Direction on regarding submission of Performance Monitoring Report to the Authority under the Telecom Commercial Communications Customer Preference Regulations, 2018

IIEgI14cp mfb9oT geiitii TELECOM REGULATORY AUTHORITY OF INDIA 14NT tstq'ut Government of India Dated: 24th June, 2024 Subject: Direction under section 13, read with sub-clauses (i) and (v) of clause (b) of sub-section (1) of section 11, of the Telecom Regulatory Authority of India Act, 1997 (24 of 1997) regarding submission of Performance Monitoring Report to the Authority under the Telecom Commercial Communications Customer Preference Regulations, 2018 (6 of 2018). F. No. D-27/l/(1)/2021-QoS (E-141)---- Whereas the Telecom Regulatory Authority of India (hereinafter referred to as the "Authority"), established under sub-section (1) of section 3 of the Telecom Regulatory Authority of India Act, 1997 (24 of 1997) (hereinafter referred to as "TRAI Act"), has been entrusted with discharge of certain functions, inter alia, to regulate the telecommunication services; ensure technical compatibility and effective inter-connection between different service providers; lay down the standards of quality of service to be provided by the service providers and ensure the quality of service and conduct the periodical survey of such services provided by the service providers so as to protect the interest of the consumers of telecommunication service; 2. And whereas the Authority, in exercise of the powers conferred upon it under section 36, read with sub-clause (v) of clause (b) and clause (c) of sub- section (1) of section 11, of the TRAI Act, made the Telecom Commercial Communications Customer Preference Regulations, 2018 (6 of 2018) datedthe 19th July, 2018 (hereinafter referred to as the "regulations"), to regulate unsolicited commercial communications (UCC); 3. And whereas regulation 8 of the regulations, inter-alia, provides that every Access Provider shall, before allowing any commercial communication through its network, develop Codes of Practice for monthly reporting (CoP- Reports) to the Authority as per Schedule-V, in accordance with the provisions of the regulations; 4. And whereas regulation 19 of the regulations provides that the Authority reserves the right to formulate a standard Code(s) of Practice (CoP) in case the formulated CoP is deficient to serve the purposes of the regulations; 5. And whereas regulation 20 of the regulations provides that every Access Provider shall comply with the provisions of Standard Code(s) of Practice; 6. And whereas sub-regulation (3) of regulation 26 of the regulations provides that every Access Provider shall submit to the Authority its compliance reports in respect of unsolicited commercial communications, complaints or reports from its customers in such manner and format, at such periodic intervals and within such time limits as may be specified by the Authority from lime to time, by an order or direction; 7. And whereas the Authority, in exercise of the powers conferred upon it under section 13, read with sub clauses (i) and (v) of clause (b) of sub-section (1) of section 11, of the TRAI Act and the provisions of the regulations, issued a Direction No. D-27/1/(1)/2021-QoS dated the 15th February, 2021, directing all Access Providers to submit compliance reports, on quarterly basis, separately for each calendar month in every quarter as per the Performance Monitoring Report formats specified in Annexure I, II, III, IV, V and VI of the said Direction, as a part of Standard Code of Practice for periodic reporting (CoP-Reports), within a period of twenty one days of quarters ending on the 31st March, the 30th June, the 30th September and the 31st December of the year respectively, starting from report for the quarter ending on 31st March, 2021; "K \'8. And whereas, after the issuance of the aforesaid Direction, a letter no D 27/1/(1)/2021-QoS dated the 15th February, 2021 was issued requesting all Access Providers to maintain records of information related to complaints and reports handled by them, both as Terminating