AR8802 –

PROFESSIONAL PRACTICE AND ETHICS

Academic Year : 2022 – 2023

Batch : 2019 – 2024
Year IV / Semester VIII

FACULTY IN-CHARGE: AR. HANSIE J DIAZ

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UNIT I - INTRODUCTION TO ARCHITECTURAL
PROFESSION CODE OF CONDUCT AND ETHICS

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TOPICS:

 IMPORTANCE OF ARCHITECTURAL PROFESSION

 ROLE OF ARCHITECTS IN SOCIETY

 REGISTRATION OF ARCHITECTS

 ARCHITECT'S OFFICE AND ITS MANAGEMENT- LOCATION,

ORGANISATIONAL STRUCTURE

 INFRASTRUCTURE REQUIREMENTS, SKILLS REQUIRED, ELEMENTARY

ACCOUNTS

 TAX LIABILITIES

 ROLE OF INDIAN INSTITUTE OF ARCHITECTS

 ARCHITECTS ACT 1972 (INTENT, OBJECTIVE, PROVISIONS WITH

REGARD TO ARCHITECTURAL PRACTICE)

 COUNCIL OF ARCHITECTURE (ROLE AND FUNCTIONS)

 IMPORTANCE OF ETHICS IN PROFESSIONAL PRACTICE

 CODE OF CONDUCT FOR ARCHITECTS, PUNITIVE ACTION FOR

PROFESSIONAL MISCONDUCT OF AN ARCHITECT
INTRODUCTION

• An architect is a person who professes skill in the art of

designing buildings to meet his client's needs.
• An architect is the one who possess with due regard to
aesthetic as well as practical considerations, adequate skill and
knowledge to enable him, to originate, design and plan to arrange
for and to supervise construction of buildings.
• But an architect's function is not limited to creation of new
ideas of amenities and design.
• An architect's duties include preparation of contract
documents, acceptance of estimates, selection of specialist contractors,
inspection of works, solution to the problems encountered during the
execution of work, rejecting defective work, issues of certificates under the
contract and resolution of disputes between the owner and the
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contractor. Thus, his duties extend far into other fields of technical
knowledge and business management.
• An architect is primarily answerable to the owner in matters of
design, modern techniques of construction and specialized building
products and processes.
• An architect may not be personally qualified to discharge all
the responsibilities. He/she seeks the help of outside consultants, specialist
sub-contractors and vendors.
• In general an architect is the general agent for all purposes,
relating to designing, obtaining tenders and superintending the work.
• An architect stands apart in the family of professionals. He is
recognized for his noble aesthetic
creation which brings joy to the
present as well as future generations.

FIGURE 1.1-WHO IS AN ARCHITECT?

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IMPORTANCE OF A PROFESSION

• Profession is the mastery of specific activities demanding

prolonged period of study and practice in any discipline before they
can be completely applied.
• A professional Architect, engineer or doctor has nothing to sell
except his disinterested personal service. Central theme of any profession is
to provide an unselfish service to the mankind.
• To profess means to take a vow of service and to live one's career
by a higher standard than is expected of others.

IMPORTANCE OF ARCHITECTURAL PROFESSION

• A professional architect is required to satisfy the below mentioned

characteristics:
a) Corpus of knowledge
b) Prolonged period of study and practice
c) Membership of a professional association d) Code of conduct
e) Social responsibilities
• An architect in particular has abundant social responsibilities. His
obligation to the society in which he/she operates is termed as social
responsibilities.
• Some of the responsibilities of architects are:
a) Preservation of environment b) Elimination of poverty
c) Best value for clients money
d) Judicious use of depleting natural resources
e) Conformance to building byelaws and regulations etc ...

ROLE OF ARCHITECT IN SOCIETY

• Apart from early days, at present society requires skilled architects

who are educated and trained to be in architectural profession.
The increase in meeting the complexities of society's desires is the sole
reasons for change in the added requirement to call some as
architects.
• Due to increase in population, role of architect and complexity
in his/her duties have increased which resulted in transforming

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architecture as a profession and technically one has to do some
course work to call themselves as an architect and the same holds
good for practicing in present days.
• The bottom line of an architect's role in society is to respond with
the surrounds environment in a positive manner while rendering their or
client's needs.
• Present day trend: one who designs is different from the one who
builds and the one who is going to use the building.
• It has become a different job for an architect to satisfy the needs
of everyone along with keeping the place/space intact with the
environment.
• Even after finishing a project successfully by satisfying all the
needs, they are not certain that the space will cater to the expected
function for a minimum of 30 years.
• An architect needs to have proper idea of what could be the
potential of the space in the near feature, and educate client about it.
• If required to modify the function of the space they are
working or selecting another site for the function client is looking for
he/she should be educated about it. For doing this an architect should be
aware of trends and need of the society.
• These days many of the civilians are not having knowledge on why
we need to value the natural environment and its special configurations.
It is the duty of the architect to educate the society/people about it,
through some public lectures of writings etc. This will make an
architect's job easier when the client approaches for getting any of
their work to be done.
• Another important role of an architect is that it's their duty to
train architects for future. They should educate and guide the young
and upcoming architects about their role in society as an architect, and
also should take part in teaching architecture students who are going to
become the future generation architects.

REGISTRATION OF ARCHITECTS

The Council of Architecture maintains a register of Architects under section

23 of The Architects Act 1972. The register shall include the following
particulars:

i. The full name with date of birth, nationality and residential address
of the Architect.
ii. His/her qualification for registration and the date on which
he/she

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obtained that qualification and the authority which conferred. iii. The
date of the first admission to the register.
iv. His professional address.
v. Such further particulars as may be prescribed by rules.

ARCHITECTURAL PRACTICE/ ARCHITECS OFFICE

An architect starting his/her own proprietorship firm, or buying out a

practice from others, or inheriting it or joining some firm and rising
through ranks to become a partner or joining other Architects or other
professional to open a practice, has to organise the office to produce
optimum work and deliver efficient service.

He/she may also join government service, or public sector or Semi

government Corporation in different capacities, like assistants, deputy or
Chief Architect or even an NGO, wherein he/she will be called upon
to organize an office to suit the nature of work of the organisation.

An Architect's practice can be roughly classified as small practice,

slightly older practice, medium practice and big practice.

A variation from the above mentioned classification is "Consultant"

concept.

FIGURE 1.2 - SMALL OFFICE

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FIGURE 1.3 - SLIGHTLY OLDER PRACTICE

FIGURE 1.4 - MEDIUM PRACTICE

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 FIGURE 1.5 - BIG PRACTICE

This kind of office may be usually doing two or three types of building only
viz. Residences, apartments, offices.

These offices will be carrying out architectural and interior designs

together.

OFFICE MANAGEMENT

Office is a place where records are prepared, handled and preserved

for future reference. It is an administrative centre of business where
relevant records are prepared, preserved and made available for the
purpose of efficient management of the organisation. Administrative
function relates to communication, safety, security, co-ordination, planning,
cost reduction and public relations, apart from achieving project goal. It
is necessary for the office to:

a. Improve upon existing information system

b. Reduce amount of paper work. Use of computer in all possible areas c.
Encourage creative thinking and employee participation
d. Improve and maintain public relations
e. Attract, acquire and retain talent
f. Endeavour for cost-efficient office service g. Decentralise as many
function possible
h. Achieve greater productivity through incentives and incorporating
employee's ideas in all areas of productivity, e.g. cost, meeting deadlines,
etc.

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MANAGEMENT AND ARCHITECTS

Management is defined as the art of getting result through other people.

In case of professional architects there is an additional responsibility. Besides,
responsibility for the performance of other team members, architects
should also be an individual professional contributor. The architect should
ensure coordination of activities of key players, viz. other consultants,
contractors, client, regulatory authorities, sub-contractors and vendors. It is
the duty of the architect to organise his team to meet the requirements.

He/she has to analyse the strengths, weakness, opportunities the

project offers and threats/ problems which can affect the execution of the
project. Later, the suggested course of action shall co-ordinate factors of
cost, labour, time and technology and site execution to achieve the
target. Alternative strategies are required to be prepared, so that in case
Plan A fails, Plan B and C are ready. Strategies have to be reoriented in
case of drastic changes in the project due to reasons beyond architect's
control like natural and man• made disasters.

BUSINESS DEVELOPMENT

A client expects that the architect possesses required skill and expertise
to render consultancy for the work entrusted. He/she would like to get the
best value for the fees paid to the architect. Securing clients may not
be easy for an architect who has just registered his/her name with the
council. Initially social contacts, relatives and friends may help in
getting clients for small building works. Participation in architectural
competitions, seminars, technical discussions, contribution to architectural
journals will help him to get recognised. Merit, optimal designs and
innovation will open up many opportunities for business development.
Primary objective is client's satisfaction. Business development follows if this
primary objective is met.

ELEMENTARY ACCOUNTS
• Cash book
• Ledger
• Profit and loss account
• Assets & liabilities and balance sheet are all to be maintained as per
standard accounting practice.
• Field records are to be maintained at site of work.

LOCATION, ORGANISATIONAL STRUCTURE, INFRASTRUCTURE REQUIREMENTS &

SKILLS REQUIRED:

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Types of Architectural Organization

• Single Proprietorship Firm

• Partnership Firm
• Limited company
• Large scale consulting company
• Very large offices
• Freelancing
• Architect as a Builder/ Developer

Single Proprietorship Firm

• The easiest and simplest mode of architectural consultancy firm.

• Architect as the principal will be solely responsible for all decisions,
i.e. like brining in projects or to ensure preparation, progress and
completion of the project, getting all types of licenses and issuing of
certificates.
• They can appoint assistants but should give directions in all decisions.
• Can enjoy freedom in design and management (profits,
fame if work is good).
• They can also take fast decisions, rectify mistakes, and execute them.
• They should also bare all losses, less freedom if the project is too
big (decision makers may be many) and blame for making
mistakes occurring in project.
• Liable to be sued for lack of discharging duties and supervision.
• Indecision (the inability to make a decision quickly) may also
delay projects or when they are sick the work may suffer.
Single proprietorship suitable only for small and medium size projects; as
the architect/ designer can provide complete attention to the project,
personally to ensure proper execution,
• When they carry out large project, it will be too difficult to handle
single handily, so he need to form a team and the success
completely depends on the team work.
• A variation of this type is appointing an associate (senior employee).
• Associates are also employees, with greater responsibilities.
• They can bring in projects to the office.
• They have the rights for decision - making but their views are not
and need not be binding on the principal or proprietor.
• They also can have a share in the profits of the firm.
• They will also have more freedom to take individual decisions in
the projects they handle unlike an ordinary employee and also principal
need not look into every decision of the associate.
• The proprietor can always remove an associate from being
an associate.

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Partnership Firm

• Generally there will be two partners or more number of partners.

• An agreement is prepared between two or more partners to
establish and run a firm under a designated name, style and symbol.
• Agreements state the duties and responsibilities of partnership,
sharing profits and losses, liabilities and options along with procedure for
one or more partners to leave partnership.
• Its advantages include sharing responsibilities as no one individual
will
be liable for everything, ability to organise large organisation of
employees, ability to take up large scale projects, and hence more
profits, can take greater risks, and can operate from multiple locations.
• Partnership firms can be offer more services under one roof.
• The partners can be from the same professional background
or different background enabling the firm to provide multiple services.
Like partners can be architect, structural engineer, mechanical
engineer or electrical engineer or management specialist.
• These firms will have access to more capital because of
more members.
• Can operate from a residence also, but it is preferable to
have an independent office in the city.
• Slow in taking decision due to large number of people involved
in decision-making. Work can also get slow due to communication gap
among workers and quality of work can suffer due to difference in
ideas.
• Problems may occur due to mismanagement both financially
and in work.
• When partners are only architects, they might deal with
individual projects; the partnership is useful only to share space,
infrastructure, tax benefits and ability to create a better image to attract
larger projects.
• Partners can also decide to dissolve partnership, if needed.

Limited company

• A bigger version of partnership type but with more defined structure

and a large and diversified project profile or range.
• The company will have a board of directors.
• Needed when the office grows from a medium scale to a large
scale outfit.
• Can have many directors both technical and non-technical to take
up
wide range of projects and services which are not possible by smaller
firms.
• These companies can rise capital, offer multiple services, can
have multiple offices, can employ a wide range of people with

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diversified specialisations, and can have access to latest technologies and
management services through high investments.
• There can be subsidiaries under the main company offering
specialist services with directors being the same or different, with better
facilities the firm can compete for larger projects both in private and
public sectors.
• Responsibilities are shared generally, but can be specific in
different areas: can avail tax benefits and concessions. The directors apart
from services can avail bonuses and perquisites and losses do not
directly affect them as in other type of firms.
• The directors will be collectively responsible for any mistakes.
• A young architect can reach higher positions of responsibilities,
and gets chances to handle large scale projects.
• The company operates from independent premises to
establish business identity.
• Individual responsibilities are less. Hence, blame can be passed on
to others can become bureaucratic, decision - making can be slow and
low level of involvement can be present in employees when incentives are
absent.
• Quality can suffer, as many decision - making is involved,
individual
identity as Architect/ designer will be absent. Which will affect
creativity and individual's contribution may not receive enough recognition.
• An architect may lose identity, hence not suitable for
individualistic minded designers; experimentation becomes difficult as the
company goals are more important than that of an individual's own. This
type of organisation will be rigid.

Large scale consulting company

• A variation from the other companies discussed is the large

scale consulting corporations which take up turnkey projects providing
all types of services needed for a project.
• Raise capital from public apart from initial capital.
• Operate globally and are capable of taking up large scale
projects due to their access to the best available technology and
human resources (specialists), e.g. townships, high-rise and high-tech
buildings, recreation complexes.
• They undertake projects not possible by smaller organisations.
Survival depends on their level of efficiency.
• Some companies are available in India also: as the concept
of globalisation is spreading.
• A young Architect designer can hope to get involved in some of
the most challenging works if they join such a corporation along with high
salary, but as mentioned earlier, this type of organisation suffers from the
same set of deficiencies as in limited company with its rigid structure,

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presenting a faceless organisation indifferent to an individual's personality
and creativity.
• This corporation has to invest heavily in corporate campus buildings
for distinct corporate image requiring heavy capital investment

Very large offices

• Have corporate status in organisation.

• Focus on separate specializations and offer services
in these specialised areas, like city planning, urban design, landscape,
interior design, project management, structural design, H.V.A.C.
• Consultancy, project feasibility reports, retail and merchandise
service, accessories design as an extension of interior design, graphic
design, product design, exhibition design, visual design, apart from regular
architectural design. Due to the changing demands of market/clients this
is done in large cities.
• Separate units/departments are formed within the same firm for
each of the specializations or subsidiary firms can be formed to handle
the parent firm's jobs and also to take up outside projects too. This
method is also used to save income tax. Some of the directors from the
parent company will be on the board of its subsidiary also.
• The reach of these companies can be transnational as their
expertise can tackle complex problems needing heavy capital investment
and multiple skills to be integrated both in linear/horizontal and vertical
hierarchies. Further, they can have multiple offices spread across the
country and globe. This also involves hi-tech transfer of data and
communication (e.g. teleconferencingO in day-to-day work.
• It can also result in convergence of the best talent and
practices, concepts from different part of the world; which will be
beyond medium and big scale practices.
• These firms can encourage research and generate patents in
design related fields, e.g. structural glazing, detailing.
• Higher level of efficiency is possible due to access to high technology.
• These corporates can thrive only on large projects hence, not
feasible in contexts where there is little scope for very large projects.
• A creative person with individualistic approach may feel the loss
of identity in such a large setup. Further, large corporations tent to
become rigid and less flexible due to the nature of work; where targets
need to be achieved in limited time. They tend to become
hierarchical, where the organisation is more important than an
individual.

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Freelancing

• Not a type of organisation, but very relevant and appealing to

Architects/designers.
• Architect operates as a consultant to other Architects. They don't have
a single office/boss/employer. They can work for several offices
simultaneously from own premises.
• Challenging and gives greater satisfaction in one's work.
They can work at their own pace to meet deadlines. They get
recognition and have large scope for freedom and creativity.
• Highly suitable to individualistic and creative Architects who
cannot and do not want to work in official organisations.
• Problems and running an office and heavy investments are avoided.
• Risks are low and losses can be minimized.
• They employ assistants only when needed.
• Work is done on job basis. They can be choosy in
selecting or accepting jobs.
• Risks involved include a high level of expertise needed in the field
of
work, good rapport with other professionals to obtain projects, ability to
maintain continuous delivery of work of good quality, as it will be an
individual or one man show. Other factors like injury or ill health can
affect one's work or delivery schedules.
• One has to keep pace with latest trends in the field otherwise
one's expertise may lose on edge.
• Freelancing can be, in general, service of design too, but is
seen more in specialised areas.
• Architect/Consultant can have greater expertise in a particular
area, viz. hospital design, hotel design or industrial design, etc. and provides
specialized advice on a few aspects of a project either to another
Architect or consultant who is involved in the overall design of the
same project.
• A young architect cannot aspire to take to freelancing
immediately after graduation as it requires greater expertise and
management skills which come with wider exposure and experience,
but can work towards becoming one as soon as possible. It is highly
desirable as a mode of practice.
• The architect gets due recognition and remuneration will be good
apart from job satisfaction.

Architect as a Builder/Developer

• Remains as a highly controversial and a hot-debated issue

in architectural profession. It is not strictly a mode of architectural
practice, and is not classified so by the profession.

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• The professional bodies monitoring and representing the
profession, like Council of Architecture and Indian Institute of Architects do
not recognise or allow or encourage such a practice and prohibit it.
• The reason are obvious, i.e. the architect as builder can
compromise on issues, like construction quality, ethics and the client
does not possess any measure to check the architect.
• The architect acts as an advisor to the client and protects their
interests as a neutral person. This may change when they themselves
become a builder and the profit motive may become stronger affecting
not only the quality of the building but also his relationship with the client.
Hence it is not permitted.
• Another viewpoint is that architects be allowed to take
up building/construction also as they can translate what they have
designed more honestly into a three-dimensional building than any
contractor, whose skills are confined to building only. The work can be
faster and smoother in the absence of conflicts with the contractor.
• Needs greater capital, management skill, plant and machinery, high
level of involvement from architect/builder which may not be easy to
provide by the architect/builder. In such a case there will not be any
mechanism or forum to solve any problem that may arise between the
client and architect builder.
• One can take up the building activity separately
as a builder/developer under different title as a registered company
with attendant risks involved, but definitely not under the title
architect which is prohibited under present professional conduct
guidelines.

LAYOUT OF ARCHITECT'S OFFICE

Location of an Architect's office has bearing on the professional

standing; hence, preferably a central location with good access will help
the practice. But in case of large and corporate type consultancies
location will not be a limitation.

Office layout

• The layout reflects the nature of office, whether a hierarchical on

with clearly designated areas or an informal open office type where
hierarchy is less rigid and personal relationships are free. It depends on
the image the office tries to project as well as the type of clients it deals
with.
• The current trend is towards less hierarchical and more open
type of offices, even in large consulting firms, to promote greater work
output.
• Generally, exclusive cabins/rooms are provided for the principal
or partners for greater privacy and to reflect their standing in the office.

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• Senior designers may get open cabins depending on the length
of service in the office and nature of project handled by them
individually. Others would be assigned specific work area.
• In today's offices where computerisation is normal,
networking of computers makes it possible for people to work
from any table/computer rather than from a single table.
• Computers have made drawing boards and manual drafting less
necessary, thereby, saving space too.
• The distinction between work area and the principal's offices can
be distinct depending on whether the office is formal or informal.
• The principal or principal's office tend to reflect the personal
taste compared to the work area. A more relaxed, but business-
like ambience is reflected in furniture and other accessories.
• A few offices encourage employees to arrange their desks
according to one's taste to promote a sense of belonging and identity
to an employee.
• A separate meeting room or a discussion area is a must in
offices
where client meetings or consultants meetings are held for project
presentations aided by computer generated audio-visual mode and three-
dimensional models.
• These areas can be a separate/exclusive room with all accessories
or as in most offices a portion of the office can be converted for the
purpose when needed in an informal manner.
• Some offices encourage presentation of a project by the individual
project team to their own office co-workers for comments which can
fine tune the design, for which this space is used sometimes on a
regular basis.

Library

• A library is an essential requirement in any office not only to

keep in touch with the latest in the field but also to encourage
experimentation and a sense of inquiry in office staff.
• Further, documentation of not only the office projects but also
of other well-known or interesting outside projects create a large database
for reference to be used for research, publication and to prepare project
reports.
• The collection can be in the form of books, journals, reports,
drawings and compact discs, films, slides, recordings.
• Access to internet and video conference facilities will be of
greater value.
• Proper indexing is needed for speedier access.

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Material or samples collection

• Every architect's or consultant's office shall have as large a

sample's collection area as possible for reference during design.
• Today, a range of products and choice within the same product
type are being offered by the building industry. Hence, it is necessary for
the designer to have a wide collection for greater creative expression.
• It is possible to get most materials related data on
compact discs thereby saving storage space.
• All the samples are to be catalogued and displayed or filed for
easy access.

Administration section

• In small offices, one or two individuals may combine/perform

several functions, viz., that of a receptionist, accountant, typist, etc.
• In medium and large offices separate administrative
officer/office manager will be present to coordinate the various
functions of the office apart from accountants to maintain financial
transactions of varied nature.
• Further, a liaison official may be present to interact with
various agencies on behalf of the office.
• Very large offices would employ even a public relation
officer to represent the office.
• Apart from these people, subordinate staff, like office boys,
security, personnel, personal secretaries, etc., will be present based on
the size and need of an office.

Store

• In small offices it may include material collection blue print

printing machine or Xerox machine, storing area for drawings.
• In large and very large offices, this area may contain unused
supplies and stocks of various kinds, furniture and filling cabinets.
• Specific design can result in efficient use of available space.
Spaces saving techniques are needed in case of small offices or where the
rent for office accommodation is very high.
• An office, depending on the volume of work may possess a Xerox
machine, blue printing machine, CD writer, printer, etc.
• Otherwise, it can outsource these works to an outside
agency on a regular basis.

Pantry

• An area which can combine preparation and serving of

beverages, heating facility for food, dining area for employees, drinking
water fountain, coffee or tea dispensers and such related activities.

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• In case of large and very large firms, this can be a formal area
specially designed as an independent food court.
• In small offices, it becomes optional depending on space availability.
• Comfort station could be individually present or shared.

Reception area/entrance lobby

• It is important as it projects the image of the office to a

visitor; his/her first encounter with the office when one visits the office.
• It is desirable that the entrance is appealing with the office sign
board, logo, address, etc., neatly designed for clarity and access.

• Inside, the reception area can boost the image of office

through photographs, models, posters, etc., of the projects to give an
idea of nature of work done in office.
• Good lighting, furniture, sculpture/paintings/murals, colour
scheme, interior landscaping, small water sources, cascades,
fountains, aquarium, flooring/carpeting, false ceiling all part of interior
design can add value to the image of the office in terms of style and
operational efficiency.

Office administration: Project administration

• The principal/director in charge of administration selects the

individual or team to handle a project as soon the client approaches the
office.
• In smaller firms, the architect themselves decides and takes
the decisions.
• In medium and large offices a team, usually comprising a
senior and junior member, will be assigned the work, who in turn have
direct access to the client and are in charge of day-today progress
involving coordination of design, programming, execution drawings,
structural and services aspects and site supervision apart from interacting
with contractors and suppliers.
• In very large offices, there will be separate departments to deal
with
different aspects, viz., initially the work will go to architectural
programming section where, the problem/work will be thoroughly
analysed as system and sub-systems, their networking, problem areas,
grouping/zoning, based on requirements as required by the project.
• Functional, structural, site factors, technology, climate
characteristics, etc., will be included to optimize the sizes, locations and
grouping of functions/activities.
• Later this goes to design section where, design concepts are
derived and spatial analysis leads to shapes and forms. Plans
emerge, alternatives are prepared and evaluated and final
scheme is prepared.

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• Further this moves to working drawing/execution drawings
section
where detailed drawings, i.e. plans, sections, elevations, and details are
provided in all clarity; ready for execution with specifications and quantities
as provided by the estimation department.
• At this stage, structural design inputs, services consultant's inputs
are either prepared within the office or obtained from outside. Tender
preparation and selection of contractor for execution occur at this
stage.
• Later site architects coordinate between contractor's work
and office work so as to ensure that the work progresses according to
design.
• In case of very large project, viz., townships, factory layout,
industrial complexes, etc., the site architect's presence at site on whole
time basis is necessary for coordinating different agencies/individuals.
• They are the one who checks on quality of work and certifies
the quantum of work completed based on which bills are passed for
payment.
• The final certificate will be released only after the expiry of
defect liability period.
• A concept not usually observed is the post occupancy evaluation
of the building/complex not adopted by small and medium offices at all.
• Even large offices and consulting companies hardly resort to
this
practice due to time and effort involved. This practice is desirable as it
identifies problem areas and management of these can result in more
efficient use.

Office administration: Work format

• Each firm follows its own mode of presentation and preparation

of drawings, guidelines regarding site inspection books and
communication format used for different purposes.
• Well-established offices would have standardised format, viz.
standard
size drawing sheet with the firm's name and address printed at the
lower half of the sheet and instructions on the right side of sheet.
• In case of working drawings all instructions details like scale,
location of detail, level, names of people who prepared and check the
drawings, date, specific instructions by the architect, changes made
from previous drawings, job number are provided on the right hand side
of the sheet for easy reading.
• There can be standardized instructions, e.g. drawings should be
read and not scaled or in case of doubt refer back to the architect,
etc., appear on every sheet while any particular specification connected
with a particular drawing or detail appear only in the specific sheet.

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• Latest instructions will always super cede the ones given earlier
unless otherwise specified.
• In case of job number, it can be year-wise, e.g. 001 /spic/2004/Arch
or 5601 /spic/2004/interior signifying the total number of the job handled
by the firm. The client's name and nature of work, i.e. architecture or
interior can be included in the job number.

