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1st 2nd 3rd Quarter Report

LEGAL AND COMPLIANCE QUARTERLY REPORTS (FOR THE PERIOD 01 APRIL 2022 – 31 MARCH 2023)

The Architectural Professions Act 44 of 2000 enjoins the South African Council for the Architectural Profession to take any steps it considers necessary for the protection of the public in their dealings with Registered Persons and to take any steps it considers necessary, where, as a result of architectural related undertakings, public health and safety is prejudiced. The objective is to maintain the integrity and the enhancement of the status of the architectural profession.

To that end, complaints of improper conduct against Registered Persons are lodged by aggrieved members of the public in an Affidavit form, under oath or affirmation.  Additionally in cases where the Council has reasonable grounds to suspect that a Registered Person has committed an act which may render him or her guilty of improper conduct, the Council has powers to initiate and investigate such a complaint. Preliminary investigations of complaint against unregistered persons are conducted by conducted by Council and referred to law enforcement agencies.

The Investigating Committee has been delegated by Council to investigate all complaints of improper conduct, to obtain evidence to determine whether or not a Registered Person may be charged with improper conduct for contravention of the Code of Conduct and to make recommendations based on its findings.

Below are the first, second and third quarter complaints of improper conduct that served before various enforcement structures within the organisation (Investigating Committee and Disciplinary Tribunal), and complaints against Registered Persons that were referred to SAPS for criminal cases to registered and investigated, and for further referral to the National Prosecuting Authority (NPA) for prosecution.

QUARTER 1 REPORT (FOR THE PERIOD 01 APRIL 2022 – 30 JUNE 2022)

1.       During the 1st quarter of 2022/2023 Financial Year, 43 new cases were referred to the Legal and Compliance Unit for investigations processes to be invoked. In addition, thereto, the Unit also dealt with 96 cases which were carried over from the previous financial year, thus bringing the total number of cases handled in the 1st quarter to 139. Out of the 139 cases handled:

·         88 x cases were complaints of improper conduct; and

·         51 x cases were complaints against unregistered persons.

2.       There were 9 improper conduct complaints dismissed and closed mainly due to insufficient evidence or lack thereof.

3.       There were 29 improper conduct complaints finalised by the Investigating Committee with the recommendation that charges be preferred against errant Registered Persons.

4.       There were 17 complaints against unregistered persons received in the 1st quarter. In addition thereto, there were 34 unregistered persons complaints carried over from the previous financial year that were placed in abeyance pending appointment of Investigating Officer.

Tables 1 – 5 below provide the statistics, analysis and the breakdown of the 1st quarter complaints in their respective categories.

TABLE 1:

1ST QUARTER STATISTCS

 

No. of complaints carried over from 2021/22

 

No. of complaints received in Q1

 

Total No. of complaints handled in Q1

 

 No. of complaints finalised /  closed in Q1

 

Total No. of complaints to be carried over to Q2

 

96

 

 

43

 

139

 

45

 

 

94

 

 

 

 

TABLE 2

CATEGORIES OF CASES HANDLED IN THE 1ST QUARTER

Categories of cases received in Q1

 

Combined categories of cases handled in Q1 - (carried over + Q1)

Improper conduct

 

Criminal offence (unregistered persons)

Improper conduct

Criminal offence (unregistered persons)

26

17

88

51

 

TOTAL: 43

TOTAL: 139

 

 

TABLE 3

1ST QUARTER PERFORMANCE BREAKDOWN – CRIMINAL OFFENCES AND OF IMPROPER CONDUCT COMPLAINTS

 

1.        

Matters under preliminary Investigation – improper conduct

 

26

2.        

Number of complaints investigated by Investigating Committee in terms of s28(2)

 

39 – case breakdown:

         1 x referred for further 

             evidence.

         9 x dismissed – lack of

             evidence.

        29 x sufficient grounds for

             Charges to be preferred

3.        

Matters pending disciplinary tribunal

 

4

4.        

Plea of guilt and settlement agreements

 

11

 

5.        

Number of matters adjudicated by the Disciplinary Tribunal.

 

8

 

6.        

Matters under preliminary Investigation – unregistered persons

 

17

7.        

Number of complaints placed in abeyance pending appointment of IO

 

34

8.        

Number of complaints referred to the South African Police Services

 

0

 

TOTAL:

 

139

 

The Investigating Committee recommended the following charge(s) to be preferred against 18 Registered Persons:

 

TABLE 4

1ST QUARTER – Breakdown of Complaints referred to the Disciplinary Tribunal

 

No.

Charge(s) to be preferred

Number of charges

1.        

Perform professional work without entering into a written agreement with the client setting out requirements – Rule 4.1 (a) – (i)

 

17 charges to be preferred

2.        

Entering a professional relationship or association with a person who is not a registered person or a registered professional of a closely allied profession without the permission of Council

 

5 charges to be preferred

3.        

Submitting building plans to the Municipality using a consent given by the abutting neighbours to a different plan

 

1 charge to be preferred

4.