AusIMM Annual Compliance Report 2025

Each year, the Professional Conduct and Ethics Committees’ report on their work of upholding compliance with the AusIMM Code of Ethics and various relevant 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 functions typically 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 AusIMM Code of Ethics at all times, as well as by 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, 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 resource professionals.

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 with information about the process available via the following link: Code of Ethics and Professional Conduct Regulations; Complaints and Appeals. 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 the Institute
• 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 that a remedy is appropriate to the severity of the breach (as deemed by these committees) while preserving the integrity of the profession and the 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 Institute 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. 

2025 AusIMM Professional Conduct Committee (PCC) Membership: 

2025 AusIMM Ethics Committee (EC) Membership 

Summary of 2025 investigations 

In 2025 six complaints were submitted to end December:

• Case one related to an alleged breach of Clauses 17 & 38 of the JORC Code. As part of the investigation of this case, the PCC decided to make a submission to the JORC Committee and JORC review team highlighting complacency in language and suggesting guidance is enhanced as part of the code review. In relation to the case, the PCC issued the respondent an Advisory Notice.
• Case two related to alleged breaches of Clause 19 of the JORC Code and Clause 7 of the AusIMM Code of Ethics. The respondent in this case was issued a warning by the PCC.
• Case three related to alleged breaches of Clauses 3 & 7 of the AusIMM Code of Ethics. Due to a lack of substantive information in support of the allegations, the matter was not progressed by the PCC and the complainant was advised they could re-submit the complaint with the necessary supporting information. 
• Case four related to an alleged breach of Clauses 9, 10, 14, 20, 49 & 50 of the JORC Code and Clauses 3, 6 & 7 of the AusIMM Code of Ethics. The PCC referred this matter to the EC.  During the course of the EC investigation the respondent resigned their membership.  At the time of this report, the Ethics Committee were considering next steps given the significance of matters raised in the complaint.
• Case five related to alleged breach of Clauses 2 & 3 of the AusIMM Code of Ethics. During the course of the PCC investigation, the respondent resigned their membership.  The PCC recommended to the AusIMM Board an embargo on membership renewal for five years in accordance with the Professional Conduct Regulations.  This was approved by the Board. 
• Case six related to alleged breaches of Clause 20 of the JORC Code and Clause 3 of the AusIMM Code of Ethics. At the time of this report the PCC had agreed to refer the matter to the Ethics Committee with the necessary documentation yet to drafted and concluded.