Complaints Handling & Dispute Resolution Guidelines
ALDI's Code Mediator is Bronwyn Gallacher, contactable on +61 433 292 777 or bronwyn@cclconsultants.com.au
Supplier Complaints Handling and Dispute Resolution Guidelines
At ALDI relationships are very important to us. If you feel a complaint or dispute is unresolved directly with your contact, please use the Supplier Complaints Handling and Dispute Resolution Guidelines (Guidelines) below.
Overview
The Supplier Complaints Handling and Dispute Resolution Guidelines (Guidelines) set out the process for ALDI Stores to investigate complaints and resolve disputes between the Supplier and ALDI Stores, including those matters covered by the Food and Grocery Code of Conduct (Code). These Guidelines are consistent with the rights and obligations of the Supplier and ALDI Stores under Division 5 (Dispute Resolution) of the Code which are binding on the parties. The contact details for the Buying Directors (Buyer), Group Buying Director (Senior Buyer) and the Code Mediator referred to in these Guidelines can be found in the Product Contract/Order Confirmation with the Supplier for the relevant Product. The contact details for the Code Mediator are also published on ALDI Stores’ website. ALDI Stores may also make available these contact details in another manner and update them as required.
If the Supplier wishes to raise a complaint or dispute relating its dealings with ALDI Stores or a matter covered by the Code, including the ALDI Stores Terms and Conditions of Purchase (Terms), the Supplier has access to dispute resolution processes to seek to resolve the matter as set out in these Guidelines and summarised below. The Supplier can also contact the Code Mediator to obtain general information about the Code and the dispute resolution processes available to the Supplier under the Code.
For more information on the Code, see:
Buyer
In order for the Supplier’s complaint or dispute to be dealt with as quickly as possible and in a collaborative manner, it is highly recommended that in the first instance the Supplier directs their complaint or dispute to the relevant Buyer. The Buyer will be glad to assist the Supplier with any complaints or disputes it may have.
Senior Buyer
The Supplier may at any stage raise or elevate a complaint or dispute to the relevant Senior Buyer if the Supplier is not satisfied with the outcome of the investigation by the Buyer.
Code Mediator
The Supplier may at any stage refer a complaint or dispute covered by the Code to the Code Mediator if an Alternative Dispute Resolution (ADR) practitioner has not been appointed under Subdivision C of the Code to conduct an ADR process to resolve a dispute that is the same as the complaint.
Code Supervisor
The Supplier may request an independent review of the Code Mediator’s process if the Supplier has directed their original complaint or dispute relating to a matter covered by the Code to the Code Mediator, and the Supplier is dissatisfied with the steps taken by the Code Mediator or the timeframe taken by the Code Mediator to resolve the complaint or dispute.
ADR Process
The Supplier may seek external mediation or arbitration (an ADR process) of a complaint or dispute relating to a matter covered by the Code. The ADR process is supervised by an ADR practitioner appointed by the parties (or by the Supplier, where the parties cannot agree). However, if the Supplier has taken a complaint or dispute to the Code Mediator or Code Supervisor, they may not seek mediation or arbitration unless the process has been completed or should have been completed.
Generally speaking, upon receipt of a complaint or dispute, the relevant Buyer, Senior Buyer or Code Mediator will take all reasonable steps to investigate and resolve the matter within 20 business days, or such longer period as agreed between the Supplier and the Code Mediator.
How to make a complaint or lodge a dispute update
- Complaints or disputes can be made to or lodged with the Buyer or Senior Buyer via phone or by using the online Supplier Complaint or Dispute Form on the ALDI Stores Supplier website at Supplier Complaints Handling & Dispute Resolution Guidelines, and by complying with any additional requirements referred to in these Guidelines.
- Complaints or disputes relating to a matter covered by the Code may be raised either: update
a) the Code Mediator using the online Supplier Complaint or Dispute Form on the ALDI Stores Supplier website at Supplier Complaints Handling & Dispute Resolution Guidelines; or
b) an ADR practitioner appointed under Subdivision C of the Code.
