DNC Safe Harbor Documentation Template

Overview

Documentation template to qualify for the TCPA safe harbor defense by showing good-faith DNC compliance efforts. This resource helps organizations build and maintain effective DNC compliance procedures that meet both federal and state requirements.

Regulatory Background

The TCPA and the Telemarketing Sales Rule (TSR) require telemarketers to maintain an internal Do Not Call list and scrub calling lists against the National DNC Registry maintained by the FTC. State DNC registries impose additional requirements in many jurisdictions.

Federal DNC Requirements

• National DNC Registry access: Telemarketers must subscribe to the National DNC Registry and update their data at least every 31 days
• Internal DNC list: Companies must maintain a company-specific DNC list and add consumers who request no further calls within a reasonable time
• DNC requests honored for 5 years: Once a consumer requests placement on your internal DNC list, the request remains valid for 5 years
• Written DNC policy: The TSR requires a written policy for maintaining DNC lists, available on demand

State DNC Requirements

Many states maintain their own DNC registries with additional scrubbing requirements. Key states include:

• Florida: State DNC registry with mandatory registration and $10,000+ penalties per violation
• California: Additional consumer protections under CIPA and state telemarketing laws
• New York: State DNC registry with telemarketer registration requirements
• Pennsylvania, Texas, Indiana, Colorado: Active state DNC registries with registration and scrubbing requirements

Implementation Checklist

1. Subscribe to the National DNC Registry for all area codes you call
2. Establish a procedure for updating DNC data at least every 31 days
3. Create and maintain an internal company-specific DNC list
4. Identify all state DNC registries applicable to your calling areas
5. Subscribe to applicable state DNC registries
6. Implement automated DNC scrubbing in your dialing system
7. Document your DNC scrubbing procedures and maintain records of each scrub
8. Train all agents on DNC request handling procedures
9. Establish a process for adding DNC requests in real-time during calls
10. Create a written DNC policy document available to consumers on request

Safe Harbor Provisions

The TCPA provides a safe harbor defense for DNC violations if the caller demonstrates: (1) established and implemented written procedures to comply with DNC requirements, (2) trained its personnel in those procedures, (3) any violation was accidental and the result of error, and (4) the caller uses a process to prevent violations including maintaining a list of those who requested not to be called.

Best Practices

• Scrub against the National DNC Registry, state registries, and your internal DNC list before every campaign
• Document each DNC scrub with date, time, list source, and number of records scrubbed
• Consider using professional TCPA litigator scrub services to reduce lawsuit risk
• Implement real-time DNC checking during outbound campaigns
• Maintain DNC records for at least 5 years after the last request
• Conduct quarterly audits of your DNC compliance procedures

Common Violations

The most common DNC violations include calling a number on the National DNC Registry, failing to maintain an internal DNC list, not honoring DNC requests within a reasonable time, and calling a number after a DNC request has been made. Each violation can result in $500-$1,500 in statutory damages.