• Some firms would have summarised concept sheet to explain

the entire project in a single sheet for clarity.
• The derivation of the concept is explained through a fixed format,
i.e. site, function, structure, technology, form and climate. Their impact on
formulation of design strategy is explained visually. This format is flexible and
can be enlarged or abridged.
• Site manual in large offices will be formalised, with names of
individuals in charge of department and their contact numbers for
easy coordination. These will be in regular printed format.
• Information regarding different consultants, e.g. structural,
plumbing, etc., connected with the project will be filled in the
standardised format.
• Separate work progress sheets will also be present to show the
work schedule prepared and amount of work completed.
• Well-organised offices also maintain the proceedings of client
meetings and more importantly review of work in relation to on-going
projects in the office based on suggestions and reactions of design
related people to synergise and optimise decision-making process of
the office. Here there is greater employee participation in decision-making.
• Storage and retrieval of drawings also vary from office to office.
They are stored in roll form with tags in vertical mode or in horizontal mode in
regular drawing file cabinet or can be vertically suspended from rollers to
avoid folding and to conserve space.
• Apart from these drawings can be folded and kept in individual
file, but this is a crude method of storing and drawings get damaged,
and hence, to be avoided.
• Today however, all drawings can be on soft copy/CD to save
space and easy retrieval; further they can be faxed, stored for long time
and copies can be made any time and in large number.
• Changes can also be made easily. Digital technology ensures
greater clarity, longer life and has ability to make corrections and
enormous storage capability. Most firms are using computers on a large
scale.
• Apart from project administration which is the major part of
office administration, the other components are: General overall
administration, Finance and Human resource management.

21 | P a g e
General administration

• General administration involves day-today-running of office,

issues of general communication memos within the office, and with
outsiders like clients, official agencies, suppliers as also non-official
agencies.
• Duties include communicating official directions from
the principal/director to the employees and maintain records of the same
as per standard office procedures.
• Other aspects include maintaining attendance register,
casual leave records, earned leave record, annual leave of absence of
employee, medical leave, issuing of certificates dealing with agencies like
P.F. commissioner, labour department, income tax department, etc.
• In small or one man managed, offices, these will be handled by
the architect themselves or by a single clerk cum typist.
• It is in bigger and large corporate offices that trained
administrators, typists, stenographers form administration pool.
• Filing of records relating to office correspondence can be on year-
wise or on continual number basis.
• Filing of project-related documents, like contract, drawings, etc.,
can be grouped year-wise or continual number basis or project type basis.
Use of colour code, symbols makes identification easier.
• Further storing of the same can be in individual racks, either year-
wise or project type wise. Along with code like ARCH, INT, LAND, etc.,
can be provided if these projects are also handled.
• Further fine tuning like P for plans, S for sections, E for
elevations and D for details can be resorted to within a single project.
These are needed for easy storing and retrieval both in hard copy more so,
in soft copy in computer or CD.

Finance

• Finance essentially deals with income and expenditure

apart from savings
• The architect's office is essentially not a commercial organization
with profit motive but all efforts should be made to increase income and
control expenditure thereby earning a reasonable profit.
• Income is generated from consultancy services of various types
the office offers, royalties, sale of any patented items, reports, visual
productions made by office, hiring out extra space or space facilities, e.g.
computer time, personnel, etc.
• Expenditure includes employee's salaries and bonuses, office stationery
and consumables, postage/mailing, drawing prints, Xeroxing of
documents, internet facilities, printing of documents, telephone/mobile
expenses, fax, official vehicles owned by the office and their
maintenance, services like water, electricity for general lighting and a/c,
coolers, etc., in addition to rent for the office accommodation.

22 | P a g e
• Others include income tax, professional tax, sales tax/commercial
tax, licences from consultants and petty cash.
• Within the office, provision is made for a pantry for light
beverages and snacks to employees including meals from outside.
• Additional expenditure includes gifts to employees and well-
known clients, expenses incurred for annual office parties or
picnics entertaining clients.
• The accounts department with trained manpower has to handle
these assignments especially in large/corporate offices.
• While in small offices the architect's assistant can manage
most of these functions.
• However, whether it is a small or big office, the final annual
accounts have to be prepared by a chartered accountant for submitting
to the income tax department.
• A firm or company can get various rebates for investments,
purchase of books, entertaining clients, purchase of vehicles, etc., under
income• tax rules which can be availed to reduce tax liability.

Human resource management

• The growth and well-being of a firm depends on how supportive

its employees are in achieving its objectives. Today, it is receiving due
attention as part of administration.
• The idea is to hire the right type of employees, motivate them
by providing the required ambience to get the best out of them
• Value is place on their skills to raise the quality and output of the
office.
The employee is seen as a partner in progress rather than just an
employee.
• Many well-established firms are adopting HRM practices which
broadly include competitive salary structure, incentives like commission
on the project that is handled, bonus for early completion of projects,
greater freedom in decision-making and in design.
• A percentage of fees is given if a project is brought to the office by an
employee. All these are in addition to salary, and increments, in salary,
either yearly or half yearly.
• House rent and vehicle allowance are also given in
many organisations.
• Provident fund gratuity, etc., as per prevailing law are given
to employees.
• Other incentives include sponsoring for seminars, conferences,
paid annual leave for holidaying, medical check-up or hospitalisation
charges, office parties and picnics to generate greater bonding, and
also sponsoring accommodation for employees from office side.
• This department also conducts interviews for employees and
trainees both at the entry level and for promotions, encourages workers
to obtain extra skills, tries to motivate them by attending to their personal

23 | P a g e
and family needs also when needed so that, the employee remains
focussed and gives their best.
• Design of the work place is dictated by this department.
• Large offices are focussing on providing corporate culture to
cater to national and international level project/clients in view of
globalisation and business processing operations. Hence, facilities like
designer uniforms, identity card, personal computers use even for office
communication, flexible office timings, and personalised entry system are
becoming inevitable. They also offer most of the incentives and facilities
discussed before.
• Small and medium offices cannot plan for such practices as of
now, but, they may have to change mode and style of delivering
the services for which, adoption of these practices at whatever scale
possible becomes inevitable to remain competitive. The face of
practice is changing in terms of pace and types of services being
offered.
• Globalisation and competition has resulted in greater efficiency
and confidence in many firms. Their participation is increasing as local
partners to foreign firms who are coming to India in greater numbers.

TAX LIABILITY

Indian Income Tax Act, 1961

The number of employees can be either more or less than ten. Here the
tax has to be deducted at source and deposited at income tax office. As of
now taxable income of Rs.50,000/- does not attract any income tax. This
ceiling is fixed in the annual budget of the Central Government. Certificates
to people who pay income tax will be issued by the income tax office.
In other case where an employee's income falls within tax ceiling, salary
statement will be prepared and submitted to income tax office. The tax
is computed after applying different deductions allowed as per rules.
This act is applicable throughout India and is mandatory.

Professional Tax

This is also governed by the State Legislation. The percentage to be

levied varies from state to state. Number of employees can be more
or less than ten. This tax is levied on salaries beyond a cut off amount as
decided by the individual state government. The funds go to state
government. An annual statement of tax deducted at source, i.e. office
should be submitted to the profession tax officer.

Service Tax

This is regulated by a Central Legislation applicable to different types

of services. Architectural consultancy is one among them,

24 | P a g e
applicable throughout India, and is based on the number of projects
handled. Its scope is getting widened due to globalisation and business
outsourcing across the world.

INDIAN INSTITUTE OF ARCHITECTS

• In 1917, a group of people who were past students of

architecture of Sir J.J. school of art decided to form themselves into an
association and it was decided to christen the infant "the
architectural students association"

• The activities of the association showed, steady progress,

members began to seriously consider an improvement in status of
the association. The word "students" seemed inapt for a body that had now
practicing architects within it. In 1922, it announced the formal
inauguration of the rechristened association The "Bombay
architectural students association" in Mumbai.

• Its affiliation to the Royal Institute of British architects in 1925 and

re•
considered aims and objectives it was converted to IIA in the year
1929.

• The Indian Institute of Architects (IIA) is the national body of

architects in our country.

• The institute today has more than 12000 members.

• The institute has a major role in promoting the profession of

architects by uniting and organizing in fellowship the architects of
India to promote aesthetic, scientific and practical efficiency of the
profession.

• IIA is represented on various national and international

committees connected with art, architecture and the building industry
is also actively associated with

a. International union of architects (UIA)

b. Commonwealth association of architects(CAA)

c. South Asian association for regional co-operation of architects.

• IIA has six classes of membership:

a. Honorary fellows - any individual who is not necessarily a qualified

architect but has contributed to the growth of architectural profession.

25 | P a g e
b. Associates - any person who has attained the age of 21 and
graduated from one of the institutions registered with Council of Architecture.

c. Licentiates - any person who is registered with COA is eligible to

apply for licentiate member.

d. Students - a student enrolled in any one of the architectural

institutions
- can on application, become a student member.
e. Retired members_- any fellow, associate or licentiate after attaining the
age of 55 and on completely retiring from service or profession can
apply for this post.

f. Subscribers - a subscriber shall be either a person who was a member

of the Bombay architectural association at the time of adoption of the
original constitution of the institute, now amended or a person who in the
opinion of the council is likely to render assistance in promoting the objects
of the institute.

Council

All affairs of the institute is be managed by the council, but will be

subject to the control by the general body of the institute. The council
holds office for a period of 2 official years.

Council consists of:

o President
o 2 Vice President
o Hon. Treasurer
o 2 or more Joint Secretaries
o The immediate past President
o Chairman of 5 regional committees
o Chairman of all chapters
o The Hon. Editor of the Journal.

ROLE OF INDIAN INSTITUTE OF ARCHITECTS

• It encourages the science and the art of planning and

building the standards of architectural education, training and practice, by
making grants to Technical Institutions, or by paying or assisting to pay the
fees and expenses of students or by providing and giving scholarships,
prizes or other rewards to such students, or by any or all such methods.
• It devises and imposes the means for testing the qualifications of
the candidates for admission to membership of the Institute, by
examination in theory and in practice, or by any other tests, or to

26 | P a g e
arrange with any technical Institute or Institutions for the imposition of
any such tests.

• It looks into all factors affecting the practice of architecture

and it initiates and watches over measures affecting, or likely to affect,
the practice of Architecture, and to procure such changes of and
amendments in the law relating to or affecting the practice of
Architecture.
• It holds conferences or meetings for the discussion of,
and the exchange of news and matters affecting or relating to
architecture, the reading of papers and the delivery of lectures,
and hold congresses or exhibitions (either jointly with any other body or
Institution or otherwise) for the exposition of any matters affecting or
relating to the theory or practice of Architecture or any allied subject;
and to award medals, certificates, prizes or diplomas in connection
therewith.
• It co-ordinates the activities of the building industry and
of the Profession of Architecture, and too amalgamate or combine or act
temporarily or otherwise, in conjunction with any other body or bodies,
Institution or Institutions, having like or similar objects.
• It purchases, leases, rents, holds and disposes of any land or
property, and any building or hall and erects any such building or
buildings to be used as place of meeting for the members of the
institute, or as a college, school or reading room or library for the
advancement of the object of the institute, and provides accommodation
for any meeting, conference, exhibition or congress, whether promoted
wholly or partly by the Institute or which, in the opinion of the Council,
may conduce to or assist in the carrying on with the objects of the Institute
or tend to do so.
• It acquires by purchasing, donation, and request or otherwise a library
and collection of models, drawings, designs or other materials, and to
maintain, extend and improve the same.
• It formulates and notifies the law and practice relating to
Architecture to members and the public, and to compile, collect,
collate, revise, print and publish statistics, professional records or periodicals
relating to any of the objects of the Institute.
• It issues appeals for funds in furtherance of the objects of the
Institute, to accept any gift, endowment or bequest mode to the Institute,
and to carry any trust attached to any such gift, endowment or bequest,
and to borrow moneys, if required for the purpose of the Institute,
provided such gifts, endowments, bequests or loans shall be accepted if
they are not accompanied by conditions inconsistent or in conflict with
the objects for which the Institute is established.
• It ensures the advancement of the living standards of our
people through their improved environment and to make the profession
of ever increasing service to Society.

27 | P a g e
• It constitutes various classes of members including Honorary
Fellows who are influential and experienced people directly or indirectly
from the field.

ARCHITECT'S ACT, 1972

• An Act to provide for the registration of architects and for

matters connected therewith.

• It has come into force from 3ls May 1972 and extends to the whole
India.

• It contains 4 Chapters with 45 Sections along with one Schedule.

GENRAL READING IS REQUIREDFOR THE POINTS MENTIONED BELOW
Chapter - I (Preliminary)
1)

1. This Act may be called the Architects Act, 1972.

2. It extends to the whole of India.

3. It shall come in to force on such date as the Central Government may,

by notification in the Official Gazette, appoint.

2) In this Act, unless the context otherwise requires,

a. "Architect" means a person whose name is for the time being entered
in the register;
b. "Council" means the Council of Architecture constituted under Section
3;
c. "Indian Institute of Architects" means the Indian Institute of Architects
registered under the Societies Registration Act, 1860;
d. "Recognised qualification" means any qualification in architecture for
the time being included in the Schedule or notified under section 15;
ARCHITECT'S ACT, 1972

• An Act to provide for the registration of architects and for

matters connected therewith.

• It has come into force from 3ls May 1972 and extends to the whole
India.

• It contains 4 Chapters with 45 Sections along with one Schedule.

GENRAL READING IS REQUIREDFOR THE POINTS MENTIONED BELOW Chapter
- I (Preliminary)
1)

28 | P a g e
1. This Act may be called the Architects Act, 1972.

2. It extends to the whole of India.

3. It shall come in to force on such date as the Central Government may,

by notification in the Official Gazette, appoint.

2) In this Act, unless the context otherwise requires,

a. "Architect" means a person whose name is for the time being entered
in the register;
b. "Council" means the Council of Architecture constituted under Section
3;
c. "Indian Institute of Architects" means the Indian Institute of Architects
registered under the Societies Registration Act, 1860;
d. "Recognised qualification" means any qualification in architecture for
the time being included in the Schedule or notified under section 15;
e. "Register" means the register of architects maintained under section 23;
f. "Regulation" means a regulation made under this Act by the Council;
g. "Rule" means a rule made under this Act by the Central Government.

Chapter- II

• The Central Government shall, by notification in the Official

Gazette, constitute, with effect from such date as may be specified in
the notification, a Council to be known as the Council of Architecture,
which shall be a body corporate, having perpetual succession and a
common seal, with power to acquire, hold and dispose of property,
both movable and immovable, and to contract, and may by that
name sue or be sued.
• The Head Office of the Council shall be at Delhi or at such other
place as the Central Government may, by notification in the Official
Gazette, specify.

3) The Council shall consist of the following members, namely:-

a. Five architects possessing recognized qualifications elected by the
Indian Institute of Architects from among its members;
b. Two persons nominated by the All India Council for Technical
Education established by the Resolution of the Government of India in
the late Ministry of Education No.F. 16-10 I44-E. I/I, dated the 30th
November, 1945;
c. Five persons elected form among themselves by heads of architectural
institutions in India imparting full-time instruction for recognised qualifications;
d. The Chief Architects in the Ministries of the Central Government to
which the Government business relating to defence and railways has been

29 | P a g e
allotted and head of the Architectural Organization in the Central
Public Works Department, ex officio;
e. One person nominated by the Central Government;
f. An architect from each State nominated by the Government of that
state;
g. Two persons nominated by the Institution of Engineers (India) from
among its members; and
h. One person nominated by the Institution of Surveyors of India from
among its members.

Explanation -- For the purposes of this sub-section,-•

• "Institution of Engineers (India)" means the Institution of

Engineers (India) first registered in 1920 under the Indian Companies Act,
1913 and subsequently incorporated by a Royal chapter in 1935.
• "Institution of Surveyors of India" means the Institution of
surveyors registered under the Societies Registration Act, 1860.

4) Notwithstanding anything contained in clause (a) of sub-section (3),

the Central Government may, pending the preparation of the register,
nominate to the first Council, in consultation with the Indian Institute of
Architects, persons referred to in the said clause (a) who are qualified
for registration under section 25, and the persons so nominated shall
hold office for such period as the Central Government may, by
notification in the Official Gazette, specify.

5) Notwithstanding anything contained in clause (f) of sub-section (3), the

Central Government may, pending the preparation of the register,
nominate to the first Council, in consultation with the State Governments
concerned, persons referred to in the said clause(f), who are qualified
for registration under section 25, and the persons so nominated shall hold
office for such period as the Central Government may, by
notification in the Official Gazette, specify.

• The President and the Vice-President of the Council shall be elected

by the members of the Council from among themselves:
Provided that on the first constitution of the Council and until the
President is elected, a member of the Council nominated by the
Central Government in this behalf shall discharge the functions of the
President.
• An elected President or Vice-President of the Council shall hold
office for a term of three years or till he ceases to be a member of
the Council, whichever is earlier, but subject to his being a member of the
Council, he shall be eligible for re-election:

30 | P a g e
g. Two persons nominated by the Institution of Engineers (India) from
among its members; and
h. One person nominated by the Institution of Surveyors of India from
among its members.

Explanation -- For the purposes of this sub-section,-•

• "Institution of Engineers (India)" means the Institution of

Engineers (India) first registered in 1920 under the Indian Companies Act,
1913 and subsequently incorporated by a Royal chapter in 1935.
• "Institution of Surveyors of India" means the Institution of
surveyors registered under the Societies Registration Act, 1860.

4) Notwithstanding anything contained in clause (a) of sub-section (3),

the Central Government may, pending the preparation of the register,
nominate to the first Council, in consultation with the Indian Institute of
Architects, persons referred to in the said clause (a) who are qualified
for registration under section 25, and the persons so nominated shall
hold office for such period as the Central Government may, by
notification in the Official Gazette, specify.

5) Notwithstanding anything contained in clause (f) of sub-section (3), the

Central Government may, pending the preparation of the register,
nominate to the first Council, in consultation with the State Governments
concerned, persons referred to in the said clause(f), who are qualified
for registration under section 25, and the persons so nominated shall hold
office for such period as the Central Government may, by
notification in the Official Gazette, specify.

• The President and the Vice-President of the Council shall be elected

by the members of the Council from among themselves:
Provided that on the first constitution of the Council and until the
President is elected, a member of the Council nominated by the
Central Government in this behalf shall discharge the functions of the
President.
• An elected President or Vice-President of the Council shall hold
office for a term of three years or till he ceases to be a member of
the Council, whichever is earlier, but subject to his being a member of the
Council, he shall be eligible for re-election:

Provided that -
o The President or the Vice-President may, by writing under his
hand addressed to the Vice-President or the President, as the case may
be, resign his office;

31 | P a g e
o President or the Vice-President shall, notwithstanding the expiry of
his term of three years, continue to hold office until his successor enters
upon office.

• The President and the Vice-President of the Council shall exercise

such powers and discharge such duties as may be prescribed by
the
regulations.

5)

1. Elections under this Chapter shall be conducted in such manner as

may be prescribed by rules.

2. Where any dispute arises regarding any such election, the matter shall
be referred by the Council to a Tribunal appointed by the Central
Government by notification in the Official Gazette in this behalf, and the
decision of the Tribunal shall be final: Provided that no such reference
shall be made except on an application made to the Council by an
aggrieved party within thirty days from the date of the declaration of the
result of the election.

3. The expenses of the Tribunal shall be borne by the Council.

6)

I. Subject to the provisions of this section, an elected or nominated

member shall hold office for a term of three years from the date of his
election or nomination or until his successor has been duly elected or
nominated whichever is later.

2. An elected or nominated member may, at any time, resign his

membership by writing under his hand addressed to the President, or in his
absence, to the Vice-President, and the seat of such member shall
thereupon become vacant.

3. A member shall be deemed to have vacated his seat

a. If he is absent without excuse, sufficient in the opinion of the Council,

from three consecutive ordinary meetings of the Council; or

b. If he ceases to be a member of the body referred to in clause (a),

clause(g) or clause(h) of sub-section (3) of section 3 by which he was
elected or nominated, as the case may be; or

32 | P a g e
c. In the case where he has been elected under clause(c) of sub• section
(3) of section 3, if he ceases to hold his appointment as the head of an
Institution referred to in the said clause.

4. A Casual vacancy in the Council shall be filled by fresh election or

nomination, as the case may be, and the person so elected or
nominated to fill the vacancy shall hold office only for the remainder of the
term for which the member whose place he takes was elected or
nominated.

5. Members of the Council shall be eligible for re-election or re•

nomination, but not exceeding three consecutive terms.

7) No act or proceeding of the Council or the Executive Committee or any

other Committee shall be invalid merely by reason of -

a. Any vacancy in, or defect in the constitution of the Council, the

Executive Committee or any other committee, or

b. Any defect in the election or nomination of a person acting as a

member thereof, or

c. Any irregularity in procedure not affecting the merits of the case.

8) A person shall not be eligible for election or nomination as a member of

the Council, if he/she --

a. Is an un discharged insolvent; or

b. Has been convicted by a court in India for any offence and sentenced
to imprisonment for not less than two years, and shall continue to be
ineligible for a further period of five years since his release.

9)

1. The Council shall meet at least once in every six months at such time
and place and shall observe such rules of procedure in regard to the
transaction of business at its meetings as may be prescribed by
regulations.

2. Unless otherwise prescribed by regulations, nine members of the

Council shall form a quorum, and all the acts of the Council shall be
decided by a majority of the members present and voting.

3. In the case of an equal division of votes, the President, or in his

absence, the Vice-President or, in the absence of both, the member

33 | P a g e
presiding over the meeting, shall have and exercise a second or
casting vote.

10)

1. The Council shall constitute from among its members an Executive

Committee, and may also constitute other committees for such
general or special purposes as the Council deems necessary to carry
out its functions under this Act.

2. The Executive Committee shall consist of the President and the Vice•
President of the Council who shall be member's ex-officio and five
other members who shall be elected by the Council from among its
members.

3. The President and the Vice-President of the Council shall be the

Chairman and Vice-Chairman respectively of the Executive Committee.

4. A member of the Executive Committee shall hold office as such until

the expiry of his term as a member of the Council but subject to his
being a member of the Council, he shall be eligible for re-election.

5. In addition to the powers and duties conferred and imposed on it by

this Act, the Executive Committee shall exercise such powers and
discharge such duties as may be prescribed by regulations.

11) The President, the Vice-President and other members of the Council
shall be entitled to such fees and allowances as the Council may,
with the previous sanction of the Central Government, fix in this behalf.

9)

1. The Council shall meet at least once in every six months at such time
and place and shall observe such rules of procedure in regard to the
transaction of business at its meetings as may be prescribed by
regulations.

2. Unless otherwise prescribed by regulations, nine members of the

Council shall form a quorum, and all the acts of the Council shall be
decided by a majority of the members present and voting.

3. In the case of an equal division of votes, the President, or in his

absence, the Vice-President or, in the absence of both, the member
presiding over the meeting, shall have and exercise a second or
casting vote.

34 | P a g e
10)

1. The Council shall constitute from among its members an Executive

Committee, and may also constitute other committees for such
general or special purposes as the Council deems necessary to carry
out its functions under this Act.

2. The Executive Committee shall consist of the President and the Vice•
President of the Council who shall be member's ex-officio and five
other members who shall be elected by the Council from among its
members.

3. The President and the Vice-President of the Council shall be the

Chairman and Vice-Chairman respectively of the Executive Committee.

4. A member of the Executive Committee shall hold office as such until

the expiry of his term as a member of the Council but subject to his
being a member of the Council, he shall be eligible for re-election.

5. In addition to the powers and duties conferred and imposed on it by

this Act, the Executive Committee shall exercise such powers and
discharge such duties as may be prescribed by regulations.

11) The President, the Vice-President and other members of the Council
shall be entitled to such fees and allowances as the Council may,
with the previous sanction of the Central Government, fix in this behalf.

12)

1. The Council shall •

a. Appoint a Registrar who shall act as its Secretary and who may also
act, if so decided by the Council, as its treasurer;

b. Appoint such other officers and employees as the Council deems

necessary to enable it to carry out its functions under this Act;

c. With the previous sanction of the Central Government, fix the pay
and allowances and other conditions of service of officers and other
employees of the Council.

2. Notwithstanding anything contained in clause(a) of sub-section( 1 ), for

the first three years from the first constitution of the Council, the
Registrar of the Council shall be a person appointed by the Central
government, who shall hold office during the pleasure of the Central
Government.

35 | P a g e
3. All the persons appointed under this section shall be the employees
of the Council.

13)

1. There shall be established a Fund under the management and control

of the Council into which shall be paid all moneys received by the
Council and out of which shall be met all expenses and liabilities
properly incurred by the Council.

2. The Council may invest any money for the time being standing to the
credit of the Fund in any Government security or in any other security
approved by the Central Government.

3. The Council shall keep proper accounts of the Fund distinguishing

capital from revenue.

4. The annual accounts of the Council shall be subject to audit by an

auditor to be appointed annually by the Council.

5. As soon as may be practicable at the end of each year, but not

later than the thirtieth day of September of the year next following, the
Council shall cause to be published in the Official Gazette a copy of the
audited accounts and the report of the Council for that year and copies
of the said accounts and report shall be forwarded to the Central
Government.

6. The Fund shall consist of -•

a. All moneys received from the Central Government by way of grant,

gift or deposit;

b. Any sums received under this Act whether by way of fee or

otherwise.

7. All moneys standing at the credit of the Council which cannot be

immediately be applied shall be deposited in the State Bank of India or in
any other bank specified in column 2 of the First Schedule to the Banking
Companies (Acquisition and Transfer of Undertakings) Act,
1970.

14)

I. The qualifications included in the schedule or notified under section 15

shall be recognised qualifications for the purposes of this Act.

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2. Any authority in India which grants an architectural qualification not
included in the schedule may apply to the Central Government to have
such qualification recognised, and the Central Government, after
consultation with the Council, may, by notification in the Official Gazette,
amend the schedule so as to include such qualification therein, and
any such notification may also direct that an entry shall be made in the
schedule against such architectural qualification declaring that it shall
be a recognised qualification only when granted after a specified date.

3. Provided that until the first Council is constituted, the Central

Government shall, before, issuing any notification as aforesaid, consult an
expert committee consisting of three members to be appointed by the
Central Government by notification in the official Gazette.

15)

1. The Central Government may, after consultation with the Council,

direct, by notification in the Official Gazette, that an architectural
qualification granted by any university or other institution in any country
outside India in respect of which a scheme of reciprocity for the
recognition of architectural qualification is not in force, shall be a recognised
qualification for the purposes of this Act or, shall be so only when granted
after a specified date or before a specified date :

Provided that until the first Council is constituted the Central

Government shall, before issuing any notification as aforesaid, consult the
expert committee set up under the proviso to sub-section (2) of section
14.

2. The Council may enter into negotiations with the authority in any State
or country outside India, which by the law of such State or country is
entrusted with the maintenance of a register of architects, for settling of a
scheme of reciprocity for the recognition of architectural qualifications
and in pursuance of any such scheme, the Central Government may, by
notification in the Official Gazette, direct that such architectural
qualification as the Council has decided should be recognised, shall be
deemed to be a recognised qualification for the purposes of this Act, and
any such notification may also direct that such architectural qualification,
shall be so recognised only when
granted after a specified date or before a specified date.

