Complaint Process
The DMC investigates complaints against DMA members involving breaches of the DMA Code and any investigation and adjudication is based solely on compliance with the DMA Code.
Complaints considered
The DMC will investigate any complaint made against a DMA member that relates to direct marketing activity and falls under the scope of the Code.
A complaint can either be received directly or referred from the DMA or from a statutory, advisory, self regulatory or enforcement body.
The DMC can also open an investigation on its own initiative, where, in its reasonable opinion, it believes this is merited.
The DMC will investigate a complaint against a non-DMA member if the Code is binding on that party by any regulatory, licensing or other condition.
Complaints not considered
Complaints will not be adjudicated upon where it is of a commercial contractual nature or does not involve a breach of the Code.
If a complaint is not covered by the Code, or involves a company that is not a DMA member, it may be referred to another relevant organisation or enforcement body such as the ICO, OFCOM, Trading Standards etc.
The DMC may look at and express a view on the conduct of non-members in exceptional circumstances, where this is in the best interests of customers and members in the marketplace, but will not seek to enforce the Code or the procedures set out here.
DMC will not accept complaints where the complainant is in a legal or court action with respect to the same case. The legal process in such circumstances will take precedence. If the complainant initiates court action before the complaint body has had the possibility to rule, then the procedure in front of the complaints or appeal body is suspended.
Receipt of complaints
A complaint can be made in writing or online here. The DMC aims to acknowledge a complaint within two working days and to complete a case involving investigation and adjudication within three months. A case concluded by informal resolution will commonly be closed in a shorter timeframe.
The DMC can only act on a complaint if there are reasonable grounds indicating that there is a relevant area of concern in relation to the Code and a party over which the DMC has jurisdiction.
A complaint should be accompanied by all available supporting material, such as correspondence or a copy of the relevant marketing material or communication.
Please see here for our Policy on managing complaints on behalf of deceased and vulnerable persons.
Gathering relevant information
Upon receipt of a complaint, the Secretariat will formally notify the member that a complaint has been made, setting out relevant details and requiring information or comments. The member must respond to all such requests within 10 working days of receipt.
If the member fails to respond to any request for information from the Secretariat, this may constitute a breach of the Code and result in disciplinary action.
The Secretariat may also request that the member responds directly to the complainant, with a copy of any response sent to the DMC.
The DMC may ask other bodies to co-operate in the compilation of additional relevant information to inform an investigation.
Investigation process
The DMC has a robust governance process in place to assess all complaints and will determine whether a complaint or, related complaints, appear to require a substantive investigation and a formal adjudication or whether the matter may be resolved informally.
It is the responsibility of the DMC, and the Chief Commissioner in particular, to ensure complaints are treated in a proportionate and appropriate manner, according to all the relevant policies and procedures.
There are two types of investigation methods:
Informal resolution
Where the Secretariat determines there to have been a minor breach of the Code and where there is no evidence of wider harm or risk, now or in the future, the Secretariat may conclude the matter with a formal reminder of the member’s obligations under the Code.
Where a complaint can be responded to by the Secretariat without reference to the member, a copy of any correspondence will be sent to the member for information.
In a case where an informal resolution is being considered, the DMC retains the right to revert to open a formal investigation in the light of further relevant information or evidence of more serious or widespread harm.
If a complaint is not resolved to the satisfaction of the DMC, or it appears that there is a serious or ongoing breach of the Code, it will be referred to the DMC Board for consideration and possible adjudication.
Formal investigation
If a complaint is referred to the DMC Board, the Secretary will inform the member and request any information or comment. Members must respond to all such requests within 10 working days.
The Secretariat will submit an investigation report to the DMC Board, including all relevant material. The Board will consider the complaint, requesting any further information from relevant parties, as necessary.
Member representations will be made in writing. In a formal investigation, there will be the opportunity for face-to-face meetings as part of the evidence-gathering process and before adjudication.
Adjudication meetings may only involve Commissioners and the Secretariat unless the DMC Board agrees that other parties should attend.
A formal investigation may be concluded or informally resolved at any time during the process where there is sufficient evidence that the member has taken appropriate steps to resolve the issue and where formal adjudication would be disproportionate and not in the wider interest of the relevant parties. The decision of the DMC will be recorded and communicated in writing to the member and complainant.
A summary of the adjudication will be published on the DMC website as soon as possible where a breach is upheld in all cases following a formal investigation, in accordance with the DMC Public Statement Policy. If a company resigns from the DMA membership whilst under active investigation, and prior to an adjudication, this update will be published in factual terms on the DMC website.
The DMC Board may refer a case back to the Secretariat with a request that the Secretariat look further at resolving the matter through informal resolution.
Disrepute
The DMA Code asks that “members must ensure that they do nothing that could bring into disrepute the public image of one-to-one marketing or the DMA”. The DMC will apply this rule in exceptional circumstances where it is clear that there is “intent” and where the behaviour is abnormal to the industry.
The data journey
A data journey is the path travelled by a consumer’s data throughout its use. A data journey may have a number of steps and will vary from case to case. Visualising the data journey allows us to see how data has moved from one step to another. We can signpost different clauses or possible breaches at each step identifying problems.