Information to be provided by the Supplier
3. Formal complaints or disputes, including those relating to a matter covered by the Code referred to the Buyer, Senior Buyer or Code Mediator must be in writing and contain the following:
- The Supplier’s identification details, including business or trading name.
- Either:
- Contact details for the Supplier; or
- Contact details for the person authorised to deal with the complaint, or the person dealing with the complaint or dispute on behalf of a Supplier, including their name, title and telephone number.
- Details of the conduct giving rise to the complaint or dispute, including any documents or information that would assist with the investigation of the complaint or dispute.
- The action that the Supplier thinks will settle the complaint or dispute and the outcome the Supplier is seeking.
- The provisions of the Code that the Supplier considers are relevant to the complaint or dispute.
4. ALDI Stores is not required to comply with the requirements of the Code in relation to complaints or disputes unless sufficient particulars have been provided by the Supplier.
Investigation by the Code Mediator
5. The Supplier may direct a complaint or dispute regarding a matter covered by the Code to the Code Mediator where an ADR practitioner has not been appointed under the Code to conduct an ADR process to resolve the complaint or dispute. The Code Mediator must not disclose to ALDI Stores the identity of the Supplier who has made the complaint or dispute, except with the express consent of the Supplier. The Code Mediator must observe any confidentiality requirements relating to the information disclosed or obtained in dealing with or resolving a complaint or dispute.
6. The Code Mediator will take all reasonable steps to investigate the complaint or dispute and conclude the investigation within 20 business days, or a longer period with the written agreement of the Supplier.
7. If after investigating the complaint or dispute, the Code Mediator is satisfied that the complaint or dispute is vexatious, trivial, misconceived or lacking in substance, the Code Mediator must give written notice to that effect to the Supplier and ALDI Stores (subject to any redaction required by the Code). However, this does not preclude the Supplier from escalating its complaint or dispute for independent review by the Code Supervisor or otherwise undertaking external mediation or arbitration or to an external body, such as the Australian Competition and Consumer Commission.
8. After investigating the complaint or dispute, the Code Mediator must determine what (if any) action should be taken by ALDI Stores in response to the complaint or dispute.
9. Within 5 business days after conclusion of the investigation, the Code Mediator will give the Supplier a notice in writing setting out:
- The determination and recommendations made by the Code Mediator, including any proposed remedy.
- The reasons for making that determination.
- If the Code Mediator determines a proposed remedy – the manner in which the parties may agree to the proposed remedy.
- The Supplier may take further action in relation to the matter by way of an independent review request by the Code Supervisor or external mediation or arbitration.
10. The Supplier may accept the proposed remedy by written notice given to the Code Mediator at any time before the offer lapses. The offer will lapse 20 business days after the Code Mediator has proposed the remedy. The Supplier can refer the complaint or dispute to the Code Supervisor within 20 business days of having been made the offer.
Review by Code Supervisor
11. The Code Supervisor must consider the independent review request and decide within 10 business days of the request being received whether to conduct an independent review of the Code Mediator’s process in dealing with the complaint or dispute. If the Code Supervisor decides not to conduct the independent review, the Code Supervisor must notify the Supplier and the Code Mediator in writing providing reasons.
12. The Code Supervisor has 20 days to complete the review. During its review, the Code Supervisor may request information or documents relating to the original complaint or dispute from the Code Mediator, Supplier or ALDI Stores. Upon receiving a reasonable request for further information, the Code Mediator or ALDI Stores must comply with the request within 10 business days. The 20 business day period in which the Code Supervisor is to conduct its review is paused while the Code Supervisor is awaiting further information from the parties.
13. The Supplier and Code Mediator will be notified of the Code Supervisor’s recommendations within 5 business days of the review being completed. A copy of the notice will also be given to ALDI Stores.
