AIG uses a two-tier approach to Complaints.  A Complaints Committee reviews complaints made against members and passes those found to have veracity to the Ethics and Standards Committee for consideration.

Many complaints are readily resolved at the Complaints Committee stage by informing members of issues associated with their professional activities.  Disciplinary action against members arising from complaints is the responsibility of the Ethics and Standards Committee.

Members have the right to appeal Ethics and Standards Committee decisions to Board.  Directors involved in any aspect of the relevant Complaints or Ethics and Standards process are required to not recuse themselves from appeal processes.

Several changes to AIG’s Complaints and Ethics and Standards processes have been recommended by the recent review.

The principal change is that the Complaints Process will have no role in resolving complaints.  This responsibility will rest entirely with the Ethics and Standards committee.

The proposed changes also introduce a timeline for complaints investigation and resolution and reference relevant clauses in AIG’s Constitution.

Complaints Management Process

Introduction

• One of the main reasons AIG was established was to provide a strong code of ethics that would bind professional geoscientist members and minimise unethical behaviour.
• The Board receives a number of complaints each year from members, the Australian Stock Exchange (ASX), and official stock exchanges in countries in which Registered Professional Organisations (RPOs) are based alleging breaches of the Code of Ethics, the Australasian Code for Reporting of Exploration Results, Mineral Resources and Ore Reserves (JORC Code), the Code for the Technical Assessment and Valuation of Mineral and Petroleum Assets and Securities for Independent Expert Reports (VALMIN Code) (together, the Codes) and rules, regulations and practices established and promulgated by official stock exchanges in countries in which a RPO is based (Overseas Rules).
• After a complaint is received, AIG will use the system described in this Complaints Management Process to resolve complaints.
• If sustained, a complaint could lead to the imposition of one or more of a range of penalties on a member found to have breached one of the Codes or Overseas Rules.
• The revised complaints resolution process, now incorporating a Complaints Committee in addition to the existing Ethics and Standards Committee, offers members procedural fairness when required to respond to complaint allegations.
• Procedural fairness includes:
  • an absence of bias;
  • an inquiry into matters in dispute;
  • the opportunity to be heard; and
  • evidence to support the decision.
• There is also an appeal mechanism involving members of the Board who have had no previous role in hearing the complaint.
• The process is largely confidential, with all efforts made to protect the identity of both complainants and respondents. However, published apologies or a public reprimand may be considered in some circumstances as a penalty, for example for repeat offences or major offences against the Codes.

Interpretation and Definitions

• Words used in this Complaints Management Process, unless the context otherwise requires, have the same meaning as in the Constitution of AIG (Constitution) and the Code of Ethics;
• The male gender includes the female gender and the singular includes the plural, and vice versa;
• “Complaints Management Process” means the process set out in this document that is to be followed by AIG when dealing with matters or complaints about a member’s conduct that relate to the Code of Ethics, the Codes, Overseas Rules and/or the Constitution; and
• “respondent member” means the member about whom a complaint has been made.

Relevant Committees

• The Complaints Committee is constituted under paragraph 45 (a) of the Constitution.
• The Complaints Committee may discharge its functions as set out in this Complaints Management Process by one or two members of the Complaints Committee.
• The Ethics and Standards Committee is constituted under paragraph 45 (a) of the Constitution.
• The Ethics and Standards Committee may discharge its functions as set out in this Complaints Management Process by three members acting jointly or by majority.

Initiating Complaint Process

• Any person may at any time initiate a complaint against a member by using the form available on AIG’s website at https://www.aig.org.au/complaint-form/ or by otherwise contacting AIG.
• For the avoidance of doubt, the Ethics and Standards Committee may decide on its own motion to deal with matters relating to a member’s conduct that relate to the Codes and/or the Constitution without any complaint having been made.
• So far as possible, with respect to dealings with matters set out at clause 4(b), this Complaints Management Process shall be followed as though a complaint had been made under clause 4(a).

Investigation by Complaints Committee

The Complaints Committee shall:

• investigate the complaint received;
• notify the respondent in writing of the allegations the subject of the complaint and seek a response, whether in writing or orally within 21 calendar days;
• if required, seek additional information from the complainant(s), respondent member, and other persons;
• within 14 calendar days of receiving a response from the respondent member and/or information sought under clause 5(c) (whichever is the later):
  • pass on all evidence and relevant materials obtained through the course of its investigation to the Ethics and Standards Committee;
  • provide a report to the Ethics and Standards Committee on the results of its investigation, including:
    • any findings as to whether conduct in breach of the Codes or Constitution has been committed; and
    • any findings as to whether such a breach was negligent or intentional; and
  • recommend to the Ethics and Standards Committee:
    • that the complaint be dismissed; or
    • that the respondent member be charged with having committed certain conduct in breach of the Codes or Constitution and the penalty that should be imposed.

Review by Ethics and Standards Committee

• Review
  • The Ethics and Standards Committee shall review the material provided by the Complaints Committee under clause 5(d) above;
  • The Ethics and Standards Committee shall, within 21 calendar days of receiving the material provided by the Complaints Committee in accordance with clause 5(d) above:
    • dismiss the complaint, including for (but not limited to) the reasons set out in clause 6.2 below;
    • deal with and dismiss the complaint in accordance with clause 6.3 below; and
    • charge the member with a breach of the Codes or Constitution.
  • The Ethics and Standards Committee shall write to the respondent member notifying him of its decision under clause 6.1(b).
• Where complaint lacking in documentation or frivolous, vexatious or misconceived complaint

The Ethics and Standards Committee may dismiss a complaint, including if it considers that:

• • there is a lack of documentation or material to substantiate the complaint; and/or
  • the complaint is frivolous, vexatious or misconceived.

