The professional conduct process

Individual member complaints

Once an allegation has been received and accepted the professional conduct process is carried out in accordance with the Regulations for professional conduct (PDF file) in the case of an allegation against a member

The stages for the assessment of allegations are:

  • stage 1 – preliminary assessment of the allegation and the evidence received
  • stage 2 – initial investigation
  • stage 3 – sanctions
  • stage 4 – appeal
  • stage 5 - reporting and review

Complaints against Registered Organisations

For a complaint against a Registered Organisation the procedure is documented in the RO complaints procedure (PDF file)

The Registration Committee (Organisations)’s complaints procedure is a five stage process:

  • Stage 1 - an assessment either of whether a complaint is frivolous or vexatious, is appropriate for the Registration Committee (Organisations)’s complaints procedure or whether
  • Stage 2 - an investigation by a duly appointed Registered Organisation complaints panel of a formal allegation to determine the evidence for and against the allegation and record their findings, make recommendation to Registration Committee (Organisations) Committee
  • Stage 3 - Review of Registered Organisation complaints panel report by the Registration Committee (Organisations) and agreement of proposed sanctions or determination of other actions
  • Stage 4 - appeal process
  • Stage 5 - reporting and review

In all cases, accredited members of the Institute will be appointed to carry out the roles of an investigator or member of a professional conduct or RO complaint panel. In all cases the member must ensure that the do not have a potentially prejudicial interest in the matter they are appointed to consider.

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