Professional practice

Architect’s professional liabilities- as per COA

document guidelines
1.0 Professional Duties of Architect:
• 1.1 Service:
– "Service", as defined under Section 2 (1) (0) of the Consumer Protection Act, 1986,
means service of any description which is made available to potential users and includes
the provision of facilities in connection with banking, financing insurance, transport,
processing, supply of electrical or other energy, board or lodging or both, housing
construction, entertainment, amusement or the purveying of news or other
information, but does not include the rendering of any service free of charge or under a
contract of personal service.
– In other words, rendering professional service by an architect for "consideration" falls
within the ambit of "service". The relationship between the Client and the Architect is
that of recipient and provider of service.
– The professional services rendered by the architect mean the services rendered
pursuant to the Conditions of Engagement and Scale of Charges, entered into between
the Client and the Architect.
 Architect’s professional liabilities- as per COA
document guidelines
• 1.2 Competence:
– An architect, being a professional, shall possess the required knowledge and skill i.e.
proficiency and competence for discharging his professional duties and functions.
– These are governed under the provisions of the Architects Act, 1972 and the Architects
(Professional Conduct) Regulations, 1989, framed thereunder.
• 1.3 Duty of care:
– It means duty to exercise utmost skill and care. When an architect offers professional
advice/architectural services, implicitly undertakes that he is possessed of the
knowledge and skill for the purpose.
– Thus, an architect shall bring to his task a reasonable degree of knowledge and skill and
must exercise a reasonable degree of care.
• 1.4 Duties:
– The duties that are required to be performed by an architect for various types of
projects have been prescribed by the Council of Architecture under the Conditions of
Engagement and Scale of Charges for respective areas in the field of architecture.
– The documents stipulate the parameters within which the Architect is required to
function. However, the Conditions of Engagement and matters related therewith for a
given project shall be carried out in accordance with the terms and Conditions of
Agreement executed between the Client and the Architect.
Architect’s professional liabilities- as per COA
document guidelines
2.0 Professional Conduct:
– An architect shall be required to 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.
3.0 Client's - Owner's/ Occupant's duties and responsibilities:
– The Owner - Client 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) / Occupant(s)
upon completion of the building shall maintain it properly to safeguard and
preserve the longevity of the building
4.0 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.
Architect’s professional liabilities- as per COA
document guidelines
– 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 and manner 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 services in terms of
Regulation 2 (1) (xii) of the Architects (Professional Conduct) Regulations, 1989.
Thus, failure to provide any 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.
– 4.3 Exceptions: An architect is not liable for any liability, if the damage to the
building has occasioned in the following circumstances :
• 4.3.1 Use of building for the purposes other than for which it has been designed.
• 4.3.2 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
Architect’s professional liabilities- as per COA
document guidelines
• 4.3.3 Any changes/alterations/modifications carried out by consulting
another architect without the knowledge and consent of erstwhile
architect or without obtaining No Objection Certificate from him.
• 4.3.4 Illegal/unauthorised changes/alteration/ renovations / modifications
carried out by the owner(s)/occupant(s).
• 4.3.5 Any compromise with the safety norms by the owner(s)/
occupant(s).
• 4.3.6 Distress due to leakage from terrace, toilets, water logging within
the vicinity of the building and that would affect the strength/stability of
the structure or general well-being.
• 4.3.7 Lack of periodical maintenance or inadequate maintenance by the
owner(s)/occupant(s).
• 4.3.8 Damages caused due to any reasons arising out of `specialised
consultants' deficient services with regard to design and supervision of
the work entrusted to them, who were appointed/ engaged in
consultation with the Client.
• 4.3.9 Damages caused to the building for the reasons beyond the control
of the architect.
Architect’s professional liabilities- as per COA
document guidelines
5.0 Professional Negligence and Deficiency in Services -
Professional Misconduct :
– Any person 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.