16) Notwithstanding anything contained in sub-section (2) of section 14,

the Central Government, after consultation with the Council, may, by
notification in the Official Gazette, amend the schedule by directing that
an entry be made in respect of any architectural qualification.

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17) Notwithstanding anything contained in any other law, but subject to
the provisions of this Act, any recognised qualification shall be a
sufficient qualification for enrolment in the register.

18) Every authority in India which grants a recognised qualification shall

furnish such information as the Council may, from time to time, require
as to the courses of study and examinations to be undergone in order to
obtain such qualification, as to the ages at which such courses of
study and examinations are required to be undergone and such
qualification is conferred and generally as to the requisites for obtaining
such qualification.

19)

1. The Executive Committee shall, subject to regulations, if any, made by

the Council, appoint such number of inspectors as it may deem
requisite to inspect any college or institution where architectural
education is given or to attend any examination held by any college or
institution for the purpose of recommending to the Central
Government recognition of architectural qualifications granted by that
college or institution.

2. The inspectors shall not interfere with the conduct of any training or
examination, but shall report to the Executive Committee on the
adequacy of the standards of architectural education including staff,
equipment, accommodation; training and such other facilities as may be
prescribed by regulations for giving such education or on the
sufficiency of every examination which they attend.

3. The Executive Committee shall forward a copy of such report to the

college or institution and shall also forward copies with remarks, if any, of
the college or institution thereon, to the Central Government.

20)

1. When upon report by the Executive Committee it appears to the

Council-

1. That the courses of study and examination to be undergone in, or

the proficiency required from the candidates at any examination
held by, any college or institution, or

2. That the staff, equipment, accommodation, training and other

facilities for staff and training provided in such college or institution,

38 | P a g e
Do not conform to the standards prescribed by regulations, the Council
shall make a representation to that effect to the appropriate
Government.

2. After considering such representation the appropriate Government

shall forward it along with such remarks as it may choose to make to the
college or institution concerned, with an intimation of the period
within which the college or institution, as the case may be, may submit
its explanation to the appropriate Government.

3. On receipt of the explanation or where no explanation is submitted

within the period fixed, then on the expiry of that period, the State
Government, in respect of the college or institution referred to in
clause(b) of sub-section (5), shall make its recommendations to the
Central Government.

4. The Central Government -•

a. After making such further enquiry, if any, as it may think fit, in respect
of the college or institution referred to in sub-section (3), or

b. On receipt of the explanation from a college or institution referred

to in clause (a) of sub-section (5), or where no explanation is
submitted within the period fixed, then on the expiry of
that period,

May, by notification in the Official Gazette, direct that an entry shall be

made in the Schedule against the architectural qualification
awarded by such college or institution, as the case may be, declaring that
it shall be a recognised qualification only when granted before a specified
date and the Schedule shall be deemed to be amended accordingly.

5. For the purposes of this section, "appropriate Government" means -•

In relation to any college or institution established by an Act of Parliament

or managed, controlled or financed by the Central Government, the
Central Government, and

a. In any other case, the State Government.

21) The Council may prescribe the minimum standards of

architectural education required for granting recognised qualifications by
colleges or institutions in India.

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22)

a. The Council may by regulations prescribe standards of professional

conduct and etiquette and a code of ethics for architects.

b. Regulations made by the Council under sub-section (1} may specify

which violations thereof shall constitute infamous conduct in any professional
respect, that is to say, professional misconduct, and such provision shall
have effect notwithstanding anything contained in any law for the time
being in force.

Chapter - Ill

23)

1. The Central Government shall, as soon as may be, cause to be

prepared in the manner hereinafter provided a register of architects for India.

2. The Council shall upon its constitution assume the duty of maintaining
the register in accordance with the provisions of this Act.

3. The register shall include the following particulars, namely :-

a. The full name with date of birth, nationality and residential address
of the architect ;

b. His qualification for registration, and the date on which he

obtained that qualification and the authority which conferred it;

c. The date of his first admission to the register;

d. His professional address ; and

e. Such further particulars as may be prescribed by rules.

1. The Central Government shall, as soon as may be, cause to be

prepared in the manner hereinafter provided a register of architects for India.

2. The Council shall upon its constitution assume the duty of maintaining
the register in accordance with the provisions of this Act.

3. The register shall include the following particulars, namely :-

a. The full name with date of birth, nationality and residential address
of the architect :

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b. His qualification for registration, and the date on which he
obtained that qualification and the authority which conferred it:

c. The date of his first admission to the register:

d. His professional address : and

e. Such further particulars as may be prescribed by rules.

24)

1. For the purposes of preparing the register of architects for the first time,
the Central Government shall, by notification in the Official Gazette,
constitute a Registration Tribunal consisting of three persons who have, in
the opinion of the Central Government, the knowledge of, or
experience in, architecture; and the Registrar appointed under section
12 shall act as Secretary of the Tribunal.

2. The Central Government shall, by the same or a like notification,

appoint a date on or before which application for registration, which shall
be accompanied by such fee as may be prescribed by rules, shall be
made to the Registration Tribunal.

3. The Registration Tribunal shall examine every application received on

or before the appointed day and if it is satisfied that the applicant is
qualified for registration under section 25, shall direct the entry of the
name of the applicant in the register.

4. The first register so prepared shall thereafter be published in such

manner as the Central Government may direct and any person
aggrieved by a decision of the Registration Tribunal expressed or
implied in the register so published may, within thirty days from the date of
such publication, appeal against such decision to an authority
appointed by the central Government in this behalf by notification in the
Official Gazette.

5. The authority appointed under sub-section (4) shall, after giving the
person affected an opportunity of being heard and after calling for
relevant records, make such order as it may deem fit.

6. The Registrar shall amend, where necessary, the register in accordance

with the decisions of the authority appointed under sub-section (4).

7. Every person whose name is entered in the register shall be issued a

certificate of registration in such form as may be prescribed by rules.

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8. Upon the constitution of the Council, the register shall be given into its
custody, and the Central Government may direct that the whole or any
specified part of the application fees for registration in the first register
shall be paid to the credit of the Council.

25) A person shall be entitled on payment of such fees as may be

prescribed by rules to have his name entered in the register, if he resides or
carries on the profession of architect in India and -•

a. Holds a recognised qualification, or

b. Does not hold such a qualification but, being a citizen of India, has
been engaged in practice as an architect for a period of not less than five
years prior to the date appointed under sub-section (2) of section
24, or

c. Possesses such other qualifications as may be prescribed by rules :

Provided that no person other than a citizen of India shall be entitled to

registration by virtue of a qualification -•

d. Recognised under sub-section ( 1} of section 15 unless by the law and

practice of a country outside India to which such person belongs,
citizens of India holding architectural qualification registrable in that
country are permitted to enter and practise the profession of architect in
such country, or

e. Unless the Central Government has, in pursuance of a scheme of

reciprocity or otherwise, declared that qualification to be a recognised
qualification under sub-section (2) of section 15.

26)

1. After the date appointed for the receipt of applications for registration in
the first register of architects, all applications for registration shall be
addressed to the Registrar of the Council and shall be accompanied by
such fee as may be prescribed by rules.

2. If upon such application the Registrar is of opinion that the applicant is

entitled to have his name entered in the register he shall enter thereon the
name of the applicant:

3. Provided that no person, whose name has under the provisions of this
Act been removed from the register, shall be entitled to have his name re-
entered in the register except with the approval of the Council.

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4. Any person whose application for registration is rejected by the
Registrar may, within three months of the date of such rejection,
appeal to the Council.

5. Upon entry in the register of a name under this section, the Registrar
shall issue a certificate of registration in such form as may be
prescribed by the rules.

27)

1. The Central Government may, by notification in the Official Gazette,

direct that for the retention of a name in the register after the 31st day of
December of the year following the year in which the name is first
entered in the register, there shall be paid annually to the Council such
renewal fee as may be prescribed by rules and where such direction
has been made, such renewal fee shall be due to be paid before the
first day of April of the year to which it relates.

2. Where the renewal fee is not paid before the due date, the
Registrar shall remove the name of the defaulter from the register:

3. Provided that a name so removed may be restored to the register on

such conditions as may be prescribed by rules.

4. On payment of the renewal fee, the Registrar shall, in such manner as

may be prescribed by rules, endorse the certificate of registration
accordingly.

28) An architect shall, on payment of such fee as may be prescribed by

rules, be entitled to have entered in the register any further
recognised qualification which he may obtain.

29)

1. The Council may, by order, remove from the register the name of any
architect-

a. From whom a request has been received to that effect, or b. One,

who has died since the last publication of the register
2. Subject to the provisions of this section, the Council may order that the
name of any architect shall be removed from the register where it is
satisfied, after giving him a reasonable opportunity of being heard and
after such further inquiry, if any, as it may think fit to make, -•

a. That his name has been entered in the register by error or on

account of misrepresentation or suppression of a material fact; or

43 | P a g e
b. That he has been convicted of any offence which, in the opinion of the
Council, involves moral turpitude; or

c. That he has been convicted of any offence which, in the opinion of the
Council, involves moral turpitude; or

d. That he has been adjudged by a competent court to be of

unsound mind.

3. An order under sub-section (2) may direct that any architect whose
name is ordered to be removed from a register shall be ineligible for
registration under this Act for such period as may be specified.

4. An order under sub-section (2) shall not take effect until the expiry of
three months from the date thereof.

30)

1. When on receipt of a complaint made to it, the Council is of opinion

that any architect has been guilty of professional misconduct which, if
proved, will render him unfit to practise as an architect; the Council may
hold an inquiry in such manner as may be prescribed by rules.

2. After holding the inquiry under sub-section (1) and after hearing the
architect, the Council may, by order, reprimand the said architect or
suspend him from practice as an architect or remove his name from the
register or pass such other order as it thinks fit

31) A person whose name has been removed from the register under
sub• section (2) of section 27, sub-section (l) or sub-section (2) of section
29 or sub• section (2) of section 30, or where such person is
dead, his legal representative, as defined in clause (11) of section 2
of the Code of Civil Procedure, 1908, shall forthwith surrender his certificate
of registration to the Registrar, and the name so removed shall be
published in the Official Gazette.

32) The Council may, at any time, for reasons appearing to it be

sufficient and subject to the approval of the Central Government, order
that upon payment of such fee as may be prescribed by rules, the name of
the person removed from the register shall be restored thereto.

33) Where it is shown to the satisfaction of the Registrar that a certificate

of registration has been lost or destroyed, the Registrar may, on
payment of such fee as may be prescribed by rules, issue a duplicate
certificate in the form prescribed by the rules.

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34) As soon as may be after the Is' day of April in each year, the Registrar
shall cause to be printed copies of the register as it stood on the said
date and such copies shall be made available to persons applying
therefore on payment of such fee as may be prescribed by rules and
shall be evidence that on the said date the persons whose names are
entered therein were architects.

35)

1. Any reference in any law for the time being in force to an architect
shall be deemed to be a reference to an architect registered under this
Act.

2. After the expiry of two years from the date appointed under sub•
section (2) of section 24, a person who is registered in the register shall
get preference for appointment as an architect under the Central or State
Government or in any other local body or institution which is supported
or aided from the public or local funds or in any institution recognised by
the Central or State Government.

Chapter - IV (Miscellaneous)

36) If any person whose name is not for the time being entered in the
register falsely represents that it is so entered, or uses in connection with his
name or title any words or letters reasonably calculated to suggest that his
name is so entered, he shall be punishable with fine which may extend to
one thousand rupees.

37)

1. After the expiry of one year from the date appointed under sub-section
(2) of section 24, no person other than a registered architect, or a firm of
architects shall use the title and style of architect

Provided that the provisions of this section shall not apply to•

a. Practice of the profession of an architect by a person

designated as a "landscape architect" or "naval architect";

b. A person who, carrying on the profession of an architect in any country

outside India, undertakes the function as a consultant or designer in India for
a specific project with the prior permission of the
Central Government.

Explanation - For the purposes of clause (a), -•

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c. "Landscape architect" means a person who deals with the design of
open spaces relating to plants, trees and landscape;

d. "Naval architect" means an architect who deals with design and

construction of ships.

2. If any person contravenes the provisions of sub-section (1 ), he shall be

punishable on first conviction with fine which may extend to five
hundred rupees and on any subsequent conviction with imprisonment
which may extend to six months or with fine not exceeding one
thousand rupees or with both.

38) If any person whose name has been removed from the register
fails without sufficient cause forthwith to surrender his certificate of
registration, he shall be punishable with fine which may extend to one
hundred rupees, and, in the case of a continuing failure, with an
additional fine which may extend to ten rupees for each day after the first
during which he has persisted in the failure.

39)

1. No court shall take cognizance of any offence punishable under this

Act, except upon complaint made by order of the Council or a person
authorised in this behalf by the Council.

2. No Magistrate other than a Presidency Magistrate or a Magistrate of

the first class shall try any offence punishable under this Act.

40)

1. The Council shall furnish such reports, copies of its minutes, and other
information to the Central Government as that Government may
require.

2. The Central Government may publish, in such manner as it may think fit,
any report, copy or other information furnished to it under this section.

41) No suit, prosecution or other legal proceeding shall lie against the
Central Government, the Council or any member of the Council, the
Executive Committee or any other committee or officers and other
employees of the Council for anything which is in good faith done or
intended to be done under this Act or any rule or regulation made there
under.

42) The members of the Council and officers and other employees of
the

46 | P a g e
Council shall be deemed to be public servants within the meaning of
section
21 of the Indian Penal Code.

43)

1. If any difficulty arises in giving effect to the provisions of this Act, the
Central Government may, by order published in the Official Gazette,
make such provisions, not inconsistent with the provisions of this Act, as
appear to it to be necessary or expedient for removing the difficulty:
Provided that no such order shall be made under this section after the expiry
of two years from the date of commencement of this Act.

2. Every order made under this section shall, as soon as may be after it is
made, be laid before each House of Parliament and the provisions of sub-
section(3) of section 44 shall apply in respect of such order as it
applies in respect of a rule made under this Act.

44)

1. The Central Government may, by notification in the Official Gazette,

make rules to carry out the purposes of this Act.

2. In particular and without prejudice to the generality of the foregoing

power, such rules may provide for all or any of the following matters,
namely:•

a. The manner in which elections under Chapter II shall be

conducted, the terms and conditions of service of the member of the
Tribunal appointed under sub-section (2) of section 5 and the procedure to
be followed by the Tribunal;

b. The procedure to be followed by the expert committee

constituted under the proviso to sub-section (2) of section 14 in the
transaction of its business and the powers and duties of the expert
committee and the travelling and daily allowances payable to the
members thereof;

c. The particulars to be included in the register of architects under sub-

section (3) of section 23;

d. The form in which a certificate of registration is to be issued under sub-

section (7) of section 24, sub-section (4) of section 26 and section 33.

e. The fee to be paid under sections 24, 25, 26, 27, 28 , 32 and 33;

47 | P a g e
f. The conditions on which name may be restored to the register under
the proviso to sub-section (2) of section 27;

g. The manner of endorsement under sub-section (3) of section 27;

h. The manner in which the Council shall hold an enquiry under section
30;

i. The fee for supplying printed copies of the register under section
34.

j. Any other matter which is to be or may be provided by rules under

this Act

3. Every rule made under this section shall be laid, as soon as may be
after it is made, before each House of Parliament, while it is in session, for a
total period of thirty days which may be comprised in one session or in two
or more successive sessions, and if, before the expiry of the session
immediately following the session or the successive sessions aforesaid, both
Houses agree in making any modification to the rule or both Houses agree
that the rule should not be made, the rule shall thereafter have effect
only in such modified form or be of no effect, as the case may be; so,
however, that any such modification or annulment shall be without
prejudice to the validity of anything
previously done under that rule.

45)

1. The Council may, with the approval of the central Government, *[by
notification in the Official Gazette] make regulations not inconsistent with
the provisions of this Act, or the rules made there under to carry out the
purposes of this Act.

2. In particular and without prejudice to the generality of the foregoing

power, such regulations may provide for •

a. The management of the property of the Council;

b. The powers and duties of the President and the Vice-President of the
Council;

c. The summoning and holding of meetings of the Council and the

Executive Committee or any other committee constituted under section 10,
the times and places at which such meetings shall be held, the conduct of
business thereat and the number of persons necessary to constitute a
quorum:

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d. The functions of the Executive Committee or of any other
committee constituted under section 10;

e. The courses and periods of study and of practical training, if any, to be

undertaken, the subjects of examinations and standards of proficiency
therein to be obtained in any college or institution for grant of recognised
qualifications;

f. The appointment, powers and duties of inspector;

g. The standards of staff, equipment, accommodation, training and other

facilities for architectural education;

h. The conduct of professional examinations, qualifications of

examiners and the conditions of admission to such examinations;

i. The standards of professional conduct and etiquette and code

of ethics to be observed by architects;

j. Any other matter which is to be or may be provided by

regulations under this Act and in respect of which no rules have been
made.

3. Every regulation made under this section shall be laid, as soon as may
be after it is made, before each House of Parliament, while it is in
session, for a total period of thirty days which may be comprised in one
session or in two or more successive sessions, and if, before the expiry of
the session immediately following the session or the successive sessions
aforesaid, both Houses agree in making any modification to the
regulation or both Houses agree that the regulation should not be
made, the regulations shall thereafter have effect only in such
modified form or be of no effect, as the case may be; so, however, that
any such modification or annulment shall be without prejudice to the
validity of anything previously done under that regulation.

COUNCIL OF ARCHITECTURE (COA)

The council consists of the following members:

• 5 architects possessing recognised qualifications elected by the Indian

Institute of Architects.
• 2 persons nominated by the All India Council for Technical Education.
• 5 persons elected from among themselves by heads of
architectural institutions in India imparting full time instruction for
recognised qualification.
• 3 Chief Architects from MES, Railways and C.P.W.D.
• l person nominated by Central Government.

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• An architect from each State nominated by the government of
that state.
• 2 persons nominated by the Institution of Engineers (India) from
among its members.
• l person nominated by Institution of surveyors from among its members.

Main Function of COA

• Enrolment of persons holding recognised qualifications.

• Holding enquires into misconduct of registered architects and
taking necessary action.
• Prescribing standards of professional conduct and etiquette and
code of ethics for architects.
• Assessment of the standards of education and training of architects.
• President and Vice President: They are elected by the members of
the council for a period of 3 years or till they ceases to be a member of the
Council.
• Executive Committee hall consists of President and Vice President
as Chairman and Vice Chairman and five other elected members of the
Council.
• Regulations prescribe powers of Executive.
• The qualifications included in the schedule or notified under Section
15 shall be recognised qualifications under this Act.

IMPORTANCE OF ETHICS IN PROFESSIONAL PRACTICE

ETHICS is defined broadly and simply as the study of how our decision
affect other people. It is also the study of people's rights and duties, the
moral rules that people apply in making decisions, and the nature of
relationship among people. Ethics deal with moral duty and obligation, and
gives rise to a set of values, which in turn, are used to judge the
appropriateness of a particular conduct or behaviour.

• The code of ethics regulates the professional behaviour, and

represents the values on which the profession stands for.
• Values generate faith in people that their interests are in safe
hands, and it would improve quality of life.
• The code of ethics is based on the principles of truth, honesty,
justice, trustworthiness, to respect and safeguard human life and its
welfare, competence and the accountability which constitutes values every
professional ought to recognise and uphold.

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CODE OF CONDUCT FOR ARCHITECTS AND PUNITIVE ACTION FOR
PROFESSIONAL MISCONDUCT OF AN ARCHITECT

Architects (professional conduct) regulations 1989: under Architects Act

1972

Certain regulations are made to promote the standard of professional

conduct/self-discipline required of an architect. Any violation shall
constitute a professional misconduct.

A. Conditions of engagement and scale of professional fees and charges:

• Architect acts as a professional advisor to his/her client and
his/her advice must be absolutely unbiased.
• While interpreting conditions of contract, he/she discharges
quasi-judicial functions as between client and contractor and he/she
should ensure impartiality.
• The architect has moral responsibilities towards his/her
professional associates and subordinates. These conditions of engagement
are for the mutual benefit of both clients and the architect. The architect
fulfils comprehensive responsibilities in cooperation with members of other
professions.
• The quality of environment ultimately depends on the successful
application of his creative skill.
B. Architects (Professional Conduct) Regulations 1989:

Architect shall

l. Ensure that the professional activities do no conflict with the general

responsibility to contribute to the quality of the environment and future
welfare of society.
2. Apply skill to the creative, responsible and economic development of
his country.
3. Provide professional services of a high standard, to the best of ability.
4. If in private practice, inform the client of the conditions of engagement
and scale of charges and agree that these conditions shall be the
basis of one's appointment.
5. Do not sub commission to another architect or architects the work
for
which one has been commissioned without prior agreement of the
client.
6. Do not give or take discounts, commissions, gifts or other inducements
for the introduction of clients or of work.
7. Act with fairness and impartiality when administering a building
contract.
8. Maintain a high standard of integrity.
9. Promote the advancement of architecture, standards of architectural
education, research training and practice.

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l 0. Conduct in a manner which is not derogatory to the professional
character, not likely to lessen the confidence of the public in the
profession, nor bring architects into disrepute.
11.Compete fairly with other architects.
12. Observe and uphold the Council's conditions of engagement and
scale of charges.
13. Do 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).
14.Do not attempt to obtain, offer to undertake or accept a commission
for which one knows another architect has been selected or employed until
he/she has evidence that the selection, employment or
agreement has been terminated and one has given the previous
architect written notice to that effect. Provided that in the preliminary
stages of works, the client may consult, in order to select the architect,
as many architects as he/she wants provided he/she makes payment of
charges to each of the architects so consulted.
15. Comply with Council's guidelines for architectural competitions and
inform the Council of his appointment as assessor for an architectural
competition.
16. When working in other countries, observe the requirements of codes of
conduct applicable to the place where one is working.
17. Do not have or take as partner in one's firm any person who is
disqualified for registration by reason of the fact that his/her name has
been removed from the Register under Section 29 or 30 of the
Architects Act, 1972.
18.Provide employees with suitable working environment compensate
them fairly and facilitate their professional development.
19.Recognize and respect the professional contribution of the employees.
20. Provide the associates with suitable working environment
compensate them fairly and facilitate their professional development.
21. Recognize and respect the professional contribution of one's
associates.
22. Enter into agreement with them; define their scope of
work,
responsibilities, functions, fees and mode of payment.
23. An architect shall not advertise his/her professional services nor be part
of any publicity material/endorsement. However, change of address may
be published, allow his/her name at project site (of which he/she is the
consultant) or his/her office provided the size of lettering does not exceed l
0cm in height, provide his/her name for tender documents or foe staff
selection, publication of his/her work in media, but not for remuneration,
in brochures as the consultant of project being promoted along
with his/her experience or in telephone/web documents. In a
partnership also these guidelines are applicable. If an architect practices as
a partner in a partnership firm or is in charge and is responsible to a

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company registered under the Companies Act, 1956 for the conduct of
business of such company, he/she shall ensure that such partnership firm
or the company, as the ease may be, complies with the provisions of
above regulation. Violation of any of the provisions of above
regulation shall constitute a professional misconduct.

Professional Negligence

Negligence of an architect means failure to take reasonable degree of

care in the course of the engagement for rendering professional services.

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 profession misconduct
or not.

Deficient Services

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.

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/her duties and functions for
the project for which he/she has been engaged, amount to deficient
service.

Nature of Liability

An architect is liable for the negligent act which he/she committed in

the performance of his/her duties. The action against an architect can
be initiated by the client on satisfying the following conditions:

l. There must be a duty to take care, which is owned by an architect to

his/her client.
2. 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.
3. The client must have suffered damage due to such breach of duty.

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Disciplinary Action under the Architects Act, 1972

If an architect is found guilty of professional misconduct, he/she 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 Architecture against

the architect who has been found guilty of professional misconduct
does not absolve their of their 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 and so on.

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REGULATION 2017
[UNIT II - ARCHITECT’S SERVICES, SCALE OF FEES
& COMPETITIONS]

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 TOPICS:

• MODE OF ENGAGING AN ARCHITECT

• COMPREHENSIVE SERVICES, PARTIAL SERVICES AND
SPECIALISED SERVICES

• SCOPE OF WORK OF AN ARCHITECT

• SCHEDULE OF SERVICES
• SCALE OF FEES (COUNICILE OF ARCHITECTURE NORMS)
• MODE OF PAYMENT
• TERMS AND CONDITIONS OF ENGAGEMENT
• LETTER OF APPOINTMENT
• IMPORTANCE OF ARCHITECTURAL COMPETITIONS
• TYPES OF COMPETITIONS (OPEN, LIMITED, IDEAS COMPETITION)
• SINGLE AND TWO STAGE COMPETITIONS
• COUNCIL OF ARCHITECTURE GUIDELINES FOR
CONDUCTING ARCHITECTURAL COMPETITIONS

• NATIONAL AND INTERNATIONAL COMPETITIONS

• CASE STUDIES

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MODE OF ENGAGING AN ARCHITECT
Responsibilities
Architect's responsibilities are:

i.To study client's needs and to advice, to prepare, to direct, and to

coordinate design and supervise works executed under a building contract.
ii.The employment of consultants shall be at the architect's discretion in
agreement with client. Where consultants are employed the architect shall
be responsible for the direction and integration of their work. Consultants
shall be solely responsible for detailed design and supervision of the work
entrusted to them.
iii.The architect may also nominate specialist sub-contractors for the design
and exaction of part of the work. They shall be responsible for the direction
and integration of their design, and for general supervision of their work.
iv.The architect must have the authority of their client before initiating any
stage of their duties.

Except as provided in para as follows next, any material deviation, alteration,

addition to or omission from the approved design shall be made only with the
knowledge and consent of the client. The architect shall inform the client if
the total authorised expenditure or contract period are likely to be varied.
v.The Architect may authorize material changes in design if they are
necessary for constructional reasons, provided that the client is informed
without delay.
vi. The Architect shall give such periodic supervision and inspection as may
be necessary to ensure that the works are being executed in general
accordance with the contract. Constant supervision does not form part of his
normal duties.
vii.Where frequent or constant inspection is required a Clerk of Works
shall be employed.

He/she shall be nominated or approved by the Architect, and be

under the Architect's direction and control. He/she shall be appointed and
paid by the client or alternatively may be employed by the Architect who
shall be reimbursed.
viii.Where the employment of a Resident Architect is agreed upon, he/she
shall be employed by the Architect who shall be reimbursed.

