ETHICS IN ARCHITECTURAL PROFESSIONAL PRACTICE

In every
profession, there are Rules and Regulations which each and every
professional is bound to abide by while performing his duties.
Architects are not taught, but are made aware of the subject. The idea
is that freedom of expression should not be stifled but should be given a
free hand. Each and every individual is encouraged to create his own
unique design which would really influence culture.

It is said
that Doctors’ mistakes are buried below the earth and Architects’
mistakes are for the world to see. The test of a good Architectural
design is that it needs to be functional and aesthetically appealing.

What is architecture?
As
architects, we are expected constantly to dwell upon the creative
aspect of design. Since architecture is not mathematics, designs cannot
be judged as right or wrong. What matters is the context, concept and
shape which then decides whether design is functional or wonderful or
awesome.

Architecture is basically the Art and Science of
designing spaces and providing services to multifunctional activities
for all human beings. This is the only discipline which encompasses the
major fields of human endeavour: Humanity, Science, Art, and Technology.

Architecture is the matrix of human civilisation, an authentic
measure of the social status and an evocative expression of ethos of an
era. When conserved it is a heritage and when ruined it becomes
archeology. Architecture has generated specialisation. City planning,
landscape and interior architecture, retro fitting of buildings,
architectural conservation, construction management have also lately
emerged as specialisation. Each of these compliments and supports each
other.

Architectural Design essentially is a product of an
individual mind but realised through association of experts from allied
fields who contribute in the process of construction with mutual respect
and understanding and work, assuring high quality of end product.

Regulation of the profession
The
practice of architectural profession is regulated by the Architects
Act, 1972 and Regulations framed there under. The Council of
Architecture has prescribed the conditions of engagement and scale of
charges under the Architects (Professional Conduct) Regulations, 1989.
The documents prescribed, stipulate the parameters within which the
architect is required to function. These define the responsibilities,
the scope of work and services and also prescribe the mandatory minimum
scale of professional charges with a view to make the client fully aware
of the architect. The professional services required by the client may
not be comprehensive in scope in all cases and accordingly, clear understanding between the two must be arrived at. The
Council of Architecture has prescribed the conditions of engagement
based on general practices to all registered architects and such
architects who have specialised in areas such as Structural Design,
Urban Design, City Planning, Landscape Architecture, Interior
Architecture and Architectural Conservation.

Scope of Services
Generally,
architects are required to provide following services, and these
services are called comprehensive services. However, client can also opt
for partial services as per mutual agreement.

a. Taking Client’s instructions and preparation of design in brief.
b. Site evaluation, analysis and impact of existing/or proposed development on its immediate environs.
c. Design and site development.
d. Structural design.
e. Sanitary, plumbing, drainage, water supply and sewerage design.
f. Electrical, electronics, communication systems and design.
g. Heating, ventilation and air conditioning design (HVAC) and other mechanical systems.
h. Elevators, escalators etc.
i. Fire detection, fire protection and security systems etc.
j. Periodic inspection and evaluation of construction work.

The
Architect shall, after taking instructions from the client, render the
following services as described below in various stages:

Stage 1: Concept Design
Take
instructions of client to ascertain the requirements and study the
environs. Prepare report, conceptual design and submit to the client for
approval.

Stage 2: Preliminary Design and Drawings
Modification of conceptual design.

Stage 3: Drawings for Clients and Obtaining Statutory Approvals
Prepare drawings for clients and obtaining statutory approvals from Competent Authorities, if required.

Stage 4: Working Drawings and Tender Documents
Prepare
working drawings and tender documents which cover the mode of
measurements, method of payments, quality control procedures on
materials and works and other conditions of contract.

Stage 5: Appointment of Contractors
Invite, receive and analyse tenders. Also advise the client on appointment of contractor.

Stage 6: Construction
Prepare and issue working drawings and details for proper execution of works during construction.

Approve samples of various elements and components.

Check and approve shop drawings submitted by contractor/ vendors.

Visit
site periodically at intervals agreed mutually, to inspect and evaluate
the construction works. Clarify decisions, interpret
drawings/specifications, attend meetings to ensure that the project
progresses generally in accordance with the conditions of contract and
also to keep the client informed and render advice on actions, if
required.

