PCC and Investigations Rules

Download this document in Acrobat PDF format

Invetigations Rules
1	These Rules were made by the Board on 12 February 2004 under Section 23 and Part I of the First Schedule to the Architects Act 1997. They came into force on 1 March 2004 and replace the Rules made by the Board on 13 July 1999.

	Interpretation
2	In these Rules the following words and phrases shall, except where the contrary intention appears, have the meanings assigned to them below: Act The Architects Act 1997; Appointed Members Members of the Board appointed pursuant to paragraph 3 of Schedule 1 to the Act; Board The Architects Registration Board; Investigations Committee The Committee of that name established by the Board; Inquiry Panel The Panel of that name appointed under Rule 5; Inquirer A member or members of the Inquiry Panel appointed under Rule 5; Register The Register of Architects maintained by the Registrar under Section 3 of the Act; Registered Person A person whose name is on the Register; Registrar The Registrar of Architects; Board’s Solicitor A barrister, advocate or solicitor of that title appointed by the Registrar.

3	The Interpretation Act 1978 applies to these Rules as if they were an Act of Parliament.

	The Investigations Committee
4	a	The Board shall establish an Investigations Committee to be constituted by any three Board members who are not members of the Professional Conduct Committee and two of whom are Appointed Members.
	b	The Chairman of the Committee shall be an Appointed Member.

	The Investigators Panel
5	a	The Board shall appoint an Inquiry Panel consisting of not fewer than twelve and not more than twenty Registered Persons. The Registered Persons shall, so far as is practicable, include persons who between them have experience of a wide range of architectural practice and skills.
	b	The members of the Inquiry Panel shall hold office for up to three years, which term may be renewed by the Board.
	c	The Board may, in accordance with such rates as it may from time to time fix, pay attendance fees and reimburse the members of the Inquiry Panel for any reasonable travelling and subsistence expenses they have incurred in respect of their duties under these Rules.

	Action by the Registrar
6	If it appears to the Registrar, whether as a result of a complaint or otherwise, that a Registered Person may be guilty of unacceptable professional conduct or serious professional incompetence the Registrar shall cause such investigations to be undertaken and such advice to be obtained as the Registrar sees fit and a report made to the Investigations Committee.

	Action by the Investigations Committee
7	The Committee constituted under paragraph 4 of these Rules considers documentary information in private. Its decisions are by majority.
8	The role of the Committee is to decide whether cases referred to it by the Registrar under Rule 6 of these Rules:
	a	require further investigation or advice; or
	b	require cautionary advice or a recommendation, if appropriate, as to the Registered Person’s future conduct and/or competence;
	c	should proceed to the Professional Conduct Committee by way of a report by the Board’s Solicitor; or
	d	require no further action.
9	If the Committee, before it reaches a decision, considers that further investigation or advice is required it will give appropriate directions to the Registrar including, where appropriate, instructions to be given on its behalf to a member of the Inquiry Panel or the Board’s Solicitor.
10	Before deciding that a case should proceed to the Professional Conduct Committee, or that it requires no further action, the Investigations Committee will, as appropriate, invite written representations from the Registered Person in relation to whom a case is being considered and any complainant (the parties).
11	The Committee will notify the parties in writing of the reasons for a decision that a case should either proceed to the Professional Conduct Committee or requires no further action. Where the Committee has decided that no report should be made to the Professional Conduct Committee it will only reconsider its decision in exceptional cases where it receives substantial and material new evidence.
12	In deciding whether or not a case should proceed, the Investigations Committee shall consider whether there is sufficient prospect of a finding of unacceptable professional conduct and/or serious professional incompetence to justify it coming before the Professional Conduct Committee.

	Action in respect of a criminal conviction
13	If it appears to the Registrar that a Registered Person has been convicted of a criminal offence, which has a material relevance to the fitness of that Person to practise as an architect, the Registrar shall (if necessary) cause the facts to be investigated, and a report made to the Professional Conduct Committee.

