The Disciplinary Scheme sets out the rules and procedures for the handling of complaints and the consideration of Disciplinary Action against Members.
The purpose of this Scheme is to protect the public and public confidence in the profession by establishing a mechanism to maintain and enforce the standards expected of Members. In doing so, this Scheme also aims to protect the reputation of the profession, the Institute and Members.
GROUNDS FOR A COMPLAINT
A Member may be subject to Disciplinary Action under this Scheme if the Member has engaged in Misconduct. Any person who considers that a Member has engaged in Misconduct may make a complaint to the Actuaries Institute ('Institute'). The process for making a complaint is summarised further below.
UNDERSTANDING WHAT THE INSTITUTE CONSIDERS TO BE MISCONDUCT
Misconduct is defined as any acts or omissions by a Member that do not meet the standards as reasonably determined and expected by the Institute. The standards and expectations of the Institute are explained within the Institute’s Code of Conduct.
Examples of Misconduct may include (but are not limited to):
- acts or omissions that are contrary to the Institute’s collective values, principles and objectives;
- acts or omissions that have the potential to bring into disrepute or damage the reputation of the profession, the Institute or Members;
- aiding, abetting, counselling, procuring, inducing or attempting to induce another person to engage in Misconduct;
- knowingly being involved in, or a party to, Misconduct engaged in by another person;
- a failure to comply with the disclosure regarding a Member Disclosure Matter (as defined below); or
- non-compliance with the Constitution, Code of Conduct, a professional standard, requirements imposed by applicable legislation (including subordinate standards or rules) and any policies, procedures or guidelines of the Institute (as in force from time to time).
A Member may be found to have engaged in Misconduct due to acts or omissions that occur in any location:
- during his or her work as an actuary or in his or her capacity as a Member;
- in other external contexts (such as a Member’s personal life) where those acts or omissions can be considered to reflect adversely on, or have a potential adverse impact on the profession or the Institute.
A Member Disclosure Matter is a matter where a Member:
- is or has been convicted of a criminal offence;
- has been found to have acted fraudulently or dishonestly by any court, tribunal or professional body;
- has been found by any court or tribunal to have engaged in misleading or deceptive conduct;
- has been the subject of an adverse determination by a regulatory body or professional association;
- is, has been or has become bankrupt or insolvent; or
- has breached a determination or failed to comply with any Disciplinary Action imposed by a Tribunal or Appeal Board of the Institute.
IF YOU WISH TO MAKE A COMPLAINT
Lodging a complaint
If you wish to make a Complaint involving potential Misconduct of a Member, you may prepare and lodge the Complaint using the information provided in this section and the Complaint Form.
The Institute maintains a Conduct Committee which has responsibility under the Disciplinary Scheme for receiving and investigating any Complaint made against a Member. When your Complaint is initially lodged, it will be referred to the Convenor of the Conduct Committee for initial assessment.
Assistance Before Lodging a Complaint / Making Pre-lodgement Inquiry
You can ask the Institute for assistance in preparing and lodging your Complaint. In such instances, the Convenor of the Conduct Committee may arrange for reasonable assistance to be provided to you to formulate your Complaint.
If you are unsure whether a matter warrants making a Complaint and would like to discuss the matter further before doing so, you can also make a confidential pre-lodgement inquiry with the General Counsel Professionalism who acts on behalf of the Convenor of the Conduct Committee.
Guidance and contact details are available here.
Once you have lodged a Complaint
A formal process of considering your Complaint takes place comprising an Investigation Stage, a Determination Stage (if applicable) and an Appeal Stage (if applicable). This process is outlined in the Scheme Rules flow chart.
After you have lodged your Complaint, you will be under no obligation to participate further in the disciplinary matter as it proceeds if you do not wish to do so. However, you may be asked to provide additional information as outlined below. In addition, if you wish to do so, you will be entitled to participate in some of these stages and you may be invited to participate in others, as summarised below. The full Disciplinary Scheme rules provide more detail.
At the Investigation Stage
The Investigation Sub-Committee may seek and receive any information from you that it thinks appropriate and necessary for the conduct of its investigation.
The Convenor of the Conduct Committee will inform you of the findings of the Investigation Sub-Committee and will invite you to provide further written submission in support of the Complaint should you wish to do so.
At the Determination Stage
The Tribunal may invite you to appear at the proceedings before the Tribunal.
- If you wish to do so, you will be entitled to present evidence and information, call/question witnesses and make submissions.
- You will receive a copy of the written report of the Tribunal.
At the Appeal Stage
- If you are dissatisfied with the decision of the Tribunal, you may lodge a notice of appeal.
- Your role (if any) in the appeal process is described in the Disciplinary Scheme Rules.
- You will receive a copy of the written report of the Tribunal.
Withdrawing a Complaint
Once a Complaint has been made, you should be aware that the Complaint will continue to be dealt with in accordance with the Disciplinary Scheme rules and process irrespective of whether you subsequently seek to withdraw or discontinue your Complaint. However, due consideration will be given to your withdrawal/discontinuance preference in determining how the continuing Complaint is to be managed.
PUBLIC DISCLOSURE OF INFORMATION
The Disciplinary Scheme rules explain the form and extent of public disclosure of information and decisions regarding a Complaint. Two particularly noteworthy aspects are highlighted below for the purposes of your consideration of whether to make a Complaint:
When a Complaint is made, you may be asked to agree in writing to keep certain information regarding the Complaint and the associated process of hearing the Complaint confidential.
You should expect that any publication of a written report of the Tribunal or Appeal Board regarding your Complaint will ordinarily be accompanied by, among other things, a disclosure of your name and the circumstances of the Complaint. However, the Disciplinary Scheme rules contemplate that there may be circumstances where such disclosure should not be made. You may therefore make an application requesting non-publication of information that would ordinarily be made publicly available.