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CGB Seeks Comment for Ruling and/or Waiver filed by National Grid USA

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Released: February 28, 2014


Federal Communications Commission

News Media Information 202 / 418-0500

445 12th St., S.W.


Washington, D.C. 20554

TTY: 1-888-835-5322

DA 14-271

Released: February 28, 2014




CG Docket No. 02-278

Comment Date

: March 31, 2014
Reply Comment Date

April 15

, 2014
On February 18, 2014, National Grid USA, Inc. (National Grid) filed a petition for expedited
declaratory ruling requesting that the Commission confirm that a “doing business as” (d/b/a) name
registered with the state corporation commission (or comparable regulatory authority) satisfies the caller
identification requirements for artificial or prerecorded voice calls pursuant to section 64.1200(b)(1) of
the Commission’s rules.1 By way of background, section 64.1200(b)(1) requires that an artificial or
prerecorded voice telephone message shall “[a]t the beginning of the message, state clearly the identity of
the business, individual, or other entity that is responsible for initiating the call. If a business is
responsible for initiating the call, the name under which the entity is registered to conduct business with
the State Corporation Commission (or comparable regulatory authority) must be stated.”2
National Grid contends that, although the Commission has spoken generally to the issue of
whether a company’s d/b/a name is sufficient to satisfy this requirement, it has not ruled specifically on
whether a d/b/a name that is also registered with a state corporation commission satisfies this
requirement.3 National Grid argues that a d/b/a name that is registered with the appropriate regulatory
authority allows called parties the same ability to search for and identify the caller as they would be able
to do with a search for a “legal” or “official business” name.4 As such, National Grid avers that a
registered d/b/a name satisfies the intent of the rule to ensure that callers are able to identify the calling
party.5 In the alternative, National Grid reiterates this reasoning and argues that good cause exists to

1 See Petition of National Grid USA, Inc., CG Docket No. 02-278 at 6-7 (filed Feb. 18, 2014) (Petition).
2 See 47 C.F.R. § 64.1200(b)(1) .
3 Petition at 5; see also Rules and Regulations Implementing the Telephone Consumer Protection Act of 1991, CG
Docket No. 02-278, Report and Order, 18 FCC Rcd 14014, 14100, para. 144 (2003) (“The Commission recognizes
that some businesses use ‘d/b/as’ or aliases for marketing purposes. The rule does not prohibit the use of such
additional information, provided the legal name of the business is also stated”).
4 Petition at 6.
5 Id.

grant it a waiver that would allow the use of a d/b/a name registered with a state corporation commission
when placing prerecorded calls.6 National Grid contends that its customers are familiar with the
registered d/b/a name, and have likely never heard of the legacy utility names.7 Moreover, National Grid
contends that using the official legal name together with the d/b/a name is cumbersome and unnecessarily
prolongs the prerecorded calls.8 We seek comment on the issues raised in this petition.
Pursuant to sections 1.415 and 1.419 of the Commission’s rules, 47 CFR §§ 1.415, 1.419,
interested parties may file comments and reply comments on or before the dates indicated on the first
page of this document. Comments may be filed using the Commission’s Electronic Comment Filing
System (ECFS). See Electronic Filing of Documents in Rulemaking Proceedings, 63 FR 24121 (1998).
 Electronic Filers: Comments may be filed electronically using the Internet by accessing
the ECFS:
 Paper Filers: Parties who choose to file by paper must file an original and one copy of
each filing.
 Filings can be sent by hand or messenger delivery, by commercial overnight courier, or
by first-class or overnight U.S. Postal Service mail. All filings must be addressed to the
Commission’s Secretary, Office of the Secretary, Federal Communications Commission.
 All hand-delivered or messenger-delivered paper filings for the Commission’s Secretary
must be delivered to FCC Headquarters at 445 12th St., SW, Room TW-A325,
Washington, DC 20554. The filing hours are 8:00 a.m. to 7:00 p.m. All hand deliveries
must be held together with rubber bands or fasteners. Any envelopes and boxes must be
disposed of before entering the building.
 Commercial overnight mail (other than U.S. Postal Service Express Mail and Priority
Mail) must be sent to 9300 East Hampton Drive, Capitol Heights, MD 20743.
 U.S. Postal Service first-class, Express, and Priority mail must be addressed to 445 12th
Street, SW, Washington DC 20554.
People with Disabilities: To request materials in accessible formats for people with disabilities
(braille, large print, electronic files, audio format), send an e-mail to or call the
Consumer and Governmental Affairs Bureau at 202-418-0530 (voice), 202-418-0432 (tty).
The proceeding this Notice initiates shall be treated as a “permit-but-disclose” proceeding in
accordance with the Commission’s ex parte rules.9 Persons making ex parte presentations must file a
copy of any written presentation or a memorandum summarizing any oral presentation within two
business days after the presentation (unless a different deadline applicable to the Sunshine period applies).
Persons making oral ex parte presentations are reminded that memoranda summarizing the presentation
must (1) list all persons attending or otherwise participating in the meeting at which the ex parte
presentation was made, and (2) summarize all data presented and arguments made during the

6 Id. at 7-8.
7 Id.
8 Id. at 8.
9 47 C.F.R. §§ 1.1200 et seq.

presentation. If the presentation consisted in whole or in part of the presentation of data or arguments
already reflected in the presenter’s written comments, memoranda or other filings in the proceeding, the
presenter may provide citations to such data or arguments in his or her prior comments, memoranda, or
other filings (specifying the relevant page and/or paragraph numbers where such data or arguments can be
found) in lieu of summarizing them in the memorandum. Documents shown or given to Commission
staff during ex parte meetings are deemed to be written ex parte presentations and must be filed
consistent with rule 1.1206(b). In proceedings governed by rule 1.49(f) or for which the Commission has
made available a method of electronic filing, written ex parte presentations and memoranda summarizing
oral ex parte presentations, and all attachments thereto, must be filed through the electronic comment
filing system available for that proceeding, and must be filed in their native format (e.g., .doc, .xml, .ppt,
searchable .pdf). Participants in this proceeding should familiarize themselves with the Commission’s ex


Richard D. Smith, Consumer and Governmental
Affairs Bureau, Federal Communications Commission, (717) 338-2797;

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