- An Overview
- If a dispute develops with an architect, what should I do?
- Who may lodge a complaint and why?
- Steps in the complaint review process.
- Principals of Natural Justice
AN OVERVIEW
The Alberta Association of Architects (the Association) is a self
governing professional association responsible for:
- the administration and enforcement of the Architects Act of
Alberta and the Regulations under the Act;
- the registration of practitioners of architecture, in order
to maintain high standards of education and training and the protection
of the Alberta public; and
- the discipline of Members of the Association relating to the
practice of architecture in the province of Alberta.
The Architect, Licensed Interior Designer and Restricted Practitioner
Members of the Alberta Association of Architects ("Members"),
are governed by the Architects Act and the Regulations under the
Act, including a Code of Ethics. As professionals, their prime responsibility
is to their clients. They are expected to maintain the high standards
of practice that is required of the Profession in Alberta.
The Association has established a system to discipline those Members
who do not abide by the Architects Act and Regulations or who fail
to live up to the Code of Ethics. This discipline system, called
the Complaint Review Process, allows members of the public, a way
of communicating information to the Association regarding the conduct
of its Members.
The purpose of this information is to explain the Complaint
Review Process.

IF A DISPUTE DEVELOPS WITH AN ARCHITECT, WHAT SHOULD YOU DO?
Architects are highly trained Professionals who assist clients
solve planning, design, and other construction related problems.
While the vast majority are also skilled business people and communicators,
the interpretation of a specific clients needs and dreams into a
complex building can result in a variety of problems.
The first step in attempting to resolve any dispute should be to
contact the Architect involved. As a professional, the Architect's
prime responsibility is to represent the Client, and so the Architect
should be willing to seek a mutually satisfactory solution, within
the context of the contractual agreement regarding the project.
It should be noted that a good written agreement, carefully reviewed
by both parties prior to signing, is an excellent means of avoiding
potential disputes and is the best protection for both the Client
and the Architect. The Alberta Association of Architects has standard
forms of client-architect agreements that it makes available to
its Members and to the public.
If the Architect and the Client, or Architect and Sub-consultant,
are unable to resolve their difficulties, then mediation may be
helpful. Mediation is a process whereby a neutral third party acts
as Communicator, and assists as parties make decisions themselves.
Mediation can often result in a successful resolution of a dispute
and may avoid costly legal action.
If it becomes evident that the dispute can not be resolved between
the two parties involved, with or without mediation, then arbitration
or legal action may be necessary. The agreement between an Architect
and his Client is governed by contract law, and the Courts may be
the only avenue for resolution. If any form of restitution is sought
by either party and the situation can not be resolved mutually or
through mediation, then legal action may be necessary.
Regardless of whether or not arbitration or legal action is initiated,
a member of the public may lodge a complaint with the Association
against an Architect, Licensed Interior Designer, or a Restricted
Practitioner ("Members").

WHO MAY LODGE A COMPLAINT AND HOW?
Any member of the public may lodge a complaint against an Architect,
Licensed Interior Designer or Restricted Practitioner, if he/she
feels that the Member is guilty of either unprofessional conduct
and/or the unskilled practice of Architecture. Complaints should
be made in writing, to the Director of Practice/Registrar of the
Association, and should contain a detailed description, and as much
documentation as possible regarding the nature of the complaint.
The Complainant should describe exactly what was or was not done.
Copies of any relevant contracts, letters, etc. should be attached.
The names of all the involved Architects, Licensed Interior Designers
and Restricted Practitioners and their firms should be stated.
Once a written complaint has been received by the Association,
the Complaint Review Process is implemented.

STEPS IN THE COMPLAINT REVIEW PROCESS
1. Receipt of the Complaint
When the Association receives a written complaint, the Director
of Practice/Registrar writes the Complainant, acknowledging the
complaint and sends a copy of the complaint to all the Architects,
Licensed Interior Designers and Restricted Practitioners (Members)
involved.
If the content of the complaint and the nature of the complainant
suggest, then the Director of Practice/Registrar may suggest to
both parties that they consider mediation. If both parties are willing
to engage in mediation, then the Association will assist by recommending
a mediator. Any costs associated with the mediation process are
the responsibility of the parties involved. Referring the complaint
to mediation may also be appropriate at other stages of the complaint
review process.