COMPREHENSIVE SERVICES, PARTIAL SERVICES AND SPECIALISED SERVICES

1. SCOPE OF WORK

The Architect is required to provide services in respect of the following:

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Part I - Architecture:

1.1 Taking Client's instructions and preparation of design brief.

1.2 Site evaluation, analysis and impact of existing and / or proposed
development on its immediate environs.
1.3 Design and site development.
1 .4 Structural design.
1.5 Sanitary, plumbing, drainage, water supply and sewerage design.
1.6 Electrical, electronic, communication systems and design.
1. 7 Heating, ventilation and air conditioning design (HVAC) and
other mechanical systems.
1.8 Elevators, escalators, etc.
1.9 Fire detection, Fire protection and Security systems etc.
1.10 Periodic inspection and evaluation of Construction works.

Part II - Allied fields:

1.11 Landscape Architecture

1.12 Interior Architecture
1.13 Architectural Conservation
1.14 Retrofitting of Buildings
1.15 Graphic Design and Signage

2 SCHEDULE OF SERVICES :
The Architect shall, after taking instructions from the Client, render the
following services:

Concept design [STAGE 1]:

2.1 Ascertain Client's requirements, examine site constraints & potential;

and prepare a design brief for Client's approval.
2.2 Prepare report on site evaluation, state of existing buildings, if any;
and analysis and
impact of existing and/ or proposed development on its immediate environs.
2.3 Prepare drawings and documents to enable the Client to get done
the detailed survey and soil investigation at the site of the project.
2.4 Furnish report on measures required to be taken to mitigate the
adverse impact, if any, of the existing and/ or proposed development on its
immediate environs.
2.5 Prepare conceptual designs with reference to requirements given and
prepare rough estimate of cost on area basis.

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Preliminary design and drawings [STAGE 2]:

2.6 Modify the conceptual designs incorporating required changes

and prepare the preliminary drawings, sketches, study model, etc., for the
Client's approval along with preliminary estimate of cost on area basis.

Drawings for client's/ statutory approvals [STAGE 3]:

2. 7 Prepare drawings necessary for Client's/ statutory approvals and

ensure compliance with codes, standards and legislation, as applicable
and assist the Client in obtaining the statutory approvals thereof, if required.

Working drawings and tender documents [STAGE 4]:

2.8 Prepare working drawings, specifications and schedule of

quantities sufficient to prepare estimate of cost and tender documents
including code of practice covering aspects like mode of measurement,
method of payments, quality control procedures on materials & works and
other conditions of contract.

Appointment of contractors [STAGE 5]:

2.9 Invite, receive and analyse tenders; advise Client on appointment of

contractors.

Construction [STAGE 6]:

2.10 Prepare and issue working drawings and details for proper execution
of works during construction.
2.11 Approve samples of various elements and components.
2.12 Check and approve shop drawings submitted by the contractor/
vendors.
2.13 Visit the site of work, at intervals mutually agreed upon, to inspect and
evaluate the Construction Works and where necessary clarify any
decision, offer interpretation of the drawings/specifications, attend
conferences and meetings to ensure that the project proceeds generally in
accordance with the conditions of contract and keep the Client informed
and render advice on actions, if required.
2.14 In order to ensure that the work at site proceeds in accordance
with the contract

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documents/ drawings and to exercise time and quality controls, 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 a
large and complex project), who shall work under the guidance and
direction of the Architect and shall be appointed and paid by the Client.
2.15 Issue Certificate of Virtual Completion of works.

Completion [STAGE 7]:

2.16 Prepare and submit completion reports and drawings for the project
as required and assist the Client in obtaining "Completion/ Occupancy
Certificate" from statutory authorities, wherever required.
2.17 Issue two sets of as built drawings including services and structures.

3 PROFESSIONAL FEE :
3 .1 In consideration of the professional services rendered by the
Architect, they shall be paid professional fee and other charges in
accordance with the Scale of Charges.
3.2 Any tax levied by law, such as Service tax, etc. contingent to
professional services
rendered by the Architect, shall be payable by the Client, over and
above the gross fees charged by the Architect in relation to the services
provided.
4 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:

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5 EFFECTING PAYMENT TO THE ARCHITECT:
5.1 The fee payable to the Architect shall be computed on the actual
cost of works on completion. The payment due to the Architect at
different stages is computed on the following basis:
5 .1.1 Retainer: On rough estimate of cost.
5.1.2 At Stage 1: On rough estimate of cost.
5 .1.3 At Stages 2 to 4: On preliminary estimate of cost.
5.1.4 At Stages 5 to 6b: Accepted tender cost.

5.1.5 At Stage 7: Actual total cost.

5.2 Progressive, on account, payments shall be made by the Client to the
Architect against any of the above stages based on the quantum of work
done during that stage, as may be mutually agreed to between the Client
and the Architect.
5.3 No deductions shall be made from the fee of the Architect on
account of penalty,
liquidated damages, part rates or other sums withheld from payment or
recovered from contractors/ suppliers.
5.4 When the work is executed wholly or in part with old materials or
labour or carriage is provided by the Client, the percentage fees shall be
calculated as if the work had been executed wholly by the contractor
supplying all labour and new materials.
5.5 The actual cost of the completed works shall include cost of execution
of assigned works, referred to in Scope of Work and also the cost of
equipment & machinery such as Transformers, DG Sets, Sub-stations, Lifts, Air
Conditioning Machines, Pumps & Motors, Water and Sewage Treatment
Plant, etc., but excluding the cost of land.

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URBAN DESIGN

1 SCOPE OF WORK:

The Architect is required to provide services for Urban Design /Urban Renewal
Scheme in respect of the following:

Part I - Urban design/ Urban renewal

1.1 Taking Client's instructions and preparation of design brief.

1.2 Site evaluation, analysis of architectural character, social issues and
heritage.
1.3 Feasibility study.
1.4 Preliminary proposal for development/ re-development and their
impact on immediate environs.
1.5 Volumetric study and Urban form recommendations including
pedestrian/ vehicular movement and parking.
1.6 Architectural controls/ guidelines.
1. 7 Conceptual design of:
i.Site development, services and their interconnectivity. ii.Landscape
Architecture.
iii.Architectural Conservation. iv.Graphic Design and Signage.

Part II - Site development

1.8 Comprehensive Architectural Services beyond Part I with

regard to external Engineering Services and related buildings / structures;
Roads, pathways, culverts & bridges; boundary walls, gates.

Part III - Landscape architecture

1.9 Landscape Architectural Services beyond Part I with regard to public

spaces.

2 SCHEDULE OF SERVICES :

The Architect shall, after taking instructions from the Client, render the
following services:

PROGRAMMING AND SITE EVALUATION [STAGE 1]:

2.1 Ascertain Client's requirements, examine site constraints & potential;

and prepare a design brief for Client's approval.
2.2 Study of existing land use in and around the project area.
2.3 Study of contextual issues, socio-cultural aspects, landscape features
and built form etc.

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2.4 Study of existing infrastructure, accessibility, circulation pattern and
parking.
2.5 Prepare report on site evaluation, state of existing buildings, if any ;
and analysis with basic approach to circulation, activity distribution,
interconnectivity and external linkages including rough estimate of project
cost based on allowable FAR/ re-development objectives.
2.6 Assessment of impact of development/ re-development plan on the
project area and its immediate environs.
2. 7 Furnish report on measures required to be taken to mitigate the
adverse impact, if any,
of the existing and/ or proposed development/ re-development on its
immediate environs.

CONCEPT DESIGN [STAGE 2]:

2.8 Preparation of concept design of the area showing circulation

pattern, zonmg of various land uses and relevant details, development/re-
development strategy.
2.9 Assessment of utility services and their interconnectivity.
2.10 Furnish revised rough estimate of project cost based on FAR
used in concept design/re-development objectives.
2.11 Preparation of three dimensional forms in relation to open spaces,
model showing the
proposal and surrounding areas.
2.12 Submission of model and Conceptual design to the Client/
statutory authorities for approval & ensure compliance with codes,
standards and legislation, as applicable and carry out necessary changes
as may be required.

DETAILED DESIGN [STAGE 3]:

2.13 Preparation of drawings showing the common facilities for

circulation, parking, open spaces and external Architectural form.
2.14 Preparation of drawings showing Architectural controls/
guidelines, features and specifications.
2.15 Preparation of drawings showing schematic network of services.
2.16 Preparation of drawings showing landscape, street furniture and
graphic signage.
2.17 Furnish modified project cost.
2.18 Furnish urban design report including implementation strategy.
2.19 Prepare detail designs of various external elements and components.
2.20 Presentations of the urban design study to the statutory authorities
for approval and ensure compliance with codes, standards and
legislation, as applicable and carry out necessary changes as may be
required.

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IMPLEMENTATION [STAGE 4]:

2.21 Provide Comprehensive Architectural Services with regard to Site

Development works, if assigned.
2.22 Provide Landscape Architectural Services with regard to public
spaces, if assigned.
2.23 Review and certification of detailed Architectural design of each
of the constituent components for construction or development within
the area under urban design/ urban renewal before approval by statutory
authorities.

EXCLUSIONS:

2.24 The above scope of work will not include any architectural details
which are not relevant to external envelope.

3 PROFESSIONAL FEES:
3 .1 In consideration of the professional services rendered by the
Architect, he shall be paid professional fee and other charges in
accordance with the Scale of Charges for Urban Design/ Urban Renewal,
Site Development and Landscape Architecture, as assigned.
3.2 Any tax levied by law, such as Service tax, etc., contingent to
Professional Services rendered by the Architect, shall be payable by the
Client, over and above the gross fees charged by the Architect in relation to
the services provided.

4 SCHEDULE OF PAYMENT :
4.1 Urban Design/ Urban Renewal
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:

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66 | P a g e
4.2 Site Development
The stages of payment for Site Development works beyond Part I shall
be same as for
Comprehensive Architectural Services.
4.3 Landscape Architecture
The stages of payment for Landscape Architectural Services beyond Part I
shall be same as for Landscape Architecture.

5 EFFECTING PAYMENT TO THE ARCHITECT :

5 .1 The payment due to the Architect for Urban Design/ Urban
Renewal works, at different stages, shall be computed in accordance with
Scale of Charges.
5.2 The payment due to the Architect for Site Development and
Landscape Architecture works, at different stages, shall be computed in
accordance with the respective services.
5.3 Progressive, on account, payments shall be made by the Client to the
Architect against
any of the stages based on the quantum of work done during that stage as
may be mutually agreed to between the Client and the Architect.

LANDSCAPE ARCHITECTURE

1 SCOPE OF WORK:

The Architect is required to provide services in respect of the following:

1.1 Site appraisal and suitability.

1. 2 Site planning.
1. 3 Landform and grading.
1.4 Surface drainage design and water management.
1. 5 Irrigation design.
1.6 Open space design - hard and soft areas.
1. 7 Planting design.
1.8 Landscape structures and features.
1. 9 Garden Furniture design.
1.10 Illumination design.
1.11 Graphic design and signage.
1.12 Co-ordination of external services.
1.13 Periodic inspection and evaluation of works at site.

2 SCHEDULE OF SERVICES:
The Architect shall, after taking instructions from the Client, render the
following services:

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CONCEPT DESIGN [STAGE 1]:

2.1 Carry out site analysis and furnish a site appraisal report with regard to
the potential of the site vis-~-vis activities.
2.2 Prepare drawings and documents to enable the Client to get done
the detailed survey
and soil investigation at the site of the project.
2.3 Furnish preliminary scheme for site planning.
2.4 Prepare conceptual landscape design with reference to requirements
given and prepare rough estimate of cost on area basis.

PRELIMINARY DESIGN AND DRAWINGS [STAGE 2]:

2.5 Modify the conceptual design incorporating required changes

and prepare the preliminary drawings, sketches, etc. for the Client's
approval along with preliminary estimate of cost on area basis.

DRAWINGS FOR CLIENT'S/ STATUTORY APPROVALS [STAGE 3]:

2.6 Prepare drawings necessary for Client's/ statutory approvals and

ensure compliance with codes, standards and legislation, as applicable
and assist the Client in obtaining the statutory approvals thereof, if required.

WORKING DRAWINGS AND TENDER DOCUMENTS [STAGE 4]:

2. 7 Prepare working drawings, specifications and schedule of

quantities sufficient to prepare estimate of cost and tender documents
including code of practice covering aspects like mode of measurement,
method of payments, quality control procedures on materials & works and
other conditions of contract.

APPOINTMENT OF CONTRACTORS [STAGE 5]:

2.8 Invite, receive and analyse tenders; advise Client on appointment of

contractors.

CONSTRUCTION [STAGE 6]:

2.9 Prepare and issue working drawings and details for proper execution
of works during construction.

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2.10 Approve samples of various elements and components.
2 .11 Check and approve shop drawings submitted by the contractor/
vendors.
2.12 Visit the site of work, at intervals mutually agreed upon, to inspect and
evaluate the Construction Works and where necessary clarify any decision,
offer interpretation of the drawings/specifications, attend conferences and
meetings to ensure that the project proceeds generally in accordance with
the conditions of contract and keep the Client informed and render advice
on actions, if required.
2.13 In order to ensure that the work at site proceeds in accordance
with the contract documents/ drawings and to exercise time and quality
controls, 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 a large and complex project), who shall work under the
guidance and direction of the Architect and shall be appointed and paid
by the Client.
2.14 Issue Certificate of Virtual Completion of Civil Works and plantation.

COMPLETION [STAGE 7]:

2.15 Prepare and submit completion reports and drawings for the project
as required and assist the Client in obtaining "Completion I Occupancy
Certificate" from statutory authorities, wherever required.
2.16 Issue two sets of as built drawings including services, structures and
plantation.

3 PROFESSIONAL FEE :
3 .1 In consideration of the professional services rendered by the Architect,
he shall be paid professional fee and other charges in accordance with the
Scale of Charges.
3. 2 Any tax levied by law, such as Service tax, etc. contingent to
professional services
rendered by the Architect, shall be payable by the Client, over and above
the gross fees charged by the Architect in relation to the services provided.

4 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.

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5 EFFECTING PAYMENT TO THE ARCHITECT:

5.1 The fee payable to the Architect shall be computed on the actual
cost of works on completion. The payment due to the Architect at
different stages be computed on the following basis:

5 .1.1 At Retainer: On rough estimate of cost.

5 .1.2 At Stage 1: On rough estimate of cost.
5 .1.3 At Stages 2 to 4: On preliminary estimate of cost.
5.1.4 At Stages 5 to 6b: Accepted tender cost.
5 .1.5 At Stage 7: Actual total cost.
5.2 Progressive, on account, payments shall be made by the Client to the
Architect against any of the above stages based on the quantum of work
done during that stage, as may be mutually agreed to between the Client
and the Architect.
5.3 No deduction shall be made from the fee of the Architect on
account of penalty, liquidated damages, part rates or other sums withheld
from payment or recovered from contractors/ suppliers.
5.4 When the work is executed wholly or in part with old materials or
labour or carriage is provided by the Client, the percentage fees shall be
calculated as if the work had been executed wholly by the contractor
supplying all labour and new materials.
5.5 The actual cost of the completed works shall include cost of
execution of assigned
works, referred to in Scope of Work and also the cost of equipment &
machinery such as
Pumps & Motors, etc. but excluding the cost of land.

INTERIOR ARCHITECTURE

1 SCOPE OF WORK:

The Architect is required to provide services in respect of the following:

1.1 Site evaluation and assessment.

1.2 Interior design - space planning/ development & volumetric study.
1.3 Architectural additions and alterations.
1.4 Design of fixed items of work, loose furniture & interior related civil
works.
1.5 Illumination design.
1.6 Sound and acoustic design.
1. 7 Graphic design and signage.

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1.8 Indoor plants cape.
1.9 Selection of materials, equipment and other interior related
elements.
1.10 Integration of all Engineering services.
1.11 Periodic inspection and evaluation of works at site.

2 SCHEDULE OF SERVICES :

The Architect shall, after taking instructions from the Client, render the
following services:

CONCEPT DESIGN [STAGE 1]:

2.1 Furnish a site evaluation and analysis report with basic

approach to circulation, activity distribution, interaction and external
linkages.
2.2 Analyse schedule of spaces in relation to activities and site potential.
2.3 Prepare conceptual designs with reference to requirements and
prepare rough estimate of cost on area basis.

PRELIMINARY DESIGN [STAGE 2]:

2.4 Modify the conceptual designs incorporating required

changes; prepare the preliminary drawings, interior views and schedule
of finishes for the Client's approval along with the preliminary estimate of
cost on area basis.

DRAWINGS FOR CLIENT'S /STATUTORY APPROVAL [STAGE 3]:

2.5 Prepare drawings necessary for Client's/ statutory approvals and

ensure compliance with codes, standards and legislation, as applicable
and assist the Client in obtaining the statutory approvals thereof, if required.

WORKING DRAWINGS AND TENDER DOCUMENTS [STAGE 4]:

2.6 Prepare working drawings, specifications and schedule of

quantities sufficient to prepare estimate of cost and tender documents
including code of practice covering aspects like mode of measurement,
method of payments, quality control procedures on materials & works and
other conditions of contract.

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APPOINTMENT OF CONTRACTORS [STAGE 5]:

2. 7 Invite, receive and analyse tenders, advice Client on appointment

of contractors.

CONSTRUCTION [STAGE 6]:

2.8 Prepare and issue working drawings and details for proper execution
of works during construction.
2.9 Approve samples of various elements and components.
2.10 Check and approve shop drawings submitted by the contractor/
vendors.
2.11 Visit the site of work and fabrication workshop, at intervals mutually
agreed upon, to inspect and evaluate the progress of works and where
necessary clarify any decision, offer interpretation of the
drawings/specifications, attend conferences and meetings to ensure that
the project proceeds generally in accordance with the conditions of
contract and keep the Client informed and render advice on actions, if
required.
2.12 In order to ensure that the work at site proceeds in accordance
with the contract documents/ drawings and to exercise time and quality
controls, 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 a large and complex project), who shall work under the
guidance and direction of the Architect and shall be appointed and paid
by the Client.
2.13 Issue Certificate of Virtual Completion of works.

COMPLETION [STAGE 7]:

2.14 Prepare and submit completion reports and drawings for the project
as required and assist the Client in obtaining "Completion/ Occupancy
Certificate" from statutory authorities, wherever required.
2.15 Issue two sets of as built drawings including services and structures.

3 PROFESSIONAL FEE:
3.1 In consideration of the professional services rendered by the
Architect, he shall be paid professional fee and other charges in
accordance with the Scale of Charges.
3.2 Any tax levied by law, such as Service tax, etc. contingent to
professional services rendered by the Architect, shall be payable by the

73 | P a g e
Client, over and above the gross fees charged by the Architect in relation
to the services provided.

4 SCHEDULE OF PAYMENT:
The Architect shall be paid professional fee in following stages consistent with
the work done plus other charges and reimbursable expenses as agreed
upon:

74 | P a g e
5 EFFECTING PAYMENT TO THE ARCHITECT:
5.1 The fee payable to the Architect shall be computed on the actual
cost of works on completion. The payment due to the Architect at
different stages be computed on the following basis:
5 .1.1 At Retainer: On rough estimate of cost.
5 .1.2 At Stage 1: On rough estimate of cost.
5 .1.3 At Stages 2 to 4: On preliminary estimate of cost.
5.1.4 At Stages 5 to 6b: Accepted tender cost.
5.1.5 At Stage 7: Actual total cost.
5.2 Progressive, on account, payments shall be made by the Client to the
Architect against any of the above stages based on the quantum of work
done during that stage, as may be mutually agreed to between the Client
and the Architect.
5.3 No deductions shall be made from the fee of the Architect on
account of penalty, liquidated damages, part rates or other sums withheld
from payment or recovered from contractors/ suppliers.
5.4 When the work is executed wholly or in part with old material or labour or
carriage is provided by the Client, the percentage of fees shall be
calculated as if the work had been executed wholly by the contractor
supplying all labour and new materials.
5.5 The actual cost of the completed works shall include cost of execution of
assigned works, referred to in Scope of Work, but excluding the cost of
premises.

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CONDITIONS OF ENGAGEMENT

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RESPONSIBILITIES

Architect's responsibilities are given as follows:

1. To study client's needs and to advice, to prepare, to direct, and to

coordinate design and to surprise works executed under a building
contract. The normal service provided by architect in fulfilment of these
responsibilities are as under,
11. The employment of consultants shall be at the architect's discretion
in agreement with
the client. Where consultants are employed the architect shall be
responsible for the direction and integration of their work. Consultants shall
be solely responsible for detailed design and supervision of the work
entrusted to them.
111. The architect may also nominate specialist sub-contractors
for the design and execution of any apart of the work. They shall be
responsible for the direction and integration of their design, and for general
supervision of their work.
Iv. The architect must have the authority of his/her client before initiating
any stage of his duties. Except as provided in para (v) below, any
material deviation, alteration, addition to or omission from the approved
design shall be made only with the knowledge and consent of the client.
The architect shall inform the client if the total authorised expenditure or
contract period are likely to be varied.
v. The architect may authorize material changes in design if they as may
be necessary for constructional reasons, provided that the client is informed
without delay.
v1. The architect shall give such periodic supervision and inspection as
may be necessary
to ensure that the works are being executed in general accordance with
the contract. Constant supervision does not form part of their normal duties.
v11. Where frequent or constant inspection is required a Clerk of
Works shall be employed. They shall be nominated or approved by the
Architect, and be under the Architect's direction and control. They shall be
appointed and paid by the client or alternatively may be employed by the
Architect who shall be reimbursed.
v111. Where the employment of a Resident Architect is agreed
upon, they shall be employed by the Architect who shall be reimbursed.

REMUNERATION

1. It is the duty of a member to uphold and apply the Scale of

Professional Charges adopted by the Council of Architecture. The
employment of the Architect shall, therefore, be in accordance with these

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conditions and the fees and charges herein shall apply unless a higher fee
and charge is agreed upon between the Architect and the Client when the
former is commissioned.
11. Where work done by a Client results in the omission of part of the
normal service, a commensurate reduction in fees may be made by prior
written agreement, provided such agreement specifies in detail the work to
be done by the Client which would otherwise have formed part of the
normal service by the Architect.

LIABILITY OF THE ARCHITECT

1. The Architect is liable if they fail to exercise all reasonable skill, care and
diligence in the discharge of their duties under these conditions but the
aforesaid liability shall be limited as stated hereunder:
11. The liability of the Architect does not cover costs other than
those for the reinstatement of the work. All liability for consequential
damages is excluded.
111. The liability of the Architect expires after two years from the date of
completion of relevant part of the work.
1v. The Architect does not guarantee the work of any Contractor.
v. The architect has no liabilities whatsoever for any part of the works not
designed by them or not under their responsibilities or which have not been
constructed under their supervrs1on.
v1. The Architect has no liability whatsoever for any damage resulting from
any act of contractors or suppliers which is not in accordance with the
contract documents or the Architect's instructions.
vii. The Architect has no liability whatsoever for any violation of legal
provisions or rights of third parties unless these provisions or rights have been
specially brought to the notice of the architect by the Client in writing.

TERMINATION OF ENGAGEMENT

An engagement entered between the architect and the client may be

terminated any time by either party on the expiry of reasonable notice
(normally three months) when the Architect shall be entitled to remuneration
in accordance with provisions contained in their agreement with the client.

COPYRIGHT

In accordance with the provisions of the Copyright Act, copyright in all

drawings and in the work executed from them will remain the property of the
Architect. Drawings and Specifications as instruments of service are the
property of the Architect whether the work for which they are made be

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executed or not, and are not to be used on another work except by
agreement.

INTERPRETATION

Any question arising out of these Conditions of Engagement and Scale of

professional Fees and Charges may be referred by the Architect or the
Client to the Indian Institute of Architects for advice at any time, provided
always that any difference or dispute between them shall be determined in
accordance relevant provisions.

SUCCESSORS AND ASSIGNMENTS

The Client and the Architect each binds themselves, their partners,
successors, legal representatives and assigns to the other party to this
agreement, and to the partners, successors, legal representatives and
assigns of such other party in respect to all covenants of this agreement.

DISPUTES

Any difference or disputes may, by an agreement between the parties,

be referred to the Indian Institute of Architects for a ruling; provided always
that such a ruling is sought on a joint statement of undisputed facts and the
parties undertake to accept it as final.

ARBITRATION

Where any difference or dispute arising out of these Conditions of

Engagement and Scale of professional Fees and Charges cannot be
determined in accordance with interpretations cited above it shall be
referred to the arbitration of a person to be agreed upon between the
parties, or failing agreement within fourteen days after either party has given
to the other a written request, to concur in the appointment of an arbitrator,
a person to be nominated at the request of either party by the President of
the Indian Institute of Architects.

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80 | P a g e
ARCHITECTURAL COMPETITIONS

IMPORTANCE OF ARCHITECTURAL COMPETITIONS

• Architectural Competitions have a long history, and have produced

many extremely successful buildings. They attract great public interest, and
have led to the discovery of new talent and new ideas, that could only be
found by throwing an architectural project wide open to competition.
• The Council of Architecture Competition Guidelines provide a new
up to date code that safeguards the interests of promoters and of
architects, and bring the system into line with present-day conditions
• Too many clients - the choice of an architect presents no difficulty, but
to many others the choice is not easy. The client's desire to see the sketch
designs of several architects before they commissions them, is
understandable, but to ask an architect to submit a sketch design is to ask
him to do the essential creative work for which they should be properly paid.
If more than one or two architects are commissioned payment to each
would be expensive.
• Architects, however, are allowed to compete against each other
without charging a fee in an open architectural competition held under
Council of Architecture Guidelines.
• Competition Guidelines as laid by the Council of Architecture
protects and safeguards the interest of both the promoter and the
competitors. While ensuring the promoter a design of high standard, it also
ensures that each competitor competes on like conditions and within the
same limitations.
• Architectural Competitions give the promoters a choice from the best
viable project of high standard with a variety of approaches. Competition
brings out a wide range of ideas and concepts and gives the promoter the
choice of selecting that which fits into his specific requirements.
• One of the principal aims of the competition is to explore hidden
talents among younger Architects. To many competitors, it often is the first
step to a successful career.
• The guidelines therefore lay considerable emphasis on the mandatory
requirement of
Assessors and the qualifications.
• The appointment of the Assessors should therefore be the immediate
and first step the moment the promoter decides to go in for a competition.
• The Council of Architecture, if so requested by the promoter, may
suggest a panel of names experienced in this type of project proposed,
for appointment as Assessors. Their responsibilities commence with the
approval of the brief of the competition project. The Assessor may even
help to prepare the brief.

The Assessors (or the Senior Assessor) will:

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1. Assist in the preparation and approval of the brief.
2. Study and understand the requirements of the Local Authorities.
3. Visit and examine the project site, if necessary.
4. Advise on the appointment of the Technical Advisers, if necessary.
5. Finalize the competition conditions.
6. Prepare the final report/award

The project brief is the most important document. The success of the
competition will depend upon the clarity and the completeness of the brief.
This can be achieved by a very close cooperation between the Promoters
and the Assessors (or the Senior Assessor) in the preparation and finalization of
the brief.

