The Wayback Machine - https://web.archive.org/all/20070503173307/http://www.truste.org:80/consumers/compliance.php
For Businesses For Consumers TRUSTe Blog About TRUSTe   
 
TRUSTe - Make Privacy Your Choice
Seal Programs  ::   Program Requirements  ::   Education  ::   Watchdog Advisories  ::   Watchdog Reports  ::   File a Privacy Complaint

TRUSTe Watchdog Dispute Resolution and Appeal Process

General
TRUSTe provides online third party dispute resolution at no cost to anyone who files an eligible complaint about a TRUSTe Licensee through its Watchdog Dispute Resolution program. This service is paid for by Licensees as part of their certification fee.

The Watchdog Dispute Resolution program allows TRUSTe to initiate a negotiation between the individual complainant and the Licensee. At no point is the individual’s right to legal recourse affected. While TRUSTe’s final determination is not binding on the individual, the Licensee must comply with TRUSTe’s final determination or face removal from the TRUSTe program, a legal proceeding for breach of the TRUSTe License Agreement, and/or referral to an appropriate law enforcement body.

TRUSTe's EU Safe Harbor Program - complaints about offline privacy practices
The procedures described in this document apply to complaints about the offline privacy practices of companies in TRUSTe’s EU Safe Harbor Program, with the following exceptions:

  • Watchdog complaints can be submitted by postal mail or fax
  • An additional five (5) business days is added to all time periods

Watchdog Dispute Resolution Process

Who can file a Watchdog complaint?

Who are the parties in a Watchdog complaint?

What is an eligible complaint?

What is an ineligible complaint?

Must TRUSTe consider all complaints that are filed?

What remedies are available to me as a Complainant?

How do I file a Watchdog complaint?

What is the Watchdog dispute resolution process?

When does TRUSTe close a Watchdog?

Appeals Process

Is there an Appeals Process?

Who is on the TRUSTe Appeals Committee?

How do I file an Appeal?

What process will the Appeals Committee follow?

Decisions of the Appeals Committee

Other Matters arising from the Watchdog Dispute Resolution and Appeals Processes

Who can file a Watchdog complaint?

Any individual may file a complaint against a TRUSTe Licensee through the Watchdog Dispute Resolution program.

Who are the parties in a Watchdog complaint?

The parties are:

  • Complainant - the individual complaining about a Licensee’s misuse of personally identifiable information or violation of its privacy statement
  • Licensee
    • - the company about which the Complainant is complaining

What is an eligible complaint?

In order for a complaint to be considered eligible in the Watchdog Dispute Resolution program, all of the following must be true:

  • The complaint is about a company that holds an authentic TRUSTe seal;
  • The Complainant has already made a good faith attempt to resolve the problem directly with the Licensee;
  • The complaint raises a privacy issue affecting the personally identifiable information of the Complainant or the personally identifiable information of a child whose parent or guardian is the Complainant;
  • The complaint alleges that the Licensee collected, used, or disclosed the personally identifiable information in a manner inconsistent with its published online privacy statement; and
  • The complaint is in English or the Licensee has secured appropriate translation services.

What is an ineligible complaint?

A complaint not satisfying the criteria for an eligible complaint OR having any of the following characteristics is not eligible for consideration in the TRUSTe Watchdog Dispute Resolution program:

  • The complaint concerns a company that is not a TRUSTe Licensee or that is operating under an invalid TRUSTe seal
  • The complaint seeks only monetary damages;
  • The complaint alleges fraud or other violations of statutory or regulatory law;
  • The complaint has been resolved under a previous court action, arbitration, or other form of dispute resolution; or
  • The complaint is not lodged with TRUSTe via the Watchdog Dispute Resolution form on the TRUSTe Web site.
  • Exception: complaints about the offline practices of a Licensee in the TRUSTe EU Safe Harbor Program can be submitted by postal mail or fax.

Must TRUSTe consider all complaints that are filed?

TRUSTe reviews all complaints; however, TRUSTe is under no obligation to pursue any complaint that it deems to be frivolous or to constitute harassment of TRUSTe or a TRUSTe Licensee.

