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Complaints and disciplinary processes Rupert Grayston Deputy Chief Executive October 2007

Complaints and disciplinary processes Rupert Grayston Deputy Chief Executive October 2007. Code of Ethics. Mandatory to all members 3 cardinal principles 9 tenets Guidance notes on how to interpret and apply. Complaints history. 85,000 members (incl. 25,000 students)

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Complaints and disciplinary processes Rupert Grayston Deputy Chief Executive October 2007

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  1. Complaints and disciplinary processesRupert GraystonDeputy Chief ExecutiveOctober 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 >About Us >Member 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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