TCPA / Telemarketing Compliance Program
Document Control Table
Company: UpThrive
Version: 1.0
Effective Date: January 2024
Last Review: December 2025
Definitions
- TCPA: Telephone Consumer Protection Act.
- ATDS: Automatic Telephone Dialing System.
- DNC: Do Not Call Registry.
- Prior Express Written Consent: An agreement, in writing, bearing the signature of the person called that clearly authorizes the seller to deliver telemarketing calls.
1. Purpose and Scope
UpThrive is committed to full compliance with the TCPA and related telemarketing regulations. This program outlines the mandatory procedures for all recruitment and marketing outreach conducted by or on behalf of the company.
2. Prior Express Written Consent
No telemarketing calls or text messages using an ATDS or artificial/prerecorded voice shall be made to a wireless number without prior express written consent. Consent must be clear, conspicuous, and not a condition of purchase.
3. Internal Do Not Call (DNC) List
UpThrive maintains an internal DNC list. Any individual who requests not to be called must be added to this list within 24 hours. The internal DNC status remains active indefinitely unless the consumer chooses to opt back in.
4. National DNC Registry Scrubbing
All call lists must be scrubbed against the National DNC Registry at least every 31 days. Calls to numbers on the National Registry are strictly prohibited unless a valid exemption (e.g., prior consent) applies.
5. Call Time Restrictions
Telemarketing calls may only be placed between 8:00 AM and 9:00 PM local time at the recipient's location. Time zones must be verified before any dialing occurs.
6. Identity Disclosure
At the beginning of every call, practitioners must state their name, the name of 'UpThrive', and provide a telephone number or address where the business can be reached.
7. Abandoned Call Rate
When using predictive dialers, the abandoned call rate must not exceed 3% per day per calling campaign. Records must be maintained to demonstrate compliance with this standard.
8. Autodialer Usage Guidelines
Usage of any ATDS must strictly follow current FCC interpretations. Our systems are audited to ensure they do not dial numbers without human intervention unless express written consent exists.
9. Artificial or Prerecorded Voice
Artificial or prerecorded voice messages for telemarketing purposes are prohibited unless prior express written consent has been obtained. Any such messages must include an automated interactive opt-out mechanism.
10. Opt-Out Mechanisms
All text message marketing campaigns must include clear instructions on how to opt-out (e.g., 'Reply STOP to unsubscribe'). All opt-out requests must be processed immediately.
11. Record Retention
Evidence of consent, DNC scrubbing records, and call logs must be maintained for a minimum of four years to ensure the ability to defend against potential claims.
12. Third-Party Vendor Compliance
All third-party vendors engaged for lead generation or recruitment outreach must provide written certification of their TCPA compliance and undergo periodic audits by UpThrive.
13. Employee Training
All employees involved in outbound communication must complete TCPA compliance training upon hire and annually thereafter. Training documentation is kept in personnel files.
14. Dispute Resolution
Complaints regarding telemarketing practices should be directed to the Compliance Officer. We aim to respond to all compliance-related inquiries within 72 hours.
15. Reassigned Numbers
UpThrive utilizes the Reassigned Numbers Database (RND) to verify that target wireless numbers have not been reassigned since consent was originally obtained.
16. State Law Compliance
Where state mini-TCPA laws (e.g., Florida FTSA, Washington WTSA) provide stricter protections, UpThrive adheres to the stricter standard for residents of those states.
17. Quality Assurance Monitoring
Calls are periodically monitored for quality and compliance. Any deviation from approved scripts or compliance protocols results in immediate corrective action.
18. Incident Reporting
Any potential breach of this compliance program must be reported immediately to management. We maintain a non-retaliation policy for employees reporting compliance concerns.
19. Program Audits
The Telemarketing Compliance Program is reviewed annually and updated as necessary to reflect changes in legislation, court rulings, and FCC/FTC regulations.
20. Consequences of Non-Compliance
Violations of TCPA policies can lead to significant legal liability and reputational damage. Employees who fail to adhere to these standards are subject to disciplinary action up to termination.
Appendices
Appendix A: Sample Consent Forms
Appendix B: DNC Request Processing Script
Appendix C: Call Time Zone Verification Guide
Appendix D: Vendor Certification Form
Appendix E: Annual Training Completion Log