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. l 0, 00,000/- may
be restricted to
Architects who have their main or branch office in the State of the project
site.

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.

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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. 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.

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.

In order to maintain anonymity, each competitor will be informed

individually whether he/she 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. It will also be his/her
responsibility to ensure that the names of those invited and those rejected
are not revealed either to the assessor or to any person.

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To ensure this anonymity the envelopes containing the names of the
competitors shall be opened by the Promoter or Professional Adviser if
appointed. After the intimation has been sent to each competitor they shall
be re-sealed until the final award.

After the end of the first stage, the Board of Assessors, may, if found
necessary and with the approval of the Promoter, clarify or amplify points in
the competition conditions for the benefit of the second stage competitors.
Such clarification or amplification shall not in any way disclose directly or
indirectly or even inadvertently any of the designs submitted in the first stage
to those invited for the second stage.

The period between the Assessors award for the first stage and submission of
designs for the second stage shall not exceed six months. Only under
exceptional circumstances period may be extended.

The second stage of the competition may be limited to only a part of the
subject dealt with in the first stage.

Members of the Board of Assessors shall be the same for first stage and
second stage of the competition.

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.

If any design selected for the second stage is published or exhibited before
the final award of the second stage has been declared, it will be disqualified.

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.

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COUNCIL OF ARCHITECTURE GUIDELINES FOR CONDUCTING ARCHITECTURAL
COMPETITIONS

The following guidelines are drawn up to safeguard the interests of client and
competitors and to ensure that selection of design is based on merit and it
satisfies client's requirements.

• Eligibility to compete architects registered with COA

• Firms in which at least one partner/director is a registered architect.
• Students of a teaching institution. The qualifying examination of
which is recognized by the council. (Subject to condition that the staff
member of that institution should not be sole assessor or not more than one
staff member in a jury of three.)
• Client, assessor, their associates or employees are not allowed
to act as architects or joint architects.

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REGULATION 2017
[UNIT II - ARCHITECT'S SERVICES, SCALE OF FEES
& COMPETITIONS]

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[UNIT III- TENDER & CONTRACT]
TOPICS:

TENDER

• Definition

• Types of Tenders

• Open and closed tenders

• Conditions of tender

• Tender Notice

• Tender documents

• Concept of EMD

• Submission of tender

• Tender scrutiny

• Tender analysis

• Recommendations

• Work order

• E-tendering (advantages, procedure, conditions

CONTRACT

• Definition

• Contract agreement - its necessity

• Contents (Articles of Agreement, Terms and Conditions, Bills of

Quantities and specifications, Appendix)
• Certification of Contractors Bills at various stages

New trends in project formulation and different types of execution (BOT,

DBOT, BOLT, BOO, etc.),Execution of projects & The process (Expression of
interest, Request for Proposal, Mode of Evaluation of Bids, Award of work)

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TENDER

• DEFINITION

A tender or a quotation is a written offer to execute a work or to supply

materials required for construction of a facility within a stipulated time under
specified conditions of tender or quotation.
• TYPES OF TENDERS

Tenders based on economic classification

1. Tenders based on measurement (item rate and % rate)

2. Lump sum tenders

3. Cost plus fee tenders

4. Turkey tenders

5. Tenders based on Build-own-operate and transfer (BOOT) concept.

6. Tenders based on Labour component and miscellaneous material

required for the work.
1. Fixed price tenders without provision for escalation: Major risk is borne
by the contractor.
11. Fixed price tenders with provision for escalation: Risk is limited to
difference in market rates and factors considered in escalation formulate.
1. Tenders based on measurement (item rate and% rate)

The tender form contains all items of work included in bill of quantities
excluding lump sum items and those items which are to be executed through
another agency.
In percentage rate tender, the owner gives both rates and quantities
and amount. The contractor quotes % above or at par or % below the
estimated cost.
2. Lump sum tenders

The tenderer quotes a fixed price. However, if the quote is varied, it involves
contractual problems and methodology to arrive at the rates for addition,
deletion and alterations would be necessary and it is to be built in tender
document. This is to facilitate release of interim and final payments.
3. Cost plus fee tenders

Cost+(%) of total cost with or without a ceiling cost+ fixed fee cost+ incentive
fee.

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4. Tenders based on turnkey concept

In this type of contract, contractors take full responsibilities for design,

construction, commissioning of the facilities. The scope of the facility is
described in detail and a fixed lump sum price is paid to the contractor.
There may or may not be a provision for escalation.
5. Tenders based on Build-Own-Operate and Transfer (BOOT) concept

It is adopted for infrastructure projects (highways, bridges, airports,

water supply and sewerage projects) Private sector is involved in these
projects. Entrepreneur invests, builds, and maintains these structures, they
collect toll for a specific period based on approved tariff.
6. Tenders based on Design-Finance-Build-Own-Operate and Transfer
(DFBOOT) concept

This is a concession contract. The project is based on the granting of a

concession by the principal, usually a Government to a entrepreneur
(known as the concessionaire) who is responsible for design, financing,
construction, operating and maintaining the facility over a period of
concession before finally transferring the facilities at no cost to the principal,
as a fully operational facility.
7. Tenders based on Labour component and miscellaneous materials
required for the work
In this type of work, the owner supplies all the materials and the contractor
provides only the

labour component, i.e. not just labour but also all the required plant and
machinery required for construction work. They are responsible for
execution of work. Payments are restricted to labour charges only. This
contract at the tender stage can be based on square meter/ cubic meter
of construction for the entire work. It is suitable for all types of buildings,
extensions work, alterations and repair of works.
8. Other works

Piece work or days' work cannot be strictly classified as tenders. They

do not involve security deposit or penalty as they do not involve large sums
of money.
9. Day work

This method of execution is good for small works, which cannot be measured
or valued, (e.g. decorative work, craftwork, artwork, etc.). Payment for the
same shall be decided on the basis of site observation plus reasonable
profit.

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10. Tender based on demolition concept
This involves demolition of existing building/ buildings completely and removal
of the debris safely away from the site. The contractor takes away all the
materials that are salvages from building and pays for the same to the owner.

11. Consultancy Assignments

Consultancy is a service and not like a work's contract. They should be

selected based on professional capacity desired, experience in similar
type of tasks, by advertising and then shortlisting for two cover system.
12. Proof consultant

Least cost option may not result in service expected. Engineering is a vast
field and with many branches and they may not have in-house professionals.
They have to be engaged for a specific period and circumstances. Proof
consultancy system has no controversial provisions. Both main and proof
consultants should work in cohesion without their internal ego
problems.
Selection of consultants is based on the following criteria:

■ Quality based selection (QBS): adopted for highly specialized

assignments such as urban master plan and finance sector reforms.
■ Best expert advice: feasibility and structural engineering in major
projects, such as dams, etc.
■ Assignments which can substantially be carried out in different ways
(management advice and sector in policy study).
■ Selection under Fixed Budget (FBS): For simple and precisely defined
assignments.

■ Selection on Basis of Least Cost (LCS): Adopted for standard

or routine nature assignments (audits, design of non-complex engineering
works).
■ Selection Based on Consultant's Qualification (CQS): For small
assignments where evaluation of competitive proposal is not justified.
Consultants are paid on-job basis, lump sum basis, onOcall basis, or on-
retainer ship basis

depending on situation and considering several factors.

• OPEN AND CLOSED TENDERS

An open tendering process is an invitation to tender by public

advertisement. There are no restrictions placed on who can submit a
tender, however, suppliers are required to submit all required information
and are evaluated against the stated selection criteria.

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When a tender is called out by private invitation, the tenders are opened in
the presence of the owner or committee members. The contractors are
generally not asked to remain present at the time of opening of tenders. This
is known as 'closed tender'.

• CONDITIONS OF TENDER
1. Rebate on prompt payment of

(a) Running bills

(b) Final bills and

(c) Settlement of rates for variation items

2. Validity of tenders

3. Secured advance on perishable items

4. Secured advance up to 90% in lieu of 75%

5. Steel to be measured and paid as per actual weight

6. Water and construction power to be made available

7. Composite work to be awarded and not in parts

8. Stipulated materials to be supplied in time or permitted to procure from

market with prior approval and cost difference to be reimbursed

• TENDER NOTICE

NIT (notice inviting tenders) should be clear, brief, and should contain the
following salient points. Besides the brief press notice, a detailed NIT is
appended to contract documents.
1. Brief description of the work on perusal of items and contractor will
decide whether to tender for this work or not by considering type of work,
value of work, time given for completion, location, present work load on
hand.
2. Estimated cost put to tender

3. Period completion of work

4. Earnest money deposit

5. Cost of tender documents

6. Eligibility criteria for tendering

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7. Production of documents for obtaining blank tender documents

8. Last date for issue of blank tender forms

9. Place and period of issues of tender documents

10. Last date for receipt of tenders and places of submission

11. Date, time, and place of opening of tenders

12. Validity of tenders ..... days

13. Client reserves a right to reject or to accept any tender without assigning
any reason

• TENDER DOCUMENTS

1. Brief press Notice and NIT in elaborate form

2. General Conditions of Contract (GCC)

Brief summary of GCC adopted by Central PWD is given below:

Clause 1 - Performance Guarantee

The contractor shall submit an irrevocable Performance Guarantee of ...

(5%) of the tendered amount in addition to other deposits mentioned
elsewhere in the contract for their proper performance of the contract
agreement valid up to stipulated date of completion + 60 days.

1. A Security Deposit

Deduction @ 5% gross of each running bills till the sum along with the sum
already deposited as EMD, will amount to security deposit of 5% of the
tendered value of the work.

CI 7: Payment of interim bills: For work done exceeding Rs.20, 000 based on
certification.

CI 9: Payment of Final bill:

1. If the tendered value of the work is up to Rs.15 lakh 3 months.

11. If the tendered value of the work exceeds Rs.15 lakh 6 months

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CI 10: Materials to be supplied by Government: Stipulates the quantum,
place of issue, and the rates to be charged are given in relevant schedule of
the contract document.
• Cl 10 B: Payment of Advances:

1. Secured advance

11. Mobilisation advance

111. Plant & machinery and shuttering material advance

CI 10 C: Payment on Account of increase in prices/wages due to statutory

orders.

• Cl 10 CA: Payment due to variation in prices of materials after receipt of

tenders

• Cl CC: Payment due to increase/decrease in prices/wages (excluding

material covered under CL 10 CA after receipt of tender for works).
• Cl 12: Deviations/variations extent and pricing

CI 12.1: Additional cost

• Cl 12.2: Deviations, extra items and pricing

2. Extra Items

a. If the market rate for the substituted item so determined is more than
the market rate of the agreement item (to be substituted), the rate payable
to the contractor for the substituted item shall be the rate for the
agreement item (to be substituted), so increased to the extent of the
difference between the market rates of substituted item and the
agreement item (to be substituted).
Substituted Items

b. If the market rate for the substituted item so determined is less than the
market rate of the agreement item (to be substituted), the rate payable
to the contractor for the substituted item shall be the rate for the
agreement item (to be substituted) so decreased to the extent of the
difference between the market rates of substituted item and the
agreement item (to be substituted).
• CI13: Foreclosure of contract due to abandonment or reduction in scope
of work.

• Cl 17: Contractor liable for damages, defects during maintenance

period

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• Cl 25: Settlement of disputes and Arbitrations

• Cl 45: Release of Security Deposit after labour clearance.

3. Special Conditions of Contract (SCC)

4. Pro-forma for Bill of Quantities (BOQ)

5. Tender Drawings (TD): To enable the contractor to understand the scope

of work

6. Specifications: Specification embraces endless details. It should be as

simple as possible, be exact, and be capable of verification. It should be
such that a number of vendors and sub-contractors can meet it so as to
have sufficient competition. Legally, it forms an integral part of the
construction contract. Specification shall mean the technical
specifications forming a part of the contract and such other schedules and
drawings as may be mutually agreed up on. Specifications are the
most detailed method of describing requirements. Specifications play an
important role in the search for the right quality and the right value. They
also assist in resolving the design conflicts which exist between
engineering, manufacturing, marketing and procurement.
Sub --Contractor: Contractor sub-lets part of the work for execution with
prior approval of owner. Contract conditions will be same as those
applicable to main contractor.
Particular specifications: Besides general specifications particular
specifications stipulated for this work are to be compiled with (use of local
materials, etc.)
7. Form of Agreement

8. Formats and Statements: Various formats and statements required for the
contract are appended. Some of them are listed below:

1. Safety code
2. Model rules for the protection of health and sanitary
arrangements
3. Contractor's labour regulations
4. Pro-forma of registers
5. Sketch of cement go down
6. Bank guarantee format
7. Performance bond. As regards contents of tender document
in private sector the following items should be furnished by
the owner:
8. Press notice
9. NIT in detail
10. Conditions of contract relating to:

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 A. Performance guarantee
B. Security deposit
C. Payment of running & final bill
D. Escalation clause
E. Method of payment for variation items
F. Dispute resolution clause
G. Validity of tenders
H. Payment of advances
I. Time limit for releasing Performance guarantee & Security deposit
J. Defect liability period
K. Any other stipulation relevant to this work

• CONCEPT OF EMD

It is the amount of money to be deposited along with the tender

document to the department by the contractors quoting a tender. This
money is a guarantee against the refusal of any contractor to take up the
work after the acceptance of their tender. In case of refusal, this amount is
forfeited.

EMD of contractors whose tenders are not accepted will be refunded.

1 %-2% of the estimated cost of work is the Earnest Money Deposit.

• SUBMISSION OF TENDER

Construction bidding is the process of submitting a proposal (tender) to

undertake, or manage the undertaking of a construction project. The
process starts with a cost estimate from blueprints and material take offs.

The tender is treated as an offer to do the work for a certain amount of

money (firm price), or a certain amount of profit (cost reimbursement or cost
plus). The tender, which is submitted by the competing firms, is generally
based on a bill of quantities, a bill of approximate quantities or other
specifications which enable the tenders to attain higher levels of accuracy,
the statement of work.

Pre- bid conference

For specialised works and major works, owners convene a pre-bid

conference at about half of the bidding time given to tenderers. It is held to
confirm both parties understanding of what is required and what is offered.
Bidders are expected to visit the site and study tender documents prior
to attending this conference. Bidders are given an opportunity to seek
clarification on scope, stipulation, constrains, time frame for

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completion and further assistance required from owner, etc. All important
provisions made in the tender documents are explained to tenderers. If
any change is considered necessary as a result of pre-bid conference, it
is made exclusively through issuance of corrigenda which becomes a part of
the tender document. The minutes of the pre-bid conference is circulated to
all bidders who have responded to tender invitation. The conference helps in
the projection of realistic bids by the tenderers. Since clarifications are given
to bidders prior to submission of bids, bid evaluation would be easy for the
owner's team. For best results, owner and his consultant should be fully
prepared and empowered to answer the questions raised by the bidders.

Bid rates

Before finalizing bid rates, contractor is required to visit the site, study tender
documents and to do market survey for assessing prevailing rates of required
materials. In practice, factors such as owner's promptness in making
payments and giving decisions will have a reflection on bid rates. All bidders
will work out bid rates considering market rates of materials, labour and hire
charges, contractor's profits and overheads. Provisions are made for
contingencies to cover unforeseen items and slight increase in scope of work,
etc.

Contractor's Profit

It reflects rate of return on his investment. It is affected when work is delayed,

claims are disallowed and when escalation is more than that reimbursed by
the owners. If overhead increase, profit is reduced. It is generally a

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practice in private sector to provide for contractor's profit@ 25% of
estimated cost put to tender. Out of this 25%, 10% is said to be contractor's
profit and about 10% accounts for profit earmarked for sub-contractors
and vendors. Thus it leaves only 5% for overheads, which provision may be
realistic for large value works. If the scope of work is reduced such provision
for overheads is not realistic since some fixed costs may not be amenable for
proportionate reduction.

Bidders may provide around 25% in their bid estimate while submitting their
bids. However, it depends on several other factors, viz. extent of
competition, their work load on hand, etc.

Overheads

Overheads are defined as all administrative or executive costs incident to the

management, supervision or conduct of the capital outlay on project and
are distinguished from operating costs. These are general charges which
cannot be charged upon as belonging exclusively to any particular item or
part of the work. Provision for overheads varies from one work to another, as
it is dependent on several factors. For major works lesser percentage
provision may be feasible. It is not realistic to specify any uniform
percentage for overheads, they include:

1. Interest and bank guarantee charges

2. Supervision
3. Insurance and taxes
4. Infrastructure
5. Labour welfare
6. Litigation
7. Liquidated damages
8. Extra escalation
9. Idle labour and machinery
10. Security
11. Mobilization and storage

Provision of 5% for overheads may be realistic only for large value works.
However, it would be much more for smaller works.

• TENDER SCRUTINY

Twelve steps to be considered before bidding by the tenderers

1. Study tender document

2. Inspect the site again. Note the extent of infrastructure existing/ to be

done.

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3. Note nearest market place to procure material and labour for the work.

4. Decide what are the works to be done by main contractor and what
works can be entrusted to sub-contractors.
5. Shortlist reliable, reputed vendors and sub-contractors.

6. Requirement of field investigations. Is not required if data is made

available by the client
7. Obtain quotation from the sub-contractors and vendors and freeze their
costs.

8. Plan to complete the job, within stipulated schedule. Draw network chart
and check their feasibility.
9. Prepare a bid estimate.

10. Add realistic overheads and profit as to be decided by the client.

11. Check the bid estimate again and revise, if necessary.

12. Who are the likely competitors? If the bid is too high the tenderer may lose
the opportunity to get the work. If it is too low it may reduce profitability.
• TENDER ANALYSIS - RECOMMENDATIONS

For evaluation of tenders, it is a practice both in government works and

private sector works to constitute a committee consisting of
Architect/Engineer, finance representative and another nominated person.
The following steps are involved in the evaluation of tenders.
(i) Arithmetical accuracy is checked. Qty X Rate = Amount for each item
and Sum of Tendered amounts all items is computed.
(ii) Consider the effect of conditions, if any, stipulated by tenderers.
Financial loading is done over their quoted amount.
Normally, conditional tenders are treated as non-responsive.
However, certain conditions are considered after adding or subtracting their
financial effect.
(iii) Evaluated bids are arranged from LI (First Lowest), L2, L3 and so on.

• Market Rate Analysis Prepared by the Owner

Market rate analysis is prepared on the basis of market rates at site of work or
on the eve of opening of tenders. This can be done by adopting one of the
two methods:
For all items tendered, work out material requirements and labour
requirement category-wise and add equipment required and multiply by
respective market rates. To this, add overheads, contractor's profit and
contingencies. This gives justifies amount required to execute the work.
Analyse the market rate for each item by adopting constant in data
book and by substituting market rates in place of estimated rates. The

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justified amount to execute the work is worked-out based on the quantities
given in the schedule of quantities and market rates worked out as above.
Then compare quoted amount of the lowest acceptable tender with justified
amount worked out as above in the light of market rates. If the difference is
within 5% for normal works and within I 0% for emergency works, the tender
may be recommended for acceptance, if all other factors are favourable. If
the difference is more than these limits, attempt may be made to negotiate
the offer. The lowest tenderer may also be asked to furnish bid rate analysis.
By comparing, it would be possible to reconcile the difference between the
lowest quoted amount and justified amount.
If there are no other issues in the scrutiny of tenders, the above procedure
can be adopted for evaluation of tenders.

• WORKORDER

When a decision is taken to award the contract to a particular tenderer, the

next step is to issue a work order. As per the standard practice, it is common
to intimate the tenderer by a fax and follow it up by a detailed work order. It
is necessary for the owner to ensure that intimation is given to the successful
tenderer well before the expiry of validity period or extended validity period.
Before communicating decision to award the contract, owner should
discharge his obligations which are prerequisites for tendering.
Points to be incorporated in work order:

1. Tendered amount in case of item rate tenders or percentage

above/below the estimated cost in case of percentage tenders. Lump sum
amount in case of lump sum contracts or turnkey contracts.
2. Reference to:

Letters exchanged with the tenderer subsequent to receipt of tenders.

Summary of negotiations
Letter enclosed with the tenders indicating conditions or any stipulation

On award of contract the following activities merit consideration:

1. Obtain programme for execution of work (bar chart or network chart)

11. Conduct periodic progressive meeting with cietn and contracts

111. Set time schedule for procurement of material

iv. Deploy site staff for measurements of work done

v. Approve sub-contractors and vendors

v1. Focus on quality assurance and safety matters

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vii. Progress as per the programme. Compare fiscal progress with financial
progress

viii. Analyse causes for cost and time overrun and suggest methods to
overcome them or minimise them

ix. Certify payments interim and final x. Settle disputes amicably

x. Consultants should serve as a catalyst between client and contractor

and ensure progress.

• E-TENDERING (ADVANTAGES, PROCEDURE, CONDITIONS)

An internet based process wherein the complete tendering process;

from advertising to receiving and submitting tender-related information are
done online. This enables firms to be more efficient as paper-based
transactions are reduced or eliminated, facilitating for a more speedy
exchange of information.
The detailed procedure adopted is given in Appendix O 1.

As regards, the procedure adopted to award the contract, there is no

uniformity in practice adopted in various organisations. Some of them are
given below:
1. Award of tender to the lowest evaluated tenderer.

2. Award of work to the lowest evaluated tenderer after negotiations. In

this process, negotiation is done with a few or all tenderers which are kept
confidential. Tenderers will not know the negotiated bid of other
competitors. However, all the negotiated bids are known to the client only.

3. Award of work done after giving an opportunity to all tenderers or few

tenderers to lower their bids. This is done confidentially and it is known only
to owner, but not known to other competitors.
APENDIX20

Introduction

The Government has decided to implement a state-wide e-procurement

portal. The new e• Proc portal will act as an end-to-end system, wherein
government agencies can handle their procurement activities entirely
online starting from Indent generation, tendering, contract management,
catalogue management and payments. The end-to-end e-Proc portal has
been divided into thefollowing key modules:
1. Supplier registration

2. Indent management

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3. E-tendering Bid creation and submission

4. E- auctions

5. Contract management

6. Catalogue management

This user guidefocuses on Bid submissionfor works.

Pre-requisites

You must have thefollowing:

1. A broadband Internet connection. This is important for quicker

access, processing and uploading offiles. Some of the common
broadband (or high speed Internet) provides are BSNL, Airtel, etc.
2. A digital certificate on your PC or on a thumb drive. You cannot
proceed with your

registration or edit your profile without a digital certificate. A list of the

approved vendors is available on the e-Proc portal. This is the link to
the e-proc portal: http://eproc.karnataka.gov.in
A digital certificate helps keep your information and your transactions
completely safe.

3. Internet Explorer 6.0 or above. No other browsers are supported at the

moment.

4. A valid email account with enough space to receive email. Ifyou are a
regular supplier to the government, we recommend a dedicated email
account. There are manyfree mail services available on the internet today:
Gmail --------------- http://www.gmail.com
Hotmail ------------ http://www.hotm@ail.com
SIFY ---------------- http://www.sify.com
Rediff-------------- http://rediffmail.com
Yahoo -------------- http://www.yahoo.co.in

You can also optfor paid service with your domain.

5. WinZip installed on your system to compress large files into smaller sized
files. Get thisfrom: http://www.winzip.com
6. On the e-Proc portal, all fields marked with a red asterisk indicate
that it is compulsory to enter/provide that information. You cannot
proceed with registration without entering those details.

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Bid submission for works

Logging in

1. In your Internet Explorer address bar, type the URL

http://epro.karnataka.gov.in

2. The procurement portal home page appears. As a registered

contractor, you can log in to the portal to access your profile, view and
bidfor tenders for the categories you are registered to receive.
Example: You can view tenders for works, goods, or services, or any
combination of these categories.
3. Your user ID and password were emailed to you when you signed upfor
this paid service.
As per process, you would then have changed the mailed password to a
new one that was more convenient and personal to you.
Enter your registered user ID and your password. Click Login.
Inside thee-Procurement portal

You are now logged into the e-Procurement Portal. There are 2 main menu
options available:
1. My Profile: Here you can change details (such as address, phone number,
others) to update your profile.
2. Tender Management: With the Search Tenders you can search for
tenders released by

the Government of Karnataka through a criteria-based search. My Bids

display all bids for works that you have submitted.
Click on Search Tenders to open the Search Tenders screen.

Searching for tenders

1. This is the Search Tenders screen where you can search for works tenders
by specifying one or more criteria.
The search criteria can be the tender category, publishing department
(Works), number,

tender and/or the invitation strategy. There are 2 types oftenders:

I. Open tenders are for all Contractors.

II. Pre-Qualified tenders are onlyfor successfully pre-qualified contractors

who will go through the qualification process.
2. The Department dropdown list displays a detailed list ofall the
participating departments of the Government ofKarnataka.
3. There are 3 ways to search oftenders:

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I. Simply click on search without specifying criteria. Not recommended
because it will display a long list ofall tenders.
II. Specify the Tender Number by copying itfrom the email notice you
received. This is the quickest way.
III. Specify multiple criteria to narrow down a range oftenders. Specify
your criteria and click on Search.
4. The Search Tenders screen is the initial pointfor viewing Open or Pre-
Qualified tenders for works published by the Government ofKarnataka.

Actions

1. You can perform thefollowing actions on published tenders:

a. Clicking the View Details icon ofa tender brings up this view-only screen
which displays the selected tender's details:
• Procurement entity details

• Tender value, earnest money deposit and documentation fees details

• The dates and times of the tender schedule

Remember, you cannot modify any tender details here.

b. Download Tender documents: You can download tender documents

here for viewing/re-viewing.
c. View Queries for this Tender: You can view/submit queries for this
tender.
d. Submit the bidfor this Tender: You can submit your bidfor this tender.

2. The status of the works tenders you searchedfor is displayed here. A

tender can have thefollowing status:
a. Published

b. Tendered c. Submitted d. Awarded

Bid submission summary/overview

1. Clicking the Submit Bidfor this Tender icon brings you to the bid
submission summary/overview screen.
Here, you must click on the options and follow the steps through to achieve
a green checked status against all the eight actions to submit you bid for a
tender successfully. A yellow icon indicates a warning status which means
the process has not been completed.
• View tender details

• Download tender documents

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• View items in tender

• Tender processingfee

• EMD payment

• General conditions ofeligibility

• Technical qualification criteria

• Upload bid documents

• Item-wise bid commercial offer

• Declaration

2. Click tender processingfee

• Credit card/online payment

• Direct debit using online bankinglonline payment

• NEFT/Ojjline payment

• Remittance at the bank counter Challan (ojjline Payemnt)

3. ClickEMD

Earnest Money Deposit (EMD) is required as a security depositfrom a

contractor.

