Dealing with a complaint

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This information leaflet explains how we deal with complaints or other information we receive about an architect’s conduct or competence.  It also explains what you should do if we tell you that we have received a complaint about you.

This leaflet is only a guide – it is not meant to replace legal advice.

About us

We were set up by the 1997 Architects Act to regulate architects in the UK.  We make sure that architects maintain standards to give the public confidence in their services. 

Our four main functions are:

• deciding what qualifications are needed to become an architect;
• keeping and publishing the UK’s Register of Architects;
• setting standards of conduct and practice; and
• regulating the use of the title ‘architect’ and taking action – in the courts if necessary – against unregistered people who offer their services as an architect.

The Board’s Professional Conduct Committee can restrict or remove your right to use the title ‘architect’ if:

• you have been convicted of a criminal offence that relates to your ability to practise;
• you are guilty of unacceptable professional conduct; or
• you are guilty of serious professional incompetence.

Dealing with a complaint

If a client raises a problem or concerns with you, try to settle it with them yourself.  If you cannot reach agreement, you might like to consider whether it is something that could be settled by mediation or arbitration (an independent go-between can often help you reach an agreement with your client).  You might also need to contact your professional indemnity insurers.

When you are dealing with a client’s complaint, you might find the following guidelines helpful.

• If the complaint is in writing, acknowledge it immediately.
• Tell your client who will be dealing with the complaint, and let them know how long it is likely to take.
• Make sure you keep your client up to date with the complaint’s progress.
• Find out what the client expects from the complaints process, and whether their expectations are reasonable.
• If your client asks for a meeting, try to arrange one as quickly as possible.
• Open a complaint file, and keep a record of the steps you take to settle the matter.
• Finally, remember that dealing with complaints quickly helps to keep your client’s goodwill, and is often the most cost-effective solution for you.

We know that it will not always be possible to settle a complaint to your client’s satisfaction.  When this happens, tell your client that they can send their complaint to us if it is about your conduct or competence (see Standard 12 of the Architects Code).

How we deal with complaints

We deal with complaints openly and transparently, and follow a set of rules (Investigations Rules and Professional Conduct Committee Rules).  You can find these on our website (www.arb.org.uk) in the Regulation section. 

If we receive a complaint about you, we will usually:

• tell the person who made the complaint what we can and cannot do;
• look at the complaint in detail to see if there are issues of unacceptable professional conduct or serious professional incompetence that we need to investigate;
• send you a copy of the complaint, and ask for your comments; and
• send a copy of your reply to the person who made the complaint and ask them if they would like to comment.

Criminal convictions

You must tell us within 28 days if you are convicted of a criminal offence.  We take a serious view of any criminal offence by an architect, and will look at whether the offence is connected to your work or is relevant to your fitness to practise.

How we receive information

We receive complaints from different sources, including members of the public, the police or other public organisations.  We look at complaints against the standards in the Architects Code of Conduct and Practice.

We do not usually investigate matters that are over six years old unless there are special circumstances.  This is because of time limits we must keep by law, and the Human Rights Act.

In most cases, we will tell you if there has been a complaint about you as soon as we receive it.  We might not do this if we are not responsible for investigating the complaint, for example if it is outside our powers to investigate.  Both you and the person who made the complaint can comment on the complaint before we pass it on to our Investigations Committee to consider.  The Investigations Committee is made up of three board members – one architect and two lay (non-architect) members.

The members of the committee might ask an independent architect (known as an inquirer) to investigate the complaint on the committee’s behalf if they need more detailed information.  We will choose the inquirer from a panel of architects who help out when a complaint is complicated or technical.  They carry out a detailed investigation, which might include visiting construction sites and interviewing the people involved, before reporting back to the Investigations Committee. 

The committee will consider all the information, taking into account:

• the evidence provided, and your responses or comments;
• the seriousness of the matter; and
• any other relevant evidence connected to the complaint.

The committee can dismiss the complaint if it considers there is no case to answer.  If there appear to be issues of unacceptable professional conduct or serious professional incompetence, it could issue you with a formal warning.  Warnings are confidential, but we keep them on your records, and will take them into account if we receive any further complaints about you.  If the issues are serious, the committee will ask our solicitor to write a report for the Professional Conduct Committee.  This will lead to a formal hearing of the complaint in public. 

The Investigations Committee will always try to come to a decision within twelve weeks of receiving a complaint. 

Timing

There is no fixed timescale for dealing with a complaint – how long it takes will depend on how complicated it is.  But it is important to handle complaints as quickly and efficiently as possible, so we set time limits for you and for the person making the complaint.  When we contact you, we ask you to reply within 14 days but we accept that this won’t always be possible.  If you let us know that you need more time, we may be able to agree this with you.  We will keep you up to date with progress, and welcome hearing from you at any time.

More information

If you would like more information about the Investigations Committee or the Professional Conduct Committee, or any of their procedures, please call us on 020 7580 5861 or send a fax to 020 7436 5269.  You can also visit our website at www.arb.org.uk or e-mail us at regulationdepartment@arb.org.uk.