	Ivestigation Rules
14	After the Committee has decided that a case should proceed to the Professional Conduct Committee but before the conclusion of the hearing before the Professional Conduct Committee the Registrar, having obtained any necessary permission or direction from the Professional Conduct Committee, may refer the matter back to the Investigations Committee for reconsideration if, on the basis of the advice by the Board’s Solicitor or the availability of new evidence or otherwise, the Registrar considers that it is appropriate to do so.
15	On a reconsideration the Committee is to decide whether to:
	a	require further investigation or advice; or
	b	instruct the Board’s Solicitor to proceed on the basis of the report already made; or
	c	instruct the Board’s Solicitor to apply to the Professional Conduct Committee for such directions as the Investigations Committee considers appropriate in the circumstances including (without limit) a direction permitting the amendment or withdrawal of any report previously made.
16	Where a case is reconsidered after a report has been made to the Professional Conduct Committee no decision of the Investigations Committee shall bind the Professional Conduct Committee.

	Powers of the Registrar and of an Inquirer and of the Board’s Solicitor
17	Under these Rules the Registrar, an Inquirer or the Board’s Solicitor shall each have power to call upon any Registered Person to produce such information, books, papers, records and plans as they consider necessary for discharging their functions under these Rules and to permit the inspection of such information, books, papers, records and plans at the business premises of the Registered Person and, where necessary to permit any copying (at the Board’s expense); and every Registered Person must promptly, fully and frankly comply with any requirement made upon him or her under this Rule. This requirement shall not apply to any information in relation to which the Registered Person is entitled to legal professional privilege or the disclosure of which is prohibited by law.

	Reports to the Professional Conduct Committee
18	A report to the Professional Conduct Committee under Rule 8 shall set out the relevant facts and incorporate:
	(i)	a charge that a Registered Person is guilty of unacceptable professional conduct and/or serious professional incompetence, accompanied by a copy of any written statement or other document or plan that it is intended to adduce against him, together with the name and address of any witness whom it is intended to call in person before the Committee and a summary of what that witness is expected to say; or, as the case may be;
	(ii)	a charge that a Registered Person has been convicted of a criminal offence, other than an offence which has no material relevance to his or her fitness to practise as an architect, accompanied by a certificate or other evidence of the conviction.

Professional Conduct Committee Rules
1	These Rules were made by the Board on 12 February 2004 under Section 23 Part I of the First Schedule to the Architects Act 1997. They replace the Rules made by the Board on 14 April 1997, and came into force on 1 March 2004.

	Interpretation
2	In these Rules the following words and phrases shall, except where the contrary intention appears, have the meanings assigned to them below: Act The Architects Act 1997; Board The Architects Registration Board; Charge The Charge in a report; Clerk to the Professional Conduct Committee A barrister or solicitor of that title appointed by the Registrar; Defendant A Registered Person charged before the Professional Conduct Committee of being guilty of unacceptable professional conduct and/or serious professional incompetence or with having been convicted of a criminal offence other than an offence which has no material relevance to his or her fitness to practise as an architect, or his or her legal representative; Investigations Committee The Committee of that name appointed under the Investigations Rules; Professional Conduct Committee The Committee of that name appointed under Part II of the First Schedule to the Act or the members of that Committee designated under Rule 5 of these Rules; Register The Register of Architects maintained by the Registrar under Section 3 of the Act; Registered Person A person whose name is on the Register; Registrar The Registrar of Architects; Board’s Solicitor A barrister, advocate or solicitor of that title appointed by the Registrar; Working Day Any day except Saturday and Sunday and any day on which the offices of the Board are closed to normal business.

3	The Interpretation Act 1978 shall apply to these Rules as if they were an Act of Parliament.

	The Professional Conduct Committee
4	a	Members of the Professional Conduct Committee shall hold office for three years, which term may be renewed. A member of the Professional Conduct Committee who ceases to be a member of the Board shall thereupon cease to be a member of the Committee.
	b	The Board may, in accordance with such rates of allowances as it may from time to time fix, pay attendance fees to and reimburse the members of the Professional Conduct Committee for any travelling and subsistence expenses they have incurred in respect of attendance at meetings of the Committee.

	Action upon receiving a report
5	a	Upon receiving a report the Chairman of the Professional Conduct Committee shall designate three or more members of the Committee to hear the Charge. If the Chairman of the Committee does not designate himself or herself, he or she shall appoint one of the members to act as the Chairman for the purpose of the hearing.
	b	No member of the Professional Conduct Committee who was a member of the Investigations Committee when it considered the conduct of a Registered Person shall be designated to hear a Charge against that person arising out of that consideration.
	c	If at any time the Chairman of the Professional Conduct Committee is of opinion that it is for any reason impracticable for the hearing of a Charge to be completed by the members designated the Chairman may designate further members to hear that Charge afresh.
	d	If a Charge is re-heard pursuant to the previous paragraph, any of the members originally designated may be designated again.
	e	The Clerk to the Professional Conduct Committee shall at all times attend upon the Committee when sitting in the presence of the Defendant or his or her legal representative and shall provide the Committee with such advice concerning matters of law, practice and procedure (including the powers of the Committee) as it may request or he or she deems necessary.