6.0 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 Nationalised Insurance Company or any
other recognized Insurance Company by paying a requisite premium.
– 6.2 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.
Architect’s professional liabilities- as per COA
document guidelines
7.0 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 client.
– (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.
– 7.1 Disciplinary action under the Architects 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.
– 7.2 Civil and Criminal action in the Courts of Law
• 7.2.1 The disciplinary action taken by the Council of Architecture 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.
– * Prescribed under regulation 2(1)(xii) of the Architects Professional Conduct Regulations,
1989. This revised document was approved by the Council of Architecture at its 40th
Meeting held on 12th and 13th April, 2002, vide Resolution No. 303.
ARCHITECTS (PROFESSIONAL CONDUCT)
REGULATIONS, 1989
 ARCHITECTS (PROFESSIONAL CONDUCT)
REGULATIONS, 1989 *
(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, he 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 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,
 ARCHITECTS (PROFESSIONAL CONDUCT)
REGULATIONS, 1989 *
• vi. Not give or take discounts, commissions, gifts 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 prepare designs in competition with other Architects for a Client
without payment or for a reduced fee (except in a competition conducted in
accordance with the Architectural competition guidelines approved by the
Council)
 ARCHITECTS (PROFESSIONAL CONDUCT)
REGULATIONS, 1989 *
• 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 works, 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 form 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. Recognize and respect the professional contribution of his employees,
• xxi. Provide their associates with suitable working environment, compensate them fairly and
facilitate their professional development,
 ARCHITECTS (PROFESSIONAL CONDUCT)
REGULATIONS, 1989 *
• xxii. Recognize and respect the professional contribution of his associates,
• xxiii. Recognize 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 purposes save the following
exceptions :-
– (a) a notice of change of address may be published on three occasions and
correspondents may be informed by post,
– (b) an Architect may exhibit his name outside his office and on a building, either under
construction or completed, for which he is or was an Architect, provided the lettering
does not exceed 10 cm. in height ,
– (c) advertisements including the name and address of an Architect may be published in
connection with calling of tenders, staff requirements and similar matters,
– (d) may allow his name to be associated with illustrations and descriptions of his work in
the press or other public media but he shall not give or accept any consideration for
such appearances,
 ARCHITECTS (PROFESSIONAL CONDUCT)
REGULATIONS, 1989 *
– (e) may allow his name to appear in advertisements inserted in the press by
suppliers or manufacturers of materials used in a building he has designed,
provided his name is included in an unostentatious manner and he does not
accept any consideration for its use,
– (f) may allow his name to appear in brochure prepared by Clients for the
purpose of advertising or promoting projects for which he has been
commissioned,
– (g) may produce or publish brochures, pamphlets describing his experience
and capabilities for distribution to those potential Clients whom he can
identify by name and position
– (h) may allow his name to appear in the classified columns of the trade /
professional directory and/or telephone directory/ website.
• (2) In a partnership firm of architects, every partner shall
ensure that such partnership firm complies with the
provisions of the sub-regulation (1).
• (3) Violation of any of the provisions of sub-regulation (1) shall
constitute a professional misconduct.
Schedule of services
 Schedule of services
• The architect shall after taking the instructions from the client,
render the following services
– Concept design (stage 1)
• Ascertain client’s requirements, examine site constraints and potential
– Prepare a design brief for client’s approval
• Prepare report on site evaluation, state of existing buildings if any,
– Analyse the impact of existing and /or proposed development on its immediate environs
• Furnish a report on measures that are required to be taken to mitigate the adverse
impact, if any, of the existing and/or proposed development of its immediate environs.
• Prepare conceptual designs with reference to the requirements given and prepare
rough estimate of cost on area basis.
– Preliminary Design and Drawings (stage 2)
• Modify the conceptual designs incorporating required changes and prepare the
preliminary drawings, sketches, study model etc., for the clients approval along with
the preliminary estimate of cost on area basis.
– Drawings for clients/ statutory approvals (stage 3)
• Prepare the drawings necessary for the client’s/ statutory approvals and ensure the
compliance with codes, standards and legislation, as applicable and assist client in
obtaining statutory approvals thereof if required.
 Schedule of services
– Working documents and tender documents (stage 4)
• Prepare the working drawings, specifications and the schedule of
documents including a code of practice covering the aspects like mode of
measurement, method of payments, quality control procedures on
materials and works and other conditions of contract.
– Appointment of contractors (stage 5)
• Invite, receive and analyse the tenders; advice the client on appointment
of contractors
– Construction (stage 6)
• Working drawings – The Architect prepares Working Drawings and details
for the proper execution of works during construction.
• Issue drawings to Contractors – He issues sufficient copies of working
drawings, schedules, specifications, Bill of Quantities and other contract
documents to the Contractors for the proper execution of works.
• Approves Works progress schedule – He approves the Works Progress
Schedule, prepared by the Contractors.
• Approves samples – He approves samples of various elements and
components submitted by the Contractors and Vendors
 Schedule of services
• Appointment of Site Supervisor – He advises the Client to appoint and pay a
Construction Manager or Clerk of Works or Site Supervisor, (who shall work under the
guidance of the Architect), for the day-to-day supervision at site, in order to ensure that
the work at site proceeds in accordance with the contract documents and drawings.
• Attends meetings – He attends conferences, meetings to ensure that the project
proceeds generally in accordance with the conditions of contract.
• Site visits – He Visits the site at intervals mutually agreed upon, to inspect and evaluate
the construction work and keeps the client informed on the quality and progress of
work. Where necessary, he clarifies any decision and offers interpretation of the
drawings and specifications at site.
• Quality control check at site – The Architect shall ensure that the drawings are being
correctly interpreted at site, and the finishing is of acceptable quality. In case of adverse
certification, the payments of the contractor shall be with held until the defects have
been rectified.
• Advises on unexpected time/cost variations – He advises the Client if the Contract time
is likely to be varied, or if the total authorized expenditure is likely to be exceeded.
• Check Contracor’s bills – If required by the Client, the Architect checks the Contractors
applications for payment (Bills) with the help of the site engineers, and issues
Certificates authorizing payment for an additional fees of 1%.
• Issue Certificate of completion – He issues Certificate of Virtual Completion of works.
 Schedule of services
– Completion (stage 7)
• Completion reports – The Architect prepares and submits completion reports and
drawings for the project as required.
• Occupation certificate – He assists the Client in obtaining Completion or
Occupation Certificate from the Statutory Authorities wherever required.
• As-built drawings – He issues two sets of as-built drawings including services and
structures.