A frivolous complaint is one that has no factual basis, or even if based on fact does not relate to any obligations imposed by the TRUSTe License Agreement. Harassing complaints include successive complaints based on allegations previously addressed by TRUSTe, or the filing of complaints with TRUSTe employees other than those designated by TRUSTe to receive complaints.

What remedies are available to me as a Complainant?

Based upon the facts of a particular complaint, TRUSTe may:

  • require the Licensee to correct or modify personally identifiable information or change user preferences;
  • require the Licensee to change its privacy statement or privacy practices; and/or
  • require the Licensee to submit to a third-party audit of its practices to ensure the validity of its privacy statement and to ensure that it has implemented the corrective action required by TRUSTe.

If a Licensee refuses to comply with the actions that TRUSTe requires, TRUSTe may refer the Licensee to an appropriate government agency, remove it from the TRUSTe program, and/or sue the Licensee for breach of its License Agreement with TRUSTe.

TRUSTe cannot require a Licensee to:

  • pay monetary damages; or
  • take steps that would require the Licensee to violate legal requirements imposed on it

How do I file a Watchdog complaint?

To register a complaint with TRUSTe, you must complete the online Watchdog Dispute Resolution form at http://www.truste.org/consumers/watchdog_complaint.php. Complaints registered in email, but outside the formal Watchdog Dispute Resolution process, by phone or by paper mail will be returned to you with a request that you file a formal Watchdog complaint on TRUSTe’s Web site.

  • Exception: Complaints about the offline privacy practices of Licensees in the TRUSTe EU Safe Harbor Program can be submitted by postal mail or fax to:
TRUSTe Watchdog Program
685 Market Street, Suite 270
San Francisco, CA 94105
415 520 3420

After you have filed your Watchdog complaint on TRUSTe’s Web site, the TRUSTe Watchdog Dispute Resolution and Appeal processes are carried out by email.

What is the Watchdog dispute resolution process?

Through the Watchdog Dispute Resolution Program TRUSTe attempts to mediate and resolve eligibile privacy concerns arising from a consumer’s use of a TRUSTe Licensee’s Web site.

Before you can begin the Watchdog Dispute Resolution process, you must first attempt to resolve your problem by addressing your complaint directly with the TRUSTe licensee.

You File a Complaint

If you are dissatisfied with the Licensee’s handling of your complaint, you can file a Watchdog complaint - the first step in the TRUSTe Watchdog Dispute Resolution process. Upon receipt, TRUSTe will review the information you submitted through the online Watchdog Dispute Resolution form, and determine whether your complaint is eligible for action by TRUSTe.

Information you submit as the Complainant must include a description of your interaction with the Licensee about your problem. This information must be sufficiently complete to permit the Licensee and the TRUSTe Watchdog Mediator to evaluate the complaint adequately.

As a Complainant you must decide whether you want TRUSTe to share the specifics of your complaint, including your name, with the Licensee. If you do not want this information to be shared with the Licensee, TRUSTe’s ability to rectify the situation may be hindered.

TRUSTe Determines Eligibility

TRUSTe will inform you within 10 business days whether your complaint meets the eligibility requirements (See What is an eligible complaint?). If TRUSTe determines that your complaint is ineligible, you will be provided with a written explanation via email.

Collection of Information on the Dispute

A TRUSTe Watchdog Mediator will be the sole judge of whether the information you provided as a Complainant is sufficient to open an investigation. TRUSTe may contact you for additional information that would assist TRUSTe in addressing your complaint. You have 10 business days to provide this additional information. If you do not provide this information, TRUSTe will consider the complaint closed.

Once TRUSTe determines that your complaint is eligible, TRUSTe will assign your complaint a unique Watchdog Case Number. Please be sure to include the Watchdog Case Number in the subject line of all emails you send to TRUSTe thereafter.

