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.
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TABLE
1: 1ST
QUARTER STATISTCS |
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|
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
|
|
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TABLE 2 CATEGORIES OF
CASES HANDLED IN THE 1ST QUARTER |
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|
Categories of
cases received in Q1
|
Combined categories
of cases handled in Q1 - (carried over + Q1) |
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|
Improper conduct
|
Criminal offence (unregistered persons) |
Improper conduct |
Criminal offence (unregistered persons) |
|
26 |
17 |
88 |
51
|
|
TOTAL: 43 |
TOTAL: 139 |
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TABLE 3 1ST QUARTER PERFORMANCE BREAKDOWN –
CRIMINAL OFFENCES AND OF IMPROPER CONDUCT COMPLAINTS
|
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|
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 |
|
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TABLE 4 1ST QUARTER
– Breakdown of Complaints referred to the Disciplinary Tribunal
|
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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. |
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