• Schedule of payment
• The Architect shall be paid professional fee in the following stages consistent with
the work done plus other charges and reimbursable expenses as agreed upon :

Retainer Rs. 20M* or 5% of the total fees payable,

On appointment/ Signing of Agreement/ whichever is higher, adjustable at the last
acceptance of offer. stage.
Stage 1
On submitting conceptual designs and 10% of the total fees payable.
rough estimate of cost.
Stage 2
On submitting the required preliminary 20% of the total fees payable less payment
scheme for the Client's approval along with already made at Stage 1.
the preliminary estimate of cost.
 Schedule of payment
Stage 3
a) On incorporating Client's suggestions 30% of the total fees payable less payment
and submitting drawings for approval from already made at Stages 1 and 2.
the Client/ statutory authorities, if
required.
b) Upon Client's / statutory approval 35% of the total fees payable less payment
necessary for commencement of already made at Stages1 to 3a.
construction, wherever applicable.
Stage 4
Upon preparation of working drawings, 45% of the total fees payable less payment
specifications and schedule of quantities already made at Stages1 to 3a.
sufficient to prepare estimate of cost and
preparation of tender documents.
Stage 5
On inviting, receiving and analysing 55% of the total fees payable less payment
tenders; advising Client on appointment of already made at Stages 1 to 4.
contractors.
 Schedule of payment
Stage 6
a) On submitting working drawings and
details required for commencement of
work at site.
b)
i. On completion of 20% of the work
ii. On completion of 40% of the work
iii. On completion of 60% of the work
iv. On completion of 80% of the work
v. On Virtual Completion
Stage 7
On submitting Completion Report and
drawings for issuance of completion/
occupancy certificate by statutory
authorities, wherever required and on issue
of as built drawings
65% of the total fees payable less payment
already made at Stages 1 to 5.
70% of the total fees payable less payment
already made at Stages 1 to 6a.
75% of the total fees payable less payment
already made at Stages 1 to 6b(i).
80% of the total fees payable less payment
already made at Stages 1 to 6b(ii).
85% of the total fees payable less payment
already made at Stages 1 to 6b(iii).
90% of the total fees payable less payment
already made at Stages 1 to 6b(iv).
100% of the fees payable less payment
already made at
various stages and retainer.
 Comprehensive Architectural Services
1. SCOPE OF WORK
The Architect is required to provide services in respect of the following :
• Part I - ARCHITECTURE :
– 1. Taking Client's instructions and preparation of design brief.
– 2 . Site evaluation, analysis and impact of existing and / or proposed
development on its immediate environs.
– 3. Design and site development.
– 4. Structural design.
– 5. Sanitary, plumbing, drainage, water supply and sewerage design.
– 6. Electrical, electronic, communication systems and design.
– 7. Heating, ventilation and air conditioning design (HVAC) and other
mechanical systems.
– 8. Elevators, escalators, etc.
– 9. Fire detection, Fire protection and Security systems etc.
– 10. Periodic inspection and evaluation of Construction works.
 Comprehensive Architectural Services

• Part II - ALLIED FIELDS :

– 11. Landscape Architecture

– 12. Interior Architecture

– 13. Architectural Conservation

– 14. Retrofitting of Buildings

– 15. Graphic Design and Signage

Professional Practice

Module 2
 Architectural Practice
• There are several ways an architect can work
– Single proprietorship
– Partnership
– Private limited company
– Large scale consulting company
– Very large offices
– Freelancing
– Architect as a builder/developer
 Types of firms
• Single proprietorship
– Easiest and simplest
• Most widely found
– Solely responsible
• To bring projects
• Prepare and progress
• Completion of project
• Getting different types of licenses
• Issuing certificates
– Can employ assistants and give directions
– Advantages
• Freedom in design
• Management
• Enjoy full profit and fame
• Can take fast decisions, rectify mistakes and execute them
• Suitable for small and medium projects
• Can pay personal attention
 Single proprietorship
– Disadvantages
• Bear all losses
• Blame for mistakes
• Sued for lack of discharging duties and supervision
• Difficult in handling large projects
– May not have total control
– Associateship
• A variation
– Employ seniors as associates
– Have greater responsibilities
– Can bring projects
– Can take decisions
» But need not be binding for the principal
– Have a share in the profit
– Can handle individual projects
• Principal can remove associate from being an associate
 Types of firms
• Partnership
– May be two or more partners
– Agreement with
• A designated name, style and symbol
• Duties and responsibilities
• Sharing profits and losses
• Liabilities
• Option to leave partnership
– Advantages
• Sharing of responsibilities
• Large organisation of employees
• Take up large scale projects
• Can take greater risks
• Can provide various services
– Partners from same or different backgrounds
• Can access more capital
 Partnership
– Disadvantages
• Slow in taking decisions
– Since many people are involved
– Communication gap among workers
• Difference in ideas of partners
• Problems due to mismanagement of partners
– Financially and work
– Advantageous if individual projects are handled
• Share space, infrastructure and tax benefits
 Types of firms
• Private limited company
– Another option is to convert the office into limited
company
• Under company law
• Board of directors
• More defined structure
• Large and diversified project range
• Technical and non-technical directors
– Wide range of projects
• Raise capital, multiple services, multiple offices
• Range of employees
– Diversified specializations
• Can have access to latest technology
• Can have subsidiary firms with specialist services
• Can compete for large projects
• Shared responsibilities, tax benefits and concessions
• Can avail bonuses perquisites (perks)
• Collectively share mistakes
 Private limited company
– Disadvantages
• Less individual responsibilities
• Can become bureaucratic
• Slow decision taking
• Low level involvement of employees
– If incentives are not there
• Quality may suffer
– Many levels of decisions are involved
• Individual identity for architects not there
– Affects creativity and experimentation
• These companies are rigid in achieving goals
– Individual contribution not recognised
 Building clientele and projects
• Architects are offering a wide range of design and technical services in architecture,
urban design and interior design.
• Architectural practice involves social, economic, environmental, political and commercial
issues
– A good understanding of these aspects are important
• Architects should ensure that their clients and stakeholders are involved and engaged at
all stages of design development
• To secure clientage for office
– Have good social contacts and acquaintance
– Provide best professional service to all clients
– Can develop expertise in special projects like hotels, hospitals, theaters and so on.
– Taking part in competitions which provide him a platform at national level to prove his talent
and creativity
– Publish some good projects in architectural journals
– As part of social service, suggest development of certain specific areas to local government
authorities
– Follow professional code of conduct as per COA
– It is also important to maintain goodwill of the office
– With office locations in many places, can serve expanding client base and undertake variety of
projects
 Architectural competitions
• Architectural competitions have long history and have produced
many successful buildings
• Competitions attract public interest and have led to the discovery of
new talents and ideas
• Competitions are best suited for major works and for works
involving a challenge in the solution of a problem
– Where client is assured of best design at negligible extra cost
compared to total cost of the project
• Competitions have a balance of advantages for both architect and
client
– For talented architects
• Competitions provide best opportunity to show their merit
• Get recognition in the industry
– For clients
• Get best design and services from best architect
 Guidelines of COA for architectural competitions
• The purpose of these Guidelines is to indicate the principles upon which
competitions will be conducted and the rules which must be observed by
a promoter for conducting competitions.
• These guidelines have been drawn up in the interest of both the promoter
and the competitor and to ensure that the architectural competitions are
properly conducted and that selection of the design will be on merit alone
and will satisfy the promoter's requirements.
• The Code of Professional Conduct of the Council of Architecture does not
allow Architects to give unpaid services in competition with each other
and competitive designs shall only be submitted through competition
organised within the framework of these guidelines.
GUIDELINES :
ARTICLE 1 : ELIGIBILITY TO COMPETE:
• Participation in any and all competitions shall be open to:
– Architects i.e those who are registered with the Council of Architecture under the
Architects Act, 1972 on the date of announcement of the competition and thereafter.
Guidelines of COA for architectural competitions

