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Complaints and disciplinary processes Rupert Grayston Deputy Chief Executive October 2007

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3 cardinal principles. 9 tenets. Guidance notes on how to interpret and apply. Complaints history ... No mandatory registration system for engineers. Only 20 ... – PowerPoint PPT presentation

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Title: Complaints and disciplinary processes Rupert Grayston Deputy Chief Executive October 2007


1
Complaints and disciplinary processes Rupert
Grayston Deputy Chief Executive October 2007
2
Code of Ethics
  • Mandatory to all members
  • 3 cardinal principles
  • 9 tenets
  • Guidance notes on how to interpret and apply

3
Complaints history
  • 85,000 members (incl. 25,000 students)
  • No mandatory registration system for engineers
  • Only 20 or so complaints per year
  • Only 1-2 cases proceed to a hearing

4
Handling complaints against members
  • Will consider complaints of improper conduct
  • Will not consider cases of
  • Contractual or legal matters
  • Fee disputes
  • Financial restitution or compensation
  • Require complaints in writing onus on
    complainant to obtain evidence
  • Public guidance on web site
  • www.engineersaustralia.org.au
  • gtAbout Us
  • gtMember Discipline and Complaints

5
Disciplinary Regulations
  • New regulations drafted for approval by Council
    National Congress in Nov 2007
  • New Operating Procedures drafted for approval by
    Chief Executive in Nov/Dec 2007
  • Changes
  • Contemporary governance principles, format
    terminology
  • Numerous process flaws addressed
  • Reflects PSC requirements, HREOC best practice
    model Victoria Supreme Court case Molyneux v.
    VCAT Anor

6
Outline of disciplinary process
  • Receive complaint notify member
  • Assess adequacy of complaint details
  • Investigate and report
  • Dismiss case or appoint panel of members
  • Panel hearing
  • Dismiss complaint or apply sanctions
  • Valid appeals heard by panel of members

7
Old roles responsibilities
  • Staff assess validity of complaint
  • Convenor (member of Council) appoints
    investigator (member)
  • Convenor appoints hearing panels (members) and
    appeal panels (members)
  • Panels determine sanctions and awarding of costs

8
New roles responsibilities
  • Staff assess validity of complaint
  • Chief Executive appoints trained investigator
  • Commissioner (member appointed by Council)
    appoints hearing panel (members) and appeal panel
    (members)
  • Panels determine sanctions and awarding of costs

9
Improvements in new regulations
  • Investigation phase can be skipped on prima-facie
    cases
  • More options to establish the full facts
  • Ability to investigate without formal complaint
  • Paid trained investigators to improve
    investigation report writing standards
  • May counsel a member for poor practice
  • Remove requirement for non-member on panel
  • Discontinue standing pool of panelists in each
    state

10
Discussion points
  • What do others think about
  • Public expectations and perceptions?
  • Trained investigators vs technical experts?
  • Recruiting members for hearing panels?
  • Requiring a non-member on a hearing panel?
  • Counselling members for poor practice?
  • Appeal processes?

11
  • Thank you
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