PhonepayPlus: Requests for
Information from Level 1 and Level 2
Providers
There are a number of reasons why the teams within PhonepayPlus may contact a Level 1 (L1) or Level 2 (L2) provider for information regarding the promotion, operation or content of a premium rate service.
Consumer Support Team
The Consumer Support team will, upon receipt of a complaint via the phone, web or correspondence, contact the L2 provider for dedicated shortcodes, or the L1 provider for shared shortcodes, requesting further information (the ‘Preliminary RFI’) regarding both the promotion and operation of the service to assess the validity of the complaint (see Appendix A).
After reviewing this information, the complaints may be:
Closed due to lack of evidence of a breach of the Code
Attached as a new complaint associated with an open investigation – an Initial Assessment (IA), a Track 1 (T1) or a Track 2 (T2) investigation
Passed to the Complaint Resolution team and grouped per service for a decision on the most appropriate course of action
If the complaint is closed at this stage due to lack of evidence, the team will send a notification to the provider who supplied the response to the RFI informing them of this decision.
Complaint Resolution and Enforcement Team
The Complaint Resolution Executives will assess all complaints regarding the service, either open or recently closed along with the breach history of the provider. There are a number of possible outcomes:
The complaints are closed as there is no evidence of a breach of the Code
A preliminary investigation is initiated and a detailed RFI (the ‘ ‘Initial assessment RFI’) is issued regarding the service as per paragraph 4.2.3 of the Code (see Appendix B)
Apparent minor breaches of the Code are identified that warrant a T1 investigation Apparent serious breaches of the Code are identified that warrant a T2 investigation
to be initiated immediately
Upon receipt of the Initial assessment RFI there are a number of possible outcomes: The complaints are closed as there is no evidence of a breach of the Code A T1 investigation is initiated by the Complaint Resolution team
Possible breaches of the Code are identified that may have resulted in consumer harm that warrants the use of the T2 procedure. In this case the evidence from both the provider and the complainants is presented to the Investigations team for a decision on the most appropriate course of action
Note:
If serious breaches are identified that suggest the use of the Emergency Procedure (EP) is required, these complaints will bypass the stages above and the evidence will be
immediately presented for formal review.
The Investigation Executives will review both the preliminary RFI and the Initial assessment RFI to confirm a formal T2 investigation is required based on the level of potential consumer harm associated with the service.
An additional RFI (the ‘Preliminary investigation’ RFI) may be sent out to clarify any points or to gather further information if necessary before a breach letter is issued to the provider. Notifications
PhonepayPlus will always copy in the L1 provider to the Initial assessment RFIs sent to L2 providers by the Complaint Resolution team. However, responses received from the L2 providers will not be sent to the L1 provider by PhonepayPlus for confidentiality reasons. The Complaint Resolution team will notify both the L1(s) and L2 providers should a T1 investigation be initiated or if an Initial assessment is passed to the Investigations team for further assessment. The Complaint Resolution Executives will notify both the L1 and L2 providers should no further action be taken after reviewing the Initial assessment RFI. If the Investigation Executivesinitiate a T2 investigation by sending a breach letter to the L2 provider, a summary of our concerns surrounding the service, details of the number of complaints and confirmation that a breach letter has been issued to the L2 provider will be sent to the L1 provider for information.
Due Diligence and Risk Assessment
PhonepayPlus will as a matter of routine open a preliminary DDRAC investigation into an L1 or sub aggregator associated with an ongoing L2 case through a 4.2.3 direction (where it is unclear as to the value chain a request will be made to the L1 and where appropriate the RFI will be reissued to the appropriate sub aggregator).
The information received, and the outcome of the underlying L2 case, will be assessed post the publication of the minutes on the L2 case. Where no further action is to be undertaken, notification will be provided to the L1 which will normally be within 2-6 weeks of the
publication of the L2 case (depending on each case). Where further action is required, the usual procedures for investigating cases as set out in the Code will apply. In some
circumstances a further L2 case may inform the route to be taken in which case timescales will extend.