Access Provider (TAP) and Originating Access Provider (OAP), as per the format annexed with the letter and submit the same to the Authority as and when sought, or make such records accessible to the Authority in a downloadable file and also provide details of the customers' complaints and preferences based on the query made for mobile number, docket number, registration number, header, etc.; 9. And whereas, while reviewing the information related to complaints and reports received in response to letter no D-27/ l/(1)/2021-QoS dated the 15th February, 2021, the Authority observed that there is lack of uniformity in the manner each Access Provider is filling different entries and some information necessary for the analysis of complaints handing is not available in the report and therefore, the Authority is of the opinion that- (i) additional information as part of Performance Monitoring Report is necessary to effectively monitor overall performance of the measures taken by Access Providers for curbing UCC; (ii) all data fields in Performance Monitoring Report should be populated with standardized options; and (iii) for better analysis, the report may be separately segregated in respect of complaints related to Registered Telemarketers (RTM), complaints related to Unregistered Telemarketers (UTM) and information with respect to Mobile Number! Landline Number/SIP/PRI blacklisted/disconnected due to Third UTM violation. (iv) Performance Monitoring Reports are prepared separately for each calendar month but are submitted on quarterly basis. These reports should be submitted after each calendar month. 10. Now, therefore, the Authority, in exercise of the powers conferred upon it under section 13, read with sub-clauses (i) and (v) of clause (b) of sub 3section (1) of section 11, of the Telecom Regulatory Authority of India Act, 1997 (24 of 1997) and the provisions of the Telecom Commercial Communications Customer Preference Regulations, 2018 (6 of 2018) hereby directs all Access Providers to submit, along with the compliance reports as per the Performance Monitoring Report formats specified in the Annexures to the Direction No D-27/1/(1)/2021-QoS dated the 15th February 2021, compliance reports, separately for each calendar month as per the Performance Monitoring Report formats specified in Annexure VII, VIII, IX, and X to this direction, as a part of Standard Code of Practice for periodic reporting (CoP-Reports), within ten days from the end of each calendar month starting from report for the month of July 2024. (Jaip Singh Tom Advisor (QoS-Il) To All Access Providers (including BSNL and MTNL)Annexure VII: Details of Complaints related to RTM Mode of UCC Mode of complaint (SMS/Voice [SMS to 1909/Call to Header/CLI/ Complaint Date [DD- UCC Date [DD-MM- Call/Auto Dialler Referred 1909/IVRS/TSP- telephone Complainant’s MM-YYYY] and Time YYYY] and Time (Pre-recorded)/ Telephone Sender/Entity Sender/Entity ID Registration ID APP/TRAI-DND Category of UCC Number (used by UCC Description Number [HH:MM:SS] (24 Hr [HH:MM:SS] (24 Hr Auto Dialler number (RTN) if Name (PE ID) App/web portal/any RTM while format) format) (Live any other means (please making UCC) Agent)/Robo mention the means)] Calls) A B C D E F G H I J K L # Date and Time # Date and Time should be captured as should be captured as per [DD-MM-YYYY] per [DD-MM-YYYY] Communication/B [HH:MM:SS] (24 Hr [HH:MM:SS] (24 Hr roadcasting/Entert format) Web Portal format) Voice Call ainment/IT Banking/Insurance /Financial products/credit TRAI-DND App SMS cards SMS to 1909 Robo Calls Real Estate Auto Dialer Call Consumer goods Call to 1909 (Pre-recorded) and automobiles Auto Dialer Call Tourism and TSP App (Live agent) Leisure Education Food and Beverages Health Others In case of SMS mode of complaint, use NASpecify Reason If UCC Total number of Total number of unique Registered as for registration CDR matched Time taken by Complaint Date [DD-MM-YYYY] , complaints registered complainants who Complaint [Fill as Report (at Action-Taken TAP Name TAP LSA Name (Yes/No) TAP to match Rejected