[Federal Register Volume 60, Number 107 (Monday, June 5, 1995)]
[Rules and Regulations]
[Pages 29489-29491]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 95-13760]



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FEDERAL COMMUNICATIONS COMMISSION
47 CFR Part 64

[CC Docket No. 91-281, FCC 95-187]


Calling Number Identification Service--Caller ID

AGENCY: Federal Communications Commission.

ACTION: Final rule.

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SUMMARY: On May 5, 1995, the Commission adopted an Order on 
Reconsideration (Reconsideration) and a Second Report and Order (Second 
R&O). Pursuant to the Reconsideration and Second R&O (collectively 
called Order), this document amends rules regarding the federal model 
for Caller ID. This action fosters development of new technologies 
while at the same time protecting privacy expectations of people making 
and receiving calls.

EFFECTIVE DATE: Sections 64.1600 and 64.1602 are effective April 12, 
1995. Sections 64.1601 and 64.1603 are effective December 1, 1995, 
except Sections 64.1601 and 64.1603 do not apply to public payphones 
and partylines until January 1, 1997.

FOR FURTHER INFORMATION CONTACT:
Marian Gordon (202/634-4215) or Mike Specht (202/634-1816), Domestic 
Facilities Division, Common Carrier Bureau.

SUPPLEMENTARY INFORMATION: This summarizes the Commission's 
Reconsideration and Second R&O in the matter of Rules and Policies 
Regarding Calling Number Identification Service--Caller ID, (CC Docket 
91-281, adopted May 4, 1995, and released May 5, 1995). The file is 
available for inspection and copying during the weekday hours of 9 a.m. 
to 4:30 p.m. in the Commission's Reference Center, room 239, 1919 M 
St., NW., Washington DC, or copies may be purchased from the 
Commission's duplicating contractor, ITS, Inc. 2100 M St., NW., Suite 
140, Washington, DC 20037, phone (202/857-3800).

Analysis of Proceeding

    On October 23, 1991, the Commission issued a Notice of Proposed 
Rulemaking (NPRM), summarized at 59 FR 18318 (April 18, 1994), seeking 
to develop effective policies to govern interstate calling party number 
(CPN) based services such as Caller ID. CPN based services are services 
depending on capabilities that are possible with new, out-of-band 
signalling techniques, the most recent being Signalling System Seven 
(SS7). The Commission found that as interexchange and local exchange 
carriers deploy SS7 and interconnect their signalling networks, 
interstate CPN-based services become possible. The Commission 
tentatively concluded that these new interstate services (the most 
widely known is Caller ID ) would serve the public interest, but that 
federal policies had to be established to resolve uncertainties that 
appeared to be impeding their development. In particular, it identified 
billing issues among different carriers involved in passing CPN and 
varying state policies on the privacy rights of the parties on 
interstate calls as needing clarification.
    On March 29, 1994, the Commission affirmed its tentative conclusion 
that interstate passage of CPN is in the public interest because, 
consistent with the statutory intent underlying Sections 1 and 7 of the 
Communications Act, it makes many new services and efficiencies 
possible. The Commission adopted a federal model to govern interstate 
transport and delivery of CPN, based largely on the proposals in the 
NPRM. The federal model included the following principles: (1) When a 
carrier uses SS7 to set up a call, it must transmit CPN and its 
associated privacy indicator for that call to connecting carriers; (2) 
calling parties should be able to conceal their number on an interstate 
call by dialing *67, and know that if they do not dial *67 their number 
may be revealed; (3) carriers in the transmission chain must honor the 
calling party's privacy election; (4) carriers may not charge 
connecting carriers for passage of CPN because its incremental costs 
are de minimis; (5) carriers may not charge calling parties for 
providing them the ability to conceal CPN by using *67, and must 
educate subscribers how to maintain confidentiality; (6) customers of 
charge number services such as 800 generally may not reuse charge 
number information without the permission of the calling party (charge 
number in SS7 technology is equivalent to Automatic Number 
Identification (ANI) that identifies a calling number in the older 
multifrequency signalling technology); and (7) states are preempted 
from having policies that interfere with the federal policy.
    In addition to articulating the principles that govern the federal 
caller ID model, the Commission sought further comment on whether it 
should prescribe precise requirements regarding exactly how carriers 
should educate consumers about maintaining privacy on CPN services and 
whether and how the policies it adopted should be extended to other 
identification services, such as calling party name. On March 17, 1995, 
the Commission stayed the effective date of Sections 1601 (CPN passage 
and privacy) and 1603 (education) of the rules.
    In the order adopted May 4, 1994, the Commission considered 
petitions for reconsideration of its decision, addressed comments filed 
in response to the Further Notice of Proposed Rulemaking and issued a 
Third Notice of Proposed Rulemaking to resolve issues raised by Private 
Branch Exchange (PBX) telephone services and private payphones in 
connection with CPN. The order affirms the Commission's fundamental 
finding that federal policies to govern the passage of Calling Party 
Number (CPN) over interstate facilities are necessary because 
uncertainty created by their absence impedes the development of 
potentially valuable CPN based interstate services. The order also 
resolves areas of uncertainty identified on reconsideration, including 
financial issues involving interstate passage of CPN and varying state 
requirements concerning the privacy rights of calling and called 
parties on interstate calls. It addresses comments filed in response to 
the Further Notice concerning application of federal Caller ID rules to 
other CPN based services and Commission prescribed educational 
requirements to support consumer use of Caller ID services. Finally, 
the Third Notice of Proposed Rulemaking seeks comment on a reasonable 
timeframe for bringing PBX systems and private payphones into 
compliance with our rules.