The tendering authority will set a percentage of the ECV as the Earnest
Money Deposit.

When the percentage is put in, the value is calculated automatically and
displayed on the screen.

The Earnest Money deposit (EMD) amount is automatically displayed

on the payment information screen.
You cannot modify this amount. The exact amount must be submitted to
proceed successfully

in this process.

Select your Mode ofpaymentfrom thefour options listed on the screen.

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4. The green checked status indicates that your EMD payment is processed
successfully General conditions of eligibility are norms or a level of
standard that must meet the qualification requirements set by the GoK.
Compliance with these standards is importantfor you to reach the end ofthe
bidding process.
Non-compliance can lead to disqualification ofyour bid at the end of the
process. If you select NO in the compliance dropdown list, then your bid will
be disqualified by the system. These compliance criteria must be metfor
successful bid submission.
Enter a brief description or any additional information about your
compliance with the

eligibility criteria in the Remarks text boxes. Clicking on SA VE will return you
to the Bid summary/overview screen.
5. The green checked status indicates that your eligibility criteria were
processed successfully. The next action to be executed in Technical
Qualification criteria.
• View tender details

• Download tender documents

• View items in tender

• Tender processing fee

• EMD payment

• General conditions of eligibility

• Technical qualification criteria

• Upload bid documents

• Item wise bid commercial offer

• Declaration

The technical qualification criteria screen displays the required criteria to

qualify technically to submit a particular bid.
Technical criteria may be specific to the nature and quantity of the Works
being tendered and your capability as a contractor to meet the demands
of the tender.
As with eligibility criteria, you must meet the technical qualification criteria
laid down for a tender to successfully qualify for bid submission.
Click the pointingfinger icon to access the compliance screen for those
technical criteria. Specify ifyour compliance to each technical criterion is
Yes or No. enter your remarks and upload the required documents.

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Click save and continue.

The green checked status indicates successful processing of your

technical qualifications criteria.
6. Upload bid documents is the halfway point in this series ofactions. Click
upload bid documents to upload and submit mandatory certificates and
documentation.
Various departments within Government of Karnataka attach different
certification and documentation requirements to their tenders. The set
of certifications and documentations requiredfor a bid will be listed in the
tender itself
You must attach these documents and certificates during the submission
process. Ensure that all required documentation and certification is
available in a scanned/electronic format, on your desktop at the same
time of submission. Clicking Browse brings up the Choose file window.
Select the directory andfile and click Open.
7. Click Item-wise Bid commercial offer

The next option is item-wise bid commercial offer. All line items in this option
must be quoted.
These line items are numbered serially and require thefollowing actions: I.
Enter the ratefor the goods
II. Enter the amount in words

Note: Great care must be taken to enter the rate correctly

All the line item for a works tender are listed serially and NOT grouped as they
are for goods tenders.
Unlike the item-wise bid commercial offer for goods, you do NOT have to
specify any tax components for works tenders.
Next, click Declaration to complete the bid submission process.

8. Declaration is an online declaration from you or your organisation

enclosing the financial proposal for selection of your firm to execute that
particular tender as per the stipulations of the contract.
Click I agree .... Check box. Click the Encrypt... checkbox if you want to
secure the bid.

Click Save & Continue.

If you choose to encrypt your tender, then this screen appears. Click Submit
Bid.
In the screen that follows, click Submit Bid.

9. Once all the requirements and conditions have been submitted and met,
a Bid

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Reference Number is generated.

This submitted bid will be available to you in the My Bid option under Tender
management.

10. Click my Bids and enter the Tender Number or selection the Department.
Click Search.
A list of tenders' issued by the selected department is displayed. Click Logout
to exit from thee-Procurement Portal

Increased Efficiency

• Shorten the procurement cycle when processes are automated

with tender analysis, allowing users to allocate resources and time for other
critical issues.
• Automate the entire tendering lifecycle for procurement of goods and
services starting from creation of a purchase requisition through to the award
of contract with strict control.
• Streamline last minute tender changes.

• Faster response to questions and points of clarification during tender

period.

• Remote office operation is made possible as all authorized parties can

access Tender

Tailor via a secured channel. Cross border tendering process can be

achieved.

• Better communications between departments, as the alerting

system would remind users about critical issues and tasks that have been
completed by different teams, minimizing human errors, as well as to
route documents to appropriate parties or alerts individuals of actions in
the system.
• Single point of access for both vendors and purchasers to do
business efficiently in a convenient and user-friendly manner.
• Better access to procurement spending information and analytical
reports

Reduced Cost

• Result in more profitable contracts

• Reduce take-off costs and errors with direct digitizer input

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• Minimize paper trail on tendering exercises

• Reduce costs of participation for purchasers and vendors

• Reduce fulfilment and rework costs

• Reduce advertisement cost

• Reduce cost to obtain detailed analysis of costs and mark-up

• Reduce labour intensive tasks of receipt, recording and distribution of

tender

• Less manual forms filling on tender preparation and data re-entry when
upon receiving the tender
• Reduce hassles involved in communication and administration,
achieving higher accuracy
• Fair, Free and fearless participation of Tenderer become possible

Improved Quality

1. Users can visualize the status on each tendering process by the

comprehensive progress tracking function, reducing time for keeping track of
status.
2. Streamlined workflow is realized with faster tender and document
submission; hence improved information distribution is achieved.
3. Better integrity of goods, services, works and vendor information as a
provision of quality management of centralized repository facilitates instant
access to both current and historical tender information
4. Detailed purchase history for efficient negotiation with vendors

5. Real time updating, eliminate obsolete information

6. Improved audit trail increasing integrity and transparency of the

tendering process

7. Improved quality of tender specification and supplier response

8. Provision of quality management information

9. Database of goods, services, works and contractors gets build up

10. Gives critical lead over the competitors

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CONTRACT

• DEFINITION

The word contract is derived from the Latin word contractor meaning
drawing together. There are many definitions for the word 'contract'. Some
of them are given as follows:;
1. An agreement enforceable by law is a contract of the Indian Contract
Act, 1872.

VARIATIONS IN SCOPE OF WORK

2. When two or more persons have a common intention communicated to

each other to create some obligation between them, there is said to be an
agreement. An agreement which is enforceable by law is a contract.
(CPWD)
3. An agreement between two or more parties which is intended to be
enforceable at law and is constituted by acceptance by one party of an
offer made by the other party to do or abstain from doing the act. (Halsbury)

• CONTRACT AGREEMENT - ITS NECESSITY

Objective
The primary objective of contract management is completion of work
entrusted to the construction agency with least complications (ideally
without any complication) within specified time, within specified

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(approved cost) and conforming to specified quality without loss of
harmony among key participants

OBJECTTIVIES OF CONRACT MANAGEMENT

Management of contract should be done in such a way that the

construction agency gets what is due to the agency and owner gets full
value for the investment, all within the perimeter of
conditions of contract

OBJECTTIVIES OF OWNER AND CONTRACTOR

In many organisations objectives are structured in a hierarchy of

importance. There are objectives within objectives as shown in the figure.
The objectives of each unit contributes of the next higher unit

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 HIERARCHIES OF OBJECTIVES

A contract agreement is a really important document that will define your

scope of work and that will bind the owner to your services, including the
payment terms. It is really important to understand the scope of work
specified in the contract agreement, complete the work as scheduled,
invoice per instructed to do so and finally it will be the tool used so to get
paid

THE INDIAN CONTRACT ACT, 1872

The Indian Contract Act is the basic document governing all types of
contracts including bailment and agency. Contracts should be properly
administered, governed, and controlled as per the act. A good contract
should not be spoiled by bad administration.

The India Contract Act uses the word 'promise' to indicate a party's
obligation. The word

'promise' in common parlance means 'an engagement to do or keep from

doing something.' In law, however, it means a proposal made by one
person which is accepted by another person to whom it is made. Some of
the clauses are given below.
• Every promise and set of promises, forming the consideration for each
other, is called reciprocal promises. Vide Sec 2 (e)
• An agreement not enforceable is said to be void vide Sec 2 (g)

• An agreement which is enforceable by law at the option of one or

more of the parties thereto, but not at the option of other or others, is a
voidable contract vide Sec 2(i) a

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• A contract which ceases to be enforceable by law becomes void
when it ceases to be enforceable vide Sec 2 (i)
• There are several types of contracts. They involve issues relating to (i)
Technology (ii) Finance (iii) Administration and Management. Contracts
involve high monetary stakes. Contracts should be properly administrated,
governed and controlled as per provisions of Indian Contract Act 1872.
All contracts if they are to be valid and enforceable at law must have certain
ingredients, viz. (i) Mutual agreement between the contracting parties as
to the terms and conditions
of the contract.

(ii) Genuine intention of the parties to accept and fulfil their respective
rights and duties under the contract.
(iii) Legal capacity of the parties to make a valid contract.

(iv) Consideration of some value (such as payment for construction

work done)

exchanged by the parties.

(v) Lawful nature of the object of the contract (e.g. to build a structure
that conforms to all laws and regulations).
(vi) When the person to whom the proposal is made, signifies his/her
assent thereon, the proposal is said be to accepted, and it becomes a
'promise'. The person accepting the proposal is called the 'promise' (owner).

(vii) Consideration is the price in terms of money, goods or services paid for
the thing that the promisor wishes to have.
(viii) An agreement enforceable by law is a contract: an agreement not
enforceable by law is said to be void.
(ix) An agreement which is enforceable by law at the option of one or
more parties thereto, but not at the option of other or others is a voidable
contract.

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Types of contract

There are several types of contracts. One of the following five types of
contracts indicated in figure is adopted for execution of works by
Government Departments or by private owners on the nature of work.

Classification of engineering contracts

(A)Based on purpose

1. Full contracts -Contracts for entire scope of work (e.g. building with all
internal and external services).
2. Labour contracts -Owner supplies all materials and the contractor
provides labour and required petty materials.
3. Turnkey contracts -Adopted for complex and specialized works. Entire
responsibility rests with the contractor for design, construction, and
commissioning.
4. There may or may not be provision for escalation.

5. There may be provision for maintenance.

6. There may be provision beyond normal defect liability period.

7. Procurement contract - For procurement of materials for a work. It may

be fate contract for a year or specific period.
8. Transport contract For transport of materials from rail head to works site
or owner's warehouse.
9. Erection contract- For installation erection and commissioning of plant &
machinery given by the owner.

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10. Consultancy contracts-To avail the services of a consultant for project
formulation, DPR, construction supervision and progress monitoring, etc. (B)
Based on economic classification

1. Measurement contracts (item rate and % rate)

2. Lump sum contracts

3. Cost + fee contracts

4. Turnkey contracts

5. Build-own-operate and transfer (BOOT) contracts

6. Labour contracts

7. Demolition contracts

8. Others - piece work contracts

9. Daywork

10. Consultancy contracts

1) Fixed price contracts without provision for escalation (major risk is borne
by the contractor).
2) Fixed price contracts with provision for escalation (risk is limited to
difference in market rates and factors considered in escalation
formulae).

A. Measurement contracts (item rate and % rate):

(i) Percentage contracts: For small works and works of repetitive nature,
percentage rate contracts are adopted. Owner indicates quantities and
estimated rates for all items of work. The estimated cost is reflected in
the tender schedule. The tenderer will quote above or below the estimated
cost in per-cent to put for tender. Payment is made on the basis of actual
quantities executed and measured. In percentage rate tender, the owner
gives both rates and quantities and amount. The contractor quotes %
above or at par or (%) below the estimated cost. It is generally adopted
for small works and repetitive works. This type of tender is also suitable for
repair and maintenance works.
(ii) Item rate contracts: For major works, item rate contracts are
adopted.

Owner indicates quantities and units only for all items of work and the
tenderer quotes rates for each individual item. Payment is made for the

114 | P a g e
actual work done based on measurements. This type of contract is useful
for works where all items are not finalized at the beginning. Item can be
modified within certain limits on the basis of detailed planning and design.
The tender form contains all items of work included in bill of quantities
excluding lump sum items and those items which are to be executed through
another agency. The tenderer quotes rates for each item. Payment is made
on the basis of measurements of work done. The quantities included in the
tender schedule are approximate and some variation within deviation
limits is permissible. This is said to be a balanced method of execution.

B. Lump sum contract:

Scope of work, construction drawings and detailed specifications are given

to tenderer along with terms and conditions of contract. Schedule of
quantities may or may not form a part of tender documents. Even if they are
supplied they are not contractually operative and informative only.
The tenderer quotes a fixed price for the whole work tendered. If this type
of contract is adopted, the owner will know cost of work on the eve of
award of contract. However, this is subject to the condition that there is no-
variation in scope of work subsequently. It is normal practice to agree on a
method to regulate payments for additions and alterations. Provision can
be made for escalation in this type of contract also. Detailed
measurement of work done may not be necessary when contract
specifies stage payment to effect interim payments. This type of contract
can be considered when scope of work is frozen; planning, designing and
working drawings are completed before inviting tenders.
Contractor quotes one lump sum amount for the work/job assigned. This
type of contract is suitable when planning, construction, drawings, and
specifications are finalized before inviting tenders. The tenderer quotes a
fixed price. In this method owner knows the probable cost of work. However,
if the quote is varied, it involves contractual problems and methodology to
arrive at the rates for addition, deletion and alterations would be necessary
and it is to be built in tender document. This is to facilitate release of interim
payments.

C. Cost plus fee contract

COST+ PERCENTAGE(%) OF TOTAL COST WITH OR WITHOUT A CEILING COST+

FIXED FEE COST+ INCENTIVE FEE

This method of contract is adopted for:

(i) emergency works
(ii) for miscellaneous works and
(iii) For works for which scope cannot be defined properly at tender
stage. Contractor is paid his actual cost of materials labour, hire charges
of machinery and a fee towards his profit and overheads. This fee may be a
percentage of total cost with or without a ceiling or a lump sum amount.

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Here contractor's risk is less and owner's liability is not known on the eve of
commencement of works. Under some circumstances, this type of
contract is adopted in government or private sector works.

D. Turnkey Contract
In a turnkey contract, the contractor takes full responsibility for design,
construction and commissioning of the facility of defined scope for a fixed
lump sum price. This is an area of high risk for the contractor. The contractor
has to bear the normal risk of unforeseen site conditions, poor weather and
foundation problems. For turnkey contractor, time is truly equal to money and
schedule slippage may adversely affect his profitability particularly in cases
where there is no provision for escalation. A bonus or penalty clause may be
included as an incentive or disincentive to the contractor to complete the
work on time. This type of contract is suitable for projects where all the
functional parameters are finalized and changes and extras are not made
later. Such type of contracts is seen more in commercial, defence and
interior projects of multi• disciplinary character and when timely completion
is important.

In this type of contract, Contractor takes full responsibility for design,

construction, commissioning of the facilities. The scope of the facility is
described in detail and a fixed lump sum price is paid to the contractor.
There may or may not be a provision for escalation. The number of
responsibility centres is reduced to only one. It eliminates coordination
problem. In a liberalized regime Indian entrepreneurs are inclined to start
considering the implementation of their projects following the turnkey
concept. This type of project is suitable for scheduling critical commercial
and defence projects of multi-disciplinary character. The contractor has to
bear the normal risk of unforeseen site conditions, poor weather and
foundation problems. Schedule slippage may adversely affect his
profitability in the absence of escalation clause. A bonus clause may be
included as an incentive to the contractor to complete the work even before
stipulated period of completion.

E. BOOT contract
With the liberalization and opening up of the economy, private sector is
encouraged to execute public works, own them, operate for a specific
period and transfer the same to public authority. The entrepreneur will
recover his investment during the period he owns and before the transfer
of asset. This type of contract is adopted for highway projects, airports,
convention centres, IT parks, power plants and bridges. Government avoids
funding and allows a private person or a group to invest, build and transfer
the facility after recovering their investment. The government acts as a
facilitator in terms of legal issues, acquisition of land and enforcement of
issues. This type is desirable where the government itself is unable to raise
huge resources to take up such big projects. Further the government can
also join with private companies or consortia in the form of separate

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holding company specifically constituted for the purpose. Build-own-
operate-and transfer contracts adopted for infrastructure projects (highways
bridges, airports, water supply and sewerage projects) private sector
involves in these projects. Entrepreneur invests and maintains these
structures and collect toll for specific period based on approved tariff.
Government acts as a facilitator and provides and approvals. On expiry
of contract period the facility is transferred to government. Deletion and
alterations would be necessary and it is to be built into tender document.
This is to facilitate release of interim payments. DFBOOT Contract: It is
similar to BOOT Contract except the entrepreneur will also be responsible
for the designing and financing of the project. Government's
responsibilities remain same as in BOOT contract described above.
Selection of consultants is based on the following criteria:
• Quality Based Selection (QBS): Adopted for highly specialized
assignments such as urban master plan and finance, etc., reforms. * Best
Expert Advice (feasibility and structural engineering in major projects such
dams, etc. Assignments which can substantially carried out in different
ways (management advice and sector in policy study).
• Selection under Fixed Budget (FBS): For simple and
precisely defined assignments.
• Selection on Basis of Least Cost (LCS): Adopted for Standard
or routine nature assignments (audits, design of non-complex engineering
works)
• Selection Based on Consultant's qualifications (CQS): For small
assignments where evaluation of competitive proposal is not justified.

Consultants are paid on job basis, lump sum basis, on call basis, or on
retainer ship basis, depending on situation and considering several
factors. This is a concession contract. The project is based on the granting
of a concession by the principal, usually a Government to an entrepreneur
(known as the concessionaire) who is responsible for design, financing,
construction, operating and maintaining the facility over a period of
concession before finally transferring the facilities at no cost to the principal,
as a fully operational facility. During the concession period the
entrepreneur collects toll fee to recover the cost of investment and
maintenance which results in a margin of profit.

F. Labour contract
In this the owner supplies all the materials and the contractor provides
only, the labour component, i.e. not just labour but also all plant and
machinery required for construction work. He is responsible for execution
of the work. As contractor is not responsible for materials; he may misuse
and waste materials. This is a popular type of contract as both materials and
workmanship will be of high standard. Payments are restricted to labour
charges only. In case of extras too only labour charges need to be paid.
Problems relating to escalation, cost variation relating to materials will not
affect work progress. This contract at the tender stage can be based on

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cubic foot construction for the entire construction project (excludes
drainage, plumbing and electric, AC works). It is suitable for all types of
buildings, extension work alterations and repair of works. Advantages
include cost saving aspect, reduction in disputes, effective supervision in
use of materials and workmanship and use of quality materials. The
contractor is responsible for execution of work; Payments are restricted to
labour charges only. This contract at the tender stage can be based on
square meter/cubic meter of construction for the entire work. It is suitable
for all types of buildings, extension work, alterations and repair of works.
Advantages include cost saving aspect, reduction in disputes, effective
supervision in use of materials and good workmanship and use of quality
materials.

G. Demolition contract
This involves demolition of existing building/ buildings completely and removal
of the debris safely away from the site. The contractor takes away all the
materials that are salvaged from building and pays for the same to the
owner. For this contract, the highest bidder is awarded the work. A specified
depositing (EMD) needs to be made by contractor which he will forfeit in
case of non-completion of work for any reason, e.g. non-carting away of
materials from site completely. The owner can use the deposit, for such
purposes. The whole tendered amount needs to be collected from the
contractor before the commencement of work. Owner should not accept
any part payment as there is a chance of contractor abandoning the work in
between. The contractor has to take out insurance for accidents,
compensation (to workers). Further permission to cut the road for water,
electricity supply drainage connections, etc., is to be obtained by the
contractor.
The contract should specify whether the demolition work is totally up to the
ground of the whole building or only a part. In such a case, part demolition
should not affect the structural strength of the rest of the building. Further,
the contractor should make good any damages to the existing part of the
building if required. Also, the items the owner wants to retain post
demolition are to be clearly mentioned in tender and later in contract,
otherwise the same have to be purchased from contractor. A tenderer
before submitting the bid should inspect the building to assess the salvage
value of items of recovery. The earnest money deposit is returned to the
contractor only after successful completion of demolition work and carting
away all debris to the satisfaction of the owner.

This involves demolition of existing building/buildings completely and removal

of the debris safely away from the site. The contractor takes away all the
materials that are salvaged from building and pays for the same to the
owner.
For this contract the highest bidder is awarded the work. Contractor shall
deposit EMD which will be forfeited in case ofnon-completion of entire work
for any reasons (namely, non• carting away of dismantled materials from site

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completely. The whole tendered amount shall be collected from the
contractor before commencement of the work. It is advisable for contractor
to take an insurance policy for accidents, damages, etc.

H. Other works
Works of nature: Piece work or days' work cannot be strictly classified as
contracts as they do not involve security deposit or penalty; as they do not
involve large sums of money.
Piece work contracts are common with agencies, like CPWD/PWD or
public sector units. This involves splitting up of a large work of similar nature,
e.g. canal work or metro rail construction, etc., into smaller sections as
packages and contracts are awarded based on tenders (public) if the
amount is substantial (to be decided by the agencies like PWD for
execution). In case of small works the concerned Chief Engineer may be
empowered to take decision (as per the agencies guidelines). This type of
execution works out well where large scale work of similar/repetitive work is
present and which needs to be completed fast, e.g. road work in large
township projects or services like electrical work or sanitary/water supply
lines. Rates and items are fixed and are paid after execution of work.
Piece work or days' work cannot be strictly classified as contracts. They
do not involve security deposit or penalty as they do not involve large sums of
money.
I. Daywork
It is not a contract at all. But this method of execution is good for works of
small nature which cannot be measured or valued, e.g. decorative work,
craftwork/artwork, etc. Payment for the same includes cost of material and
hire charges of machinery, labour charges and contractor's profit. It does not
involve tendering, security or earnest money deposit, etc. It is the
architect or engineer who has to decide and select the individual or
agency and commission the work. The clerk of works or (site engineer) has to
supervise the work and report to the architect or engineer. Wages paid to
labourers should conform to government guidelines. Any trade discounts
allowed are to go to the owner. If the main contractor has supplied materials,
like cement or sand, the same are to be deducted from the contractor's
payment who is doing the day's work.
Day work's commencement and completion statement are to be certified
by the architect/engineer. Day work items are to be preferably avoided
in design as they increase cost due to difficulty in measurement and
lump sum nature of payment.

This method of execution is good for small works, which cannot be measured
or valued (e.g. decorative work, craftwork, artwork, etc.). Payment for the
same shall be decided on the basis of site observation along with reasonable
profit.

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J. Consultancy contract
Selection of consultants is based on the following criteria:
• Quality based Selection (QBS): Adopted for highly specialized
assignments such as urban master plan and finance, etc. reforms.
• Best Expert Advice: Feasibility and structural engineering in major
projects such as dams, etc.
• Assignments which can substantially carried out in different ways
(management advice and sector in policy study).
• Selection under Fixed Budget (FBS): For simple and precisely
defined assignments.
• Selection on Basis of Least Cost (LCS): Adopted for standard
or routine nature assignments (audits, design of non-complex engineering
works).
• Selection Based on Consultant's qualification (CQS): For small
assignments where evaluation of competitive proposal is not justified.

Consultants are paid on-job basis, lump sum basis, on-call basis, or on-
retainer ship basis depending on situation and considering several factors.

SELECTION OF CONTRACTORS

It is recognized that the most important part of contract management is

the selection of contractor(s). Critical factors, such as quality, speed,
economy and harmony are all dependent on selection of a suitable
contractor. Selection should also satisfy the principle of equity and fair play.
Contractor is selected by the owner through any one of the following
processes after conducting negotiations if required.

• Public tenders
• Pre-qualification
• Post-qualification
• Limited tenders
• Single Tender
• Nomination

Public Tenders

For government works, invariably public tenders are invited from registered
contractors of appropriate class. A stipulation is made in the tender
notice regarding work experience, financial solvency, and annual turnover
in addition to registration. His general reputation is also taken into
consideration before the award of contract.

Pre-qualification of Contractors

For major works, specialized works, and for works of multi-disciplinary

involvement, contractors are pre-qualified to ensure that competition is

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only among bidders who are capable of executing the work. The basic
requirement of pre-qualification is not the selection of the best contractor,
but to eliminate incompetent and insincere contractors. Pre• qualification
notice is published in newspapers with relevant details, such as name of
work, location, estimated cost, period allowed for completion, eligibility
criteria of contractors, etc. Contractors are pre-qualified on the basis of
financial solvency, work expenence, quality of works executed,
organization and plant and machinery possessed. It is a normal practice to
constitute a committee, to evaluate their suitability. The works are inspected
for quality and their present workload is also taken into account.
Suitable weightages are assigned for each of the criteria and the
assessment is made accordingly. Suitable number of contractors (not too
small or too large) is pre-qualified. Thereafter, the tender notices are sent to
such pre-qualified contractors only. There will not be a press notice
thereafter. Only pre-qualified contractors are allowed to tender for the work.
Further selection of contractors is based on the processes after conducting
negotiations.

Post Qualification

In this method, three cover systems are followed. Earnest Money Deposit
receipt, Technical bid and financial bid are submitted in separate covers. If
the tenderer does not submit Earnest Money Deposit in prescribed form
acceptable to the client, there is no need to open other two covers
containing technical and financial bid. The technical bid containing all
particulars required to evaluate contractor's suitability except price is opened
first and contractors are post-qualified. Price bids of only such post-qualified
contractors are opened and evaluated at a later date or on the same day.
Price bids of other contractors (not qualified) may be returned or retained
with the owner without opening. If two cover systems are followed, the first
cover contains Earnest Money Deposit receipt in approved form along
with technical bid particulars. The procedure for opening of price bid is
same as above. EMD in approved form is a pre-requisite for evaluation of
technical bid.

Limited Tenders

In this method, tender notice is sent to some selected contractors of repute,

and no press notice is issued. The lowest tenderer may be called for
negotiations. The number of contractors in the select list is generally, not too
small to avoid formation of a cartel. This method is adopted in private sector
in some cases as an alternative to other methods. For government works,
this method is restricted to emergency works only and the decision is taken at
the higher level of hierarchy.

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Single Tender

In response to Notice Inviting Tenders (NIT), only one tender is received.

Even after liberalizing tender conditions, there is no response to secure
additional tender. In such a situation, single tender with approval of
higher level of hierarchy is accepted. It is also adopted for small value
works or for works from manufacturer (specified brand) where choice is not
available in the market.

Nomination

Selection of a contractor by nomination is adopted for works of small

magnitude or for emergency works. The contract is awarded based on
prevailing market rates. In private sector, this method is sometimes adopted
to select a contractor. The rates are negotiated keeping in view the trend of
market such works may also relate to special skills or construction which are
normally available.

