executed agreement - 05-23-13 - all

7/28/2019 Executed Agreement - 05-23-13 - ALL

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Privileged and Confidential

Agreement between the Wildrose Alliance Political Association (the "Wildrose") and theChiefCompliance and Enforcement Officer (the "CCEO") of the Canadian Radio-television

and Telecommunications Commission (the "Commission")WHEREAS the Commission established the Canadian Radio-television and TelecommunicationsCommission Unsolicited Telecommunications Rules (the "Unsolicited TelecommunicationsRules") in Telecom Decision 2007-48 and subsequent decisions pursuant to its authority undersection 41 of the Telecommunications Act, S.C. 1993, c. 38 (the "Act");AND WHEREAS the CCEO commenced an investigation into calls that were made on behalf ofthe Wildrose in the province of Alberta between the dates March 2011 and November 2012 toconduct a polling campaign with respect to voting preferences and government initiatives, usingan Automatic Dialing-Announcing Device ("ADAD");AND WHEREAS the calls in question did not begin with a clear message identifying the personon whose behalf the call was made and did not include a mailing address where thetelecommunication originator could be reached;AND WHEREAS the calls in question were authorized by persons who were employed by theWildrose (the "Wildrose Employees");AND WHEREAS the Wildrose Employees hired and authorized a third party telemarketer,Racknine Inc. (Racknine), to make the calls on behalfof the Wildrose;AND WHEREAS the calls in question were authorized to be sent on behalf of the Wildrosewithout Wildrose having implemented procedures that were compliant with the UnsolicitedTelecommunications Rules;AND WHEREAS the CCEO has concluded her investigation and dete1mined on reasonablegrounds that the Wildrose committed violations of Part IV, subsection 4 d) of the UnsolicitedTelecommunications Rules in respect of the calls in question;AND WHEREAS a notice of violation is being issued pursuant to section 72.07 of the Act (the"Notice ofViolation") concurrently with this Agreement;AND WHEREAS the Wildrose has fully cooperated with the CCEO's investigation and hasendeavored to take all reasonable measures to ensure future compliance with the UnsolicitedTelecommunications Rules and to work with the CCEO to promote better awareness of theUnsolicited Telecommunications Rules;AND WHEREAS the CCEO and the Wildrose have reached an agreement that addresses all of theCCEO's outstanding concerns regarding the use of ADADs by the Wildrose to make unsolicitedtelecommunications.AND WHEREAS, the CCEO contirms her use of the principles of fairness and equitythroughout her investigation and enforcement of the Unsoliciled Telecommunications Rules.


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NOW THEREFORE THE PARTIES AGREE AS FOLLOWS:1. Application of this Agreementl.l The provisions of this Agreement apply to the Wildrose, including WildroseManagement, staff and volunteers.1.2 For the purposes of this Agreement,(a) "Wildrose Management" shall mean, the Executive Director and General Counsel of theWildrose.2. Compliance with the Unsolicited Telecommunications Rules2.1 The Wildrose will comply with the Unsolicited Telecommunications Rules generally and, inpmiicular, Part IV, subsection 4 d) (reproduced below):

4. A person using an ADAD to make unsolicited telecommunications where there is no attempt to solicit, shancomply with the following conditions:

d) such telecommunications shall begin with a clear message identifYing the person on whose behalf thetelecommunication is made. 1l1is identification message shall include a mailing address and a local or toll-freetelecommunications number at which a representative of the originator of the message can be reached. In the eventtl1at tl1e actual message relayed exceeds sixty (60) seconds, tl1e identification message shall be repeated at the endof the telecommunication;

2.2 For greater clarity, the Wildorse will ensure that all unsolicited telecommtmications made viaan ADAD, will contain a clear message identifying to consumers that the call is made on its behalf,and include a mailing address and local or toll-free telecommWlications number at which arepresentative of the Wildrose can be reached.3. Administrative Monetary Penalty3.1 Upon execution of this Agreement, the Wildrose will pay an administrative monetarypenalty in the amount of $90,000 in respect of the violations set out in the Notice of Violation, acopy ofwhich is attached as Appendix "A" of this Agreement.4. Compliance Program4.1 TI1e Wildrose will be responsible for the development and implementation of acompliance program addressing unsolicited telecommunications made on its behalf (the"Compliance Program"), the goal of which will be to promote compliance with the UnsolicitedTelecommunications Rules generally and, specifically, without limiting the generality of theforegoing, to promote compliance with Part IV.4.2 The Wildrose will appoint a compliance officer, within 60 days of the execution of thisAgreement, who will be responsible for implementing the Compliance Program and willfacilitate communications with staff of the Compliance and Enforcement Sector of theCommission ("Commission staff') regarding ongoing compliance measures.

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4.3 Wildrose Management, and the Compliance Officer will fully support and enforce theCompliance Program and will take an active and visible role, with staff and volunteers, in itscontinued implementation. Once complete, the Compliance Program will be reviewed andamended tram time to time, as appropriate.