Appendix A – The Preliminary RFI Case Reference: Dear provider, Mobile Number:
PhonepayPlus has recently received a query regarding a service operating on shortcode XXXXX. To enable us to respond to the consumer, we require some information from you.
Please supply this information within 2 working days.
Information required
Activity Log - a copy of the message log, in Excel format, containing the following information:
Date and time of each message sent (including spend reminders where applicable)
The content of all messages and the message type i.e. MO or MT
The cost associated with the messages and their status i.e. delivered or undelivered Whether this is shared or dedicated shortcode
The name of the service and a description of how it operates Copies of all promotional material relating to the service
Confirmation as to whether affiliates are used to promote the service
Confirmation on how the consumer opted in to receive any promotional messages if
applicable
Confirm how the consumer opted in to receive any chargeable messages, for
example MO or web opt-in
If web-opt/WAP is used, please provide the name and details of the third party used to verify the consent to charge
The name, contact details and org number of any other providers in the value chain i.e. the Level 1&2 providers
If you are the level 2 provider – your consumer contact details
Can you confirm you have removed this mobile number from the service and any relevant marketing database?
Please note at this stage PhonepayPlus has not opened a formal investigation into this service and requires this information to assess the evidence associated with this query.
If you have any questions please do not hesitate to contact me.
Appendix B – The Initial assessment RFI Case Ref: [******] (Please quote in all correspondence
By Post & By Email [DD MMM YYYY] [Name] [Address] [Address] [Address] [Postcode]
And by email: [Email] Dear [Name]
Initial assessment: Direction regarding information / documents required in connection with the ‘[Name of service]’ service operating on shortcode / number [*****]
The Executive is conducting a preliminary investigation into the above service and its operation and/or promotion which has been prompted by complaint(s) received and/or monitoring carried out by the Executive.
This is a direction issued in accordance with paragraph 4.2.3 of the 12th Edition of the PhonepayPlus Code of Practice (‘the Code’), and in pursuance of PhonepayPlus’ duties as a regulator. Please ensure you respond, in full, by no later than 5pm on [Day DD MM YYYY].
Background
The Executive has concerns regarding the [...] service promoted on [...].
Further Information Required
In order to assist us with our investigations, you are directed to provide the following information, in accordance with paragraph 4.2.3 of the Code:
1. Please provide a summary of the way in which the service is intended to operate, including full details of any terms and conditions.
2. Provide general service and specific consumer information in the format set out below. This request is set out, and should be responded to, using the two tables
TABLE 1 seeks general service information, which you should complete in the column marked ‘Response’ attaching, where necessary, any additional documentation.
TABLE 2 seeks specific information in relation to each of the mobile numbers listed. You must complete a separate completed version of Table 2, for each and every mobile number listed here:
[Mobile number]
Please provide details of how and when the mobile numbers provided above were opted in to receive reverse billed SMS.
(These mobile numbers are being supplied to you for your investigations and not for you to contact the complainants with regard to this matter).
TABLE 1: General Service Information
Information Required Response
1. What is the Service Name or, if a name is not assigned its closest description?
2. Supply details of the promotion that prompts initiation into this service.
For the avoidance of doubt, you should supply information relating to and copies of, the promotional material,
including, but not limited to:
i) Dates when the promotional campaign started and ended.
ii) If the service was promoted by text message - a full transcript of any promotional text messages and the date they were sent.
Please also advise what gateway (which aggregator) this service was promoted through.
iii) If the service was promoted by any other means - a copy of the promotional material (including screenshots) along with details of ALL publications / websites / other
media in which the promotion appeared.
Please also provide details of the registrants of all websites specified above, including, but not limited to, contact names and addresses.
iv) Do you use Affiliate marketing? If so, please provide the name of the affiliate and a copy of the contract. v) What checks do you do to ensure that your affiliate marketer will promote your service(s) compliantly?
3. Confirmation of whether this service operates on a shared or exclusive shortcode?
4. List all other numbers, shortcodes, trigger or keywords used in this service and in the promotion of this service.