Final Regulatory Flexibility Analysis

    Pursuant to the Regulatory Flexibility Act of 1980, 5 U.S.C. 601, 
et seq., the Commission's final analysis in this Order on 
Reconsideration and Second Report and Order is as follows:
I. Need and Purpose of This Action

    This Order on Reconsideration and Second Report and Order amends 
the Commission's rules to require that the privacy requests of calling 
parties are [[Page 29490]] honored. The rule amendments are intended to 
ensure that caller ID services are available, to the extent possible 
and in the most efficient manner, to persons in the United States.

II. Summary of Issues Raised by the Public Comments in Response to the 
Initial Regulatory Flexibility Analysis

    No comments were submitted in direct response to the Regulatory 
Flexibility Analysis in the Report and Order and Request for Comments.

III. Significant Alternatives Considered

    The Report and Order and Request for Comments in this proceeding 
offered several proposals and requested comments as well as the views 
of commenters on other possibilities. The Commission has considered all 
comments and has adopted most of its proposals in addition to some 
alternatives recommended by commenters. The Commission considers its 
Order on Reconsideration and Second Report and Order that define a 
federal caller ID model to be the most reasonable course of action.

Ordering Clauses

    1. Accordingly, It is Ordered, That, pursuant to authority 
contained in Sections 1, 4(i), 4(j), 201-205 and 218 of the 
Communications Act of 1934, as amended, 47 U.S.C. Sections 151, 154(i), 
154(j), 201-205, and 218, Part 64 of the Commission's Rules and 
Regulations is amended as set forth below, effective December 1, 1995.
    2. The petitions for reconsideration and clarification of caller ID 
rules are granted in part and denied in part.

List of Subjects in 47 CFR Part 64

    Calling party telephone number and privacy, Communications common 
carriers.

Federal Communications Commission.
LaVera F. Marshall,
Acting Secretary.

Rule Changes

    Part 64 of chapter I of Title 47 of the Code of Federal 
Regulations, is amended as follows:

PART 64--MISCELLANEOUS RULES RELATING TO COMMON CARRIERS

    1. The authority citation for part 64 continues to read as follows:

    Authority: Section 4, 48 Stat. 1066, as amended; 47 U.S.C. 154, 
unless otherwise noted. Interpret or apply secs. 201, 218, 225, 226, 
227, 48 Stat. 1070, as amended, 1077; 47 U.S.C. 201-4, 218, 225, 
226, 227, unless otherwise noted.

    2. Section 64.1600 is revised to read as follows:


Sec. 64.1600  Definitions.

    (a) Aggregate information. The term ``aggregate information'' means 
collective data that relate to a group or category of services or 
customers, from which individual customer identities or characteristics 
have been removed.
    (b) ANI. The term ``ANI'' (automatic number identification) refers 
to the delivery of the calling party's billing number by a local 
exchange carrier to any interconnecting carrier for billing or routing 
purposes, and to the subsequent delivery of such number to end users.
    (c) Calling party number. The term Calling Party Number refers to 
the subscriber line number or the directory number contained in the 
calling party number parameter of the call set-up message associated 
with an interstate call on a Signaling System 7 network.
    (d) Charge number. The term ``charge number'' refers to the 
delivery of the calling party's billing number in a Signaling System 7 
environment by a local exchange carrier to any interconnecting carrier 
for billing or routing purposes, and to the subsequent delivery of such 
number to end users.
    (e) Privacy indicator. The term Privacy Indicator refers to 
information, contained in the calling party number parameter of the 
call set-up message associated with an interstate call on an Signaling 
System 7 network, that indicates whether the calling party authorizes 
presentation of the calling party number to the called party.
    (f) Signaling System 7. The term Signaling System 7 (SS7) refers to 
a carrier to carrier out-of-band signaling network used for call 
routing, billing and management.
    3. Section 64.1601 is revised to read as follows:


Sec. 64.1601  Delivery requirements and privacy restrictions.