by TAP, OAP received complaint against Sender till registered complaint "C"]/ Report TAP end), If OAP Name (TAP end) CDR (days) Specify the from TAP date against Sender till date [Fill "R"] Report in Reason Column "P". M N O P Q R S T U V W Invalid/ Incomplete header # Date should be or Telephone UCC > 3 days old - captured as per [DD- Airtel Andhra Pradesh Yes number R REPORT Airtel MM-YYYY] BSNL Assam No NA C NA BSNL MTNL Bihar MTNL QTL Delhi QTL RCL Gujarat RCL RJIL Haryana RJIL TTL Himachal Pradesh TTL Jammu & VIL Kashmir VIL VMIPL Karnataka VMIPL Kerala Kolkata Madhya Pradesh Maharashtra Mumbai North East Odisha Punjab Rajasthan Tamil Nadu Uttar Pradesh (East) Uttar Pradesh (West) West BengalIf complaint is not Checks during Checks during Content transferred to OAP in Investigation - "Whether Whether complaint Investigation - Template real time then Time CDR matched Message/Call delivered as being automatically "Whether Complainant’s Consent Content Content Registrar TSP taken by TAP to OAP LSA Name (Yes/No) per Complianant's opted transferred to OAP in Message/call delivered DND Preference Template ID Template ID Template Type (Content transfer complaint to (OAP end) Preference ?" real time? as per Complainant's Template OAP [column "W" (Only when Column 'Y' is Consent ?" - "Yes/No" Creator) minus "C"] (days) 'No') - "Yes/No" X Y Z AA AB AC AD AE AF AG AH Yes Andhra Pradesh Yes Yes Yes Fully Blocked Service Explict Airtel No Assam No No No Promo Blocked Service Implicit BSNL Bihar Partially Blocked Transactional MTNL Customer not registered on Delhi DND Promotional QTL Gujarat RCL Haryana RJIL Himachal Pradesh TTL Jammu & Kashmir VIL Karnataka VMIPL Kerala Kolkata Madhya Pradesh Maharashtra Mumbai North East Odisha Punjab Rajasthan Tamil Nadu Uttar Pradesh (East) Uttar Pradesh (West) West BengalFill "1" Complaint found Final action Name of Name of Date [DD-MM- Complaint Final action Date [DD-MM-YYYY] and Action taken against Content Template Valid/Invalid taken after Telemarketer(s) Telemarketer(s) YYYY] of Action registered in the Reason, if invalid taken after Time [HH:MM:SS] (24 Hr Sender w.r.t. Approval Date [DD- ****, after investigation with Delivery with Aggregation taken against Sender reporting (OAP end) investigation format), when final action previous violation (if MM-YYYY] investigation (Against Function (w.r.t. Function (w.r.t. w.r.t. previous /"2"Backlog (Against PEs) taken after investigation any) (OAP end) Telemarketer) column "AL") column "AL") violation (if any) complaint form previous month AI AJ AK AL AM AN AO AP AQ AR AS # Date and Time should be # Date should be As per CoP, the As per CoP, the captured as per [DD-MM- As per CoP, the # Date should be captured as per [DD- industry shall use industry shall use YYYY] [HH:MM:SS] (24 industry shall use captured as per [DD- MM-YYYY] Valid Service SMS/Call uniform options. uniform options. Hr format) uniform options. MM-YYYY] 1 Preference Not Invalid Blocked 2 Incomplete/incorr Rejected by TAP ect information CDR Not Match Duplicate Call Forwarding Transactional SMS/Call Customer not registered NATime taken for Status [Pending/ Final Action by Reason, if Closed/ Recorded OAP complaint in UCC-Detect [column "AK" pending beyond System (for minus "C"] TAT Reports)] (days) AT AU AV Closed Recorded in UCC- Detect System PendingAnnexure VIII : Details of Complaints related to UTM- Enterprise Connection Mode of UCC Mode of complaint (SMS/Voice Referred [SMS to 1909/Call to Header/CLI/ Complaint Date [DD- UCC Date [DD-MM- Call/Auto Dialler Referred Entity/Brand on 1909/IVRS/TSP- telephone State/UT for Complainant’s MM-YYYY] and Time YYYY] and Time (Pre-recorded)/ Type of Telephone whose behalf call Address of Registration ID APP/TRAI-DND Category of UCC Number (used by UCC Description Name of Sender Address of Number [HH:MM:SS] (24 Hr [HH:MM:SS] (24 Hr Auto Dialler Connection number (RTN) if is made, if any Sender App/web portal/any UTM while Sender format) format) (Live any (To be filled by other means (please making UCC) Agent)/Robo complainant) mention