Conduct and Disciplinary Procedures

Effective 1 May 2009
 
A. The Conduct and Disciplinary Procedures are published under Charter, Bye-laws and Regulations of the Institute.

B. These Procedures were approved under the Grant of Royal Charter dated 22 July 2005 and amended most recently at the Annual General Meeting on 22 November 2008 and became effective from 1 May 2009.

C. In these procedures the words standing in the first column of the following table shall bear the meaning set opposite to them respectively in the second column if not inconsistent with the subject or context:

WORDS and MEANINGS:
“appeals procedure”; an appeal through an independent tribunal established to consider appeals by members or complainants against disciplinary action or Procedures following a Conduct Committee formal Hearing except where it was determined that there was no case to answer.
“Board”; the Executive Board of the Institute.
"Chartered Member"; those Members awarded the suffix MCIAT and use of the designation "Chartered Architectural Technologist" by the Institute.
"Code of Conduct"; the Institute's professional Code as published under its Charter.
"complainant"; a person or body who may make a complaint to the Institute concerning the professional conduct of a member.
"complaint review"; the mechanism to review the paperwork in advance of either a preliminary hearing or Hearing.
"Conduct Committee"; the Committee established under these Procedures to consider allegations of breaches of the Code of Conduct and to agree actions in relation to the complaint.
"Conduct Committee Member"; a Chartered Member who has been elected onto the Conduct Committee in accordance with these procedures.
“Council”; the Electoral college and Strategic forum of the Institute.
“Councillor”; A regionally or centre elected representative as per the Institute's Regulations.
 “Hearing”; the method by which the Conduct Committee considers the complaint once it has been established that there is a case for the member to answer.
“Institute”; The Chartered Institute of Architectural Technologists.
“In writing”; written, printed or lithographed or partly one or partly another or produced by any other modes of representing or reproducing words in a visible form.
“legal advisor”; a barrister or solicitor to act as a legal advisor to the Conduct Committee in accordance with Schedule 1 of these procedures.
"member"; those members accepted by the Institute as either a Chartered Member (MCIAT), a Technician member (TCIAT), an Associate (ACIAT), a profile candidate or a student.
"preliminary hearing"; the stage at which the Conduct Committee determines whether there is a case to answer and/or whether additional information is required.
"procedural forms"; these forms which the complainant and member are required to complete as part of the complaint process.
“Schedule of Written Evidence”; the bundle of documents to be considered by the Conduct Committee at the Hearing.

Words importing the singular number only shall include the plural number and vice versa.
Words importing the masculine gender only shall include the feminine gender.
Words importing persons shall include corporations.

Conduct Committee
1. The Conduct Committee shall examine any complaint made against a member arising out of the Code of Conduct or any complaint made against a member who is deemed to have conducted himself in a manner inconsistent with the status of a member of the Institute.

2. a) The Conduct Committee shall be established by the Council and shall comprise five Chartered Members including the Honorary Secretary, two Members of Council excluding the President, President-Elect and Immediate Past President, and two Chartered Members. 
b) The Conduct Committee members are elected to serve for a two year term, subject to paragraph three below. 
c)  The election process is as follows:
i. Year 1: the Honorary Secretary, one member of Council, excluding the President, President-Elect and Immediate Past President, and one Chartered Member. ii. Year 2: one member of Council, excluding the President, President-Elect and Immediate Past President, and one Chartered Member.

3. Where a case is ongoing during a Conduct Committee change, the Committee shall remain unchanged until the conclusion for that particular case.

4. The quorum for the Conduct Committee shall be not less than three and must include an Honorary Secretary or his deputy and one member of Council.

5. If the Honorary Secretary:
i. is absent; 
ii is known to any member under investigation; or 
iii. if there is a potential conflict of interest one of the Conduct Committee members present shall take on the duties of the Honorary Secretary, whilst ensuring that the quorum remains three.