    (a) Delivery. Common carriers using Signaling System 7 and offering 
or subscribing to any service based on Signaling System 7 call set 
functionality are required to transmit the calling party number 
associated with an interstate call to interconnecting carriers.
    (b) Privacy. Originating carriers suing Signaling System 7 and 
offering or subscribing to any service based on Signaling System 7 call 
set up functionality will recognize *67 dialed as the first three 
digits of a call (or 1167 for rotary or pulse-dialing phones) as a 
caller's request for privacy on an interstate call. Such carriers 
providing line blocking services will recognize *82 as a caller's 
request that privacy not be provided on an interstate call. No common 
carrier subscribing to or offering any service that delivers calling 
party number may override the privacy indicator associated with an 
interstate call. Carriers must arrange their CPN-based services in such 
a manner that when a caller requests privacy, a carrier may not reveal 
that caller's number or name, nor may the carrier use the number or 
name to allow the called party to contact the calling party. The 
terminating carrier must act in accordance with the privacy indicator 
unless the call is made to a called party that subscribes to an ANI or 
charge number based service and the call is paid for by the called 
party.
    (c) Charges. No common carrier subscribing to or offering any 
service that delivers calling party number may
    (1) Impose on the calling party charges associated with per call 
blocking of the calling party's telephone number, or
    (2) Impose charges upon connecting carriers for the delivery of the 
calling party number parameter or its associated privacy indicator.
    (d) Exemptions. Sec. 64.1601 shall not apply to calling party 
number delivery services
    (1) Used solely in connection with calls within the same limited 
system, including (but not limited to) a Centrex, virtual private 
network, or private branch exchange system;
    (2) Used on a public agency's emergency telephone line or in 
conjunction with 911 emergency services, or on any entity's emergency 
assistance poison control telephone line;
    (3) Provided in connection with legally authorized call tracing or 
trapping procedures specifically requested by a law enforcement agency.
    4. Section 64.1602 is revised to read as follows:


Sec. 64.1602  Restrictions on use and sale of telephone subscriber 
information provided pursuant to automatic number identification or 
charge number services.

    (a) Any common carrier providing Automatic Number Identification or 
charge number services on interstate calls to any person shall provide 
such services under a contract or tariff containing telephone 
subscriber information requirements that comply with this subpart. Such 
requirements shall:
    (1) Permit such person to use the telephone number and billing 
information for billing and collection, routing, screening, and 
completion of the originating telephone subscriber's call or 
transaction, or for services [[Page 29491]] directly related to the 
originating telephone subscriber's call or transaction;
    (2) Prohibit such person from reusing or selling the telephone 
number or billing information without first
    (i) Notifying the originating telephone subscriber and,
    (ii) Obtaining the affirmative consent of such subscriber for such 
reuse or sale; and,
    (3) Prohibit such person from disclosing, except as permitted by 
paragraphs (a) (1) and (2) of this section, any information derived 
from the automatic number identification or charge number service for 
any purpose other than
    (i) Performing the services or transactions that are the subject of 
the originating telephone subscriber's call,
    (ii) Ensuring network performance security, and the effectiveness 
of call delivery,
    (iii) Compiling, using, and disclosing aggregate information, and
    (iv) Complying with applicable law or legal process.
    (b) The requirements imposed under paragraph (a) of the section 
shall not prevent a person to whom automatic number identification or 
charge number services are provided from using
    (1) The telephone number and billing information provided pursuant 
to such service, and
    (2) Any information derived from the automatic number 
identification or charge number service, or from the analysis of the 
characteristics of a telecommunications transmission, to offer a 
product or service that is directly related to the products or services 
previously acquired by that customer from such person. Use of such 
information is subject to the requirements of 47 CFR 64.1200 and 
64.1504(c).
    5. Section 64.1603 is revised to read as follows:


Sec. 64.1603  Customer notification.

    Any common carrier participating in the offering of services 
providing calling party number, ANI, or charge number on interstate 
calls must notify its subscribers, individually or in conjunction with 
other carriers, that their telephone numbers may be identified to a 
called party. Such notification must be made not later than December 1, 
1995, and at such times thereafter as to ensure notice to subscribers. 
The notification must be effective in informing subscribers how to 
maintain privacy by dialing *67 (or 1167 for rotary or pulse-dialing 
phones) on interstate calls. The notice shall inform subscribers 
whether dialing *82 (or 1182 for rotary or pulse-dialing phones) on 
interstate calls is necessary to present calling party number to called 
parties. For ANI or charge number services for which such privacy is 
not provided, the notification shall inform subscribers of the 
restrictions on the reuse or sale of subscriber information.
    6. Section 64.1604 is revised to read as follows:


Sec. 64.1604  Effective date

    The provisions of Secs. 64.1600 and 64.1602 are effective April 12, 
1995. The provisions of Secs. 64.1601 and 64.1603 are effective 
December 1, 1995, except Secs. 64.1601 and 64.1603 do not apply to 
public payphones and partylines until January 1, 1997.

[FR Doc. 95-13760 Filed 6-2-95; 8:45 am]
BILLING CODE 6712-01-M