13.1. Lodging of complaints

13.1.1. Any person may lodge a complaint against any member who, in the view of the complainant, has acted contrary to the provisions of this Code.

13.1.2. Any complaint must be lodged with the WASPA secretariat using the contact information published on the WASPA web site.

13.1.3. A complaint must contain the following information:

1. the name of the wireless application service provider against whom the complaint is being made, or if the identity of the service provider is not clear, the number of the service or other identifying information;
2. the full names, address and contact details of the complainant;
3. to the extent that the information is known or available, identification of the part or parts of the Code of Conduct which has allegedly been breached; and
4. a detailed description of the actions (or inactions) that resulted in the alleged breach.

13.1.4. Any complaint lodged that does not contain the above information may be referred back to the complainant by the secretariat, together with a request to provide the missing information.

13.1.5. The secretariat may initiate a complaint against a member on behalf of WASPA, should it become aware of an apparent breach of the Code.

13.1.6. The secretariat shall have the discretion to make use of either the informal or formal complaint procedure to process any complaints received, subject to clauses 13.2.1. and 13.3.1.

13.2. Informal complaint procedure

13.2.1. In the case of a complaint for which it is feasible for the member to provide a prompt remedy and where no material breach of the Code seems to have occurred, the following informal complaint procedure will be followed.

13.2.2. The secretariat will forward the complaint to the member concerned.

13.2.3. The member has five working days to effect an appropriate remedy.

13.2.4. Thereafter, if the complainant is satisfied that the member has adequately addressed the complaint then the complaint is considered closed and no further action is taken.

13.2.5. If the complainant is not satisfied that the complaint has been satisfactorily resolved, then the formal complaint procedure will be used to handle the complaint further.

13.2.6. The secretariat will maintain a record of any complaints resolved through the informal complaint procedure.

13.3. Formal complaint procedure

13.3.1. In the case of a complaint for which it is not feasible for the member concerned to provide a prompt remedy, or a complaint that has been escalated from the informal complaint procedure, the following formal complaint procedure will be followed.

13.3.2. The member named in the complaint will be notified by the secretariat that a complaint has been lodged and that the formal complaint procedure is being followed.

13.3.3. The secretariat will provide the member with a copy of the complaint, and any additional information relevant to the complaint.

13.3.4. The member will be given five working days to respond to the complaint, and to provide any additional information the member deems relevant to the complaint.

13.3.5. If the member fails to respond within this time period, it will be assumed that the member does not wish to respond.

13.3.6. Notwithstanding any response from the member, the secretariat will assign the complaint to an adjudicator, and provide the adjudicator with all material relevant to the complaint.

13.3.7. The adjudicator must carefully review:

1. the complaint;
2. any response the member has made to the complaint;
3. the WASPA Code of Conduct;
4. any other material relevant to the complaint, as supplied by WASPA.

13.3.8. On the basis of the evidence presented, the adjudicator will decide whether there has been a breach of the Code. Each case will be considered and decided on its own merits.

13.3.9. If the adjudicator determines that there has been a breach of the Code, then the adjudicator must determine appropriate sanctions.

13.3.10. In determining any appropriate sanctions, the adjudicator must take into consideration:

1. any previous successful complaints made against the member;
2. any previous successful complaints of a similar nature.

13.3.11. Once the adjudicator has determined whether there has been a breach of the Code, and any sanctions, the adjudicator will provide the secretariat with a written report detailing these findings.

13.3.12. The secretariat will provide a copy of this report to the relevant member and to the complainant.

13.3.13. The member must, within five working days, comply with any sanction imposed, or notify the secretariat that it wishes to appeal against the decision of the adjudicator.

13.3.14. The failure of any member to comply with any sanction imposed upon it will itself amount to a breach of the Code and may result in further sanctions being imposed.

13.3.15. The secretariat will maintain a record of any complaints resolved through the formal complaint procedure.

14. Complaints procedures

14.1. Lodging of complaints

14.1.1. Any person may lodge a complaint against any member who, in the view of the complainant, has acted contrary to the provisions of this Code.

14.1.2. Any complaint must be lodged with the WASPA secretariat using the contact information published on the WASPA web site.

14.1.3. A complaint should contain the following information:

a. the name of the wireless application service provider against whom the complaint is being made, or if the identity of the service provider is not clear, the number of the service or other identifying information;

b. the full names, address and contact details of the complainant;

c. to the extent that the information is known or available, identification of the part or parts of the Code of Conduct which has allegedly been breached; and

d. a detailed description of the actions (or inactions) that resulted in the alleged breach.