In order to ensure that the work at site progresses in
accordance with conditions of contract, the day to day supervision will
be carried out by a construction manager (clerk of works/site
supervisor/or construction management agency in case of large and
complex project), who shall work under guidance and direction of the
Architect and shall be appointed and paid by Client. Issue Certificate
of Virtual Completion.

Stage 7: Completion
Prepare
and submit completion reports and drawings for the project as required
and assist the client in obtaining “Completion/Occupation Certificate”
from Statutory authorities, wherever required.

Other aspects
include schedule of payment of professional fees based on stage-wise
completion of contract, documentation and communication charges and
reimbursable expenses.

Architects are supposed to work as per the conditions of engagement, scope of work as well as scale of charges.

Professional Conduct and selfregulation
Further, Council of Architecture in exercise of the powers conferred by the Architects Act, 1972 (Act No. 20 of 1972),read with clause (i) of sub
section (2) of section 45 with approval of the central government, made
the Architects (Professional Conduct) Regulation, 1989 to promote the
standard of professional conduct and self – discipline required of an
Architect, as detailed below:

(1) Every architect, either in
practice or employment, subject to the provisions of the Central Civil
Services (Conduct) Rules, 1964 or any other similar rules applicable to
an architect shall:

(i) Ensure that his professional activities
do not conflict with his general responsibility to contribute to the
quality of the environment and future welfare of society,

(ii)    Apply his skill to the creative, responsible and economic development of his country,

(iii)    Provide professional services of a high standard, to the best of his ability,

(iv)    If in private practice, inform his client of the conditions of engagement and scale of charges and  agree that these conditions shall be on the basis of the appointment,

(v)    Not   sub   –   commission   to   another   architect or architects the work for which he has been commissioned without prior agreement of his client,

(vi)    Not give or take discount, commissions, gift or other inducements for the introduction of clients or of work,

(vii)    Act with fairness and impartiality when administering a building contract.

(viii)    Maintain a high standard of integrity,

(ix)    Promote the advancement of Architecture, standards of Architectural education, research, training and practice,
(x)    Conduct himself in a manner which is not derogatory to his professional character, nor likely to lessen the confidence of the public in the profession, nor bring Architects into disrepute,

(xi)    Compete fairly with other Architects,

(xii)    Observe and uphold the Council’s conditions of engagement and scale of charges,
(xiii)    Not supplant or attempt to supplant another Architect,

(xiv)    Not to prepare designs in competition with other Architects for a client without payment or for reduced fee (except in a competition conducted in accordance with the Architectural competition guidelines approved by the Council),

(xv)    Not attempt to obtain, offer to undertake or accept a commission for which he knows another Architect has been selected or employed until he has evidence that the selection, employment or agreement has been terminated and he has given the previous Architect written notice that he is so doing, provided that in the preliminary stages of work, the Client may consult, in order to select the architect, as many architects as he wants, provided he makes payment of charges to each of the architects so consulted,

(xvi)    Comply with Council’s guidelines for architectural competitions and inform the Council of his appointment as assessor for an architectural competition,

(xvii)    When working in other countries, observe the requirements of codes of conduct applicable to the place where he is working,

(xviii)    Not have or take as partner in his firm any person who is disqualified for registration  by  reason  of  the fact that his name has been removed from the Register under section 29 or 30 of the Architects Act 1972,

(xix)    Provide their employees with suitable working environment, compensate them fairly and facilitate their professional development,
(xx)    Recognise and respect the professional contribution of his employees,

(xxi)    Provide their associates with suitable working environment, compensate them fairly and facilitate their professional development,

(xxii)    Recognise and respect the professional contribution of his associates,

(xxiii)    Recognise and respect the professional contribution of the consultants,

(xxiv)    Enter into agreement with them defining their scope of work, responsibilities, functions, fees and mode of payment,

(xxv)    Shall not advertise his professional services nor shall he allow his name to be included in advertisement or to be used for publicity purpose except for certain prescribed situations

(2)    In a partnership firm of architects, every partner shall ensure that such partnership firm complies with the provisions of sub–regulation (1).

In view of above, we are supposed to adopt best practices in architecture, based on guidelines prepared by the Council of Architecture.

