policy for any good
or product offered by the telephone solicitor.
Materials
that justify any claim regarding the performance, efficiency,
nature or features of the goods or services subject of a
telephone solicitation.
Any written consent for the
use of the names of persons or organizations that endorse the
product to be sold.
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5 years
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10 L.P.R.A. § 4034
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Vermont
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Express oral authorizations of
electronic funds transfers from a consumer's financial account for goods or services offered
by a telemarketer.
Prior written authorizations to obtain
or submit for payment a check, draft, or other form of negotiable instrument drawn on a consumer's
financial account.
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4 years
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9 V.S.A. §§2464(a)(1);
2464(b)(2) (VT HB 306 §§ 3-4)
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West Virginia
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One
of each advertisement, brochure and other promotional materials.
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 twenty-five dollars or more.
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.
The
name, last known home address and telephone number, and the job
title for all current and former employees directly involved in
telephone sales.
All
verifiable authorizations required to be provided or received
under this article.
A
copy of all scripts outlines or presentation material the seller
will require the telemarketer to use when soliciting, as well as
all sales information to be provided by the seller to a purchaser
in connection with any solicitation.
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4 years
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W.V. Code § 46A-6F-304
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1 For offers of consumer credit products subject to the Truth in
Lending Act, 15 U.S.C. 1601 et seq., and Regulation Z, 12 CFR 226,
compliance with the recordkeeping requirements under the Truth in
Lending Act, and Regulation Z, shall constitute compliance with this
requirement.
2 According to an FTC staff advisory opinion, the 24 month recordkeeping
time period specified in 16 C.F.R. § 310.5 does not apply to the "safe harbors"
provisions of § 310.4(b)(3) and (4). Therefore, the statute of limitations of 5 years,
for FTC enforcement actions for civil penalties for violation of the TSR and other trade
regulation rules, applies. See 28 U.S.C. § 2462.
3 The FCC does not specify a time period for this recordkeeping requirement
in the TCPA. Therefore, the statute of limitations of 4 years for violations arising under
an Act of Congress applies to this recordkeeping requirement. See 28 U.S.C. § 1658.
4 Where one or more telephone solicitors is employed by or otherwise
acting on behalf of a seller, the reporting requirements of this chapter may be met by
the seller on behalf of itself and its telephone solicitors, but only to the extent the
records comply with the requirements listed here.
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20080529 20080908
Prepared by Copilevitz & Canter, LLC - (816) 472-9000 | This
chart is not to be used as a substitute for legal counsel.
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Regulatory
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