Complaint Process
COMPLAINT PROCESS
The Directorate investigates complaints made against both DMA members and, in some cases, non-DMA members. Though the Code is mandatory for DMA members only, non-members are encouraged to adhere to the high standards of the Direct Marketing Code.
Complaints against non-DMA members will be referred to the ASA if they fall within the remit of the CAP/BCAP Codes (even if they also fall within the remit of the DMA Code). The Commission will seek to resolve those complaints against non-DMA members that do not fall within the ASA’s remit and will refer them to other organisations as appropriate. However, the Commission will adjudicate on all direct marketing complaints against DMA members as long as the content of the complaint falls under the Direct Marketing Code of Practice. If the complaint is not covered by the Code, it will be referred to another relevant organisation such as the ASA, Trading Standards Authority, Information Commissioner, OFT or Chartered Institute of Arbitrators.
SUMMARY OF PROCESS
* Complaint received
* Details of the complaint are input on to the Database
The Directorate inputs the name, address details and a summary of the complaint.
90% of complaints are received by email, the remainder by post. The Directorate also answers telephone queries: all complaints must be in writing (post or email) with copies of relevant correspondence.
* The Directorate assesses the case in accordance with the DMC Complaints Risk Register (see end of page).
* The Directorate acknowledges receipt of the complaint via email or letter
The Directorate informs the complainant that the company in question may write to them directly with a response to their complaint, but that the Directorate themselves will also need to be assured that the complaint is resolved to the Commission’s satisfaction.
* Consumer Complaints:
A letter or email is sent to DMA member/non-member with a copy of the complainant’s correspondence
The Directorate seeks a response within ten working days in accordance with the Code.
The Directorate asks the DMA member/non-member to write directly to the complainant with a copy to Commission.
If the Directorate does not receive a response within ten working days a reminder is issued. DMA members/non-members are informed that under the Code a response is expected within this timescale. Some lenience may be given if a detailed investigation has to be undertaken by the company or the primary contacts are away. Not responding to a request from the Directorate is in breach of the Code.
* Business to Business Complaints:
In the case of business to business complaints the Directorate does not ask the company to write directly to the complainant.
Business to business complaints are normally complex and often relate to contractual issues.
The company’s response is sent to the Directorate, further information is sought if required, and the case may be presented formally to the Board of the Commission.
Independent expert advice is normally sought in the first instance for complaints relating to data or door-to-door. The complainant’s permission is sought before a file of their correspondence is sent on to the DMA member/non-member for their full response.
The Directorate specifically informs business to business complainants that the Commission is unable to become involved in matters of financial compensation.
* When the direct marketing company’s response is received the Directorate sends letter/email to the complainant
If the Directorate find it satisfactory, a copy is sent with a covering letter to the consumer; the Directorate will also ask the consumer to make further contact with the Commission if they have any concerns. Depending on the nature of the complaint further information will be offered as to any action that may be taken.
* Letter/email to member/ non-member from the Directorate
The Directorate does not normally write back to the company in question, but if there is a minor breach of the Code then a ’reminder of obligation’ may be issued.
A ‘reminder of obligation’ serves as a reminder to the company of their obligations under the Code. These reminders are made in particular to those companies who do not appear sufficiently aware of the Code’s requirements or in some cases, where it is unclear whether or not there has been a breach.
The Directorate will ask for the member/non-member’s assurance that the Code will be adhered to in future.
* Details of the direct marketer’s response input on to the database
The Directorate inputs details of the company’s response/‘reminder of obligation’ if required/whether the complaint has been upheld or not upheld (if the case has been presented for adjudication by the Board of the Commission).
* Cases that are presented to the Commissioner for adjudication
The Directorate will write to the member/non-member company, informing them that the case is to be adjudicated formally by the Commission and that they have ten working days to add any further information to the casework.
Following the Commission’s adjudication, letters are sent by post to the complainant and to the company in question stating whether or not the complaint has been upheld. If the complaint is upheld, the company will be asked to provide a written undertaking that they will, in future, comply with the Code. Other sanctions may be imposed depending on the nature of the complaint.
* Production of monthly reports
A breakdown of monthly complaints is produced for each Commission meeting.
A ‘Monthly Report’ of activities is sent to Commissioners at the start of each month.
* Publishing Complaints
Both Upheld and Not Upheld complaints are placed on the DMC website each month, comprising a short description of the case and the relevant Code requirement together with the outcome of the investigation.
A synopsis of complaints informally resolved by the Directorate is updated on the website each month.
The Annual Report contains examples of cases to give direct marketers, the public and others an outline of the Commission’s work and how companies achieve compliance with the Code.
CRITERIA FOR JUDGEMENT
All complaints to the Directorate are reported to the Commission in a monthly breakdown report.
Those cases that the Directorate consider should be ‘formally investigated’ (that is, to undergo a formal process of investigation and adjudication) are presented with relevant paperwork to the Commission for adjudication.
‘Informally resolved’ complaints are investigated and resolved to the satisfaction of the Directorate of the Commission with no further action deemed necessary.
If Commissioners require information on any complaint or if they deem any cases to be more appropriate for adjudication (ie ‘formally investigated’), then they inform the Directorate as soon as possible so that a formal process can be undertaken.
Complaints ‘informally resolved’ by the Directorate may include:
* minor customer service issues eg non-receipt of goods, unsolicited goods, faulty goods, poor quality goods, delivery or collection problems, poor advice/customer service; account errors.
* consumer misinterpretation or misunderstanding of their own or the company’s obligation.
* minor data issues eg unwanted emails, unwanted mail, incorrect personal details, technical problems – issues that are not regularly reported against one specific company or do not affect large numbers of consumers.
It is not always clear whether or not a company has breached the Code. As an example, a consumer may not have understood or read terms and conditions correctly. If the company’ customer service team is not aware of this lack of understanding it can lead to a further breakdown of communication resulting in fault on both sides.
Complaints ‘formally investigated’ ie adjudicated by the Commission may include:
* serious breaches of the Code which might result in damaging the public image of direct marketing: breaches of contractual obligations or of terms and conditions; serious breaches of legislation; mis-selling of goods; misleading marketing material.
* repeated complaints against one company which indicates a particular concern eg inefficient customer service, poor data processing, silent calls, difficulty unsubscribing from emails, unwanted mail. Or the company may simply be experiencing an increasing level of complaints. Not every ‘individual complaint’ that shows evidence of a Code breach is necessarily upheld; any number of complaints can be upheld at one time.
* minor breaches of the Code which may affect large numbers of consumers eg wording used in marketing material which has been misconstrued. Even if there is only one complaint, many consumers who do not complain could be affected.
* business to business complaints which are usually of a complex nature and are generally investigated by the Directorate who might take independent expert advice before submitting to the Commission for adjudication.
* complaints from consumers who have specifically requested that their complaint is taken to the Commission for adjudication.
* cases where the member or non-member company fails to respond to the Directorate.
Please note the above scores awarded in the Risk Register Scale of Seriousness are examples only.
