Disciplinary Process

 

Notices of Decision

When FPA Australia identifies a breach of the Code of Professional Conduct committed by a person under audit or subject to a complaint, they are issued a Show Cause Notice informing them of the details of the breach. They are then given an opportunity to respond before the matter is presented to FPA Australia's Case Management Committee.

 

The Case Management Committee considers the points raised in the Show Cause Notice and the subject's response, then decides on an outcome based on the FPA Australia Disciplinary Framework.

As part of this assessment, the Case Management Committee considers the risk posed by the breach, matters previously assessed and the fairness of the potential outcome.

 

Following this assessment a Notice of Decision is issued to the subject outlining FPA Australia's decision and the reason behind it.

These outcomes are recorded publicly, including any suspensions issued and the dates they are active between, on the Register of Notices of Decision:

 

Register of Notices of Decision

 

 

 

The levels of severity an outcome may be classified as and its relevant penalties are summarised in the below table.

FPA Australia reserves the right to administer additional outcomes as required for each case.

 

Severity Potential outcomes
No case to answer
The practitioner was not found at fault or the complaint was frivolous or vexatious.

 

No action - practitioner advised no case to answer

Level 1 - Minor

A minor breach that does not put lives at risk or impose a financial burden
on the client.
A breach made in error, with minimal impact.
A low level breach of discipline / minor breach of the Code of Professional Conduct.

 

0-3 month suspension.

Formal warning/apology

Written undertaking from the practitioner that the breach will not be repeated

Remedial training

Level 2 - Moderate

A more serious incident, where some manageable risk is involved and
financial implications are relatively low.
A breach made in error, with moderate impact.
A more significant breach of discipline / moderate breach of the Code of
Professional Conduct.

 

6 month suspension of accreditation
Formal warning/ apology
Written undertaking from the practitioner that the breach will not be repeated
Remedial training

Level 3 - Major

A serious breach, where there is a clear risk to occupants and/or more
significant financial implications.
A breach made in error, with major impact.

A deliberate breach with minor impact (e.g. failure to attend).
Low level misconduct / major breach of the Code of Professional Conduct.

 

12 month suspension of accreditation
Formal warning/ apology
Written undertaking from the practitioner that the breach will not be repeated
Remedial training

Level 4 - Significant

A very serious breach, where there is a substantial risk to occupants and/or more significant financial implications.
A breach made in error, with significant impact.

A deliberate breach with moderate impact (e.g. misrepresentation).
Medium level misconduct / significant breach of the Code of Professional Conduct.

 

24 month suspension of accreditation
Formal warning/ apology
Written undertaking from the practitioner that the breach will not be repeated
Remedial training

Level 5 - Severe

A severe breach, where there is major risk to occupants and substantial financial implications.
A breach made in error, with severe impact.

A deliberate breach with major impact (e.g. fraud).
Serious misconduct / severe breach of the Code of Professional Conduct.

 

Termination of accreditation

 

Appealing the Decision

A practitioner may appeal decisions made by FPA Australia, though this must be done within fourteen (14) days after being provided a Notice of Decision. This process is overseen by the Accreditation Appeals Panel, an independent group of industry specialists.
Upon receipt of a completed appeal application with payment for appeal, FPA Australia will suspend their decision until such time that the Accreditation Appeals Panel oversees the matter.

 

Following a review of the Notice of Decision and appeal applicaion, the panel can make a final decision to either affirm (uphold) or quash (dismiss) the original decision. If the panel sees fit they may provide a substitute decision which may lead to more or less severe penalties for the appelant.

 

In order to appeal a Notice of Decision, please complete the Appeal Application and Appeal Application Cost forms and return to compliance@fpaa.com.au within 14 days of the original decision date.