	Notice of the hearing
6	a	Not less than 40 working days before the date of first hearing of a Charge by the Professional Conduct Committee written notice of the date, time and place of the hearing shall be served upon the Defendant. Such notice shall be accompanied by:
	(i)	a copy of the report; and
	(ii)	a copy of these Rules.
	b	In the case of a Charge arising out of a complaint a copy of the notice shall be sent to the person who made the complaint informing him that he or she may attend the hearing.

	Defendant's response
7	Within 20 working days of receipt of the notice referred to in the previous Rule the Defendant shall give to the Board’s Solicitor written notice of whether he or she intends to appear at the hearing and, if he or she is to be legally represented, the name and address of his or her legal representative. If the Defendant intends to plead not guilty the notice shall be accompanied by:
	(a)	brief particulars of the defence;
	(b)	a copy of any written statement or other document or plan that he or she intends to adduce in evidence at the hearing;
	(c)	the name and address of any witness whom he or she intends to call in person before the Committee and a summary of what that witness is expected to say.
	Such notice may be given by being sent by letter addressed to the Board’s Solicitor at the registered offices of the Board or at any other address given for this purpose in the notice served under Rule 6 of these Rules.

	Adjournment
8	a	At the request of the Defendant or the Board’s Solicitor or at his or her own volition the Clerk to the Professional Conduct Committee may at any time adjourn the hearing of a Charge if the Clerk is of opinion that it is in the interests of justice to do so. Written notice of the date, time and place of the adjourned hearing shall be served upon the Defendant.
	b	If a copy of the notice of the original hearing was sent to a person who made a complaint a copy of the notice of the adjourned hearing shall be sent to that person also.

	Pre-trial directions
9	At the request of the Board’s Solicitor or a Defendant or at his or her own volition the Clerk to the Professional Conduct Committee may give such interlocutory directions for the just, expeditious and economical disposal of the case as the Clerk sees fit, so, however, that the effects of the directions are not contrary to the Act or unfair to the Defendant.

	Non-appearance of the Defendant
10	a	If the Defendant fails to appear in person or by his or her legal representative at a hearing or adjourned hearing of a Charge the Professional Conduct Committee may, if satisfied that the Defendant has been given an adequate opportunity to appear before the Committee to argue his or her case and has provided no sufficent reason for non attendance, hear the case in the Defendant’s absence.
	b	A notice under this Rule or under Rules 6 or 8 of these Rules may be served by being sent by post to the Defendant’s regular business address (that is, to the address entered in the Register in accordance with Section 3 of the Act), or to the address of his or her legal representative.
	c	At any time within 28 days of the sending of notice of the decision of the Professional Conduct Committee a Defendant who has neither attended nor been represented at the hearing of his or her case may apply to the Professional Conduct Committee for a rehearing by a sworn statement or affirmation setting out the facts and exhibiting medical or other evidence upon which he or she wishes to rely. If the Professional Conduct Committee is satisfied that the Registered Person has not had in the circumstances an adequate opportunity to appear before the Committee to argue his or her case and that it is just to do so, it may direct a re-hearing upon such terms as it thinks appropriate. The Chairman of the Committee shall designate three members to hear the Charge(s) none of whom had conducted the previous hearing.

	Evidence and proof
11	a	The Professional Conduct Committee shall not be bound by the judicial rules of evidence but may receive such oral, documentary and other evidence as appears to it to be relevant to the case, provided that the Committee shall not receive evidence that would not be admissible in a court of law if it would be unjust to the Defendant so to do.
	b	Neither party shall, without the consent of the other or the permission of the Professional Conduct Committee, call a witness or adduce evidence that was not referred to in a notice served on the other before the hearing in accordance with these Rules.
	c	Subject to the provisions of any enactment or rule of law, the evidence of a witness in person shall be given on oath.
	d	In determining whether a charge of unacceptable professional conduct or serious professional incompetence has been proved the Professional Conduct Committee shall take into account any failure by the Defendant to comply with any provision of the Code of Professional Conduct and Practice issued by the Board under Section 13 of the Act.
	e	The burden of proving a charge shall lie upon the Board’s Solicitor.

