School of Specification – Introduction to the ARB professional conduct process

Ben Hall, Partner at JMW Solicitors, has produced a School of Specification module on the ARB professional conduct process. Here, he outlines how complaints are assessed and what architects can expect during an investigation.

What should architects understand about how the ARB professional conduct process works?
The ARB’s main purpose for investigating complaints is to protect the public. Investigations are typically triggered by a complaint alleging that an architect’s behaviour has breached the Code of Conduct, or if an architect is subject to criminal proceedings, particularly where the alleged offence raises concerns about their fitness to practice.

What types of allegation can the ARB investigate?
The ARB investigates complaints that focus on two areas: unacceptable professional conduct, and serious professional incompetence. The former is generally a failure to comply with the Architects’ Code or where an architect has fallen short of the standards expected of them. The latter is more about the quality of an architect’s skills and how they have been applied.

An architect who receives a complaint should remember that allegations of misconduct must be proven against them, so they will have the opportunity to present their side”

What should architects do if they receive a complaint or are notified of an investigation?
An architect who receives a complaint should remember that allegations of misconduct must be proven against them, so they will have the opportunity to present their side. They will be required to write a response outlining their account, which will be shared with the Investigations Panel and the complainant. There is often a deadline for this response, so it is important to take seek early legal advice if needed and consider any mitigating factors as soon as possible.

How does the ARB investigation and hearing process work?
The Investigations Panel examines the matter, and if it decides there is a case to answer, it is reviewed by the Professional Conduct Committee. In the hearing, the allegation is read out and the architect is asked to confirm whether they admit or deny the allegations made. The Case Presenter opens on behalf of the ARB, explaining the case against the architect and calling experts or witnesses to give live evidence. Witnesses can be cross-examined by the architect or their legal representative. Afterwards, the defence presents its case and witnesses. The architect can decide whether to read out a prepared statement or answer the questions under oath. They will also be subject to cross-examination by the Case Presenter. Once both sides have been heard, the PCC Panel will deliberate and reach an outcome.

What are the potential outcomes of an ARB investigation?
If the allegations are proven, the architect has an opportunity to address the Panel and put forward any relevant mitigating factors. Possible sanctions include a reprimand; a fine up to a maximum of £5,000; suspension from the Register of Architects for up to two years; or permanent erasure from the Register.

To minimise risk, architects should familiarise themselves with the Architects Code of Conduct, get into the habit of record keeping so they can provide evidence in the event of an investigation, and ensure their working parameters are clearly established from the outset.