the means)] Calls) A B C D E F G H I J K L M N O # Date and Time # Date and Time should should be captured as be captured as per [DD- per [DD-MM-YYYY] MM-YYYY] Communication/B [HH:MM:SS] (24 Hr [HH:MM:SS] (24 Hr roadcasting/Entert format) Web Portal format) Voice Call ainment/IT Enterprise Banking/Insuranc e/Financial products/credit TRAI-DND App SMS cards SMS to 1909 Robo Calls Real Estate Auto Dialer Call Consumer goods Customer Service (Pre-recorded) and automobiles Auto Dialer Call Tourism and TSP App (Live agent) Leisure Education Food and Beverages Health Others In case of SMS mode of complaint, use NAIf complaint is not transferred Specify Reason to OAP in real If UCC Registered as for registration Whether complaint time then Time Number of CDR matched Time taken by Complaint Date [DD-MM-YYYY] , CDR matched Complaint [Fill as Report (at Action-Taken being automatically taken by TAP to Complainant’s Mobile TAP Name TAP LSA Name (Yes/No) TAP to match Rejected by TAP, OAP received complaint OAP LSA Name (Yes/No) "C"]/ Report TAP end), If OAP Name transferred to OAP in transfer DND Preference Connections (TAP end) CDR (days) Specify the from TAP (OAP end) [Fill "R"] Report in real time? complaint to alloted to Sender Reason Column "P". OAP [column "AA" minus "C"] (days) P Q R S T U V W X Y Z AA AB AC AD Invalid/ Incomplete header # Date should be or Telephone UCC > 3 days old - captured as per [DD- Airtel Andhra Pradesh Yes number R REPORT Airtel MM-YYYY] Yes Andhra Pradesh Yes Fully Blocked BSNL Assam No NA C NA BSNL No Assam No Promo Blocked MTNL Bihar MTNL Bihar Partially Blocked Customer not registered on QTL Delhi QTL Delhi DND RCL Gujarat RCL Gujarat RJIL Haryana RJIL Haryana TTL Himachal Pradesh TTL Himachal Pradesh Jammu & Jammu & VIL Kashmir VIL Kashmir VMIPL Karnataka VMIPL Karnataka Kerala Kerala Kolkata Kolkata Madhya Pradesh Madhya Pradesh Maharashtra Maharashtra Mumbai Mumbai North East North East Odisha Odisha Punjab Punjab Rajasthan Rajasthan Tamil Nadu Tamil Nadu Uttar Pradesh Uttar Pradesh (East) (East) Uttar Pradesh Uttar Pradesh (West) (West) West Bengal West BengalSpecify the Date [DD-MM-YYYY] and Complaint found Date [DD-MM- Number of Number of Action Taken Date [DD-MM-YYYY] and Action taken against Total number of Total number of Time [HH:MM:SS] (24 Hr Valid/Invalid , Final action YYYY] of Action Total number of Landline assosiated during Reason, if invalid Time [HH:MM:SS] (24 Hr Sender w.r.t. complaints registered complaints registered format), Action taken after taken after taken against Sender complaints registered Connections PRI/SIP alloted Investigation - (OAP end) format), when final action previous violation (if against Sender during against Sender during during investigation investigation investigation w.r.t. previous against Sender till date alloted to Sender to Sender "Usage Cap" in taken after investigation any) last 1 week last 1 months ("Usage Cap") by OAP (OAP end) violation (if any) case of UTM AE AF AG AH AI AJ AK AL AM AN AO AP AQ UTM put under 1 # Date and Time should be # Date and Time should be month(max) usage captured as per [DD-MM- captured as per [DD-MM- # Date should be cap during YYYY] [HH:MM:SS] (24 YYYY] [HH:MM:SS] (24 captured as per [DD- investigation Hr format) Valid Service SMS/Call Warning Issued Hr format) Warning Issued MM-YYYY] UTM already under UTM First investigation with Incomplete/incorr Violation - Notice UTM First Violation - usage cap Invalid ect information Issued Warning Issued Investigation UTM Second initiated against Violation - 6 UTM Second UTM without month usage cap Violation - 6 month usage cap Rejected by TAP CDR Not Match applied usage cap applied UTM Third Violation - Number(s) UTM Third Violation - disconnected and Number(s) subscriber disconnected and NA Duplicate blacklisted subscriber blacklisted Call Forwarding NA NA For wireline For wireline customers, the customers, the Transactional industry shall use industry shall use SMS/Call uniform options. uniform options. Customer not registered NAFill "1" Time taken to Time taken for Total