14.1.4. Any complaint lodged that does not contain the above information may be referred back to the complainant by the secretariat, together with a request to provide the missing information.

14.1.5. If a complainant requests anonymity, the complainant's identity may be withheld from the member at the discretion of the secretariat.

14.1.6. The secretariat may initiate a complaint against a member on behalf of WASPA, should it become aware of an apparent breach of the Code.

14.1.7. The secretariat shall have the discretion to make use of either the informal or formal complaint procedure to process any complaints received, subject to clauses 14.2.1. and 14.3.1.

14.1.8. Where the complainant has lodged a complaint or dispute, or instituted an action with any other regulatory body or in a Court, and where the subject matter of that complaint, dispute or action is substantially the same as the subject matter of a complaint lodged by that complainant with the WASPA Secretariat, WASPA may decline to consider and deal with the complaint.

14.2. Informal complaint procedure

14.2.1. In the case of a complaint for which it is feasible for the member to provide a prompt remedy and where no material breach of the Code seems to have occurred, the following informal complaint procedure will be followed.

14.2.2. The secretariat will forward the complaint to the member concerned.

14.2.3. The member has five working days to effect an appropriate remedy.

14.2.4. Thereafter, if the complainant is satisfied that the member has adequately addressed the complaint then the complaint is considered closed and no further action is taken.

14.2.5. If the complainant is not satisfied that the complaint has been satisfactorily resolved, then the formal complaint procedure will be used to handle the complaint further.

14.2.6. The secretariat will maintain a record of any complaints resolved through the informal complaint procedure.

14.3. Formal complaint procedure

14.3.1. In the case of a complaint for which it is not feasible for the member concerned to provide a prompt remedy, or a complaint that has been escalated from the informal complaint procedure, the following formal complaint procedure will be followed.

14.3.2. If the secretariat believes that a complainant has not provided sufficient evidence for an adjudicator to be able to make a decision regarding their complaint, the secretariat may request that the complainant provide additional supporting material for their complaint. Should the complainant fail to provide any additional information, the secretariat may close the complaint due to lack of evidence without it proceeding to adjudication.

14.3.3. The member (or members) named in the complaint, or identified by the WASPA Secretariat on the basis of any identifying information included in the complaint, will be notified by the secretariat that a complaint has been lodged and that the formal complaint procedure is being followed.

14.3.4. The secretariat will provide the member with a copy of the complaint, and any additional information relevant to the complaint.

14.3.5. The member will be given five working days to respond to the complaint, and to provide any additional information the member deems relevant to the complaint, including any mitigating factors that the member wishes the adjudicator to consider.

14.3.6. If the member fails to respond within this time period, it will be assumed that the member does not wish to respond. An extension to this time period may be given to the member at the discretion of the WASPA Secretariat.

14.3.7. Notwithstanding any response from the member, the secretariat will assign the complaint to an adjudicator, and provide the adjudicator with all material relevant to the complaint.

14.3.8. The adjudicator must carefully review:

a. the complaint;

b. any response the member has made to the complaint;

c. the WASPA Code of Conduct;

d. any other material relevant to the complaint, as supplied by WASPA.

14.3.9. The adjudicator may make reference to the "annotated" version of the WASPA Code of Conduct, which contains explanatory notes and a history of changes to the Code.

14.3.10. The adjudicator may ask the secretariat to request that the complainant, the member, or both, furnish additional information relating to the complaint. Specifically, the adjudicator may request that the member respond to any additional breaches of the Code of Conduct discovered during the investigation of the complaint, but which were not specified in the original complaint.

14.3.11. Where a complaint relates to an advertisement, when requested to do so, a member must, within five working days, provide clear copies of the relevant adverts, flighting schedules in the relevant media (covering previous and future planned flighting) and flighting codes (where available).

14.3.12. Where a complaint involves any interaction with a customer, when requested to do so, a member must, within five working days, provide clear copies of all relevant logs of that interaction.

14.3.13. Providing incorrect or fraudulent information in response to a complaint, or in response to any other request to provide information is itself a breach of this Code.

14.3.14. On the basis of the evidence presented, the adjudicator will decide whether there has been a breach of the Code. Each case will be considered and decided on its own merits.

14.3.15. If the adjudicator determines that there has been a breach of the Code, then the adjudicator must determine appropriate sanctions.

14.3.16. In determining any appropriate sanctions, the adjudicator must take into consideration:

a. any previous successful complaints made against the member;

b. any previous successful complaints of a similar nature.