14. Where the Code Supervisor makes a recommendation that the Code Mediator reconsider the original complaint or dispute, the Code Mediator must within 10 business days reconsider the original complaint or dispute ad decide whether to make one or more recommendations dealing with the complaint or dispute (including any proposed remedies).
15. Having considered the Code Supervisor’s recommendation, the Code Mediator must notify the Supplier and ALDI Stores within 5 business days after the conclusion of the investigation.
16. If the Code Mediator reconsiders the case and decides to offer a new proposed remedy to the Supplier, the Supplier has 10 business days to accept or decline the new proposed remedy.
17. If the Code Mediator does not reconsider the complaint or dispute, the Supplier has 10 business days to accept or decline the original proposed remedy.
18. The Code Supervisor may notify the Australian Competition and Consumer Commission of a potential breach of the Code. If so, to ensure procedural fairness, the Code Supervisor would also be required to notify ALDI Stores.
ADR Processes: External Mediation or Arbitration
19. Either party is entitled under the Code to request that a dispute relating to the Code (including in relation to a grocery supply agreement) be resolved by an ADR process. An ADR process includes external mediation or arbitration. Any ADR process undertaken under the Code is supervised by an ADR practitioner appointed by the parties.
20. The Supplier is encouraged to attempt to resolve a complaint or dispute with ALDI Stores or the Code Mediator prior to seeking external mediation or arbitration.
21 The Supplier may seek external mediation or arbitration of a complaint or dispute relating to a matter covered by the Code. However, if the Supplier has raised a complaint or dispute with the Code Mediator or Code Supervisor, they may not seek external mediation or arbitration unless the process has been completed or should have been completed.
22. Where the responding party has informed the initiating party that it agrees to attend the ADR process and an ADR practitioner has been appointed in accordance with the Code, then the parties must attend the ADR process. Where the ADR process is mediation and has been initiated by the Supplier, then ALDI Stores must attend once an ADR practitioner has been appointed.
23. Where the ADR process is arbitration and is initiated by the Supplier, ALDI Stores must notify the Supplier in writing within 10 business days of receiving notice of the proposed ADR process as to whether ALDI Stores agrees to attend, and accept the outcome of, an arbitration.
24. Where the ADR process (either mediation or arbitration) is initiated by ALDI Stores, the Supplier must respond in writing within 10 business days of receiving notice of the proposed ADR process as to whether the Supplier agrees to attend the ADR process and if the ADR process is arbitration, accept the outcome of that ADR process. For the avoidance of doubt, the Supplier does not need to agree to the ADR process but must decide whether to agree to the ADR process.
25. The parties to the ADR process shall agree to appoint an ADR practitioner from a list maintained by the Australian Small Business and Family Enterprise Ombudsman. If the parties are unable to agree on the appointment of an ADR practitioner, the Supplier may appoint an ADR practitioner from the list and notify ALDI Stores. The parties must also notify the Code Supervisor in writing of the appointment.
26. The mediation or arbitration will be conducted in English and in accordance with the Resolution Institute Arbitration Rules 2023, as in force on the day Schedule 2 to the Code commences. Preference for the venue location is Sydney.
27. The costs of an ADR process (including the cost of the ADR practitioner, room hire, any additional input (including expert reports)) are to be split equally between the parties. The parties must pay their own costs to attend the ADR process.
28. When making and seeking to resolve complaints or disputes in accordance with these Guidelines, ALDI Stores and the Suppliers must act lawfully and in good faith at all times.
29. The Code Mediator and Code Supervisor must not disclose to ALDI Stores any information that is reasonably capable of being used to identify the Supplier in connection with the performance of their functions, unless the Supplier has given express consent to the disclosure or the parties have agreed to a proposed remedy in respect of a complaint made under the Code.
30. The parties to an ADR process conducted in accordance with the Code must observe any confidentiality requirements relating to information disclosed or obtained as part of the ADR process.