Our Regulatory Strategy (Strategy) is intended to help architects, approved partnerships and companies regulated by the ARBV develop a strong and effective compliance culture.
The Strategy embeds a risk-based approach to regulation. This means our regulatory activities and resources are focused in areas where the risk of non-compliance – that is, the probability and impact of non-compliance – is greatest.
The higher the risk associated with non-compliance, the more serious, resource intensive and timely our regulatory response.
The risk-based approach guides our regulatory activities and assists us in determining an appropriate regulatory response.
This approach ensures the objectives underlying the regulatory framework are met, while avoiding undue burden on regulated entities.
Regulatory objectives
In overseeing the regulatory framework, the ARBV aims to:
- promote and maintain high standards of professional conduct and practice
- restrict who can represent themselves as architects
- ensure only suitably qualified entities are registered and approved
- ensure compliance with insurance requirements
- maintain professional accountability of architects
- support architects to fulfil their duties and to engender confidence in and respect for the profession
- encourage and support voluntary compliance.
The ARBV conducts proactive and reactive regulatory activity.
Proactive regulatory activity
Proactive regulatory activity is undertaken on the ARBV’s own initiative to encourage compliance and detect and/or deter non-compliance.
The ARBV’s proactive strategic plan assists with early identification of emerging compliance issues and challenges that regulated entities may face in complying with the regulatory framework.
Proactive activities include:
- providing educational materials to assist practitioners understand and meet their obligations
- engaging with practitioners at industry meetings, stakeholder events and in one-on-one discussions to discuss compliance issues and encourage voluntary compliance
- monitoring of a compliance issue, regulated entity or group of regulated entities based on information received externally or generated internally
- carrying out surveys and questionnaires to help the ARBV better understand industry-wide issues and conditions
- engaging with practitioners and other stakeholders to help practitioners avoid inadvertently breaching protected terms or prohibited conduct provisions
- investigating matters identified through analysis of data and through liaison with relevant stakeholders to determine whether or not non-compliance has occurred.
Reactive regulatory activity
The ARBV undertakes reactive regulatory activity to respond to instances of actual or possible non-compliance. It can result from:
- complaints made to the ARBV by another regulator, client or user of architectural services, or other member of the public
- detection of non-compliance through other activities undertaken by the ARBV, including proactive regulatory activity.
The ARBV’s risk-based approach is used to determine the appropriate response to instances of non-compliance.
The ARBV’s reactive regulatory activity may include:
- education and engagement
- informal advice or warning
- formal warning
- referral to the Architects Tribunal where it has concerns about an architect’s fitness to practise and/or professional conduct
- other regulatory action to mitigate risk, such as suspending or cancelling registration or approval
- institution of prosecution proceedings.
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