A valid complaint is dealt with through the AIA’s Disciplinary Proceedings under which the complaint is thoroughly investigated by the Investigations Committee and then referred to the Disciplinary Committee where appropriate for further action.
The Investigations Committee is authorised to settle a case, where appropriate, with the mutual agreement of the two parties and is responsible for considering the information and documentation about the complaint to the disciplinary process and gathering further information and evidence as it considers necessary. This is done in writing with the complainant, the member complained about (the respondent) and other parties involved (e.g. in the case of complaint against a Firm).
In the case of minor matters that are unlikely to result in the suspension or withdrawal of a members certificate or other serious sanction the Investigations Committee can settle complaints by conciliation with the mutual agreement of the respondent and the complainant by means of a Consent Order, setting out the terms of the agreed settlement and the sanction imposed.
If there is a case to be answered the Investigations Committee arranges for the case to be presented and prosecuted before the Disciplinary Committee.
The Disciplinary Committee hears any case put forward by the Investigations Committee. A complainant will be invited to attend any hearing that is arranged.
Where the case for misconduct is found to have been proved the Disciplinary Committee is empowered to make an Order or Orders against the respondent, imposing one or more sanctions on the member ranging from reprimand to exclusion from membership and which may include a fine.
Where an appeal is made, the Appeal Committee may affirm, vary and rescind any Order of the Disciplinary Committee, substitute other Order or Orders, or require that the complaint be heard afresh by the Disciplinary Committee.
Details of Disciplinary Orders issued to members will appear here after the right of appeal has expired.