Ethical values in our profession
In my practice of the profession, I have faced some ethical and moral challenges on a number of occasions. I am narrating some of those situations

1)    I was working with one of the leading Architectural Consulting firm during my tenure of service from 1993 to 2002. During the service, I was elevated from Assistant Architect to a very responsible post and was responsible for each & every aspect of decision-making with respect to approvals to occupation certificates.

I was handling almost 30 projects at a time. Of course that was peak time for us in real estate during 1995 – 1999.

It had so happened that in one of our projects some documents were missing, rather, with regard to certain assertions, there was a misrepresentation by the client himself. We were shocked to know that the client had made a blunder. My employer was about to tender his resignation as architect. I was of the opinion that we should not tender our resignation at this stage, and I insisted that the client disclose the correct facts. Not doing so would be shirking our social responsibility. He agreed with my views. We pursued the matter with our client and got him to place on record the valid correct document which was necessary and then proceeded with further work.

If we had ignored the misrepresentation, it would have benefitted the client. If we had taken the decision of resigning from the project, we would have lost trust of the officers of the corporation. We chose the ethical path.
2)    In one of the projects, I was appointed as an architect. Due to large size of land parcel, a layout was required to be approved. However, it was pointed out by the client that the same had already been submitted by another architect in the past. The client also provided the so called Xerox copy of his letter, which I did not believe to be a proper copy and therefore I did not certify the same.

The case came up for hearing in front of municipal officers and I was shocked to know that the previous Architect had not even given his resignation. On knowing that, despite the fact that my effort would go unrewarded I did not continue the project as an architect and was also saved because I had not certified that purported letter of resignation of the previous architect.

    Architect’s professional liability
Professionals are required to discharge their obligations and commitments diligently and befitting with quality and standards of service. The Council of  Architecture  being the regulator of Architectural Education and Profession throughout the country formulates guidelines on architect’s liability.

“Architects Professional Liability” has been approved by Council of Architecture at its 40th meeting.

•     Professional Duties of Architect

1.    service:
The relationship between the architect and the client is that of a service provider and recipient. The professional services rendered by the architect are pursuant to the conditions of engagement and scale of charges entered into between the architect and the client.

•     Competence: An architect being a professional shall possess the required knowledge and skill, proficiency and competence for discharging his professional duties and functions.

•     Duty of Care: It means duty to exercise utmost skill and care.

•    Duties: The duties that  are  required  to be performed  by an architect for various  types  of  projects  have been prescribed by Council of Architecture under the Conditions of Engagement and Scale of Charges for respective areas in the field of architecture.

2.    Professional Conduct:
An architect shall comply with the standards of professional conduct and etiquette and a Code of Ethics set out in clauses
(i)    To (xxv),read with exceptions covered by sub-clauses (a) to (h) of sub- regulation (1) of Regulation 2 of the Architects (Professional Conduct) Regulations, 1989. Violation of any of the provisions of sub-regulation (1) shall constitute a Professional misconduct.

3.    Duties and responsibilities of clients/ owners and occupants:

The client/owner shall discharge all his obligations connected with the project and engagement of the architect in accordance with the Conditions of Agreement as agreed upon. Further, the client (s)/owner (s) and Occupant(s), upon completion of the building shall maintain it properly to safeguard and preserve the longevity of the building.

4.    professional negligence:

4.1    Negligence: “Negligence” of an architect means failure to take reasonable degree of care in the course of his engagement for rendering professional services.

4.2    Deficient service:

4.2.1    “Deficiency”, as defined under section 2(1)(g) of the Consumer Protection Act, 1986 means any fault, imperfection, shortcoming or inadequacy in the quality, nature of performance which is required  to be maintained by or under any law for the time being in force or has been undertaken to be performed by a person in pursuance of a contract or otherwise in relation to any service.