• Firms in which all the partners shall be registered with the Council of
Architecture under the Architects Act, 1972 on the date of announcement
of the competition and thereafter.

• Students of a Teaching Institution, the qualifying examination of which is

recognised by the Council of Architecture provided that no member of the
staff of the said institution is the sole Assessor or in a jury of three or more
Assessors, only one Assessor is from the staff of the said institution.

• Neither the Promoter of the competition, Assessor/s engaged for the

competition nor any of their associate, partner or employee shall
compete, assist a competitor or act as an architect or joint architect for
the competition project.
• Competitor may be requested to submit a proof of qualification, copy of
his valid Registration certificate issued by the Council of Architecture, and
in case of a student, a certificate from the head of his institution which is
qualified as per 3 above.
 Guidelines of COA for architectural competitions
ARTICLE 2 :Competition
• The word 'Competition' shall apply to any competition described in Schedule 1 and
participation shall be open only to those qualified as per Article 1.
• The draft competition conditions including time table, registration fees, prize
monies/honoraria, board of assessors, the programme etc. of competitions shall
have been finalised within the framework of the guidelines prescribed by the
Council of Architecture before any announcement is made by the promoter of the
competition.
• The conditions of the competitions shall clearly give:
– Conditions based upon guidelines prescribed by the Council of Architecture.
– Type of Competition.
– Purpose of the competition and intentions of the promoter.
– Nature of the problem to be solved.
– All practical and mandatory requirements to be met by the competitors.
– Number, nature, scale and dimensions of the documents, plan and/or models.
– Estimates if required in standard form issued with the conditions.
– Nature of prizes.
– Names of Assessors.
– Necessary information required for conducting the competition.
Guidelines of COA for architectural competitions
• The competition shall be conducted in English.
• All competition designs shall be submitted anonymously.
ARTICLE 3 :BOARD OF ASSESSORS:
• The Board of Assessors shall at all times include Architects who are registered with
the Council of Architecture and shall be in a majority of at least one.
ARTICLE 4 : Prizes, Honoraria & Mentions :
• No competition shall be conducted without adequate premium/honoraria and the
competition conditions and the media announcements must state the amounts and
number of prizes for the open competition and the amount of premium or
honorarium to each competitor in a limited competition and in the second stage of a
two stage competition.
ARTICLE 5 : Copyright & Right of ownership :
• Each competitor shall retain Copyright in his own competition design.
• Each competitor shall retain the right of reproduction of his own competition
design.
ARTICLE 6 :
All competition designs including those disqualified by the Board of Assessors shall
be exhibited for at least one week, together with a copy of the signed report of the
Board of Assessors. The exhibition shall be open to public free of charge.
 Registration procedure
• It is extremely important for competitors who may be asked to pay substantial
registration fees to know exactly when they are registered and under what
conditions the registration fee will be refunded. It is also important for intending
competitors to receive sufficient information when they are invited to apply for the
competition conditions to enable them to judge whether the competition falls within
the guidelines for architectural competition of the Council of Architecture and
whether they are capable of tackling the problem set by the competition.
• The Council of Architecture recommends 3 parts Procedure:
PART I
• A descriptive leaflet and / or an advertisement in general and professional media.
These should include the following information:
• Name of the Promoter
• Purpose and nature of the competition. This should be carefully worded to give a
clear idea of the scope of the project whether it is a project or an ideas competition,
single or 2 stage competition and the type of material that a competitor would be
asked to submit.
• The prizes (or honoraria)
• Names of Assessors
• Persons eligible to compete
 Registration procedure
• An approximate time table
• The procedure for registration, the last date for registration and the date by which
the competition conditions would be made available by the promoter along with
the registration form
PART II
• An intending competitor makes an application the bodies listed in the
advertisement/leaflet for the registration form, completes the registration form as
per the instructions given on the form and sends it by registered post to the
promoter together with the registration fee (if any).
• The registration form should be sent by the intending competitor within the time
stipulated. It will establish his eligibility to compete. The registration is only
complete when the promoter accepts the competitor's eligibility by placing his
name on the competition register and informs him in writing accordingly.
PART III
• The competition condition will be sent to the intending competitor by the
promoter only when his eligibility is established and his name is entered in the
competition register.
 Types of competitions
1. PROJECT AND IDEAS COMPETITIONS
– Competitions may be either "Projects" or "Ideas" competitions or in
certain circumstances a combination of both.
• The aim of a project competition is to find the best solution for an actual building
project and to appoint its author to carry out the commission.
• Competitions of Ideas are set as an exercise to elucidate certain aspects of
architectural and town planning problems. The winner of such a competition may
not be commissioned to carry out the project, and hence students of architecture
may participate at the discretion of the promoter.

