Breaches of the Code by Signatories, enforcement of compliance action, and Code Review Panel appeals processes are treated seriously by the Administrator, which undertakes its decision-making in a fair, transparent and evidence-based manner.
If a Signatory suspects that they may be in breach of the Code, they must report this to the Code Administrator. Suspected breaches may also be brought to the attention of the Administrator through the Client Complaint Form or through the Administrator’s own compliance investigations and annual reporting reviews.
Breach Reporting
Alleged or suspected breaches will be investigated by the Administrator. The Signatory suspected or alleged of a breach will be notified that they are being investigated. If required, additional evidence or information may be requested of the Signatory or other stakeholders involved. The Signatory will be given 21 days to respond to the Administrator with comments and evidence. They may dispute the suspected or alleged breach, or provide an explanation of their intended actions to remedy the issue. View the Administrator’s Handling Complaints & Breaches – Guidance for Signatories, and various breach forms below.
Enforcement Actions
If a breach is determined to have been made, the appropriate sanctions will be applied, consistent with the Breach Matrix in the Code. A breach may be: severe; major; medium; or minor. Severe breaches that are not rectified within the required timeframe may be publicly listed on the Code website and Annual Report, with the Signatory named.
Systematic non-compliance with the Code (including frequent and consistent breaches) may result in forced removal of a Signatory. View the Administrator’s Complaints Handling & Breaches Procedure below.
Appeal a Decision
In the event that the breach is handled solely by the Code Administrator, and if the Signatory believes that reasonable discretion was not exercised, that natural justice was denied, or that new evidence has come to light, the Signatory is entitled to appeal the Administrator’s decision to the Code Review Panel. The Signatory may do so by completing this online Compliance Appeals Form.
In the first three years of the Operational Stage of the Code, the Administrator will refer all proposals to apply severe sanctions or suspensions to the Code Review Panel for review. All decisions by the Panel are final and binding. View the Code Review Panel’s Terms of Reference below and learn more about their role on the Code Review Panel page.
