Appeals/Sanctions
Sanctions
If a complaint is upheld following adjudication, the DMC has a range of sanctions that it may consider, including the following:
These include:
• A formal recommendation to the DMA
• A formal visit to the member by the DMA
• A formal undertaking from the member to comply with the standards set out in the Code
• A formal undertaking by the member to carry out specific changes in processes, procedures, management or other arrangements to remedy and/or prevent a repeat of the breach/breaches.
The DMC may make a recommendation to the DMA that a member be suspended from DMA membership or have their membership cancelled in cases where the DMC thinks this is necessary and proportionate.
The DMC may refer a member to relevant law enforcement and consumer protection bodies, and will co-operate, including the provision of relevant information, with that organisation as appropriate.
Appeals
The member or complainant may appeal against the DMC’s conclusions and any sanctions imposed by the DMC to the Independent Appeals Commissioner (IAC). The DMC must provide the member or complainant with the contact details of the IAC and will inform the IAC at the same time. The DMC will notify the othe party of the appeal at the same time.
On the application of the member or complainant, the DMC can delay the implementation of any sanctions imposed until all appeal mechanisms are exhausted.
Members or complainants must submit an appeal in writing to the IAC within 14 calendar days of the DMC communicating their decision. Appeal submissions must explain the grounds on which the appeal is made and the arguments in relation to those grounds.
The IAC will only accept an appeal on one or more of the following grounds:
- The decision was based on a material error of fact.
- Substantial and material new evidence that was not available at the original adjudication has emerged and affects the reliability of the original decision.
- The decision was reached following a material error in the DMC procedures, which has adversely affected the member’s position.
- The DMC has acted ultra vires (beyond its powers).
- The sanction imposed is not proportionate.
Where the IAC agrees to consider an appeal, that decision will be communicated by notice to the appellant at the earliest opportunity but no later than 30 calendar days of submission of the appeal. The IAC then has eight weeks from the date of that notice to consider the appeal.
The DMC will provide the IAC with any information required and keep all parties up to date based on information provided by the IAC.
Where the IAC finds in favour of the appellant, they will refer the decision back to the DMC and invite it to reconsider its findings or the sanction imposed.
Where a decision by the DMC has been found to be perverse, the IAC will make its own decision. This will be final and binding on all parties.
The DMC must consider a case redirected by the IAC within 30 calendar days of the decision. Once the DMC has either confirmed or substituted its earlier decision, that decision shall be final and binding on all parties. Both the member and complainant will be notified of the final decision within seven calendar days.
For further details please contact the Secretariat on dm@dmcommission.com