2. CLASSIFICATION OF COMPETITIONS
– (I) OPEN COMPETITIONS
Competitions in which all Architects are invited to participate through
an announcement by advertisements in suitable media and through
circulars which may be issued by the promoters.
• Open competitions for projects estimated at less than Rs. 10,00,000/-may be
restricted to Architects who have their main or branch office in the State of the
project site.
 Types of competitions
– (II) LIMITED COMPETITIONS FOR COMPETITIONS BY INVITATION
Competitions in which limited amount of Architects (approx. 5 to 8)
selected by the promoter on the advice of the Senior Architect
Assessor or Board of Assessors, are invited to participate. Each
participant who submits his designs shall receive an honorarium.
– (III) SPECIAL COMPETITIONS
Besides competitions described in (i) and (ii) above a competition may
also combine town planning as well as design problem, and may
involve the use of industrial components or participation of
developers. I
• In such competitions participation may be required to be limited to
professionals or group of professionals with certain definite expertise.
– In such cases the competition announcement shall clearly define the
field of expertise.
 Types of competitions
3. COMPETITION ORGANISATION
Competitions may be organised in one or two stages.
• (I) SINGLE STAGE COMPETITION
In single stage competition the competition entries shall be fairly complete
drawings i.e. plans, section, elevations, etc. to a suitable scale and sufficient to
explain the scheme as set out in the competition conditions.
– The designs so submitted shall be assessed by the Assessors for the award of the prizes
and the appointment of the architect.
– Such competitions are recommended for small and simple project.
• (II) TWO STAGE COMPETITIONS
In two stage competition, the first stage is for soliciting ideas and therefore the
competition entries at this stage would be limited to planning on broad basis and
drawings to a suitable scale sufficient to indicate the intentions of the competitor.
– Designs submitted in the first stage shall be assessed by the Assessors for selecting a
small number of competitors (between 5 and 10). The author of these selected designs
will be invited to take part in the second stage of the competition, and each architect so
invited would be paid a specified sum.
 Types of competitions
– In order to maintain anonymity, each competitor will be informed individually
whether he has been or has not been invited to participate in the second
stage. Correspondence in this respect will be the responsibility of the
Promoter or Professional Adviser, if appointed.
– The period between the Assessors award for the first stage and submission of
designs for the second stage shall not exceed six months
– The designs submitted for both the first stage and the second stage shall be
exhibited and/or published only after the final award of the second stage
competition.
– Two stage competitions are recommended for town planning and for large
scale or complex project.

III. REGIONAL SPECIAL CATEGORY COMPETITIONS

– This type of competition is intended for small projects of charitable
organisations in which four to six local firms will compete for the appointment
as the Architect.
– No premiums are given and the winner shall be appointed to carry out the
project.
Procedure to conduct architectural competitions
• Client decides to go in for a competition for a particular project and
informs COA.
• COA president advices for appointment of assessors who are registered
architects and are experts in such type of projects
• Board of Assessors are constituted and the number of assessors shall be
smallest odd number not exceeding seven
– The size of the board depends on the size of project
– Assessors nominated by the client will be two
– Assessors nominated by COA shall be in majority
• If necessary, client may appoint one or more Technical Advisors, after
consulting Senior Architect Assessor
– Technical Advisor may help in preparing project brief for complicated and highly
technical projects
– They will also advise on technical aspects of the competition entries.
• In case of two stage competition a professional adviser will be appointed.
Anonymity of designs will be ensured by the client or his professional
adviser.
Procedure to conduct architectural competitions
• Competition brief is prepared by the client in consultation with Senior Architect
Assessor (SAA)
– SAA also advices on type of competition
• Board of assessors approves competition brief before it is issued to competitors and
a copy is sent to COA
• Wide publicity is given about the competition through media
• Interested competitors apply for registration form
– Registration forms are issued to eligible competitors
– Names of competitors are entered in register on receipt of registration form and
prescribed fees
– Competitors are informed accordingly on the advice of SAA
• Any clarifications regarding design brief will be given to competitors
• Designs along with declaration are submitted by competitors to the client.
Professional adviser maintains the anonymity of designs.
• Board of assessors take the responsibility of security of designs.
• The Board of Assessors must make awards which shall be final and binding and shall
be made public by a date stated in the conditions.
Procedure to conduct architectural competitions
• The Board of Assessors when making an award may at its discretion adopt "promoters' choice".
• In this procedure the Board of Assessors shall select not more than three designs which in their
opinion are of equal merit and the selection of the winning design from the designs so selected
by the Assessors could be made by the promoter.
• The promoter may for making the final selection discuss with the authors of the selected
designs their respective entries.
• Client submits a copy of signed report of jury to COA
• Client discusses design and related issues with the authors
• Client selects the author of winning design as architect for the project.
• All designs are exhibited at least for one week.
• Prize money and number of prizes depends on size of project, work involved and expenses for
the competition
• All designs except the winning design are returned to the respective competitors.
• The promoter shall insure for damage or loss by fire, floods, or by any other reason
Competitor's design drawings submitted in competition when he assumes responsibility for
them and for the duration of his responsibility and also for loss during transit when the design
drawings are being returned to the competitor.
• Competitors retain copy right of their design
• Winning design is returned to the author on his appointment as architect for the projector or
within six months whichever is earlier
 Office management
• In an office records are prepared, handled and preserved for future
reference.
• The records are preserved for efficient management of office.
• In an architect’s office apart from achieving project goal it is also
necessary to have proper administrative functions like communication,
safety, security, coordination, planning, cost reduction and public
relations.
• In addition, the office requires to,
– Improve upon existing information system
– Use computers to reduce paper work to maximum extent
– Encourage creative thinking and employee participation
– Improve and maintain public relations
– Attract, acquire and retain talent
– Endeavour for cost-efficient office service
– Decentralise as many functions as possible
– Achieve greater productivity through incentives and incorporating employee’s ideas in
all areas of productivity, for e g cost, meeting deadlines etc.
 Basic accounting