2. Initial Review by the Chairman of the Complaint Review Committee
Once receipt of the complaint is acknowledged and the Members involved
are sent copies of the complaint, the complaint is sent to the Chairman
of the Complaint Review Committee, for initial review. The Chairman
of the Complaint Review Committee is an Architect who volunteers
his/her time, and who is responsible for overseeing the complaint
review process. It is appropriate at this point for the Members
who are the subject of the complaint to also submit to the Association
any documentation they may have that is relevant to the subject
matter of the complaint.
The Chairman reviews the complaint, the documentation submitted
with the complaint, and any information submitted by the Members
whose conduct is the subject of the complaint. The Chairman may
contact the complainant, the Member(s), and anyone else who might
have information regarding the complaint.

The Chairman may make one of a number of decisions at this point.
He/she may direct that:
a)the complaint be DISMISSED. If the Chairman feels there
is no substantial evidence of unprofessional conduct or unskilled
practice by a Member(s), or if he/she considers that the complaint
is frivolous or vexatious, then the Chairman may direct that no
further action be taken. This decision by the Chairman can be appealed
by the Complainant. (Appeals are discussed in more detail later
in this publication.)
b) the Member(s) be sent a LETTER OF ADVICE. If the Chairman
feels that the Member(s) may have erred but that the matter is a
relatively minor one, then the Chairman may write the Member(s)
involved a letter of advice, suggesting how similar situations should
be handled in the future.
c) the complaint be referred to the COMPLAINT REVIEW COMMITTEE.
If the conduct involved is of a serious nature, and if the Chairman
feels that sufficient information is available, he/she may refer
the matter to the Complaint Review Committee for a Hearing to formally
investigate the matter.
d) a PRELIMINARY INVESTIGATION be done. If the Chairman
feels that the evidence available, suggests that a Member(s) may
be guilty of unprofessional conduct and/or the unskilled practice
of architecture, but that the information is not clear, or not sufficient
to go directly to a hearing, then the Chairman may direct that a
preliminary investigation take place.

3. Preliminary Investigation
A preliminary investigation is undertaken by a Member of the Complaint
Review Committee who, like the Chairman of the Committee, is a volunteer
Member of the Alberta Association of Architects. A preliminary investigation
will normally involve discussions with the Complainant and the Member(s)
under investigation, and may also involve others who have knowledge
or information relevant to the situation. The purpose of the preliminary
investigation is to obtain further information and documentation
for review by the Chairman of the Complaint Review Committee. The
information is for the Chairman's use only.
Upon receipt of the report of the preliminary investigation, the
Chairman may then decide to direct that no further action be taken
regarding the complaint, or may refer the complaint to the Complaint
Review Committee for a formal investigation and a Hearing. If the
Chairman directs that no further action be taken, then the Complainant
may appeal this decision.

4. The Hearing
If a complaint is referred to a Hearing, then a 'Notice of Hearing'
is sent to the Member(s) whose conduct is to be investigated at
a hearing held on the complaint or conduct.
The Notice of Hearing is also sent to the Complainant, who will
be called as a witness by the Association at the Hearing. Since
the evidence received by the Association to date suggests that a
Member(s) may be guilty of unprofessional conduct and/or the unskilled
practice of Architecture, the Association now pursues the complaint
and may call other witness besides the Complainant. The Complainant,
may be represented by legal counsel, if he or she so wishes, and
is only present at the Hearing during his/her testimony.
The Member(s) under investigation, is also entitled to be represented
by legal counsel. The Member(s) under investigation is present during
the entire Hearing and is entitled to hear all testimony and review
all documentation presented in evidence.
Hearings before the Complaint Review Committee are confidential.
Only the Member(s) under investigation, the Members of the Complaint
Review Committee, and the Association representatives are allowed
to attend. Other witnesses are present only during their testimony.