Confidentiality

A Licensee or Complainant may submit information to TRUSTe with a request that such information not be made available to the other party. A party seeking such treatment shall: mark as “confidential” those materials in its submission that it wishes to be treated as confidential and confirm that the information for which confidentiality is sought is not publicly available. TRUSTe will handle confidential information obtained through the Watchdog Dispute Resolution program in the same way that it handles its own confidential information.

Dispute Resolution Process

  • Once it has determined that a complaint is eligible and that all necessary information has been collected from the Complainant, TRUSTe will send the Watchdog complaint to the Licensee. The Licensee then has five (5) business days to respond to the Complainant and TRUSTe, and an additional five (5) business days to resolve the complaint, as appropriate.
  • If TRUSTe considers the Licensee’s response to be deficient in any respect, it may request additional information from the Licensee (to be provided within five (5) business days).
  • After receiving the Licensee’s response, the Complainant has 10 business days to submit a written reply by email to TRUSTe and the Licensee objecting to the Licensee’s proposed resolution of the complaint. If the Complainant does not submit a reply, and if TRUSTe is satisfied with Licensee’s resolution of the complaint, TRUSTe will close the complaint following the expiration of the Complainant’s time to reply.
  • If the Complainant submits a reply objecting to the Licensee’s proposed resolution of the complaint, TRUSTe will promptly forward it to the Licensee. The Licensee has 10 business days to submit a written response. On receipt of a response satisfactory to TRUSTe, TRUSTe will close the complaint, subject to a request by either party for additional comments. If the Licensee does not submit a response, this will be noted and taken into consideration in TRUSTe’s final determination.
  • TRUSTe may, in its sole discretion, extend any of the time periods discussed above.
  • TRUSTe will not consider information it receives after any specified deadline or extension of time.
  • Once TRUSTe, in its sole judgment, has made a final determination about the complaint, it will promptly notify both the Complainant and the Licensee.
  • Where corrective action by the Licensee is required, TRUSTe will request that the Licensee indicate, within 10 business days, whether it agrees to take any required corrective action(s) or chooses to appeal.
  • The complaint will be considered closed unless an appeal is filed by either the Complainant or the Licensee within 10 business days of TRUSTe’s final determination.

Failure to Answer a Complaint

  • If a Licensee fails to answer a complaint with a timely response, TRUSTe will send the Licensee a second notice stating that, within 10 business days after receipt of the notice, TRUSTe may:
    - Withdraw or suspend the Licensee’s privacy seal;
    - Refer the matter to the appropriate government agency depending on the nature of the complaint; and/or
    - If license is terminated, the post a termination notice on the TRUSTe Web site
  • If the Licensee fails to respond to the second notice, TRUSTe will send Licensee a Notice of Termination.

When does TRUSTe close a Watchdog?

TRUSTe will close a Watchdog complaint when it has issued its final determination and neither party has appealed within the time limits for an appeal.

Is there an Appeals Process?

Yes. The Complainant or the Licensee may appeal TRUSTe’s final determination of the Watchdog complaint to the TRUSTe Appeals Committee within 10 business days after being notified of that determination.

Who is on the TRUSTe Appeals Committee?

The TRUSTe Appeals Committee consists of:

  • Two representatives of TRUSTe’s Board of Directors designated by its Chairman, one of whom shall serve as the Appeals Committee Chair;
  • A privacy expert from the academic/university community designated by TRUSTe’s Executive Director and President; and
  • A representative of a consumer/privacy advocacy group designated by TRUSTe’s Executive Director and President.

Eligibility of Appeals Committee Members

  • A TRUSTe Appeals Committee member shall disqualify himself/herself from service if for any reason arising out of past or present employment or affiliation he/she believes that he/she cannot reach a completely unbiased decision.
  • Either party to the Appeal may object, for cause, to the inclusion of individual Appeals Committee members, and request that replacement members be appointed by the Appeals Committee Chair or by TRUSTe’s Executive Director and President, as appropriate. Such requests shall be subject to approval by the TRUSTe Appeals Committee Chair.
  • If the objection is to the Appeals Committee Chair, the request will be subject to approval by the TRUSTe Board of Directors.

How do I file an Appeal?