• As per standard accounting practice

– Cash book, ledger, profit and loss account, assets and liabilities,
balance sheet are to be maintained
– Field records are also to be maintained at site office
TENDERS

Module 3
 Introduction
• What is tendering?
– Tendering is the process of making an offer, bid or proposal or expressing
interest in response to an request for tender. It may be to execute the work
or supply materials for construction of a facility within a prescribed time
specified in tender or quotation.
– Organisations will select an offer or tender that meets their needs and
provide the best value for money.
– Tender request documents or invitation to tender outlines requirements,
criteria and instructions by the organisations.
– Tenders are generally widely advertised to offer opportunities to a number
of suppliers, encourage competition and provide a greater pool of offers to
select from.
– Interested suppliers will then prepare a tender which contains their offer
with pricing, schedules and their eligibility for the project.
– They also outline their advantage over others.
– Provide information on qualifications, competencies and experiences.
 Tender document and its content
• Tender document contents
– A detailed Notice Inviting Tender
– General conditions of contract which include
• Security deposit
• Bonus/fine clause
• Stages of payment
• Completion certificate final bill
• Materials supplied by the owner/ Government advances
• Escalation
• Variations
• Defective work
• Provisional sum
• Defect liability period
• Arbitration
• EMD and other specific conditions in specialised work
– Schedule of quantities
– Tender drawings
– Specifications in detail
– Form of agreement
– Formats and statements e. g. safety code, labour regulations, bank guarantee etc
– Detailed architectural and structural drawings
– Network chart
 Tendering
• Objectives of tendering
– To give wide publicity
– To obtain competitive bids from eligible registered contractors
– To provide equal opportunity to all
• For works and supplies to Government and Public sector undertakings
– Tenders are invited when total price exceeds certain value
• For private sector this method may slightly vary
• Constitution of India, as per Article 299, prescribes a definite procedure to
execute Government contracts
– It must be in writing
– It must be in proper form
– It must be signed by a person duly authorised by President of India for central works and
by the Governor of State for state works.
– For private sector works Board of Directors or Managing Director will sign the tender
• Equal opportunity to all but differentiation based on
– Work experience
– Technical capabilities
– Financial capabilities
 Technical terms relating to tenders
• Bank guarantee • Performance bond
• Brand or trade name – Pre-bid conference
• Contractor • Rescission of contract
• Security deposit
• Comparative statement
• Site
• Damages
• Sub-contractor
• Defect liability period
• Unbalanced bid
• Defective work • Unliquidated damages
• Engineer • Variations
• Force majeure • Vendor
• Frustration of contract • Warranty (maintenance period)
• Letter of intent
• Liquidated damages
• Manufacturer’s works or Contractor’s
works
• Owner
 Types of tenders
• Before any tendering process can be done, professional team and
employer must make sure all necessary tender documents have been
prepared, checked and approved.
• Several options are available to the owner to invite bids for execution of
works. Options are as follows:
– Open tender
• Open tendering is the main tendering procedure employed by both the
government and private sector.
• The client advertises the tender offer in the local newspaper giving detail and key
information of the proposed works and inviting interested contractor to tender.
• There are no restrictions placed who can submit a tender, but the supplier has to
satisfy all requirements.
• Advantages of this type of tendering are
– It allows any interested contractor to tender. Therefore it gives opportunity for an
unknown contractor to compete for the work.
– Allowing the tender list to be made without bias. Client will obtain the bargain possible.
No favouritism in selecting contractors.
 Types of tenders
• Disadvantages are
– However, this method can be said to be wasteful of contractors’ resources since many may spend time
preparing tenders to no effect.
– Also, knowing their chances of gaining the contract are small, contractors may not study the contract in
detail to work out their minimum price, but simply quote a price that will be certain to bring them a
profit if they win the contract.
– Thus the employer may be offered only ‘a lottery of prices’ and not necessarily the lowest price for
which his project could be constructed. I
– If he chooses the lowest tender he runs the risk the tenderer has not studied the contract sufficiently to
appraise the risks involved; or the tenderer might not have the technical or financial resources to
undertake the work successfully.