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CONTENTS (ARTICLES OF AGREEMENT, TERMS AND CONDITIONS, BILLS OF
QUANTITIES AND SPECIFICATIONS, APPENDIX)
Articles of agreement (as per Indian Institute of Architects)

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For extra reading:
Appendix 21 (3)
Extracts ofsome clauses incorporated in KIW-3 tenderform of Government of
Karnataka is given below. Other States/private organizations may
incorporate such or similar or modified clause(s) suitable to theirfuture
contract document.

Compensation Events
Thefollowing are Compensation events unless they are caused by the
contractor.
* The employer does not give access to a part of the site by the site
possession date stated in the contract data.
* The employer orders a delay or does not issue drawings,
specifications or
instructions requiredfor execution of work on time.
* The employer instructs the contractor to uncover or carry out additional
tests upon work which is then found to have no defects.
* The employer gives an instruction for dealing with an unforeseen condition
caused
by the Employer or additional work requiredfor safety or other reasons.
* The effect on the contractor of any ofthe Employer's risks.
* The employer unreasonably delays issuing a Certificate of Completion
* Other compensation events listed in the contract data or mentioned in the
contract.
* ff a compensation event would cause additional cost or would prevent
the work being completed before the intended date of completion, the
contract price shall be increased and/or the intended completion date is
extended. The employer shall decide
whether and by how much the contract price shall be increased and
whether by how much the intended completion date shall be extended.

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* As soon as the information demonstrating the effect of each
compensation event upon the contract's forecast has been provided by
the contractor, it is to be assessed by the employer and the contract
price shall be adjusted accordingly. If the contractor's forecast is deemed
unreasonable the employer shall adjust the contract price based on
employer's own forecast.
* The employer will assume that the contractor will react competently and
promptly to the event.
* The contractor shall not be entitled to the compensation to the extent
that the
employer's interests are adversely affected by the contractor not having
given early warning or not having cooperated with the employer.

Banker's Certificate
This is 'to certify that Mis__ is a reputed company with a goodfinancial
standing. Ifthe contractfor this work, (n ame ofthe work) is awarded to the
above firm, we shall be able to provide overdraft/creditfacilities to the extent
ofRs. __ to meet
the working capital requirements for executing the above work.

Name of the bank. ...

Bill of Quantities

Note:
(1) Items for which no rate or price has been entered in will not be paid by
the employer when executed and shall be deemed covered by the other
rates and prices in the bill of quantities.
(2) Unit rates and prices shall be quoted by the tenderer in Indian Rupees.
(3) Where there is a discrepancy between the rate in figures and words, the
lower of the two will govern.
(4) Where there is a discrepancy between the unit rate and the line item,
the total resulting
from multiplying the unit rate by quantity, the unit rate quoted shall govern.

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The tender shall contain no alterations or additions except those to comply
with instructions issued by the employer or as necessary to correct errors
made by the tenderer in which case such corrections shall be initialled by the
person signing the tender.

• TERMS AND CONDITIONS (SUMMARY OF SOME CRITICAL CLAUSES

ADOPTED BY IIA)

The contracting system in private sector is not yet fully organised. The
practice of requisitioning the services of an architect for the management of
engineering contracts has recently gained its foothold, and is yet to receive
wide acceptance. In this background the salient features of conditions of
Contract adopted by Indian Institute of Architects are discussed below.
(i) Performance bond (Security deposit): Sum to be deposited as
security is
mentioned in the appendix to each contract. This deposit is to be made with
an architect within 10 days of signing the contract in the form approved
by the architect and it shall remain till the defect liability period expires.
Earnest money will become a part of security deposit. Owner may retain from
interim payments some percentage as retention percentage till full deposit is
recovered.

(ii) Damages for non-completion: Liquidated damages as

mentioned in the
Appendix to the contract shall be recovered.

(iii) Determination of contract: Owner can determine the contract if

contractor (i) suspends the work, (ii) fails to give regular progress, (iii) fails to
remove or rectify defective work or materials, (iv) sublets the work without
written permission, (v) Bankruptcy Notice period is 14 days.
Contractor can determine the contract if the owner (i) fails to make
payment within specified period, (ii) interferes or obstructs issue of certificate
for payment, (iii) suspends work for a continuous period, (iv) force majeure,
(iv) fails to issue necessary instructions and drawings, and (v) fails to decide
extension of time, etc.

(iv) Interim payment: To be issued by the architect within the period and
payment to
be made by the owner as mentioned in the appendix to the contract.

(v) Completion certificate: The Architect is required to give several

certificates during the execution of work. These certificates mentioned below
are of special significance.

vi) Virtual completion certificate: (Building is fit for occupation though

some minor works are yet to be completed)

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(vii) Penultimate certificate: This certificate is issued to enable collection of
fee by a consultant from the contractor as prescribed in the agreement.

(viii) Interim and final certificates: Interim certificate provides for interim
payment to
the contractors. It is to be honoured within specified period. Retention
money is recovered from interim payments vide clamed. Final certificate is
issued to the contractor after expiry of defect liability period reckoned
from date of virtual completion of work. On expiry of defects liability
period plus one month for notice and rectification of defects, contract can
be rescinded.
Submission of all documents containing measurements and valuation•
within a reasonable time from the date of virtual completion of work
whichever is later. The final certificate may also authorise release of balance
retention money.

(ix) Materials: Within 30 days of signing of agreement contractor shall

submit for approval of the Architect a complete list of all materials he and his
sub-contractors propose to use in the work of definite brand or make which
differ in any respect from those specified.

(x) Fluctuations: The contractor shall not claim any extras for fluctuation
of price and the contract price shall not be subject to any rise or fall of prices.

(xi) Variations: The Architect may issue instructions requiring a

variation. Rates applicable are, quoted rates of similar items, based on
fair valuation, day work rates or market rates.

(xii) Defective work: All materials and workmanship shall be subject to

inspection,
examination and test by the Architect at any or all times during
manufacture and/or construction. The Architect shall have the right to
reject either defective materials or workmanship or work which requires any
correction.

(xiii) Defect Liability Period: The contractor shall make good at his own
cost and to the satisfaction of the architect; all defects, shrinkages or small
faults, arising in the opinion of architect from work or materials not being
in accordance with drawings or specifications or schedule of quantities
or the instructions of the architect, which may appear within. Defects
Liability Period (12 months) referred to in the Appendix.

(xiv) Arbitration: All disputes shall be referred to and settled by the architect
who then states his decision in writing. Such decision may be in the
form of a final certificate or otherwise. The decision of the architect with
respect to any of the excepted matters shall be final and without appeal. If
the decision of the architect is not acceptable to either party, a notice

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shall be given within 28 days after receiving the notice of the decision.
The disputes or differences shall be referred to sole arbitration of a fellow of
Indian Institute of Architect mutually agreed by the parties. In case of
disagreement, each party shall appoint one architect (Fellow of IIA) and
both the arbitrators select an umpire. They shall have the power to open
up, review, and revise any certificate, opinion, decision requisition or notice
except excepted matters. The arbitration shall be conducted as per the
Act in force. (The Arbitration and Conciliation Act 1996).

(xv) Excepted Matters: The decision, opinion, certification (except for

payment) with
respect to all or any of the matters mentioned below are final and without
appeal. These are termed as excepted matters:
Interpretation of drawings, specifications and bills of quantities
a) Architect's instructions in writing
b) Contractor's field organisation and equipment c) Assignment or
subletting
d) Approval of sub-contractors
e) Approval of materials and workmanship
f) Extension of time due to force majeure, inclement weather strike or
lockout; an act of
God.
g) Delay caused by nominated sub-contractors or nominated suppliers.
h) Delay by persons engaged by the owner in executing the work not
forming part of contract.

• APPENDIX REFERRED TO IN GENERAL CONDITIONS OF CONTRACT

ADOPTED BY IIA

The Architect is required to fill in particular stipulation in the following clauses

as applicable to each tendered work.
37 (1) Defects liability period: 12 months
31 (5) Period of final measurement and valuation: 3 months
38 (1) Date of commencement
Date of completion
41 Agreed liquidated damages
31 (1) Value of work for interim certificate
31 (3) Retention percentage Limit of retention fund
31 (6) Instalment after virtual completion
31 (1) Period of honouring certificate - 15 days
Rate of interest for delayed payment 7%

• CERTIFICATION OF CONTRACTORS BILLS AT VARIOUS STAGES

Payment on intermediate certificates to be regarded as advance
Interim or running payments are made for works whose estimated cost
is more than

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Rs.20,000 provided that value of the bill is more than specified amount in the
contract.

Payment of advances and recovery

(a) Secured advance on non-perishable materials: This advance is
admissible on non• perishable, non-fragile and non-combustible materials
brought to site for bonafide use on work. Advance is given up to 75% of its
assessed value on signing of an indenture. For perishable fragile and
combustible material, comprehensive insurance cover for full cost of
materials is necessary. After the materials are incorporated in the work
recovery is made from the next running bill based on theoretical
consumption.
(b) Mobilisation advance: Admissible for works whose estimated cost put to
tender is rupees two crores and above. Maximum advance is 10% of the
tendered value of work. Advance is paid in two or three instalments. Proof of
utilisation of first instalment is necessary before obtaining second instalment
and so on. Advance is given against Bank guarantee bond. Simple
interest @ 10% per annum is to be paid. Recovery is made from deductions
from the running bills on pro rate percentage basis to the gross value of the
work billed beyond 10% of tendered value in such a way that entire advance
including interest is recovered by the time
80% of the gross value of the contract is executed and paid.
(c) Plant & Machinery and shuttering material advance: Advance is
restricted to 5% of tendered value. Advance admissible is further restricted
to 90% of price of new plant and machinery on production of evidence and
to 50% of depreciated value for second hand and used plants. Valuation by
an approved person may be insisted in respect of old plant and equipment.
Around 75% of advance is paid when the plant is brought to site and 25%
when it is commissioned. Steel scaffolding and form work shall be treated as
plant and equipment. Recovery of advance is similar to that of mobilisation
advance.

■ NEW TRENDS IN PROJECT FORMULATION

BOT (build-operate-transfer)
BOT finds extensive application in infrastructure projects and in public-private
partnership. In the BOT framework a third party, for example the public
administration, delegates to a private sector entity to design and build
infrastructure and to operate and maintain these facilities for a certain
period. During this period the private party has the responsibility to raise the
finance for the project and is entitled to retain all revenues generated by the
project and is the owner of the regarded facility. The facility will be then
transferred to the public administration at the end of the concession
agreement, without any remuneration of the private entity involved. Some
or even all of the following different parties could be involved in any BOT
project:

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❖ The host government: Normally, the government is the initiator of the
infrastructure project and decides if the BOT model is appropriate to meet its
needs. In addition, the political and economic circumstances are main
factors for this decision. The government provides normally support for the
project in some form. (provision of the land/ changed laws)
❖ The concessionaire: The project sponsors who act as concessionaire
create a special
purpose entity which is capitalised through their financial contributions.
❖ Lending banks: Most BOT projects are funded to a big extent by
commercial debt.
The bank will be expected to finance the project on "non-recourse" basis
meaning that it has recourse to the special purpose entity and all its assets for
the repayment of the debt.
❖ Other lenders: The special purpose entity might have other lenders such
as national or
regional development banks.
❖ Parties to the project contracts: Because the special purpose entity has
only limited workforce, it will subcontract a third party to perform its
obligations under the concession agreement. Additionally, it has to
assure that it has adequate supply contracts in place for the supply of raw
materials and other resources necessary for the project.

PROJECT TRENDS
A BOT Project (build operate transfer project) is typically used to develop a
discrete asset rather than a whole network and is generally entirely new or
Greenfield in nature (although refurbishment may be involved). In a BOT
Project the project company or operator generally obtains its revenues
through a fee charged to the utility/ government rather than tariffs
charged to consumers. A number of projects are called concessions, such as

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toll road projects, which are new build and have a number of similarities to
BOTs.

In general, a project is financially viable for the private entity if the revenues
generated by the project cover its cost and provide sufficient return on
investment. On the other hand, the viability of the project for the host
government depends on its efficiency in comparison with the economics of
financing the project with public funds. Even if the host government could
borrow money on better conditions than a private company could, other
factors could offset this particular advantage. For example, the expertise
and efficiency that the private entity is expected to bring as well as the risk
transfer. Therefore, the private entity bears a substantial part of the risk. These
are some types of the most common risks involved:

❖ Political risk: especially in the developing countries because of the

possibility of dramatic overnight political change.
❖ Technical risk: construction difficulties, for example unforeseen soil
conditions,
breakdown of equipment
❖ Financing risk: foreign exchange rate risk and interest rate fluctuation,
market risk (change in the price of raw materials), income risk (over-optimistic
cash-flow forecasts), cost overrun risk

BOOT (build-own-operate-transfer)

A BOOT structure differs from BOT in that the private entity owns the works.
During the concession period the private company owns and operates the
facility with the prime goal to recover the costs of investment and
maintenance while trying to achieve higher margin on project. The
specific characteristics of BOOT make it suitable for infrastructure projects
like highways, roads mass transit, railway transport and power generation
and as such they have political importance for the social welfare but are
not attractive for other types of private investments. BOOT & BOT are
methods which find very extensive application in countries which desire
ownership transfer and operations including. Some advantages of
BOOT projects are:

❖ Encourage private investment

❖ Inject new foreign capital to the country
❖ Transfer of technology and know-how
❖ Completing project within time frame and planned budget
❖ Providing additional financial source for other priority projects
❖ Releasing the burden on public budget for infrastructure development

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BOO (build-own-operate)

In a BOO project ownership of the project remains usually with the project
company for example a mobile phone network. Therefore, the private
company gets the benefits of any residual value of the project. This
framework is used when the physical life of the project coincides with the
concession period. A BOO scheme involves large amounts of finance and
long payback period. Some examples of BOO projects come from the water
treatment plants. This facilities run by private companies process raw water,
provided by the public sector entity, into filtered water, which is after
returned to the public sector utility to deliver to the customers.

BLT (build-lease-transfer)

Under BLT a private entity builds a complete project and leases it to the
government. On this way the control over the project is transferred from the
project owner to a lessee. In other words, the ownership remains by the
shareholders but operation purposes are leased. After the expiry of the
leasing the ownership of the asset and the operational responsibility are
transferred to the government at a previously agreed price. For foreign
investors taking into account the country risk BLT provides good
conditions because the project company maintains the property rights
while avoiding operational risk.

DBFO (design-build-finance-operate)

Design-build-finance-operate is a project delivery method very similar to

BOOT except that there is no actual ownership transfer. Moreover, the
contractor assumes the risk of financing till the end of the contract period.
The owner then assumes the responsibility for maintenance and operation.
Some disadvantages of DBFO are the difficulty with long term relationships
and the threat of possible future political changes which may not
agree with prior commitments. This model is extensively used in specific
infrastructure projects such as toll roads. The private construction company
is responsible for the design and construction of a piece of infrastructure for
the government, which is the true owner. Moreover, the private entity has
the responsibility to raise finance during the construction and the
exploitation period. The cash flows serve to repay the investment and
reward its shareholders. They end up in form of periodical payment to the
government for the use of the infrastructure. The government has the
advantage that it remains the owner of the facility and at the same time
avoids direct payment from the users. Additionally, the government succeeds
to avoid getting into debt and to spread out the cost for the road over the
years of exploitation.

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DBOT (design-build-operate-transfer)

This funding option is common when the client has no knowledge of what the
project entails. Hence they contract the project to company to design,
build, operate and then transfer. Example of such project is refinery
construction

DCMF (design-construct-manage-finance)

Some examples for the DCMF model are the prisons or the public hospitals. A
private entity is built to design, construct, manage, and finance a facility,
based on the specifications of the government. Project cash flows result
from the government's payment for the rent of the facility. In the case of
the hospitals, the government has the ownership over the facility and has the
price and quality control. The same financial model could be applied on
other projects such as prisons. Therefore, this model could be interpreted
as a mean to avoid new indebtedness of public finance.

BILL OF QUANITITES

The bill of quantities (sometimes referred to as 'BOQ' or 'BQ') is a document

prepared by the cost consultant (often a quantity surveyor) that provides
project specific measured quantities of the items of work identified by
the drawings and specifications in the tender documentation.

The quantities may be measured in number, length, area, volume, weight

or time. Preparing a bill of quantities requires that the design is complete and
a specification has been prepared.

The bill of quantities is issued to tenderers for them to prepare a price for
carrying out the works. The bill of quantities assists tenderers in the
calculation of construction costs for their tender, and, as it means all
tendering contractors will be pricing the same quantities (rather than
taking off quantities from the drawings and specifications themselves), it
also provides a fair and accurate system for tendering.

The contractor tenders against the bill of quantities, stating their price for
each item. This priced bill of quantities constitutes the tenderer's offer. As
the offer is built up of prescribed items, it is possible to compare both the
overall price and individual items directly with other tenderers' offers, allowing
a detailed assessment of which aspects of a tender may offer good or poor
value. This information can assist with tender negotiations.

The priced bill of quantities will also:

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• Assist with the agreement of the contract sum with the successful
tenderer.
• Provide a schedule of rates assisting with the valuation of variations.
• Provide a basis for the valuation of interim payments.
• Provide a basis for the preparation of the final account.

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REGULATION

2017
[UNIT IV- LEGAL ASPECTS]

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TOPICS
ARBITRATION
• DEFINITION
• ADVANTAGES OF ARBITRATION
• SOLE AND JOINT ARBITRATORS
ROLE OF UMPIRES
AWARDS
CONDUCT OF ARBITRATION PROCEEDINGS
ARBITRATIONS CLAUSE IN CONTRACT AGREEMENT (ROLE OF
ARCHITECT,EXCEPTED MATTERS)

EASEMENTS

MEANING
TYPES OF EASEMENTS
ACQUISTION
EXTINCTION AND PROTECTION ACT

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ARBITRATION

The history and origin of dispute settlement practices appear to be as old as

the civilization. In ancient India, the system was widely practised for
dispensing justice. Disputes were referred to village council or the
Panchayat for speedy settlement. During the early British period,
regulations encouraged arbitration for amicable adjustment of
disputes. The Arbitration Act 1899 was passed to fill some gaps in the earlier
legislations. Arbitration Act of 1940 was enacted to be a full code on
arbitration in India. This Act was replaced in 1996, since there are no limits
set down to discourage courts from stepping into an on-going
arbitration. The Arbitration and Conciliation Act 1996 was enacted based
on model rules prescribed by the United Nations Commission on
International Trade Law, 1986. This Act provides for domestic arbitration,
international commercial arbitration and enforcement of foreign arbitral
awards. Law relating to conciliation also forms a part of the Act.

Definition

Arbitration is a form of dispute resolution, carried out by a independent

person or tribunal. The process is agreed upon beforehand by the parties,
normally through an arbitration clause in the contract.

The Arbitration and Conciliation Act, 1996

The main objectives of the Act are as under:

(a) to comprehensively cover international and commercial

arbitration and conciliation as also domestic arbitration and conciliation;
(b) to make provision for an arbitral procedure which is fair, efficient and
capable of meeting the needs of the specific arbitration;
(c) to provide that the arbitral tribunal gives reasons for its arbitral award;
(d) to ensure that the arbitral tribunal remains within the limits of its
jurisdiction; (e) to minimise the supervisory role of courts in the arbitral
process;
(f) to permit an arbitral tribunal to use mediation, conciliation Or other
procedures
during the arbitral proceedings to encourage settlement of disputes;
(g) to provide that every final arbitral award is enforced in the same
manner as if it were a decree of the court;
(h) to provide that a settlement agreement reached by the parties
as a result of conciliation proceedings will have the same status and effect
as an arbitral award on agreed terms on the substance of the dispute
rendered by an arbitral tribunal; and
(i) to provide that, for purpose of enforcement of foreign awards, every
arbitral award

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made in a country to which one of the two international Conventions
relating to foreign arbitral awards to which India is a party applies, will
be treated as a foreign award.

Resolution of Disputes by Arbitration

Arbitration is the most popular mode of settlement ot disputes relating

to building and engineering contracts. Most construction contracts provide
for arbitration. Imparting justice with speed and least expense is the primary
purpose of arbitration. Arbitration means the determination of disputes by
the decision of one or more persons called arbitrators. Every dispute which
can be settled by a civil court may be referred to arbitration. It is an
alternative means of settling disputes.

Advantages of Arbitration

o Speed,
o Less expense, o Privacy,
o Informality of proceedings,
o Continuity of good relations, o Expertise of arbitrators,
o Flexibility in choice of meeting place/location &
o Finality of decision is some of the advantages of arbitration over
litigations.

Sole and Joint Arbitrators & Umpires

The parties are generally free to determine their own procedure for
appointing the arbitrator or arbitrators, including the procedure for the
selection of an umpire or chairman. If the parties decline to specify the
mode for selecting the arbitrators, then the relevant legal system will usually
provide a default selection process. Characteristically, appointments will
usually be made on the following basis:

• If the tribunal is to consist of a sole arbitrator, the parties shall jointly

appoint the arbitrator not later than (for example) 28 days after service of a
request in writing by either party to do so.

• If the tribunal is to consist of three arbitrators:

(a) Each party shall appoint one arbitrator not later than (for example) 14
days after service of a request in writing by either party to do so, and
(b) The two so appointed shall forthwith appoint a third arbitrator as the
chairman of the
tribunal.

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• If the tribunal is to consist of two arbitrators and an umpire-

(a) Each party shall appoint one arbitrator not later than (for example) 14
days after service of a request in writing by either party to do so, and
(b) The two so appointed may appoint an umpire at any time after they
themselves are
appointed and shall do so before any substantive hearing or forthwith if they
cannot agree on a matter relating to the arbitration.

Most arbitration clauses will provide a nominated person or body to select a

sole arbitrator if the parties are unable to agree. In default of such a
provision, where the parties are unable to agree, an application for an
appointment is usually made to the court.

Chairman and umpire

Where the tribunal consists of an odd number of arbitrators, one of them

may be designated as the umpire or chairman. The selection of title actually
carries some significance. When an arbitrator is "chairman", then they will
not usually exercise any special or additional powers, and merely have a
presidential function as the tribunal member who sets the agenda. Where a
member of the tribunal is an umpire, they usually do not exercise any
influence on proceedings, unless the other arbitrators are unable to agree
in such cases, then the umpire steps in and makes the decision alone.

Arbitration Award

A good award should he:

o Within the scope of submission to arbitration, which limits the powers of

arbitrators to the substance therein

o Made within the prescribed or reasonable time

o Unambiguous, unconditional, complete and final

o The judgement and decision that of the arbitrator only and no one else's.

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Arbitration awards are not generally set aside by courts (Legal misconduct is
an exception). A court will not act as an appeal court and set aside a good
and valid award.

Conduct of Arbitration Proceedings

A specific clause is incorporated in building contract for settlement of

disputes by the designated authority specified in Arbitration clause.
Arbitrator is appointed for settlement of disputes. Aggrieved party is
required to approach the designated authority to appoint an arbitrator
with a list of disputes and amount claimed against each. The designated
authority will appoint an arbitrator and refers all the disputes or selected
disputes only to arbitrators for adjudication.

In some of the contracts, provision is made for direct resolution of disputes

initially by the parties. Such of the disputes which are not resolved by mutual
discussions are submitted to designated authority with a request to appoint
an arbitrator.

Arbitration is conducted in the light of various provisions contained in The

Arbitration and

Conciliation Act, 1996 described as follows:

(a) The parties are treated with equality and each shall be given full
opportunity to present his case.

(b) The parties are free to agree on the procedure to be adopted by the
arbitral tribunal.

(c) The parties are free to agree on place of arbitration and language to he
used.

(d) Arbitration proceedings commence from the date of receipt of request

for arbitration by the respondent.

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(e) Claimant shall state the facts supporting his claims, issue involved
and remedy sought. The respondent shall give defence in respect of these
claims.

(f) Arbitration tribunal shall decide on oral hearings/documentary evidence.

(g) Experts may be appointed by arbitration tribunal to report on specific

issues. (h) Assistance of the court may be sought for taking evidence.

(i) Decision is by majority of tribunal members. (The tribunal consists of

small odd number of arbitrators).

(j) Award is in writing and duly signed by arbitrators.

(k) It is a reasoned award unless otherwise agreed to by parties.

(1) If award amount is not paid, it carries an interest of 18% per annum
from date of award to date of payment.

(m)Award is final and binding. It is enforced as if it were a decree of a civil

court.

Arbitration Clause in Contract Agreement (Role of Architect, Excepted

Matters)

All disputes shall be referred to and settled by the architect who then states
his/her decision in writing. Such decision may be in the form of a final
certificate or otherwise. The decision of the architect with respect to any
of the expected matters shall be final and without appeal. If the decision
of the architect is not acceptable to either party, a notice shall be given
within 28 days after receiving the notice of the decision. The disputes or
difference shall be referred to sole arbitrator of a fellow of Indian Institute
of Architect mutually agreed by the parties. In case of disagreement,
each party shall appoint one architect (fellow of IIA) and both the
arbitrators select an umpire. They shall have the power to open up, review,
and revise any certificate, opinion, and decision requisition or notice
expect excepted matters. The arbitration shall be conducted as per the
Act in force (The Arbitration and Conciliation Act1996).

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EASEMENT

Meaning

Easement as defined under Section 4 of the Indian Easement Act, 1882 is

a right which the

owner or occupier of certain land possesses as such, for the beneficial

enjoyment of that land, to do and continue to do something or to prevent
and continue to prevent something being done, in or upon or in respect of,
certain other land not his own.

Dominant and Servient heritages and owners

The land for the beneficial enjoyment of which the right exists is called the
dominant heritage and the owner or occupier thereof the dominant
owner; the land on which the liability is imposed is called the servient
heritage and the owner or occupier is called the servient owner. As shown in
Figure 01 Xis the owner of land ABCD and Y is the owner of land CDEF.

ILLUSTRATION OF DOMINAN AND SERVIRNT OWNER

As shown in the Figure, X cannot access his land from the road without
passing through Y's land (CDEF). ABCD is called dominant heritage. CDEF is
called servient heritage.

This is an example of easement X is benefitted by the Indian Easement

Act, 1882. Y

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sacrifices a part of his absolute right of enjoyment and ownership of his land
CDEF. Example:

o X as the owner of certain house, has a right of way over his neighbour
Y's land for purpose connected with the beneficial enjoyment of the house.
This is an easement.

o X as the owner of a certain house has the right to go on to his

neighbour Y's land to take water for the purpose of his house hold out of
a spring therein. This is an easement.

Characteristic of an Easement

The essential characteristics of an easement are:

1. There must be a dominant and servient tenement.

2. An easement accommodates the dominant tenement.

3. The right of easement must be possessed for the beneficial enjoyment of

dominant tenement.

