Regulation --> Complaints

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ARB is the body set up by Parliament to regulate the architects’ profession in the UK. As part of its regulatory function, ARB deals with complaints about architects, and this leaflet sets out how the complaints process operates.

How to make a complaint

You can send your complaint to us by fax, e-mail or letter, or by completing the online complaints form on our website, www.arb.org.uk. We will deal fairly and impartially with any complaint we receive, although under the legislation which lays down our responsibilities, we are only able to deal with disciplinary issues, not service complaints.

Are we able to help?

When we receive your complaint, we will examine it to make sure it is something we can deal with. In most cases, it must either be about the architect’s competence, or about their conduct in relation to the standards and requirements of the architects’ Code of Conduct, or both.

Before coming to us, you should first raise your concerns direct with the architect. The Code requires architects to operate an in-house complaints procedure, and this is frequently the quickest and most satisfactory way of resolving complaints or disputes. You might find the following guidelines helpful when raising your concerns with the architect.

• First, check what was said in writing about roles and responsibilities when the architect was appointed, and check also the terms and conditions on the original agreement or contract

• It is a good idea to put your complaint in writing so that both you and the architect have a record of your concerns

• Ask the architect the name of the person who will be dealing with your complaint, and how long it is likely to take to deal with it

• Set out the details of your complaint as clearly as you can

• If you have more than one complaint, list them and give them numbers

• Make notes of any meetings you have, and keep a copy of any letters you send to the architect

• Tell the architect how you would like them to resolve the complaint

If you and the architect cannot reach a satisfactory outcome, you can refer your complaint to us.

Timing

Depending on the complexity of a complaint, an investigation can take many months to complete. It is important for everybody that complaints are handled quickly and effectively, and we ask both you and the architect to reply to our letters within 14 days. We accept that this will not always be possible, but if you let us know that you need more time, there is no reason why we cannot give you a short extension. We will keep you regularly informed on how the complaint is progressing, and will write to you at least every two months. However, if you have any concerns, or you have any questions that you would like to ask, please do get in touch with us.

ARB’s Disciplinary Powers

When we receive a complaint we can deal with, we will:

• Ask the architect to comment

• Show you their reply and ask for your comments

• Study the correspondence in some detail to see

whether there are any issues of unacceptable professional conduct or serious professional incompetence which we can investigate further. These are the two “offences” which the Architects Act 1997 gives ARB the power to investigate.

We will always try to give you helpful advice about your problems, even if the subject of your complaint is not serious enough to call for disciplinary action. We may be able to suggest other possible solutions, such as arbitration. The architect’s professional body, RIBA for example, may be able to help in this respect.

In cases where a complaint is being taken forward, a report will be prepared for consideration by the Investigations Committee (IC), which comprises one architect and two lay, ie. non-architect, persons. The Committee may ask that an independent Inquirer (an architect) be appointed to investigate further.

If the IC decides that the matter should go to the Professional Conduct Committee (PCC), the Board’s solicitors will prepare a case for hearing. Should the Committee form the view that a matter raises concerns about the architect’s conduct or competence, but does not warrant a formal disciplinary sanction, the Committee may instead issue a confidential letter to the parties concerned. This letter will record the Committee’s concerns about the architect’s conduct or competence, and is one step short of a formal disciplinary sanction. The letter will also indicate that this may be considered again if similar complaints are made about the architect in the future.

Because our powers are limited by statute, there is no provision for us to:

• Give you legal advice about your complaint, or appoint a solicitor to act for you

• Award compensation for poor service, or make the architect carry out any rectification work

• Investigate matters while they are subject to court proceedings, unless there are exceptional circumstances

• Reach a different decision to a court, based on the same facts

• Investigate matters older than six years, unless there are special circumstances. (This is because the general law provides limitation periods, and we are also bound by the provisions of The Human Rights Act 1998.)

• Become involved in disputes over contracts, or in cases where the architect may have been negligent. Negligence would require the involvement of the architect’s insurers, and possibly even court action. Once all these matters have been concluded however, we may be able to look at the facts to see whether there were any issues of conduct or competence that could be the subject of disciplinary proceedings

• Deal with complaints which are not about a registered architect.

You should check carefully (by phoning us if necessary) before instructing an architect, because many individuals style themselves as designers, architectural consultants, architectural designers, etc. but they are not architects. We have no powers to investigate complaints about non-architects, but we can prosecute an individual if they have misled you by calling themselves an architect when they are not.

Professional Conduct Committee (PCC)

In those cases where a matter goes forward to the PCC, there is a full factual hearing. Cases are heard by architect and lay (non-architect) persons, under the independent chairmanship of a solicitor nominated by the Law Society.

There are two “offences” under which an architect can be found guilty:

• Serious professional incompetence

• Unacceptable professional conduct

These are both serious offences and if established, could result in the architect being struck off (removed from) the Register.

Any evidence is given under oath, and both you and the architect may be subject to crossexamination. After hearing all the evidence, the PCC will consider:

• Whether the architect behaved in the way alleged

• If so, whether this behaviour amounts to unacceptable professional misconduct or serious professional incompetence

If found guilty, the Committee will take into account details of the architect’s character and history. The PCC has the power to impose the following penalties:

• To reprimand (warn) the architect

• To fine the architect

• To suspend the architect from practice for a stated period

• To remove the architect’s name from the Register

However, if the case against the architect is not established, the PCC can order an acquittal of the charges.

Confidentiality

It is not ARB’s policy to release or comment on the details of a case to the media during its investigation. We are committed to protecting the confidentiality and reputation of the parties to a complaint until the matter is before the Professional Conduct Committee and formally in the public domain. It is therefore important to remember that should you decide to pursue the complaint, you should preserve the confidentiality of all the information arising from the case.

Alternative Solutions

You might like to think about the following possible steps which can be taken before starting the formal complaints process.

Arbitration/Mediation
The first step is to refer to your agreement or contract with the architect because this may provide the means to deal with any disputes that might arise. The professional bodies which represent architects in different parts of the UK often run conciliation and arbitration services locally. We have listed some contact numbers at the end of this information sheet for your information.

Negligence
Architects must have insurance to protect themselves against allegations of negligence, and to provide recompense for clients. If your complaint is that your architect has been seriously negligent, you should consider taking legal advice. This is so that the architect can be put on notice that you have a possible claim against them, and advise their insurers.

Court Action
If there is a serious dispute over the contract, and an unwillingness on either side to conciliate, court action may be the only option open to you. If this is the case, you should take legal advice.

Useful addresses

National Association of Citizens Advice Bureaux (NACAB)
Myddelton House
115-123 Pentonville Road
London N1 9LZ
Telephone: 020 7833 2181
www.nacab.org.uk

Royal Incorporation of Architects in Scotland (RIAS)
15 Rutland Square
Edinburgh EH1 2BE
Telephone: 0131 229 7205
www.rias.org.uk

Law Centre Federation
Duchess House
18 Warren Street
London W1T 5LR
Telephone: 020 7387 8570
www.lawcentres.org.uk

Royal Society of Architects in Wales (RSAW)
Bute Building
King Edward VII Avenue
Cathays Park, Cardiff CF10 3NB
Telephone: 02920 874753
www.architecture-wales.com

Royal Institute of British Architects (RIBA)
66 Portland Place
London WIN 4AD
Telephone:020 7580 5533
www.architecture.com

Royal Society of Ulster Architects (RSUA)
2 Mount Charles
Belfast BT7 1NZ
Telephone: 02890 323760
www.rsua.org.uk

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