– Selective tender
• Under selective tendering the employer advertises his project and invites
contractors to apply to be placed on a selected list of contractors who will be
invited to bid for the project.
• Contractors applying are given a list of information they should supply about
themselves in order to ‘pre-qualify’.
• Advantages are that
– the employer can select only those contractors, who have adequate experience, are financially sound,
and have the resources and skills to do the work.
– Also, since only half a dozen or so contractors are selected, each contractor knows he has a reasonable
chance of gaining the contract and therefore has an incentive to study the tender documents thoroughly
and put forward his keenest price.
• Disadvantages are
– since contractors have all pre-qualification it is difficult to reject the lowest bid, even if it appears dubiously low – unless that
is due to some obvious mistake
 Types of tenders
– Multi-stage tender
• This method or type is used when there are a large number of respondents.
• At each stage of the tendering process, the suppliers are culled to those who are
most suited to the specific contract requirements.
– Negotiated tender
• Negotiated tenders are obtained by the employer inviting a contractor of his choice
to submit prices for a project.
• Usually this is for specialized work or when particular equipment is needed as an
extension of existing works, or for further work following a previous contract.
• Sometimes negotiated tenders can be used when there is a very tight deadline, or
emergency works are necessary.
• A negotiated tender has a good chance of being satisfactory because, more often
than not, it is based on previous satisfactory working together by the employer and
the contractor.
• Advantages are
– When invited to tender the contractor submits his prices, and if there are any queries
these are discussed and usually settled without difficulty.
– Thus mistakes in pricing can be reduced, so that both the engineer advising the employer
and the contractor are confident that the job should be completed to budget if no
unforeseen troubles arise.
 Types of tenders
• Limitations are
– Negotiated tenders for public works are rare because the standing rules of public
authorities do not normally permit them.
– But a private employer or company not subject to restraints can always negotiate a
contract, and many do so, particularly for small jobs.
– Public tenders
• Public tenders are invited from registered contractors of appropriate class for
government works
• Tender notice also requires work experience, financial capability, annual turnover of
the contractor or the company along with general reputation.
– Limited tender
• Notice to only selected contractors
• No press notice
• Lowest tenderer is invited for negotiations
• Adopted by private sector
• For government works
– In case of emergency works only
– As per the decision of higher authorities
 Types of tenders
– Single tender
• For single tendering
– tenders are invited from only one or a limited number of contractors/suppliers/service providers.
– Single tender procedures shall only be used in circumstances when open competitive tendering would not be
an effective means of obtaining the requisite contracts.
– It is adopted for small value works or for works of specified brand manufacturer where choice is not
available.
– e-tendering
• Award of tender to the lowest evaluated tenderer after negotiations.
– Negotiating with all tenderers confidentially
• Award of work to tenderers
– After giving opportunity to all or few tenderers to lower their bids.
– Term tender
• Term tendering normally used on major maintenance projects.
• It may be awarded to a contractor to cover a range of different buildings in different
locations.
• It is often limited to a fixed time scale, although the needs of the client may often
require this to be extended.
• It is like a standing offer to undertake a loosely defined extents of work usually within a
fixed time period.
• The type of work is usually specified and priced in a schedule of rates.
 Tendering process
• Conventional tendering process will involve pre-tender stage,
tender advertisement stage, closing of tender, tender opening
process, tender evaluation process and finally tender award.
– Pre-tender Stage
• At pre-tender stage, when the clients have an idea, client will appoint
consultant to discuss further about the project.
• Consultant will do their job, advising, managing the tender and contract,
and also transfer the idea into the drawing.
• At this stage client and consultants will be brainstorming about the scope,
time to complete and budget that client willing to allocate.
• Researcher believes that pre-tender stage is most crucial matter because
it will initiate the next step of a project.
• If the pre-tender stage is failed, the project will not successfully complete.
 Tendering process
– Tender Advertisement
• Tender advertisement also called tender notice. The conventional tender
notice will advertise in local newspaper. In tender notice, basic
requirement should be appearing are:
– Title of the project.
– Class of contractor, head and subhead needed.
– Location, date, and time to obtain the tender document.
– Fees for tender document.
– Location, date and time for submission of tender doc.

– Closing of Tender
• Tender notice will mention the time and date of tender closing process.
• If the contractors fail to submit their bids within specific time and date, it
considers the contractors refuse to bid for the tender.
• At that time also tender validity period is started.
• At this period, contractors can withdraw back their bids if they are no
more interested to fight for the tender.
• Consultant use this period to make assessment and evaluation each of
the offers.
 Tendering process
– Tender Opening and Evaluation Process
• Quantity surveyors usually will handle tender opening process.
• In order to preserve the integrity of the competitive process, it is imperative that
the evaluation of proposals is undertaken objectively, consistently and without
bias towards particular suppliers.
• Tenders are usually evaluated against a pre-determined set of criteria.
• The evaluation of the tenders shall be prepared the soonest possible after the
tender opening.
• A report prepared by the Quantity Surveyor will describe the findings of the said
evaluation and it will be supported by tables and graphs.
• In the end, the Quantity Surveyor will recommend which tenderer, who in his
opinion, is the most suitable to undertake or execute the project.
– Tender Award
• An evaluation team will examine each tender received and make recommendations
as to which tender represents best value for money.
• Once the contract has been awarded, both the successful and unsuccessful
tenderers will be notified.
• Once the final decision has been made on the tender award, the tender
administrator creates the tender results notification which is in letter form, and
then sent to all participating contractors.
 Tender notice
• Notice Inviting Tenders (NIT)
– Brief description of work
• For the contractor to decide whether to take up the work or not
– Estimated cost put to tender
– Period completion of work
– Earnest money deposit (EMD)
– Cost of tender documents
– Eligibility criteria for tendering
– Production of documents for obtaining blank tender documents
– Last date for issue of blank tender forms
– Place and period of issue of tender documents
– Last date for receipt of tenders and places of submission
– Date, time and place of opening of tenders
– Validity of tenders I e number of days
– Client reserves a right to reject or to accept any tender without assigning any
reason
 Tender process
• Receipt and opening of tenders
– Tenders are opened at specified place and time as per the tender
notice
– A committee checks all details like
• Number of tenders
• EMD
• Bank guarantee signature
• Documents etc
• These details are recorded in a register and signed by all bidders/representatives

