AusIMM annual compliance report 2024

Each year, AusIMM’s Professional Conduct and Ethics Committees report on their work of upholding compliance with the Code of Ethics and professional codes. 

The purpose of the committees is to uphold and support professional standards through a strong focus on professional ethics and best practice implementation of professional codes. Specific focus areas include:

• Promoting ethical practice and professional standards
• Providing guidance, supporting education and awareness
• Investigating complaints through fair and transparent process.

Under the AusIMM By-laws, AusIMM members (all grades) are bound by the Code of Ethics at all times, as well as other Board approved and recognised codes, regulations and directives (including the JORC and VALMIN Codes) when acting as a resources industry professional. These codes and regulations serve to protect communities, other members and the profession and provide confidence in the industry.

On admission, AusIMM members commit to the principles of the Code of Ethics and reaffirm this commitment as part of the annual membership renewal process. It is through processes such as these that the AusIMM confirms its position as a trusted and representative voice for resources professionals.

In 2024 the Committee Chairs undertook a review of the Professional Conduct Regulations to ensure alignment with the workings of both the Professional Conduct and Ethics Committees, while also confirming both committees are well supported in the fulfilment of their respective responsibilities and obligations. A number of enhancements and clarifications were made to the regulations, informed by high level principles including:

• Transparency to ensure clarity on how the compliance process works.
• Sustainability to ensure improvements strengthen the work and reputation of AusIMM in upholding professional standards.
• Process that is informed by procedural fairness while being systematic, timely, appropriate and logical.
• Increased emphasis on confidentiality to protect sensitive information, maintain trust and reinforce confidence in the process.
• Integrity that respects the separation of powers and the autonomy of both committees.
• High quality succession planning to support organisational memory and ensure continuity and consistency in the work of both committees.

The revised regulations were approved by the Board in September 2024 and are available here. 

2024 investigations

In 2024 six complaints were submitted to end December and all were dealt with by the Professional Conduct Committee:

• Case one related to an alleged breach of clauses 9, 11 and 15 of the JORC Code together with clauses 3, 6 and 7 of the Code of Ethics. The Committee adjudicated that the respondent addressed the allegations of the complaint to its satisfaction and determined not to progress the matter. 
• Case two related to alleged breaches of Clauses 3, 5, 6, and 7 of the AusIMM Code of Ethics. The case was not progressed because of insufficient information despite repeated requests to the complainant.
• Case three related to an alleged breach of Clause 11 of the JORC Code and resulted in the issue of an Advisory Notice together with the requirement that additional information be included in future Competent Person statements.
• Case four related to an alleged breach of clauses 4, 5, 6 and 19 of the JORC Code and clause 3 of the Code of Ethics and resulted in the issue of an Advisory Notice.
• Case five related to alleged breach of clause 19 of the JORC Code and resulted in the issue of an Advisory Notice.
• Case six related to alleged breaches of clauses 11 and 19 of the JORC Code and resulted in a Warning being issued, and a requirement to update the public report.

From the complaints received, there were underlying causes identified which may have contributed to aspects of these breaches. Where practical, clarifications have subsequently been made to minimise incorrect interpretations of sections of the JORC Code or AusIMM membership requirements.

The compliance process

The compliance process involves adjudication by peers and is designed to ensure that members are responsible for their conduct in breach of the Code of Ethics and the By-Laws, and any of the Board approved professional codes.  Alleged breaches of these codes are addressed through the compliance process.  Any member of the community may submit a complaint using the following form: https://www.ausimm.com/globalassets/about-us/notice_of_complaint.pdf

When a breach of the Code of Ethics and/or Professional Codes is reported and upheld, one of the following remedies can be imposed on the member (or members) concerned:

• Advisory notice or caution
• Formal warning
• Redress of breach potentially requiring further education and/or training, and/or reissue of an affected public report(s).
• Membership suspension or expulsion from AusIMM.
• Publication of details of the breach, including public naming and notification to regulatory bodies of the professional found to be in breach.

The intent is to ensure a remedy is appropriate to the breach while preserving the integrity of the profession and AusIMM.  The process is informed by procedural fairness principles and includes an avenue for appeal.  While there is an obligation to evaluate and determine an outcome for all matters accepted for investigation, there is also a responsibility to support members in understanding their AusIMM and professional obligations.  To this end, both committees seek to work with members in addressing any concerns to uphold professional standards, assist in educating members, and to protect the professional integrity of members. 

The Professional Conduct and Ethics Committees

The Professional Conduct and Ethics Committees are responsible for investigating and determining the outcome of complaints. The Professional Conduct Committee investigates each complaint received with referrals made to the Ethics Committee if it determines a significant breach of the Code of Ethics has occurred. 

At Congress in 2024, participants indicated member interest in any lessons learned from complaint investigations. While additional information has been included to this 2024 report, this matter will be further considered for 2025, especially considering how and what information can be shared at the completion of each case.

2024 AusIMM Professional Conduct and Ethics Committees Membership