Complaints procedure

Effective 2 October 2009

1. The Institute’s Complaints Procedure is NOT a legal process and the Institute’s Conduct Committee cannot award costs nor any form of financial redress to complainants or members. The Conduct Committee is empowered to examine complaints made against members allegedly in breach of the Code of Conduct which was in force when the alleged breach occurred.  Its disciplinary actions are limited to those detailed in paragraph 16 below.

2. As a professional Institute, CIAT has a Code of Conduct which all members must follow.  A copy of the current Code is attached. However in some circumstances it may be necessary to refer to a previous Code.  In circumstances such as these, please contact CIAT for copies and advice or visit the CIAT website: www.ciat.org.uk/complaints/codes.

3. CIAT does not provide any form of legal advice nor does it involve itself in financial disagreements or arrangements between a member and their client.  The Institute has a Dispute Resolution Scheme in place which is run independently as the Independent Dispute Resolution Scheme (IDRS).  If you require further information on this, please go to www.idrs.ltd.uk/consumer/CIAT.asp.

4. A member’s resignation of his membership will not be accepted by the Chief Executive if there is notification of a complaint pending or a complaint is submitted in writing within 28-days (35-days for overseas members) from the date of the resignation letter.

5. A member’s resignation of his membership will not be accepted by the Chief Executive whilst the Conduct Committee is investigating the complaint.

6. Making a Complaint
Any person/s wishing to have a complaint against a member examined by the Conduct Committee, must: 
a)  identify the relevant Code(s) of Conduct relating to their complaint; 
b) complete the Complaint Form by detailing which Clause and/or sub-clause they consider has been breached.  Each clause and/or sub-clause must be accompanied with an explanation as to why the complainant considers there has been a breach;
c) provide full supporting documentation in relation to the complaint raised;
d) note that a copy of the completed Complaint Form identifying the alleged breach/breaches together with the supporting documentation will be sent to the member who is entitled to a right of reply;
e) sign the completed Complaint Form and return this with any supporting documentation to CIAT.

7. Receipt of Complaint
When CIAT receives a complaint against a member it shall:
a) send a copy of the complaint to the member as detailed by the complainant as set out above, together with the relevant Code(s) of Conduct and Conduct & Disciplinary Procedures.
b) advise the member that they have 28-days (35-days if the member resides overseas) to respond to the complaint in writing by completing a Members’ Response Form;
c) warn the member that any answer or statement they may make could be used as evidence by the Conduct Committee;
d) advise the member that their response shall be copied to the complainant for the complainants’ final comment;
e) advise the member that they must sign the completed Members’ Response Form and return this with any supporting documentation to CIAT.

8. Final comments from complainant/s
When CIAT receives the Members’ Response Form as referred to above, it shall:
a) send a copy of this response together with any supporting documentation submitted to the complainant;
b) give the complainant 14-days (or 21-days if the complainant is resident overseas) to provide final comment to the response in writing on the enclosed Final Comment Form;
c) advise the complainant that their final comment will be collated along with their complaint and the members’ response, and that it shall be considered in the first instance by the Honorary Secretary, Chief Executive, and (if required) another Member.

9. Review Stage
Once the complaint paperwork has been collated, CIAT shall submit the complaint for review. In all cases, the Honorary Secretary, Chief Executive and (if required) another Member shall review the complaint and determine:
a) whether the complaint falls within the remit of the Conduct Committee;
b) the clarity of the complaint that has been submitted and its legibility;
c) the relevance of the supporting documentation presented with the complaint;
d) if there is a prima facie case, and if so the case can be taken directly to a Hearing; and
e) if further information or clarification on specific issues is required from either the complainant/s or the member in preparation of the case for the preliminary hearing.

At the Review Stage the Honorary Secretary, Chief Executive plus additional “expert” Members (if required) do NOT have the authority to determine that there is no case to answer.  This decision can only be made by the Conduct Committee.

10. Preliminary Hearing Stage
Once reviewed and having satisfied the Review panel requirements (see para. 9 above), the complaint will be considered by the Conduct Committee who will:
a) assess the information from the complainant/s and the reply from the member, this may include additional information requested at the Review stage;
b) decide whether or not the member has a case to answer in relation to each of the clause(s) and/or sub-clause(s) which have been detailed in the complaint raised against them; and/or
c) determine that additional information or investigation may be necessary.

The Institute’s Conduct Committee has the additional authority to:
a) investigate the conduct of any member;
b) investigate any  additional potential breaches of the Institute’s Code of Conduct;
c) adjourn the preliminary hearing pending further investigation; and
d) appoint a barrister or solicitor to act as an assessor on the Committee.
   