• Evaluation of tenders
– Tenders are checked for discrepancies
• Between/in rates
• Quantities
• Arithmetical calculations
• Figures in numbers and words
• Market value analysis is done to understand overheads and justified amount of
each bidder
 Tender process
• Process of selection and award
– The principle followed in awarding tender is to give it to the lowest bidder.
– If pre-qualification and post-qualification is adopted, invariably first lowest tenderer
should be selected for contract of work.
– But public tenders can use some discretion to award the contract if NIT does not specify
company’s financial ability and work experience
– If lowest evaluated tender is significantly higher than market rates and negotiations do
not fructify then such tender can be cancelled.
– Then second lowest tender or re-invitation of tenders may be required.
– In government contracts negotiations are not encouraged
– In private contracts, negotiations are common and by means of mutual discussions
avoidable costs may be identified.
– Negotiations should ensure win-win situation
• Work order
– Work order is given to selected bidder within validity period
– Before its issue all statutory clearances about the site and funds to be available.
– Work order consists
• Tendered amount
• All relevant correspondence
• Negotiation details
• Letter with particular conditions stipulated in tender bid.
 Tender
• Earnest Money Deposit (EMD)
– To ensure that a Bidder does not submit a Dummy Bid or back out at time
of tender opening, Government Department collects a small refundable fee
from each bidder, which is called EMD.
– The purchasers takes this amount to check the earnestness/seriousness of the
bidders in case they are selected as winners.
– The EMD amount the bidder has to pay along with the bid response. It is one of
the most important document/instrument which a bidder is supposed to
submit along with other documents.
– The format/instrument through which the EMD can be submitted, depends
upon the purchaser's preference. Generally the EMD is sought in the form of
bank guarantee or demand draft. In very limited cases an insurance bond is
also accepted
– EMD instrument is returned back to all unsuccessful bidders once the
evaluation is completed and the contract is signed by the successful bidder. In
case of successful bidder, EMD is exchanged by Security Deposit (around 10% of
the bid price).
– 1% -2 % of the estimated cost of the work is EMD
 Tender
• Security Deposit
– Once it is decided that a Tender is awarded to a Bidder, he has to deposit a
Security Deposit with the Buyers such that if he does not complete the task as
per the work order, the Buyer can recover the loss by forfeiting his Security
Deposit.
– For e.g. If a Bidders gets Rs.10 Cr contract to construct a Bridge within 12 months
, than he has to deposit a Security deposit of 10% i.e. 1 Cr with Buyers. Now if he
does not complete the bridge on time or leaves it incomplete, the Department
can forfeit his 1 Cr as penalty.
– Security Deposit can be in form of Bank Guarantee, National Saving certificates,
Cash, etc. Only when the Winning Bidders makes the Security Deposit, he gets his
EMD Back.
– The contractor has to fulfill all the terms and conditions laid down in the contract
and maintain the quality and speed satisfactorily.
• Retention Amount
– Retention is a percentage (often 5%) of the amount certified as due to
the contractor on an interim certificate, that is deducted from the amount due
and retained by the client.
– The purpose of retention is to ensure that the contractor properly completes the
activities required of them under the contract.
 Tender
• Mobilisation amount
– Construction firms are always faced with the huge burden of securing
funds for executing works on contracts.
– The concept of mobilising advance payment is an important
mechanism.
– It is used to overcome contractors financial problems
– Mobilisation is a monetary payment made by the owner to contractor
for initial expenditures in respect of site mobilisation and a fair
proportion of job preliminaries.
• Bonus and Penalty clauses
– A bonus clause is a clause in a contract that rewards the contractor
for doing more than the letter of the contract; particularly, to finish
the job early.
– It is in apposition to a penalty clause where the contractor loses by
providing less than the letter of the contract, or providing it later than
agreed.
 Architect’s role in tender process

• In order to obtain competitive quotations from building

contractors architect’s role includes:
– Recommending/seeking references from reputable contractors
– Compiling tender documentation including detailed working drawings
– Initiating the tendering process
– Tender analysis on receipt of priced tenders
– Final contractor selection, and administering appropriate contract(s)
between the client and the selected contractor.
 Issues arising out of tendering process
• Lack of essential documents
– Refuse issue of tender documents
• Late receipt of tenders
– Return the tender without opening
• EMD not deposited
– Reject the tender
• Tender not signed by the contractor
– Not valid for evaluation and acceptance
• Discrepancy in rates and amount
– To be dealt in the light of guidelines incorporated in the tender documents
• Withdrawal of tender before opening
– Legally valid
• Withdrawal before expiry of validity period
– Forfeit the EMD or part of it as per tender conditions
• Contractor whose tender is accepted is asked to pay Security Deposit.
Contract is formed even if the agreement is not signed.
 Issues arising out of tendering process
• Tender is accepted if all other factors are favourable. Negotiation is
suggested if there is difference in the tendered amount and market rates.
• No relaxation of eligibility criteria
• No change in scope of work after receipt of bids
• Re-invite tenders if there is
– Cartel formation
– Poor response
• Bids are not balanced
– Rationalise by keeping the tendered amount unaltered
• In case there are alternative bids submitted by tenderers
– They have to be evaluated