4.2.2    An Architect is required to observe and uphold the Council’s  Conditions  of  Engagement  and   Scale of Charges while rendering architectural service/ services that is/are necessary for discharge of his duties and functions for the project for which he has been engaged, amount to deficient service.

a)    Use of Building for the purpose other than for which it has been designed.

b)    Any changes/modifications to the building carried out by the owner(s)/occupant (s) without the consent or approval of the Architect who designed and/or supervised the construction of the building.

c)    Any changes / alterations / modifications carried out by consulting another architect without the knowledge and consent of erstwhile architect or without obtaining No Objection Certificate of the building.

d)    Illegal / unauthorised changes / alterations / renovations / modifications carried out by the owner
(s) / occupant (s).

e)    Any compromise with the safety norms by the owner(s)/occupants(s).

f)    Distress due to leakage from terrace, toilet, water logging within the vicinity of the building and that would affect the strength /stability of the structure or general wellbeing.

g)    Lack of periodical maintenance or inadequate maintenance by owner(s)/occupant(s).

h)    Damages caused due to any reasons arising out of specialised consultant’s deficient services with regard to design and supervision of the work entrusted to them, who were appointed /engaged in consultation with the client.

i)    Damages caused to the building for the reasons beyond the control of the architects.

5.    Professional Negligence and Deficiency in services -professional Misconduct

If any person is aggrieved by the professional negligence and/or deficiency in services provided by  the  architect,  the matter shall be referred to the Council of Architecture under Rule 35 of the Council of Architecture Rules,  1973 to adjudicate whether the architect is guilty of professional misconduct or not.

6.    Professional Liabilities

6.1    Indemnity Insurance: The architect is required to indemnify the client against losses and damages incurred by the client through the acts of the Architect and shall take out and maintain a Professional Indemnity Insurance Policy, as may be mutually agreed between the  architect  and  the  client,  with a Nationalized Insurance Company or any other recognized Insurance Company by paying the requisite premium.

Maintenance of record: The  architect  is  required to maintain all records related to the project for a minimum period of 4 years after the issuance of Certificate of Virtual Completion.
6.3    Duration: – The architect’s liability shall be limited to  a maximum period of three years after the building is handed over to / occupied by the owner, whichever is earlier.

7.    Nature of liability:
An architect is liable for the negligent act which he committed in the performance of his duties. The action against an architect can be initiated by the client on satisfying the following conditions:

(a)    There must exist a duty to take care, which is owed by an architect to his clients.
(b)    There must be failure on the part of an architect to attain that standard of care prescribed by law, thereby committed breach of such duty.
(c)    The client must have suffered damage due to such breach of duty.

Disciplinary Action under The Architect Act, 1972:
If an architect is found guilty of professional misconduct, he is liable for disciplinary action by the Council of Architecture under section 30 of the Architects Act, 1972, Civil and Criminal action in the Courts of Law.

The disciplinary action taken by the Council of Architect against the architect who has been found guilty of professional misconduct does not absolve him of his liabilities under the Code of Civil Procedure, 1908 and the Code of Criminal Procedure, 1973, if any.

Some of the relevant laws include The Law of Torts, The Consumer Protection Act, 1986 and The Indian Penal Code, 1860 etc.

Case Studies
Prof. Madhav Deobhakta in his book “Architectural Practice in India” illustrated some cases:

1)    Not taking action on their own about area of plot:
There were 13 complaints lodged by civic authorities against Architects in Mumbai. These related to certifying larger area of Land than the actual area. The disciplinary committee after investigations reported that 4 out of 13 be called before the Council. These 4 Architects admitted that they had not surveyed the lands in question; but relied upon the area certificates obtained by their clients. When questioned, they admitted that the area shown in the certificates was much more than the actual area. Further, these four Architects admitted that they did not take any steps to re-survey the plots from City Survey Office.

Council reprimanded these four architects for failure to take action on their own while discharging their professional duties.

2)    Wrong certification of condition of Building: The Architect was requested by one of the tenants to give a report on the condition of the building for a court matter. He reported that the condition of the building was sound. At the time of joint inspection under Court’s order, he admitted that the condition of the building was not sound. When questioned at the time of the appearance before the Bar of the Council, he said when he inspected the building at time of making report it was in sound condition; but the owner was responsible for its sudden deterioration.

Council after considering all facts came to the conclusion that the architect did not act in a responsible manner and decided to reprimand him for professional misconduct.

Conclusion:
The main purpose of the Architects Act, 1972 is to protect the general public from unqualified persons working as architects and to ensure the professional conduct of the practicing Architects.

There are cases of action taken against and for Architects. By and large, professional ethics are generally observed by Architects who work with integrity, responsibility and trust as they consider their profession as the first priority in life.

While regulations are indeed necessary, one has to be ethical in spirit and not only in letter. In life one has to set the ethical bar high enough. It is only then that one can lead life with the head held high!