11. If the Conduct Committee decides that the member does have a case to answer in relation to any or all of the clause(s) and/or sub-clause(s) which have been detailed in the complaint raised against them they will, once confirmed, give notice in writing to all parties of the date, venue and time appointed for the Hearing by the Conduct Committee. 

12. At the time the Conduct Committee can also advise the member of any additional clauses which will require an answer at the Hearing.

13. The complainant/s and member are invited to attend and/or provide representation at the Hearing. 

14. At the Preliminary Hearing stage, the Conduct Committee can also determine that the member does not have a case to answer against any or all of the clause(s) and/or sub-clause(s) which have been detailed in the complaint raised against them.  In this instance, the decision is final and no appeal can be made by either party. CIAT shall advise both parties accordingly.

15. Hearing Stage
The documentation submitted by all parties to the complaint, including any additional documentation requested at the Review or Preliminary Hearing stages, will be collated to form the documentation for consideration at the Hearing which will be sent to the member and complainant/s normally one-month prior to the Hearing taking place.

Attendance
The complainant/s, the member and their representatives (if applicable) are entitled to attend the Hearing at their own cost, and will be invited to join the Conduct Committee for the formal Hearing as detailed in the Conduct & Disciplinary Procedures which accompany this document.

Non-attendance
If the complainant/s and the member have indicated they intend to attend the Hearing but fail to attend, it will be for the Conduct Committee to determine whether to proceed with the Hearing or to adjourn accordingly.

The Hearing can proceed without the attendance of the complainant/s and/or the member.

Hearing
a) The Chairman will detail the format for the Hearing and invite the Conduct Committee members to introduce themselves.
b) The complainant/s and/or the member are advised that the Hearing is recorded for minuting purposes only.
c) The Honorary Secretary will detail the alleged breaches of the Code of Conduct and the Code from which they are taken.
d) The member, or their representative, will be invited to respond to the complaint.
e) The Committee will be invited to ask the member questions.
f) The complainant/s attend as witnesses and may be invited to make a statement to the Committee and respond to questions from the Committee and the member or representative.
g) At the conclusion of the questions the Chairman will invite the member to provide any final statement.
h) The parties will also be advised that the decision of the Committee will be sent to them by post normally within two-weeks from the date of the Hearing.
i) The member and complainant/s will then be invited to leave whilst the Committee deliberate and determine the outcome of the Hearing, but will be asked to wait until advised otherwise in case the Committee wish to recall them to the Hearing.

The Conduct Committee has the authority at any time to adjourn the Hearing to seek advice or further information.

16. Disciplinary Actions
When the Conduct Committee finds that a breach of the Code of Conduct has occurred, it will recommend one of the following disciplinary actions in relation to each breach:
a) to require the member to give an undertaking in writing to refrain from further contraventions of the Institute's Code of Conduct;
b) to severely reprimand the member and require them to give an undertaking in writing to refrain from further contraventions of the Institute’s Code of Conduct;
c) to formally reprimand the member and require them to give an undertaking in writing to refrain from further contraventions of the Institute’s Code of Conduct;
d) to suspend the member for such a period as the Committee may recommend without reassessment;
e) to suspend the member from the Institute for such period as the Committee may recommend with reassessment; or
f) to expel the member from the Institute.

The Conduct Committee also has the continuing authority to determine that there is no case to answer.

17. CIAT shall advise all parties of the decision in writing, and the decision is implemented with immediate effect.

18. If after the 28-day period (or 35-days for members and complainants resident overseas) for commencing the Appeal Procedure has elapsed and no request for an appeal has been made, the decision shall be published in the next issue of the Institute's journal Architectural Technology, giving the name, registration number of the member, the clause(s) and/or sub-clauses of the Code breached by the member and the disciplinary action taken.

19. Appeals Procedure:
The Institute subscribes to an Independent Appeals Procedure operated by the Construction Industry Council (CIC). 

Following the decision of the Conduct Committee, the member or complainant shall have the opportunity to lodge an appeal.  Information on the right to appeal will be provided in the letter sent to both the member and complainant confirming the Conduct Committee’s decision after the Hearing.  Any request to appeal must be submitted in writing and must be received within 28-days (or 35-days for residents overseas) from the date of notification of the decision of the Conduct Committee.  For further information, please visit the Construction Industry Council (CIC) website www.cic.org.uk. 

The exception to the right to appeal is if the Committee determines that there is no case to answer. 

END