  • Appeals to the TRUSTe Appeals Committee must be submitted in writing by email to TRUSTe and the other party within 10 business days of receiving TRUSTe’s final determination of the Watchdog complaint.

    The email address to use for filing an appeal with TRUSTe is appeals@truste.org. Please be sure to include the Watchdog case number in the subject line of the appeal request.
  • The party filing the Appeal must explain, in a statement not to exceed 1000 words, why TRUSTe’s final determination of the Watchdog complaint should be overturned. (“Appeal Statement”).
  • The other party must respond in writing by email within 10 business days thereafter, explaining in a statement not to exceed 1000 words why TRUSTe’s final determination should be sustained.
  • When it is notified of the appeal, TRUSTe will provide its final determination of the Watchdog complaint, and statements submitted to the parties, to the Appeals Committee.
  • TRUSTe will convene the Appeals Committee within 20 business days of its receipt of the Appeal Statement.

Filing a Cross Appeal

If the party opposing the Appeal has responded to the Appeal Statement, it shall have the right to appeal any additional issues raised during the TRUSTe Watchdog Dispute Resolution process by submitting a letter to the TRUSTe Appeals Committee and the other party within 10 business days of receipt of the Appeal Statement. The party filing the Appeal will have the opportunity to respond to issues raised in the cross appeal.

What process will the Appeals Committee follow?

  • The Appeals Committee Chair will preside over the Committee meetings, hearings (if any), and deliberations.
  • The Appeals Committee may, in its discretion, hold a hearing by teleconference on the Appeal.
  • TRUSTe and the parties to the Appeal will be given 10 business days’ notice of any hearing. Such notice shall set out the date and place of the hearing, and the procedures to be followed.
  • The Appeals Committee will decide whether TRUSTe’s final determination of the Watchdog complaint was reasonable, in light of (1) the facts and arguments submitted through the Watchdog Dispute Resolution process and in the Appeal Statement, (2) the Licensee’s privacy statement, and (3) the relevant Program Requirements.

Decisions of the Appeals Committee

  • Concurring votes of three of the four Appeals Committee members are required to overturn TRUSTe’s final determination . Any Appeals Committee member may write a separate concurring or dissenting opinion, which will be provided to the parties and to TRUSTe with the majority opinion.
  • The TRUSTe Appeals Committee will endeavor to reach a decision within 15 business days after any hearing, and will in any event transmit its decision to the parties and to TRUSTe within 60 calendar days of the filing of the Appeal.
  • The TRUSTe Appeals Committee will issue its decision either:
    - Affirming TRUSTe’s final determination of the Watchdog complaint; or
    o Overruling TRUSTe’s final determination of the Watchdog complaint, stating the reasons, and directing TRUSTe to follow the Appeals Committee’s decision.
  • If the Appeals Committee decision requires that the Licensee take corrective action, TRUSTe shall provide notice to the Licensee stating that the Licensee must take such action(s) within 20 business days or TRUSTe will terminate the Licensee’s license. If the Licensee does not submit a timely response to the Notice, indicating its intent to take the required corrective action, TRUSTe will at the end of the 20 business-day period terminate the Licensee’s license, and may make the termination public and/or refer the matter to a relevant government agency.

Release and Waiver

BY PARTICIPATING IN THE WATCHDOG DISPUTE RESOLUTION AND APPEAL PROCESSES, BOTH PARTIES AGREE THAT THEY WILL NOT SUBPOENA ANY RECORDS OF THOSE PROCESSES, OR REQUEST OR CONDUCT ANY DISCOVERY FROM THE STAFF OF TRUSTE, ITS BOARD MEMBERS OR ADVISORS, IN ANY SUBSEQUENT LEGAL PROCEEDING ARISING FROM THE ISSUES RAISED IN THE WATCHDOG COMPLAINT, AND FURTHER AGREE THAT THE STAFF OF TRUSTE, ITS BOARD MEMBERS OR ADVISORS WILL NOT BE LIABLE FOR ANY ACT OR OMISSION IN CONNECTION WITH THE PROCESS.