• Where complaint of a very minor nature

If the Ethics and Standards Committee considers the allegations are of a very minor nature, it may:

• • send a confidential warning letter to the member concerned:
    • setting out the nature of the complaint;
    • warning the member of the potential breaches of the Codes, the Constitution or the Overseas Rules which her alleged conduct the subject of the complaint could, if substantiated, give rise to;
    • informing the member that the Ethics and Standards Committee will not otherwise deal with the complaint; and
    • informing the member of his right to reply to the letter with relevant information within a reasonable time; and
  • dismiss the complaint.

• Where respondent member charged
  • If the respondent member is charged under section 6.1(b)(iii), the Ethics and Standards Committee shall inform them in writing of:
    • the nature of the charge against them; and
    • that they are entitled to a reasonable opportunity to be heard in relation to the charge and the question of penalty, whether in writing or orally.
  • If the respondent member expresses their wish to be heard orally before the Ethics and Standards Committee, then:
    • the Ethics and Standards Committee shall promptly arrange a hearing (Hearing);
    • such Hearing shall be presided over by three members of the Ethics and Standards Committee;
    • the procedure at such hearing shall be:
      • at the discretion of the Ethics and Standards Committee, provided that the respondent member is afforded procedural fairness and a reasonable opportunity to be heard; and
      • as informal as is appropriate, having regard to the nature of the complaint and the circumstances of the matter.
    • The respondent member shall seek the leave of the Ethics and Standards Committee if they wish to be legally represented at the Hearing.
    • Following a Hearing or written submission being provided by the respondent member and considered by the Ethics and Standards Committee, the Ethics and Standards Committee shall:
      • dismiss the charge; or
      • uphold the charge and impose a penalty.
    • For the avoidance of doubt:
      • the Ethics and Standards Committee may reserve its decision under clause 6.4(d) at the conclusion of any Hearing;
      • the Ethics and Standards Committee shall not be bound by the rules of evidence in connection with the making of a decision under clause 6.4(d) or the conduct of the Hearing.
• Penalties
  • The Ethics and Standards committee may decide to impose the following penalties (or a combination of them) in circumstances where it has upheld a charge:
    • a caution;
    • a public reprimand;
    • a requirement to make an apology (whether public or private);
    • a requirement to participate in professional education, including attendance at JORC or VALMIN seminars;
    • demotion of membership grade;
    • suspension of membership (subject to the Constitution); and
    • termination of membership (subject to the Constitution).
  • The Ethics and Standards committee, in arriving at the penalty to be imposed if a charge is upheld, may have regard to the following factors:
    • the seriousness of the offence;
    • whether the offence was negligent or wilful;
    • any early admissions of culpability and offers to apologise;
    • any previous offences committed by the respondent member; and
    • any other matter it thinks fit.
  • The Ethics and Standard Committee shall notify the respondent member of the penalty it has decided to impose.
  • Any penalty the Ethics and Standards Committee decides to impose will take effect on, and be final upon, ratification by the Board in accordance with the Constitution.
  • No resolution shall be put to the Board giving effect to a penalty before an appeal under clause 5 has been made or the time for bringing an appeal has elapsed.

Appeals Process

• Any appeal by the respondent member against a decision by the Ethics and Standards Committee must be made within 28 calendar days of the respondent member being advised of the final penalty by the respondent member writing to AIG advising of:
  • their wish to appeal;
  • the parts of the decision appealed against, including any findings or penalties or both;
  • the grounds of the appeal;
  • their proposed resolution to be put forward to the Board in respect of the appeal and the penalty; and
  • whether the respondent member desires an oral hearing of the appeal (Appeal Hearing).
• Upon any appeal being made under clause 28(a) of this Complaints Management Process, a resolution may be put giving effect to the decision, including the penalty, of the Ethics and Standard Committee in respect of the complaint.
• If the respondent member desires an Appeal Hearing, at least 14 calendar days’ notice shall be given of the date of the Board meeting at which the Appeal Hearing will take place.
• At least 7 calendar days’ notice shall be given of the resolutions to be put to the Board at the Appeal Hearing.
• The respondent member shall be afforded a reasonable opportunity to be heard and procedural fairness at any Appeal Hearing.
• The Appeal Hearing should be conducted in accordance with the requirements applicable to Board meetings set out in the Constitution and otherwise subject to the procedure as determined by the Board.
• For the avoidance of doubt, the respondent member may make written or oral submissions on the appeal to the Board.
• All Board members who served as members of the Complaints Committee and Ethics and Standards Committee, and any Board members with a conflict of interest in relation to the matter, must absent themselves from the Appeal Hearing and any vote on resolutions in connection with the respondent member.
• The Board shall endeavour to make its decision on the appeal as expeditiously as the matter allows.
• For an appeal involving expulsion from membership, the votes of at least two thirds of Board members eligible to vote is required to confirm expulsion.
• For the avoidance of doubt, if a respondent member is a Registered Professional Geoscientist, and the Board resolves to suspend that person’s membership or expel them from AIG, that person’s registration as a Registered Professional Geoscientists is automatically suspended or terminated, as the case may be.