Disciplinary Framework

The Practice Compliance Committee plays a key role in maintaining the integrity of AIA’s professional standards. It oversees how members and firms in public practice comply with AIA’s Articles, Bye-Laws, Regulations, and Code of Ethics, as well as relevant accounting, auditing, legal, and regulatory requirements.

The committee also monitors the submission of required returns and statements, and reviews the professional conduct of members working in industry, commerce, public service, or employed in public practice.

When a member or firm fails to meet a regulatory requirement, the committee can require remedial action within a set timeframe. In more serious cases, it may impose a fine, suspend or revoke a practising certificate, apply conditions or restrictions to a certificate, or refer the matter to the Disciplinary Committee for further action.

This process ensures that AIA’s regulatory responsibilities are met and that public confidence in the profession is upheld.

The Practice Compliance Appeals Committee is responsible for reviewing appeals related to decisions made by the Applications and Membership Committee and the Practice Compliance Committee.

These appeals may concern:

• The granting or holding of a practising certificate
• Compliance monitoring of members and firms with AIA’s Bye-Laws, Articles, Regulations, and Code of Ethics
• The submission of returns, statements, or other monitoring information

The committee operates independently to ensure fairness and transparency. It has the authority to either uphold the original decision or refer the matter back to the relevant committee with a recommendation for further consideration.

The Investigations Committee is responsible for reviewing complaints and ensuring that concerns about member conduct are handled fairly and efficiently.

The committee has the authority to:

• Investigate all relevant complaints referred to it
• Refer findings and recommendations for disciplinary action to the Disciplinary Committee, where appropriate
• Resolve minor complaints through mediation or other forms of dispute resolution

This process supports AIA’s commitment to upholding professional standards and maintaining public trust.

The Disciplinary Committee is responsible for conducting formal disciplinary proceedings when concerns are raised about the conduct of AIA members, elected members, firms, or students.

It has the authority to:

• Hold disciplinary hearings for matters referred by the Investigations Committee or other relevant committees
• Make findings on whether a disciplinary offence has occurred
• Issue appropriate orders or sanctions in response to those findings

This process ensures that professional standards are upheld and that AIA continues to act in the public interest.

The Appeals Committee ensures fairness and transparency in AIA’s disciplinary process by reviewing decisions made by the Disciplinary Committee.

It has the authority to:

• Hear appeals against the findings and orders issued by the Disciplinary Committee, including any sanctions
• Make final orders following the outcome of an appeal hearing

This independent review process helps safeguard member rights while upholding the integrity of AIA’s professional standards.