6. In respect of a case or a meeting should:
i. the member under investigation, or the complainant be known to any member(s) of the Conduct Committee; or
ii. a potential conflict of interest occur; or
iii. the possibility of a meeting becoming inquorate,

the Executive Board shall have the power to nominate Members to serve on the Conduct Committee as necessary. Additionally, where it is not possible for whatever reason for the Executive Board to act, the President or the Honorary Secretary shall have the power to second Members onto the Conduct Committee.
 
Each Member so seconded shall either be a serving or former member of Council or a former member of the Conduct Committee. Each nominated Member may only serve at that particular meeting, and at subsequent meetings for as long as the case under consideration remains open. Any existing member of the Committee to whom i) or ii) above apply will be excluded from any proceedings relating to that case.

7. In the exceptional circumstances that the member against whom the complaint has been filed is known to all the members of the Conduct Committee, a special Conduct Committee shall be formed in accordance with Clause 6 above.

8. The strictest confidence and any embargoes shall be observed in all circumstances.
 
Proceedings
The stages of a complaint detailed within these proceedings (not all stages are always reached) are:
a) to receive the complaint, member’s response and complainant’s final comments
b) complaint review by the Honorary Secretary, Chief Executive and if considered necessary one Member (see clause 5 of these Procedures)
c) preliminary hearing by the Conduct Committee
d) Hearing
e) Appeal by independent tribunal

1. The Conduct Committee shall have the power to:
a) investigate the conduct of any member against whom a complaint has been received;
b) formulate and determine such a written complaint as it thinks fit after investigation;
c) appoint a barrister or solicitor to act as a legal advisor, as detailed in Schedule 1 hereto onto the Conduct Committee; and
d) determine disciplinary action as set out in the Schedule 1 hereto.

2. The Conduct Committee shall approve the format and guidance notes for processing a complaint.

3. A complainant who has made allegations of a breach of the Institute’s Code shall be:
a) provided with guidance on the Institute’s complaint process and strict timeframes;
b) warned that any statement he may make could be used as evidence by the Conduct Committee;
c) advised that he can attend the formal Hearing as a witness, should the Conduct Committee determine a Hearing should be held;
d) sent a complete copy of the Schedule of Written Evidence being considered by the Conduct Committee at the Hearing should one be scheduled as detailed in Schedule 1 hereto, if it is determined that there is a case to answer; and
e) sent a copy of these Procedures.

4. A member against whom a complaint has been made shall be:
a) warned that any statement he may make could be used as evidence by the Conduct Committee;
b) informed of the complaint in writing and be given the opportunity to respond in writing, which, if accepted, shall be sent to the Honorary Secretary within twenty-eight days (or thirty-five days for members resident overseas);
c) informed that his response, together with the supporting documentation shall be sent to the complainant for further comment. The complainant shall make further comment within fourteen days (or twenty-one days for complainants resident overseas);
d) informed that the time limit within which a response shall be made by either party may be extended on application in writing to the Honorary Secretary if in his opinion there is good and sufficient reason for extension;
e) given at least twenty-eight days (or thirty-five days for members resident overseas) notice in writing of the day, place and time appointed for the hearing by the Conduct Committee;
f) sent a complete copy of the Schedule of Written Evidence being considered by the Conduct Committee at the Hearing, as detailed in Schedule 1 hereto if it is determined that there is a case to answer;
g) informed that he may elect to attend in person before the Conduct Committee and make explanation, (but not to be present during the Conduct Committee's deliberations);
h) advised that the complainant may elect to attend in person as a witness before the Conduct Committee; and
i) sent a copy of these procedures.

5. In all cases the Honorary Secretary together with CIAT’s Chief Executive, and if considered necessary, another Chartered Member, shall review the complaint to determine if:
a) there is a prima facie case, if so the case can be taken directly to a Hearing;
b) further information or clarification is required in preparation of the case for the preliminary hearing. Another Chartered Member may be invited to review the complaint if, for example, local jurisdictional knowledge is required that is outside the scope of the Honorary Secretary.