4.4 The Compliance Program will include the following elements:1. Written policies and procedures addressing compliance with Pari IV and all otherprovisions of the Unsoliciled Telecommunicalions Rules;2. Education and training progran1s for those persons involved in initiating unsolicitedtelecommunications, implemented periodically in the regular course, and in thecontext of an election campaign, in all cases prior to the commencement of thatcampatgn;3. Record keeping procedures in order to facilitate verification of compliance bothinternally and by Commission staff, as required;4. Registration and tracking of complaints relating to unsolicited telecommunicationsand their subsequent reso Iuti on;5. Disciplinary procedures for compliance failures;6. Arrangements with third parties telemarketers that address compliance with the

Unsolicited Telecommunications Rules and assign responsibility for specificobligations; and7. Communications with Commission staff to the extent it is deemed necessary in order todetermine compliance with the Umolicited Telecommunications Rules.

4.5 Within 90 days of execution of this Agreement, the Wildrose will submit the completedCompliance Program to the CCEO along with a written report describing the measures taken toimplement it. Subsequently, the CCEO will be entitled to require the Wildrose to report to theCCEO, on an annual basis, with respect to ongoing compliance with the UnsolicitedTelecommunicalions Rules.5. Gcncral5.1 This Agreement is entered into voluntarily by the Wildrose. This Agreement settles, andreleases the Wildrose from all existing and potential claims by the CCEO against the Wildrose asof the date of this Agreement, and the CCEO confirms that there are no remaining complianceissues or complaints relating to the Unsolicited Telecommunications Rules that are underinvestigation by Commission staff or whose nature have not been disclosed to the Wildrose.5.2 This Agreement may be executed in counterpart, and each counterpart when taken as awhole with the other executed counterparts shall constitute an original agreement, dated as of thedate set out below. Delivery of an executed copy or countei])art of this Agreement by facsimiletransmission or electronically in portable document format (PDF) shall constitute valid andeffective delivery.

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5.3 This agreement will be govemed by and construed in accordance with the laws of theProvince of Ontario and the laws of Canada applicable therein.

Dated at Gatineau, Quebec , th is c:9Y day ofMay 2013.

Rosenef Compliance and Enforcement ofOfficer

Canadian Radio-television and Telecommunications Commission

Dated at Edmonton, Alberta, thjs _ . _ f 2 ~ ......:::;___ day ofMay 20 13.

'eildrose Alliance Political Association

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Appendix A: Notice of ViolationPROCES-VERBAL DE VIOLATION

N de dossier: EPR 9174-1379Au : Wildrose Alliance association politiqueAdresse:Suite 202, 10707 -100 AvenueEdmonton (Alberta)T5J 3M1

Date du proces verbal et paiement: 24 mai 2013Penalite : 90 ooo $En vertu de !'article 72.07 de Ia Loi sur lestelecommunications , L.C. 1993, ch . 38 (Ia Lo1) , Iasoussignee a emis le present proces-verbal deviolation, car, selon elle, le Wildrose Allianceassociation politique, a commis les violationssuivantes des Regles sur les telecommunications nonsol/icitees (les Regles) du Conseil de Ia radiodiffusionet des telecommunications canadiennes (CRTC)instituees en vertu de !'article 41 de Ia Loi :Entre mars 2011 et novembre 2012, destelecommunications non sollicitees ont ete faites parle Wildrose Alliance association politique en utilisantun composeur-messager automatique (CMA) , pourfaire des sondages aupres de Ia population de!'Alberta. Ces appels ont provoques des violations duparagraphe IV, sous-alinea 4d) des Regles, pour nepas avoir fourni le nom, l'adresse et le numero detelephone de Ia personne pour qui l'appel a ete faitdans le message.Conformement a 'article 72 .01 de Ia Loi, Iasoussignee a determine que Ia penalite totale pour lesviolations identifiees ci-dessus est de 90 000 $.La penalite de 90 000 $ doit etre versee au Receveur general du Canada , par le WildroseAlliance association politique, conformement au sousalinea 72.09(3) de Ia Loi.


NOTICE OF VIOLATIONFile Nos.: PDR 9174-1379To: Wildrose Alliance Political AssociationAddress:Suite 202, 10707-100 AvenueEdmonton, AlbertaT5J 3M1

Date of Notice and Payment: 24 May 2013Penalty: $90,000Pursuant to section 72.07 of the TelecommunicationsAct, S.C. 1993, c. 38 (the Act), the undersigned hasissued this notice of violation finding the WildroseAlliance Political Association to have committed thefollowing violations contrary to the Canadian Radiotelevision and Telecommunications Commission's(CRTC's) Unsolicited Telecommunications Rules(the Rules) made under section 41 of the Act:

Between March 2011 and November 2012, unsolicitedtelecommunications were made by the WildroseAlliance Political Association to conduct pollingcampaigns among the Alberta population using anAutomatic Dialing-Announcing Device (ADAD)resulting in violations of Part IV, subsection 4d) of theRules, for not providing the name, address andcontact telephone number of the person on whosebehalf the call was made in the messages.

Pursuant to section 72.01 of the Act, the undersignedhas determined that the total penalty for the violationsidentified above is $90 ,000.The penalty of $90,000 must be paid by the WildroseAlliance Political Association to "The ReceiverGeneral j9sCanada" in accordance with subsection72.09(.31.,..>fthe Act.

. Andrea RosenCadre en chef de Ia conformite et des enquetes .Chief Compliance and Enforcement Officer

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executed agreement - 05-23-13 - all

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