	Variations of these Rules
12	a	Provided that the proceedings are fair to the Defendant and not contrary to the Act:
	(i)	no objection shall be upheld to any technical fault in the charge or the proceedings; and
	(ii)	the Professional Conduct Committee may vary any provision of Rules 14–16 of these Rules.
	b	The Professional Conduct Committee may permit the amendment of a Charge, but if such an amendment is permitted and the Defendant has been materially misled he or she shall be entitled to an adjournment.

	Joinder
13	Except where it appears to it that it would not be in the interests of justice to do so, the Professional Conduct Committee may hear Charges against two or more Defendants at the same time and two or more Charges against a Registered Person at the same time.

	Plea
14	a	The proceedings shall begin by the Defendant, if present, being asked whether he or she pleads guilty or not guilty to the Charge.
	b	If the Defendant is not legally represented he or she may first be asked whether he or she admits all or any of the facts alleged in the report..

	Order of proceedings on a plea of not guilty etc
15	a	This Rule prescribes the order of proceedings upon a plea of not guilty or if the Professional Conduct Committee is proceeding under Rule 10 of these Rules in the absence of the Defendant and his or her legal representative.
	b	The hearing shall begin by the Board’s Solicitor outlining the case against the Defendant and calling any witness in person and producing any other evidence.
	c	After the evidence against the Defendant has been called the Defendant shall be entitled to submit that he or she has no case to answer. The Board’s Solicitor shall be entitled to respond to such a submission. If such a submission is upheld the Professional Conduct Committee shall dismiss the Charge. If it is not, the proceedings shall continue as set out below.
	d	The Defendant shall then be entitled to call any witness, give evidence on his or her own behalf and adduce any other evidence.
	e	The Board’s Solicitor shall then be entitled to call witnesses and adduce evidence in rebuttal of any part of the defence case.
	f	After calling any witness in person and adducing any evidence the Defendant may address the Committee.
	g	Any witness called in person by a party may be cross-examined by the other party and, if cross-examined, re-examined by the party calling him.
	h	The Professional Conduct Committee shall, as soon as practicable after the conclusion of the hearing, announce whether it finds the Defendant guilty or not guilty.

	Procedures on a plea of guilty and after a finding of guilt
16	a	Upon a plea of guilty the Board’s Solicitor shall inform the Professional Conduct Committee of the case against the Defendant in accordance with his or her instructions.
	b	Upon a finding of guilt or a plea of guilty the Board’s Solicitor shall inform the Professional Conduct Committee of any circumstances known, whether adverse or favourable to the Defendant, that might be relevant to any order which the Committee might make under the Act.
	c	If on a plea of guilty the Defendant’s version of the facts is in the opinion of the Professional Conduct Committee significantly different from that presented by the Board’s Solicitor the Chairman shall invite the parties to call evidence to resolve the issue.
	d	The Defendant shall be entitled to address the Professional Conduct Committee in mitigation of penalty and for this purpose may call witnesses and adduce evidence.
	e	The Board’s Solicitor shall be entitled to respond to an address in mitigation and to cross-examine any witness called in person in mitigation only:
	(i)	at the request of the Committee;
	(ii)	in order to correct any contested statement of fact; or
	(iii)	on the subject of the Committee's powers.
	f	The Committee shall thereupon consider whether and, if so, how to exercise its powers under Section 15 of the Act and shall announce any penalty or other order as soon as practicable thereafter.

	Public hearing
17	a	A hearing of the Professional Conduct Committee shall be conducted in public unless, in the interests of justice or for other reason specified in Article 6 of the European Convention of Human Rights and Fundamental Freedoms, the Committee directs that all or part of the hearing shall be conducted in private.
	b	An application that all or part of a hearing shall be conducted in private shall be heard in private.
	c	If the Committee makes a direction that a hearing shall be conducted in private the direction shall be strictly confined to so much of the hearing as is necessary for the reason referred to in paragraph a. of this Rule.

	Recording
18	A recording shall be made of the proceedings before the Professional Conduct Committee and a transcript of such recording shall be provided to the Defendant upon his or her written request and on receipt of the costs thereof.

	Reasons
19	The Professional Conduct Committee shall, upon the Defendant’s written request, provide the Defendant as soon as practicable after the hearing with written reasons for its decisions.