6. There shall be no power within the complaint review process to determine that there is no case to answer.

7. All cases shall be reviewed within a reasonable timeframe.

8. Unless already determined within the complaint review process, the first duty of the Conduct Committee is to determine whether there is a prima facie case for the member to answer. For this purpose, the Conduct Committee shall not hold a Hearing but will consider each alleged breach forming the complaint together with its supporting documents and the member’s response, and, if satisfied that a prima facie case has been established, shall notify the member and the complainant accordingly with the details of the date of the Conduct Committee Hearing which shall Hear the complaint.

9. The Conduct Committee has the authority to seek further clarification or evidence before making its determinations.

10. The Conduct Committee has the authority to adjourn the preliminary hearing or Hearing if considered necessary.

11. A member against whom a complaint has been raised for consideration by the Conduct Committee shall have a right to be heard either in person or by a friend, to call witnesses on his own behalf and to examine and cross-examine any witness called before the Conduct Committee to give oral evidence. However, no member may be legally represented before the Conduct Committee unless a minimum of twenty-one days (or twenty-eight days for members resident overseas) notice has been given to the Honorary Secretary in writing.

12. The Conduct Committee may at any time during the Procedures decide that there is no case to answer in which case there shall be no right to request an appeal of this decision.

13. If the Conduct Committee considers at the Hearing the complaint to be proved, it shall then agree the appropriate disciplinary action to be taken against the member.

14. The reasoned decision of the Conduct Committee shall be notified in writing to the member and the complainant by the Honorary Secretary.

15. The disciplinary action shall take immediate effect.

16. The parties shall also be informed of the Appeals Procedure, the grounds for requesting an appeal and the applicable time limits.

17. The Appeals Procedure shall be independent from the Institute. Its operation shall be approved by the Executive Board.

18. No publication of the disciplinary action shall be made until the twenty-eighth day (or thirty-fifth day for members and complainants resident overseas) period for commencing the Appeal Procedure has elapsed.

19. If after the twenty-eight days (or thirty-five days for members and complainants resident overseas) period for commencing the Appeal Procedure has elapsed and no request for an appeal has been made, then the decision shall be published in the next issue of the Institute's journal giving the name, registration number of the member, the clause of the Code breached by the member and the disciplinary action taken.

20. The Committee may also determine to report the decision outside of the Institute, if considered appropriate for the particular circumstances.

21. A report on Conduct Committee decisions shall be collated for the Executive Board detailing the name, registration number of the member, the complaint and the summary of findings and its disciplinary action. If a request for an appeal is made the Executive Board shall also be advised.

22. Save as provided for in paragraphs 18 to 21 no disclosure of any kind shall be made by any member of the Conduct Committee to any person concerning any matter which is or has been the subject of a complaint. Proceedings of the Conduct Committee in regard to discipline shall be held in private unless the Executive Board on the recommendation of the Conduct Committee shall decide otherwise, to ensure compliance with any legal obligation.

23. The proceedings for hearing and determining a complaint shall be conducted in accordance with the Disciplinary Procedure Directions set out in Schedule 1 hereto.

SCHEDULE 1: Disciplinary Procedure Direction 
Responsibilities of the legal advisor        
1. It shall be the duty of any legal advisor appointed by the Conduct Committee for the Hearing of the complaint under the Conduct and Disciplinary Procedures:
a) to take notice of:
(i) the Charter, Byelaws and Regulations of the Institute
(ii) the Code of Conduct of the Institute effective at the time of the alleged breach;
(iii) the complaint;
(iv) the response of the member to the complaint;
(v) the final comment of the complainant; and
(vi) any other evidence which the Honorary Secretary may specify and which is pertinent to the proceedings;
b) to inform the Conduct Committee of any irregularity in the conduct of the proceedings relating to the complaint which may come to his notice and to advise the Conduct Committee where it appears to him that but for such advice there is a possibility of injustice or a miscarriage of justice;
c) to advise the Conduct Committee on any question of law or the admission of evidence arising in the proceedings which they may refer to him; and
d) to tender advice on any question of regularity, justice, law or admissibility of evidence arising in the proceedings which the Honorary Secretary may specify.

