How ASCA processes complaints
Updated 28 February 2025
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1. How the adjudicator makes their decision
If your complaint is one we can investigate, we will notify you that we will begin the investigation procedure. This involves contacting the purchaser and giving them a notice that you have made a relevant complaint to the adjudicator.
This notice will include the allegations you have made against them, and to ask for their response to the complaint, including supporting evidence of their position. Purchasers are under a legal obligation under the regulations to cooperate with the investigation.
When investigating a relevant complaint, the adjudicator may also consider other failures to comply with the regulations that did not form part of that complaint.
During the investigation we may require more evidence from you.
The types of evidence we may request include:
- documents, including those in digital format
- witness evidence, whether provided by written statement or orally
- any other evidence the adjudicator considers relevant to the complaint.
Our request for evidence will be in writing and will include:
- a statement that the request is made under paragraph (7)(b) of the regulations
- details of the person from whom the evidence is being requested
- what evidence being requested
- how to submit the evidence
- where to submit the evidence
- the date by which the evidence must be provided
If the requested evidence is not provided, the adjudicator may begin legal proceedings to require the information to be supplied. Failure to provide requested evidence may also lead the adjudicator to draw an adverse inference against the person in respect of the complaint.
We may consult third parties, such as specialist lawyers and the Groceries Code Adjudicator, as part of the complaint process. If your business is based outside of the UK, we may seek input from the authorities in your jurisdiction during the course of your complaint.
2. If there is no breach of regulations
If the adjudicator finds there has been no breach of the Regulations, we will write to both parties setting out that the decision not to impose a civil penalty and compensation and the reasons for reaching the decision. The complaint will then be closed by the adjudicator.
You have the right to appeal the decision not to impose a civil penalty or compensation to the First-tier Tribunal. Seek independent legal advice on appealing the decision to the First-tier Tribunal. For information on how to appeal, see the Fair Dealing Obligations (Milk) Regulations 2024 Statutory Guidance.
3. If the adjudicator intends to impose a civil penalty or compensation
If the adjudicator intends to impose a requirement on the purchaser to pay a civil penalty or compensation, we will write to both parties setting out the breach which the adjudicator considers has been committed, the evidence being relied upon and the civil penalty and compensation the adjudicator intends to impose.
If the adjudicator is proposing to require the purchaser to pay compensation, you will have the opportunity to make written representations about the amount of that compensation.
The purchaser will also have the opportunity to make representations in relation to the breaches the adjudicator considers has been committed and the proposed requirement to pay a civil penalty or compensation.
Once the period to make written representations has passed, the adjudicator will make a final decision on whether to impose a requirement to pay a civil penalty or compensation.
Where the decision is to impose a civil penalty or compensation, we will write to both parties setting out the requirement being imposed, the reasons for this and an explanation of how the amount of the civil penalty or compensation has been calculated.
You have the right to appeal to the First-tier Tribunal against the amount of any compensation imposed. Seek independent legal advice on appealing the decision to the First-tier Tribunal.
If the adjudicator does find a breach, this does not necessarily mean the contract is void.
A breach of the regulations also does not necessarily mean there has been a breach of the contract itself, so long as both parties have been performing their obligations within the contract.
Seek independent legal advice about any breaches of contract or the extent to which you must continue to perform your obligations under it.