14.3.17. Once the adjudicator has determined whether there has been a breach of the Code, and any sanctions, the adjudicator will provide the secretariat with a written report detailing these findings.

14.3.18. The secretariat will provide a copy of this report to the relevant member and to the complainant.

14.3.19. Should technical errors be identified in an adjudicator's report, the adjudicator has the sole discretion to decide whether the initial report should be withdrawn and replaced with an amended report.

14.3.20. The member has five working days to notify the secretariat if it wishes to appeal against the decision of the adjudicator. An extension to this time period may be given to the member at the discretion of the WASPA Secretariat.

14.3.21. Unless otherwise specified in the adjudicator's report, any sanctions will be considered suspended if an appeal is lodged, until the appeal process is completed.

14.3.22. If no appeal is lodged, or if the adjudicator has specified certain sanctions as not being suspended pending an appeal, the failure of any member to comply with any sanction imposed upon it will itself amount to a breach of the Code and may result in further sanctions being imposed.

14.3.23. The member must provide the secretariat with confirmation of compliance with any applicable sanctions within five working days of receiving the adjudicator's report.

14.3.24. The member must pay any applicable fine(s) imposed by an adjudicator within five working days of receipt of invoice.

14.3.25. The secretariat will maintain a record of any complaints resolved through the formal complaint procedure.

14.4. Sanctions

14.4.1. An adjudicator finding prima facie evidence that any member may have breached clause 3.1.2 of the Code of Conduct must request that WASPA refer the breach to the relevant statutory or regulatory authority, unless that authority has already made a ruling on that particular case. If the relevant authority has already made a ruling on that particular case, then the adjudicator may find a breach of clause 3.1.2.

14.4.2. For all other clauses of the Code, possible sanctions that may be imposed on a member found to be in breach of the Code of Conduct are one or more of the following:

a. a requirement for the member to remedy the breach;

b. a formal reprimand;

c. an appropriate fine on the member, to be collected by WASPA;

d. a requirement, in appropriate circumstance, for the member to pay reasonable and valid claims for compensation;

e. suspension of the member from WASPA for a defined period;

f. expulsion of the member from WASPA;

g. a requirement for the member to disclose the identity of any information provider found to be acting in breach of this Code of Conduct;

h. a requirement for the member to suspend or terminate the services of any information provider that provides a service in contravention of this Code of Conduct;

i. a requirement to withhold a specified amount or portion of money payable by the member to the information provider.

14.4.3. When determining sanctions, the adjudicator should take note of 14.3.21, and specify any sanctions that will not be suspended if an appeal is lodged. Sanctions that can be specified in this way are limited to those that are intended to prevent future harm and include:

a. Sanctions requiring a member to amend, suspend, or terminate a service being offered in breach of the Code of Conduct;

b. Any sanctions imposed as a result of the failure of a member to comply with previous sanctions, as specified in 14.3.22.

14.4.4. In addition, possible sanctions against a member in breach of the Code include advising the relevant network operators or that member's aggregator to do one or more of the following:

a. block a member's access to a specific number for a defined period;

b. block a member's access to a specific category of service for a defined period;

c. terminate a member's access to a specific number;

d. terminate a member's access to a specific category of service;

e. withhold a specified amount or portion of money payable by the network operator to that service provider;

f. pay some or all of withheld funds to WASPA, as an appropriate fine on the service provider;

g. issue a blanket refund to the customers of a service found to be in breach of the Code of Conduct.

14.4.5. When considering appropriate sanctions, the adjudicator should consider the member's use of the checking service described in section 14.8. Where a member has had a service or advertisement checked by WASPA this should be taking as a mitigating factor when considering sanctions, provided that the service or advertisement has not been subsequently amended so as not to comply with the Code.

14.4.6. Where a service is provided by one WASPA member using the facilities of another member, if the member providing these facilities has taken reasonable steps in response to any alleged breach of the Code by the member providing the service, this must be considered as a significant mitigating factor when considering any sanctions against the member providing the facilities.

14.4.7. For the avoidance of doubt, no sanction may be applied to a member who has not been given an opportunity to respond to a complaint.

14.4.8. If a sanction specifies that a member be suspended from WASPA for a defined period, then this means that the Secretariat shall:

a. update the member's status to reflect as "suspended" on the WASPA web site;

b. notify the relevant network operators of the member's suspension and recommend the suspension of WASP services to that member for the period specified in the ruling; and

c. notify WASPA's general membership of the member's suspension.