Submission of Response to the Complaint
2. The written response of the member to which the Procedures refer shall be in the "members' response form" or other form prescribed by the Honorary Secretary and signed by the member himself.
 
3. If the member intends to defend the complaint he shall state his defence in his written response, and at the same time he shall provide any supporting evidence which is not included in the Schedule of Written Evidence in support of the complaint.
 
4. The member shall provide in writing such supplementary responses as may be reasonably required by the Conduct Committee or by the Honorary Secretary.
 
5. The member shall give reasonable notice if he intends to call witnesses.

6. The member shall be advised if the complainant wishes to attend.

7. The complainant may attend and will be treated as a witness for the purpose of the proceedings.

8. The complainant shall give reasonable notice if he wishes to attend the member’s Hearing.

9. Both the member and complainant shall receive the Schedule of Written Evidence to be considered at the Hearing by the Conduct Committee.

Attendance of Witnesses
10. Witnesses shall not be called without permission of the Conduct Committee, who may require the member or any person acting for the member to indicate the matter on which the proposed witness is to give evidence, to enable the Conduct Committee to decide whether such matter is pertinent to the proceedings and whether the Conduct Committee will accept the evidence without further proof.

Arrangements for the Hearing
11. When the member elects to attend in person, the order in accordance with which the Hearing of a complaint will normally proceed shall be as follows:
a) The member will be called before the Conduct Committee.
b) The Conduct Committee will make themselves known to the respondent.
c) If the member is accompanied by others he will make them known to the Conduct Committee, or the person by whom the member wishes to be heard will make himself and those with him known to the Conduct Committee.
d) The procedure to be followed will be explained by the Conduct Committee.
e) The complaint will be read and the member's written response and any final comments from the complainant taken into consideration.
f) The Conduct Committee will put to the member any questions arising out of the complaint and the evidence in support of the member's written response which the Conduct Committee considers pertinent.
g) Any witnesses will be called to give evidence and answer questions as directed by the Conduct Committee, the member or his representative will have the opportunity to ask questions of the witnesses.
h) The member or his representative will be given the opportunity to address the Conduct Committee.
i) After the Conduct Committee has heard the member (or his representative) and any witnesses, the member (or any person with him) will be informed that the Conduct Committee will make its decision and all parties to the complaint will be notified in writing following the Hearing.

12. In the event of any party failing to appear at the Hearing, the Conduct Committee may dispose of the case in the party’s absence. The Conduct Committee has the power to order a re-Hearing or an adjournment if the member did not appear and was not represented at the Hearing.

13. If the member elects not to attend the Hearing, the Conduct Committee will hold the Hearing in his absence. 

14. The Conduct Committee shall take reasonable steps to accommodate the member if he wishes to attend the Hearing but requires an alternative date.  The decision to re-schedule the Hearing shall be taken by the Honorary Secretary if in his opinion there is good and sufficient reason following a written application by the member providing the reason(s) for the request.

Requirements for an Adjourned Hearing
15. Where a hearing has been adjourned it may be resumed by a subsequent Hearing of the Conduct Committee provided it is composed of the same persons.
 
16. The Conduct Committee at a subsequent Hearing may take notice of evidence or decisions recorded in the minutes of the adjourned Hearing.

Schedule of Disciplinary Action
17. When a complaint is proved, the Conduct Committee shall agree one of the following disciplinary actions for each breach of the Code of Conduct:
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 reprimand the member and require the member to give an undertaking in writing to refrain from further contraventions of the Institute's Code of Conduct.
c) To suspend the member from the Institute for such a period as the Conduct Committee may recommend without reassessment
d) To suspend the member from the Institute for such a period as the Conduct Committee may recommend with reassessment (Institute policy stipulates that if a Chartered Member ceases his membership, for whatever reason, for more than three consecutive years, the individual must sit a Professional Practice Re-Entry Interview.)
e) To expel the member from the Institute.

END