number of Complaint Status [Pending/ apply "Usage Final Action by Reason, if distinct complainants registered in the Closed/ Recorded Cap" by OAP OAP complaint which registered reporting in UCC-Detect [column "AQ" [column "AU" pending beyond complaint against /"2"Backlog System (for minus "C"] minus "C"] TAT Sender till date complaint form Reports)] (days) (days) previous month AR AS AT AU AV AW 1 Closed Recorded in UCC- 2 Detect System PendingAnnexure IX: Details of Complaints related to UTM- Individual Connection Mode of UCC Mode of complaint (SMS/Voice Referred [SMS to 1909/Call to Header/CLI/ Complaint Date [DD- UCC Date [DD-MM- Call/Auto Dialler Referred Entity/Brand on 1909/IVRS/TSP- telephone Complainant’s MM-YYYY] and Time YYYY] and Time (Pre-recorded)/ Type of Telephone whose behalf call Address of Registration ID APP/TRAI-DND Category of UCC Number (used by UCC Description Name of Sender Number [HH:MM:SS] (24 Hr [HH:MM:SS] (24 Hr Auto Dialler Connection number (RTN) if is made, if any Sender App/web portal/any UTM while format) format) (Live any (To be filled by other means (please making UCC) Agent)/Robo complainant) mention the means)] Calls) A B C D E F G H I J K L M N # Date and Time # Date and Time should should be captured as be captured as per [DD- per [DD-MM-YYYY] MM-YYYY] Communication/Br [HH:MM:SS] (24 Hr [HH:MM:SS] (24 Hr oadcasting/Entertai format) Web Portal format) Voice Call nment/IT Individual Banking/Insurance/ Financial products/credit TRAI-DND App SMS cards SMS to 1909 Robo Calls Real Estate Auto Dialer Call Consumer goods Customer Service (Pre-recorded) and automobiles Auto Dialer Call Tourism and TSP App (Live agent) Leisure Education Food and Beverages Health Others In case of SMS mode of complaint, use NAIf complaint is not Specify Reason If UCC transferred to OAP in Registered as for registration Whether complaint State/UT for CDR matched Time taken by Complaint Date [DD-MM-YYYY] , real time then Time taken CDR matched Complaint [Fill as Report (at Action-Taken being automatically Address of TAP Name TAP LSA Name (Yes/No) TAP to match Rejected by OAP received complaint by TAP to transfer OAP LSA Name (Yes/No) "C"]/ Report TAP end), If OAP Name transferred to OAP in Sender (TAP end) CDR (days) TAP, Specify the from TAP complaint to OAP (OAP end) [Fill "R"] Report in real time? Reason [column "AC" minus Column "P". "C"] (days) O P Q R S T U V W X Y Z AA AB Invalid/ Incomplete # Date should be Header or UCC > 3 days old - captured as per [DD- Airtel Andhra Pradesh Yes Telephone numberR REPORT Airtel MM-YYYY] Yes Andhra Pradesh Yes BSNL Assam No NA C NA BSNL No Assam No MTNL Bihar MTNL Bihar QTL Delhi QTL Delhi RCL Gujarat RCL Gujarat RJIL Haryana RJIL Haryana TTL Himachal Pradesh TTL Himachal Pradesh Jammu & Jammu & VIL Kashmir VIL Kashmir VMIPL Karnataka VMIPL Karnataka Kerala Kerala Kolkata Kolkata Madhya Pradesh Madhya Pradesh Maharashtra Maharashtra Mumbai Mumbai North East North East Odisha Odisha Punjab Punjab Rajasthan Rajasthan Tamil Nadu Tamil Nadu Uttar Pradesh Uttar Pradesh (East) (East) Uttar Pradesh Uttar Pradesh (West) (West) West Bengal West BengalSpecify the Date [DD-MM-YYYY] and Complaint found Date [DD-MM- Number of Number of Number of Action Taken Date [DD-MM-YYYY] and Action taken against Total number of Time [HH:MM:SS] (24 Hr Valid/Invalid , Final action YYYY] of Action Complainant’s Mobile Landline assosiated during Reason, if invalid Time [HH:MM:SS] (24 Hr Sender w.r.t. complaints registered format), Action taken after taken after taken against Sender DND Preference Connections Connections PRI/SIP alloted Investigation - (OAP end) format), when final action previous violation (if against Sender during during investigation investigation investigation w.r.t. previous alloted to Sender alloted to Sender to Sender "Usage Cap" in taken after investigation any) last 1 week ("Usage Cap") by OAP (OAP end) violation (if any) case of UTM AC AD AE AF AG AH AI AJ AK AL AM AN AO UTM put under 1 # Date and Time should be # Date and Time should be month(max) usage captured as per [DD-MM- captured as per [DD-MM- # Date should be cap during YYYY] [HH:MM:SS] (24 YYYY] [HH:MM:SS] (24 captured as per [DD- Fully Blocked investigation Hr format) Valid Service SMS/Call Warning Issued Hr format) Warning Issued MM-YYYY] UTM already under UTM First investigation with Incomplete/incorr Violation - Notice UTM First Violation - Promo Blocked usage cap Invalid ect information Issued Warning Issued Investigation UTM Second initiated against Violation - 6 UTM Second UTM without month usage cap Violation - 6 month Partially Blocked usage cap Rejected by TAP CDR Not Match applied usage cap applied UTM Third Violation - Number(s) UTM Third Violation - Customer not disconnected and Number(s) registered on subscriber disconnected and DND NA Duplicate blacklisted subscriber blacklisted Call Forwarding NA NA For wireline For wireline customers, customers, industy Transactional industy shall use shall use uniform SMS/Call uniform options. options. Not Registered NAFill "1" Time taken to Time taken for Total number of Complaint Status [Pending/ Total number of apply "Usage Final Action by Reason, if Total number of distinct complainants registered in the Closed/ Recorded complaints registered Cap" by OAP OAP complaint complaints registered which registered reporting in UCC-Detect against Sender during [column "AS" [column "AW" pending beyond against Sender till date complaint against /"2"Backlog System (for last 1 months minus "C"] minus "C"] TAT Sender till date complaint form Reports)] (days) (days) previous month AP AQ AR AS AT AU AV AW 1 Closed Recorded in UCC- 2 Detect System PendingAnnexure-10: List of Senders and Mobile Numbers/ Landline Numbers/ SIPs/ PRIs/ other telecom resources Blacklisted/ Disconnected due to UTM violation Annexure-10(A): List of Senders and Mobile Numbers/ Landline Numbers/ SIPs/ PRIs/ other telecom resources Blacklisted/ Disconnected by the Access Provider (as OAP) due to UTM violation List of all Mobile Numbers/ List of Names of Access Date of disconnection of Mobile Name of Landline Numbers/ SIPs/ PRIs/ Providers with whom the Date of sharing of blacklisting Type of Connection Number/ Landline Number/ SIP/ blacklisted other telecom resources allotted information about information with the Aceess (Individual or Enterprise) PRI/ other telecom resources Sender by the Access Provider to the blacklisting of the Sender Provider mentioned in Column E mentioned in Column B Sender shared A B C D E F Airtel BSNL MTNL QTL RCL RJIL TTL VIL VMIPL Annexure-10(B): List of Senders and Mobile Numbers/ Landline Numbers/ SIPs/ PRIs/ other telecom resources Blacklisted/ Disconnected by the Access Provider due to UTM violation (as per information about Blacklisting received from other Access Providers) Date of Receipt of Name of Name of Access Provider who, Information about List of all Mobile Numbers/ Landline Date of disconnection of Mobile Type of Connection blacklisted as OAP, first blacklisted the blacklisting of the Sender Numbers/ SIPs/ PRIs allotted by the Number/ Landline Number/ SIP/ (Individual or Enterprise) Sender Sender from the Access Provider Access Provider to the Sender PRI mentioned in Column D mentioned in Column B A B C D E F Airtel BSNL MTNL QTL RCL RJIL TTL VIL VMIPLNote: As per provisions of TCCCPR-2018, OAP shall put the Sender under blacklisted category on UTM violation as defined in TCCCPR-2018. Once blacklisted, not only all the telecom resources of the Sender shall be disconnected for a period up to two years by OAP and all other Access Providers, but no new telecom resources to such Sender shall be allocated by any Access Provider for up to two years from the date of such communication. However, one telephone number may be allowed to be retained by such sender with the Usage Cap for a period up to two years. Accordingly, Annexure-10(A) is to be filled by OAP in respect of each of the Blacklisted Senders. Correspondingly, each other Access Provider shall give information as per Annexure-10(B) in respect of each of the Blacklisted Senders as shared with it by the respective OAPs.