Professional Conduct Inquires

In this article, we delve into the following:

• What are Professional Conduct Inquiries;
• Builders Misconduct;
• How to Respond to a Conduct Inquiry;
• Pleas in Mitigation; and
• Why Legal Representation is Recommended for a Conduct Inquiry.

Regulatory organisations or trade associations may initiate professional conduct enquiries to determine if a builder or other construction industry professional has complied with the code of ethics and professionalism. These investigations are essential to upholding community norms, protecting the interests of all parties concerned, and preserving integrity and accountability. Various circumstances, including complaints, regulatory violations, or concerns expressed by peers in the business, may initiate these inquiries.

Builders Misconduct

Various entities may bring about a professional conduct inquiry on a practitioner in order to maintain the integrity of the construction industry and ensure accountability of practitioners.

The general public is the real client of a private certifier or building surveyor, as they have an interest in reliable construction standards and maintenance of sale. Evaluating the quality of projects and buildings is the job of a building surveyor. A building surveyor may report activities they become aware of where they hold a reasonable suspicion of, unlawful activity or a matter that creates an immediate or imminent risk to health and safety concerning the building. However, they are not required to verify that practitioners are meeting any legal requirements outside of their statutory functions.

Owners who are dissatisfied with defaults or the builder’s work may also request a professional conduct investigation. If the fact finder is convinced that professional misconduct has occurred, they must base their decision on that finding. If they are not satisfied, they may be subject to unfavourable disciplinary actions. The practitioner faces serious reputational damage and possible financial losses, so proving “reasonable satisfaction” is a stronger standard of proof required to convict.

How to Respond to a Conduct Inquiry

Engaging a lawyer is highly recommended for a favourable outcome. Respondents frequently underestimate the possibility of unforeseen events and therefore it is advisable to consult with a lawyer who specialises in professional conduct investigations, particularly in the construction industry. Following the hiring of a legal counsel, it is customary to evaluate which charges are debatable and which are not. When there is no way to refute an allegation, a legal counsel will typically try to have a plea in mitigation filed, which would explain the practitioner’s actions while attempting to reduce any possible consequences. If the practitioner is guilty of the alleged conduct, there is a peril in denying it at all costs however, A well thought out plea in mitigation can normally be the most prudent cause of action.

Pleas of Mitigation

Key elements in a plea of mitigation may contest.

• Any remorse or guilt for anything that has occurred;
• A genuine recognition that wrong has occurred;
• A genuine commitment to change;
• Any changes or understanding reached as a result of the errors; and
• A good prior record that unequivocally proves that the conduct is an anomaly rather than a recurring pattern.

Only in cases where the evidence refutes a conviction for practitioner misconduct or subpar professional behaviour may charges be disputed.

At least two or three people who have known the practitioner for a few years can provide character references, which further speak to the practitioner’s expertise, honesty, and competency.

Why Legal Representation is Recommended for a Conduct Inquiry

Investigations of professional conduct can have an intricate impact on a practitioner’s reputation and future opportunities for projects and financial avenues. Therefore, it is strongly advised that the practitioner have legal representation to guarantee support and advocacy throughout the proceedings and comprehend rights, management of the legal issues, and effectively present their case. Legal representation can also help with settlement and any potential mitigation pleas, allowing for a more favourable outcome.

For all your professional conduct inquiries, contact us today at admin@elaminelaw.com.au or call us at 03 8400 0100.