There are two parts to a Hearing. The first part is the presentation
of information regarding guilt or innocence. A Panel of the Complaint
Review Committee, composed of at least three Architects who volunteer
their time, hears the testimony regarding the conduct, that is the
subject of the Hearing. Both the Association and the Member(s) under
investigation are entitled to call witnesses. The purpose of this
part of the Hearing is to present information so that the Panel
understands clearly what happened in the situation under investigation.
The Panel then judges the Member's conduct relevant to what is normally
considered acceptable conduct from an Architect practicing today
in Alberta. The Decision of a Panel of the Complaint Review Committee
is confidential, unless the Panel orders that the substance of the
Decision be published, either with or without the name of the Member(s).
The Complainant, however, is entitled to know the nature of the
Decision.
If the Member(s) is found guilty, then the Hearing moves to part
two, 'Submissions' regarding the penalty for the unprofessional
conduct and/or unskilled practice of architecture. The Association
and the Member(s) both make submissions to the Committee regarding
what they consider a fair and reasonable penalty given the present
situation and the Member's past record of conduct.
The Panel then issues its Decision, which includes its findings,
the reasons for its findings, and identifies the penalties assigned
to the Member. The Complaint Review Committee has the authority
to reprimand a Member, order fines, order that the Member pay all
or part of the costs of a Hearing, and may suspend or cancel the
registration of a Member. If suspended or if registration is cancelled,
then the Member is no longer entitled to practice Architecture in
the province of Alberta.

5. Appeals
A Member(s) who has been found guilty of unprofessional conduct
and/or the unskilled practice of Architecture is entitled to appeal
the Decision of the Complaint Review Committee, to the Council of
the Association. The Council is the governing body of the Association
and is composed of Architects elected by the Membership, and a representative
of the Public, appointed by Government. Appeals must be in writing
and must state the findings and/or orders appealed, and the reasons
for the appeal. The appeal must be received by the Director of Practice/Registrar
of the Association within 30 days, after the date of service of
the Decision of the Complaint Review Committee.
The Complainant is entitled to appeal a decision of the Chairman
of the Complaint Review Committee, such as a non-referral of a complaint
to the Complaint Review Committee for investigation at a Hearing.
Such appeals must also be in writing, and must state why, in the
opinion of the Complainant, the Chairman erred in not referring
the matter to the Committee. Appeals must be received by the Director
of Practice/Registrar of the Association within 30 days, of the
receipt of the letter stating that the complaint has been dismissed
by the Chairman.
On appeal, the Council of the Association has the authority to
either uphold the decision of the Chairman or the Complaint Review
Committee, or to overturn or alter the decision.
Member(s) under investigation may also appeal the decision of the
Council to the Alberta Court of Appeal.

PRINCIPLES OF NATURAL JUSTICE
Since a decision of the Complaint Review Committee can directly
affect their rights as Members of the Association, including the
right to practice, 'Discipline Hearings' are conducted consistent
with the principles of natural justice, which are parts of the area
of administrative law. These principles are as follows:
Fairness - The Member(s) under investigation has the right
to know the case against him/her, including the right to call witnesses
and enter evidence. The Complaint Review Committee must consider
the Member's evidence and submissions.
Impartiality - The Members of the Complaint Review Committee,
must be impartial and unbiased and have no personal interest in
the outcome of the case and no private knowledge of the facts. They
must approach the case with open minds.
Reasonability - The process and procedure used by the Complaint
Review Committee must be reasonable, equitable, and workable.

VOLUNTEERS
The volunteer Members of the Complaint Review Committee are only
some of the many volunteer Members that make the Association work.
The tasks they perform in judging the conduct of fellow Professionals
is one of the most difficult and the most time consuming. It is
part of the responsibility the Association has to regulate the practice
of Architecture and to protect the public. Each Member of the Association
assumes a duty at the time of registration to conduct him/herself
in a professional manner at all times in serving their clients and
employers.
FURTHER INFORMATION
Members of the public and Members of the Association are encouraged
to contact the Association should they require further information
regarding the complaint review process.
Note: The above is designed to provide a summary of the
Complaint Review Process. In all cases, the Architects Act, the
Regulations under the Act, and the Bylaws of the Association take
precedence. Members of the Public and Members of the Association
should obtain their own legal advice regarding specific interpretations
of the Act and Regulations and the application of the process to
their specific
circumstances.
For further information regarding the Complaint Review Process,
Arbitration, Mediation and Alternate Dispute Resolution, please
contact:
The Director of Practice
The Alberta Association of Architects
Duggan House
10515 - Saskatchewan Drive
Edmonton, Alberta T6E 4S1
Telephone: (780) 432-0224 Fax: (780) 439-1431

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