4. Dominant and servient owners must be different persons.

5. The right should entitle the dominant owner to do and continue to do

something or to prevent and continue to prevent something, being done in
or upon or in respect of the servient tenement.

6. Something must be of a certain or well-defined character and be

capable of forming the subject matter of a grant.

7. Easement is private rights belonging to particular persons.

8. Easement is a right which the owner/occupier of land possess on land not

his own.

Types of Easements

Easement of light

The right to have access of light to the property owned by the owner is a
natural right, and such a right may be either a natural right or an easement.
This right can be acquired in case of buildings such a right is a species of a
negative easement. The owner of the dominant tenements is entitled to

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the uninterrupted access through his/her ancient windows of a quantity
of light required for inhabitancy or for his/her business.

Easement of a right to free passage of light

Dominant owner should prove that

1. Light has been curtailed

2. Consequently dominant tenement has become inhabitable
3. Disturbance has affected dominant owner

In case disturbance is not substantial, Court at its discretion may award

monetary compensation as damages.

Easement of access to air

This is concerned with the volume of air which may be available through an
opening. The right to have air also is a natural right and a person has a right
to receive all the air that vertically passes to his/her land. Every owner has got
the right to open apertures (openings) in his own wall and unless by doing so
he/she invades the privacy of any other pre-existing and well-established
right vested in his neighbour, the later cannot force him/her to close the
apertures and the remedy for the neighbour is to build on his/her own
land or otherwise obstruct the apertures.

Easement regarding pollution of air

Unreasonable pollution causing injury to property or health and also creating

personal discomfort cannot be justified normally.

Easement relating to water

If there is a defined channel and the water can get through that
channel, it must not be allowed to sprawl on the adjoining land. If there is
no defined channel from which the water can flow, then the land at a lower
level has to take the burden of the flow of that water. The right to flow of
water or the right to discharge water by means of artificial water courses is
not a natural right, but may be acquired by contract, prescription; grant or
even arrangement and the rights of such nature too are to be established
like other easement rights.

Easement of support

Easement of support may arise in cases of the support of buildings by land or

the support of buildings by buildings or easement to let down the
surface as in the case of mining operations, etc. the real nature of this

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right is not that the adjacent soil should not be disturbed, but such
disturbance should not be injurious to the dominant easement.

o If an adjoining building is endangered due to pile driving, that owner

has a right for compensation.
o Partition wall between two buildings is another type of support.
o Party wall, this applies to foundation too. While laying fresh
foundation the existing foundation of the neighbouring building should
be adequately supported, i.e. dominant heritage.

Acquisition

a. By grant: An easement may be imposed by anyone in the

circumstances and to the extent in and to which he/she may transfer his/her
interest in the heritage on which the liability is to be imposed.

b. By necessity: When a property is divided into two parts either by sale,

mortgages,
partition, etc., and they are so situated that one cannot be enjoyed without
exercising a particular privilege in or upon the other.

c. By prescription: It is acquisition of a right or title by constant use or

possession for
20 years. If it is claimed against government it is 60 years. Mode of
acquiring easement by this method is detailed in the Easement Act, 1882. A
person should have enjoyed the right of way, right to air, right to light and
right of support continuously for a period of 20 years without interruption.it is
necessary to obtain a declaratory order from the Court that dominant
owner is entitled to the prescriptive easement rights. The suit should be filed
within two year after the expiry of 20 years.

Extinction and Protection

Case I: To prevent the neighbour from acquiring easement rights by

prescription.

Situation 1: There are two adjacent plots. Client has kept his plot vacant
(undeveloped). His neighbour has built ground floor and first floor. He is
receiving light and air from clients plot also through windows on his
building. If the client does not take action to prevent his neighbour from
acquiring easement rights, there will be difficulty in developing his plot in
future.

Situation 2: Both have developed their plots to equal height. The neighbour is
attempting to raise another floor. Clients should be advised to proceed as
described:

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(i) To draw an agreement with the neighbour stating that:
o No easement rights are claimed by his neighbour against him when he
develops his land or builds another floor as the case may be.
o Neighbour as a licensee is allowed to enjoy light and air from clients
plot on payment of normal fee.
(ii) If the neighbour does not agree for such an agreement, client should
erect a screen of CGI sheets to block air and light through neighbour's
windows. This has to be done well before expiry of 20 years.

Case II: Preservation of preservative rights of easement: When the

dominant tenement is demolished, for construction of a new building, if the
position and size of windows are same as before, there may not be any
problem. If they are altered, it is to be proved that no additional burden is
imposed on servient owner.

Case III: Hurrying construction when injunction is anticipated: When a

party's legal rights are interfered, he approaches the court to grant injunction
to safeguard against future injuries and to maintain status quo. Injunction
may be interim for a specified period or permanent or mandatory.
Mandatory injunction is granted when it is not possible to assess damages or
when easement rights are interfered.

In spite of this, if the work is completed and if the court cannot assess
damages the court may order mandatory injunction where by the person is
required to pull down and restore the building to its original condition.

COPY RIGHTS AND PATENTING

Copyright is a legal right created by the law of a country that grants the
creator of an original work exclusive right for its use and distribution. We
cannot do anything without either asking permission or confirming that the
work is in the public domain, which means that the copyright has expired
and all of the above rights have been forfeited. If the work isn't in the public
domain and we don't have permission to use a piece, we put yourself in risk
of legal action, regardless of our intentions.

COPYRIGHT LAW OF INDIA

The copyright act, 1957 governs the subject of copyright law in India. It was
the first post•
independence copyright legislation in India and the law has been amended
six times since
1957. The most recent amendment was in the year 2012, through
the Copyright
(Amendment) Act 2012.

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In a 2016 copyright lawsuit, the Delhi high court states that copyright is "not
an inevitable, divine, or natural right that confers on authors the absolute
ownership of their creations. It is designed rather to stimulate activity and
progress in the arts for the intellectual enrichment of the public.

Copyright subsists throughout India in the following classes of work:

• Original literacy, dramatic, musical and artistic works.

• Cinematograph films and
• Sound recordings

The author of a work is generally considered as the first owner of the

copyright under the
Copyright Act 1957.

However, for works made in the course of an author's employment under

a "contract of service" or apprenticeship, the employer is considered as the
first owner of copyright, in the absence of any agreement to the contrary.

The concept ofjoint authorship is recognised in Section. 2(z) of the Act

which provides that "a work produced by the collaboration of two or more
authors in which the contribution of one author is not distinct from the
contribution of the other author or authors" is a work of joint authorship.

Section 19 of the Copyright Act 1957 lays down the modes of assignment
of copyright in India. Assignment can only be in writing and must specify the
work, the period of assignment and the territory for which assignment is
made. If the period of assignment is not specified in the agreement, it shall
be deemed to be 5 years and if the territorial extent of assignment is not
specified, it shall be presumed to be limited to the territories of India.

Procedure for Registration of a Work under Copyright Act, 1957

Copyright comes into existence as soon as a work is created and no

formality is required to be completed for acquiring copyright. However
facilities exist for having the work registered in the Register of Copyrights
maintained in the Copyright Office of the Department of Education.
The entries made in the Register of Copyrights serve as prima-facie
evidence in the court of law. The Copyright Office has been setup to
provide registration facilities to all types of works and is headed by a
registrar of copyrights and is located in New Delhi.

PATENT

A Patent is a monopoly right granted to person who has invented a new

and useful article or an improvement of an existing article or a new process
of making an article

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Legislation

The Patent system in India is governed by the Patents Act, 1970 (No 39 of
1970) & The Patents Rules 1972, effective from April 20, 1972. Subsequently
The Patents Act, 1970 is amended effective from January 1, 1995 & The
Patents Rules, 1972 is amended effective from June 2, 1999.

Administration

The Patent Office, under the Ministry of Commerce & Industry,

Department of Industrial Policy & Promotion, has been established to
administer the various provisions of the Patents Law relating to the grant
of Patents & the Designs Law, relating to the registration of Industrial
Designs.

Types of patents

• Ordinary Patent

• Patents of addition

• Convention

Who can apply?

Application may be made, either alone or jointly with another, by the

inventor, assignee, legal representative of deceased inventor or assignee.
The inventor is entitled to be mentioned in the patent if he applies to do so.

Application may be made jointly by two or more corporations as assignees.

Inventions patentable

• Art, Process, Method or Manner of manufacture;

• Machine, Apparatus or other Articles;

• Substances produced by Manufacturing

• Computer Software which has Technical application to Industry or is used

with
Hardware

• Product Patent for Food I Chemical/ Medicines or Drugs

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Inventions not patentable

• Frivolous or obvious inventions.

• Inventions which could be contrary to law or morality or injurious to

human, animal or plant life and health or to the environment.

• Mere discovery of the scientific principle or the formulation of an abstract

theory or discovery of any living thing or non-living substances occurring in
nature

• Producing a new substance by mere admixtures of substances.

• Mere arrangement / rearrangement or duplication of known devices

functioning independently.

• Method of agriculture and horticulture

• Any process for the medicinal or surgical, curative prophylactic,

diagnostic, therapeutic or other treatment of human beings, animals to
render them free of disease or to increase their economic value or that of
their products.

• The biological processes for production or propagation of plants and

animals in whole or any part thereof other than micro-organisms but including
seeds, varieties and species
(new plant varieties can be protected by the protection of plant varieties
and farmers act
2001).

• A mathematical or business method or algorithms.

• Aesthetic creation including cinematography and television production.

• Method for performing mental act or playing game.

• Presentation of information.

• Inventions relating to Atomic Energy.

Documents required for filing an application

• Full name, address & nationality of applicant (s) and inventor (s).

• Specification, provisional / complete drawings, claims and abstract.

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• List of countries to claim priority, if any, where the application /
applications for the grant of patent has / have been filed, along with date
and application number.

• Power of Attorney

• Priority document (if priority date is claimed).

• Fee in cash/by local cheque/by demand draft.

Appropriate office for filing an application

• Application is required to be filed according to the territorial

limits where the applicant or the first mentioned applicant in case of
joint applicants for a patent normally resides or has a place of business or
the place from where the invention actually originated.

• If the applicant for the patent or party in a proceeding having no

business, place or domicile in India., the appropriate office will be according
to the address of service in India given by the applicant or party in a
proceeding.

Examination and publication

• All the applications for patent accompanied by complete

specification are examined substantively.

• A first examination report stating the objection(s) is communicated to

the applicant or his agents. Application or complete specification may be
amended in order to meet the objection(s).

• Normally all the objections must be met within 15 months from the
date of first examination report. Extension of time for three months is
available, but application for extension therefore must be made before
the expiry of normal period of 15 months.

• If all the objections are not complied with within the normal period
or within the extended period the application will be deemed to have been
abandoned.

• When the application is found to be suitable for acceptance it is

published in the gazette of India (Part III, Section2). It is deemed laid open
to the public on the date of publication in the gazette of India.

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Opposition

• Notice of opposition must be filed within four months of notification in the

Gazette.

• Extension of one month is available, but must be applied for before

expiry of initial four month period.

Grant or sealing of patent

• If the application is not opposed or the opposition is decided in favour

of the applicant or is not refused the patent is granted or sealed on payment
of sealing fee within 6 months from the date of advertisement.

• However, it is extendable by three months.

Register of patents

• The Register of Patents will be kept in the Patent Office and its branch
offices.

• Register of Patents can be inspected or extract from it can be

obtained on payment of prescribed fee.

• Register of Patents contains full details of the Patent which

include patent number, the names and addresses of the patentee;
notification of assignment etc.; renewals, particulars in respect of
proprietorship of patent etc.

Rights of patentee

• A patent grant gives the patentee the exclusive right to make or

use the patented article or use the patented process.

• He can prevent all others from making or using the patented process.

• A patentee has also the right to assign the patent, grant licenses
under, or otherwise deal with it for any consideration. These rights created by
statute are circumscribed by various conditions and limitations.

Renewal fee

• Renewal fees are payable every year. The first renewal fee is payable
for third year of the patent's life, and must be paid before the patent's
second anniversary. If the patent has not been issued within that period,
renewal fees may be accumulated and paid immediately after the patent is
sealed, or within three months of it's recordal in the Register of the Patents.

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• Date of payment of Renewal fees is measured from the date of the
patent. Six months' grace is available with Extension fee. No renewal fees
are payable on patents of addition, unless the original patent is revoked
and the patent of addition is converted into an independent patent; renewal
fees then become payable for the remainder of the term of the main patent.

• No renewal fees are payable during the pendency of the

application for a patent; renewal fees that become overdue during
pendency are payable upon sealing within three months of recordal in the
Patent Register.

Working

• Annual reports as to the extent of working, by every patentee and

licensee, are a statutory requirement and must be submitted by March, 31
each year for the previous year ending December, 31.

Compulsory license and license of right

• On failure to work a patent within three years from the date of its
sealing, an interested party may file petition for grant of a compulsory
license.

• Every patent for an invention relating to a method or process for

manufacture of substances intended for use, or capable of being used, as
food, medicines, or drugs, or relating to substances prepared or produced
by chemical process (including alloys, optical glass, semi-conductors and
inter-metallic compounds) shall be deemed to be endorsed "Licenses of
Right" from the date of expiry of three years from the date of sealing the
patent.

Assignment

• Applications must be filed on the prescribed form with the

Controller for the registration of assignments and any other documents
creating an interest in a patent in order for them to be valid. In order to be
valid, an assignment must be recorded within six months from the date of the
document. A six-month extension may be obtained.

License

• Applications must be filed on the prescribed form with the

Controller for the registration of licenses and any other documents creating
an interest in a patent in order for them to be valid. A license must be
recorded within six months from the date of the document.

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Duration

• A patent lasts for 14 years from the date of filing the complete
specification (if an application is filed with provisional specification on
January 1, 1989, and a complete specification is filed on January 1, 1990,
the duration is counted from January 1,
1990). However, for food, drug and insecticide patents, the life is seven
years from
the date of complete specification, or five years from date of sealing,
whichever is shorter.

Restoration

• Application for restoration of a patent that lapses due to non-payment

of renewal fees must be made within one year of lapse. If an overdue
annuity is not paid within the extension period, the one-year period for
seeking restoration commences from the date of recordal.

Infringement

• Infringement can consist of taking away essential features of the

patented invention; utilizing claimed features; copying patented
substances; mechanical equivalence; taking part of the invention. While
the patent is in force. Use by the government or for government purposes is
not infringement. Such use must be paid for on terms to be agreed upon
before or after use. Accidental or temporary use, use for research, use on
foreign vessels, do not constitute infringement.

Appeal

• Appeal lies in the High Court. Appeal must be lodged within three
months from the decision of the Controller.

CONSUMER PROTECTION ACT

In order to provide for better protection of the interests of the consumer,

the Consumer Protection Bill, 1986 was introduced in the Lok Sabha on 5"
Dec. 1986. Consumer Protection Act 1986 is a social welfare legislation
which was enacted as a result of widespread Consumer Protection
Movement.

Objectives

The main objective of the CPA is to provide speedy and simple

redressal to consumer disputes. It is one of the benevolent pieces of
legislation intended to protect the consumers at large from exploitations.

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Who is a consumer? Sec. 2 (1) (d)

Any person who:

• Buys any goods for a consideration which has been paid or will be paid.
• Hires or avails any services for a consideration which has been paid or will
be paid.
• It does not include a person who obtains goods for resale or any
commercial purpose.

Rights of Consumers

Redressal Agency

The aims and objectives of the Act are achieved by

• District forum
• State commission
• National commission

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District Forum

• It shall consist of a person who is or has been or is qualified to be a

District Judge as its President, two other members, one of them whom shall
be a women.
• Every member of the District forum shall hold office for a team of 5
years or up to the age of 65 years whichever is earlier.
• It shall have jurisdiction to entertain complaints where the value of
the goods or services and the compensation, if any, claimed does not
exceed Rs. 20 lacs.

District forum shall have the powers

1. To remove the defect pointed out by the appropriate laboratory from

the goods in question.
2. To replace the goods with new goods of similar description which shall
be free from any defect.
3. To return to the complainant the price, or as the case may be, the
charges paid by the
complainant.
4. To pay such amount as may be awarded by it as compensation to the
consumer for nay loss or injury suffered by the consumer due to the
negligence of the opposite party.

State Commission

• It is established by SG by notification.
• It shall have jurisdiction to entertain complaints where the value of
the goods or services and compensation, if any, claimed exceeds Rs. 20
Lacs but does not exceed Rs. 1 crore and appeals against the orders of any
District forum with the State.

National Commission

• It shall consist of a person who is or has been a Judge of the Supreme

Court, as its President. Not less than four and not more than such number of
members as may be prescribed and one of whom shall be a women.
• Every member of the National commission shall hold office for a team
of 5 years or up to the age of 70 years whichever is earlier.
• It shall have jurisdiction to entertain complaints where the value of
the goods or services and compensation, if any, the claim exceeds Rs. 1
crore and appeals against the orders of any State commission.

Councils

• Central Council
■ State Council

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■ District Council

District Consumer Protection Council

It shall consist of the following members, namely:

a. The collector of the District (by whatever name called), as its Chairman
b. Such number of other officials and non-official members or may be
prescribed by the
SG.
• The procedure will be set by SG. State Consumer Protection Council
• It shall consist of the following members, namely
b. Such number of other officials and non-official members as may be
prescribed by the
SG.
• The State Council shall meet at least twice in a year.
• The procedures will be prescribed by the SG. Central Consumer
Protection Council
• It shall consist of the following members, namely:
a. The Minister in-charge of consumer in the CG as its Chairman
b. Such number of other officials or non-official members as may be
prescribed.
• The Council shall meet at once in a year.

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REGULATION 2017
[UNIT V- IMPORTANT LEGISLATIONS AND CURRENT TRENDS]

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TOPICS

• DEVELOPMENT REGULATIONS IN SECOND MASTER PLAN FOR CMA,

CHENNAI CORPORATION BUILDING RULES 1972
• FACTORIES ACT

• PERSONS WITH DISABILITIES ACT

• BARRIER FREE ENVIRONMENT

• COSTAL REGULATION ZONE

• HERITAGE ACT

• GLOBALISATION AND ITS IMPACT ON ARCHITECTURAL PROFESSION

• PREPAREDNESS FOR INTERNATIONAL PRACTICE

• ENTRY OF FOREIGN ARCHITECTS IN INDIA

• INFORMATION TECHNOLOGY AND ITS IMPACT ON ARCHITECTURAL

PRACTICE
• EMERGING SPECIALISATIONS IN THE FIELD OF ARCHITECTURE

o ARCHITECT AS CONSTRUCTION I PROJECT MANAGER

• ARCHITECTURAL JOURNALISM

• ARCHITECTURAL PHOTOGRAPHY

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DEVELOPMENT REGULATIONS IN SECOND MASTER PLAN FOR CMA, CHENNAI
CORPORATION BUILDING RULES 1972

For the development purpose all lands in the Metropolitan area have been
categorized under the following use zone:

01. Primary residential use zone

02. Mixed residential use zone

03. Commercial use zone

04. Light industrial use zone

05. General industrial use zone

06. Special and hazardous industrial use zone.

07. Institutional use zone

08. Open space and recreational use zone

09. Agricultural use zone

10. Non-urban use zone

In each zone certain uses will be permitted normally, certain other uses may
be permitted on appeal to the Metropolitan Development Authority and all
other uses will be specifically prohibited.

The use under each of the above ten categories along with regulations in
respect of height, floor space index, plot coverage, minimum set back and
such other regulation have been specified taking into consideration the
three characteristically different units comprised within the Metropolitan
Area.

• The Central area, i.e. the area known as George Town (bounded
on the north by Ebrahim Sahib Street, on the east by the sea, on the south
by General Hospital Road and west by the Buckingham Canal) and other
areas where continuous buildings are permissible.
• Municipalities, Township areas and Chennai City within the
Corporation limits excluding George Town and continuous building areas.
• Area with the Metropolitan Area excluding the above two categories.

Permission and zones

1. Written Permission for Development

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2. Manner of obtaining permission
3. Development to be in conformity with these rules ( Detailed
Development Plans, Site approval)
4. Designation of use of master plan or detailed development plan
5. Width of roads in the development plan
6. Boundaries of zones

Zones

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Maximum height

One and half times the width of the abutting road provided that the height may be exceeded to
the extent of 1 meter for every 30 centimeters by which the building is set back from the street.

Minimum set back

In accordance with rules - Where building lines have not been specified it shall be as follows: (i)

Front setback - 1.5 meters for all road widths.

Abutting road width- Set back

• Above 30 m-6m
• Above 15 m but less than 30 m - 4.5 m
• Above 10 m but less than 15 m-3.0 m
• Below 10 m - 1.5 m

a) For economically weaker section plots, front set back shall not be less than 1.00 meter
irrespective of the road width except where a street alignment and building line is
prescribed.

(b) For shops front set back shall not be less than 3 meters.

Rear set back ... Nil

Depth of Plot - Rear set back

Up to 15 meters - 1.5 meters

Between 15 to 30 meters - 3.0 meters

Above 30 meters - 4.5 meters

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Commercial use zone

Light industrial zone

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General industrial zone

Special and hazardous industrial zone

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Institutional zone

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FACTORIES ACT
Interpretations
Child -a person who has not completed his fifteenth year of age

Adult -a person who has completed his eighteenth year of age

Adolescent - a person who has completed his fifteenth year of age but has
not completed his eighteenth year

Calendar year - the period of twelve months beginning with the first day of
January in any year

Competent person - a person or an institution recognized as such by the

Chief Inspector for the purposes of carrying out tests, examinations and
inspections required to be done in a factory

Hazardous process - any process or activity that causes material impairment

to the health of the persons or result in the pollution of the general
environment

Day - a period of twenty-four hours beginning at midnight

Power - electrical energy, or any other form of energy which is mechanically

transmitted and is not generated by human or animal agency.

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Prime mover - any engine, motor or other appliance which generates or
otherwise provides power

Machinery - includes prime movers, transmission machinery and all

other appliances whereby power is generated, transformed, transmitted or
applied

• Manufacturing process any process

for making, altering, repairing, ornamenting, finishing, packing, oiling,
washing, cleaning, breaking, demolishing, treating or adapting any article
or substance with a view to its use, sale, transport, delivery or disposal; or
• pumping oil, water, sewage, or any other substance
• generating, transforming or transmitting power
• composing types for printing or other similar process or book-binding
• constructing, reconstructing, repairing, refitting, finishing or breaking up
• preserving or storing any article in cold storage

Worker - a person employed, directly or by or through any agency with

or without the knowledge of the principal employer, in any manufacturing
process, or in cleaning any part of the machinery or premises used for a
manufacturing process, or in any other kind of work connected with the
manufacturing process.

Factory - any premises including the precincts (commercial area) thereof

• whereon ten or more workers are working, or were working on any day
of the preceding twelve months, and in any part of which a manufacturing
process is being carried on with the aid of power
• whereon twenty or more workers are working, or were working on any
day of the preceding twelve months, and in any part of which a
manufacturing process is being carried on without the aid of power

Occupier - the person who has ultimate control over the affairs of the factory

References to time of day - In this Act, references to time of day are

references to Indian Standard Time, being five and half hours
ahead of Greenwich Mean Time: Provided that for any area in
which Indian Standard Time is not ordinarily observed the
Government may make rules

• Specifying the area,

• Defining the local mean time ordinarily observed therein, and
• Permitting such time to be observed the factories situated in the area

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Power to declare different departments to be separate factories or two or
more factories to be a single factory
The State Government may on its own or on application made by an
occupier, direct or by an order in writing, and subject to such conditions as it
may deem fit, that different departments or branches of a factory of the
occupier specified in the application shall be treated as separate factories
or that two or more factories of the occupier specified in the application
shall be treated as a single factory; Provided that no order under this
section shall be made by the State Government on its own motion unless an
opportunity of being heard is given to the occupier.

Approval, licensing and registration of factories

The Government may make rules-

• Requiring the submission of plans of any class or description of factories to

the Chief
Inspector or the State Government
• Requiring for the purpose of considering applications for such
permission the submission of plans and specifications;
• Prescribing the nature of such plans and specifications and by whom
they shall be certified;
• Requiring the registration and licensing of factories and prescribing the
fees payable for such registration and licensing and for the renewal of
licenses.

Health

1. Cleanliness

2. Disposal of wastes and effluents

3. Ventilation and temperature

4. Dust and fume

5. Artificial humidification

6. Over-crowding

7. Lighting

8. Drinking water

9. Latrines and urinals

10. Spittoons

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Safety

• Fencing of machinery
• Work on or near machinery in motion
• Employment of young persons on dangerous machines
• Prohibition of employment of women and children near cotton openers

• Excessive weights
• Protection of eyes
• Precautions against dangerous fumes, gases, etc
• Precautions regarding the use of portable electric light
• Explosive or inflammable dust, gas, etc
• Precautions in case of fire
• Power to require specifications of defective parts or test of stability
• Safety of buildings and machinery
• Maintenance of buildings

Welfare

• Washing facilities
• Facilities for storing and drying of wet clothing
• Facilities for sitting
• First aid appliances
• Canteens
• Shelters, rest rooms and lunch rooms
• Cr~ches

Annual leave with wages

Every worker who has worked for a period of 240 days or more in a factory
during a calendar year shall be allowed during the subsequent calendar
year leave with wages for a number of days calculated at the rate of:

• If an adult, one day for every twenty days of work performed by

him during the previous calendar year;
• If a child, one day for every fifteen days of work performed by
him during the previous calendar
year.

If a worker is discharged or dismissed from service or quits his employment or

dies while in service, during the course of the calendar year, he or his heir or
nominee, shall be entitled to wages in lieu of the quantum of leave to
which he was entitled immediately before his discharge, dismissal, quitting
of employment or death.

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Payment in advance in certain cases - A worker who has been allowed
leave for not less than four days in the case of adult, and five days in the
case of a child shall before his leave begins, be paid the wages due for the
period of the leave allowed.

Mode of recovery of unpaid wages - Any sum required to be paid by an

employer under this Chapter but not paid by him shall be recoverable as
delayed wages under the provisions of the Payment of Wages Act.

Penalties and procedure

In respect of any factory there is any contravention of any of the provisions of
this Act or of any rule made thereunder, the occupier and manager of the
factory shall each be guilty of an offence and punishable with imprisonment
for a term which may extend to two years or with fine which may extend to
one lakh rupees or with both and if the contravention is continued after
conviction, with a further fine which may extend to one thousand rupees for
each day on which the contravention is so continued.

Enhanced penalty after previous conviction - If any person who has been
convicted of any offence punishable is again guilty of an offence
involving a contravention of the same provisions he shall be punishable on
a subsequent conviction with imprisonment for a term which may extend to
three years or with fine which shall not be less than ten thousand rupees but
which may extend to two lakh rupees or with both.

Offences by workers - If any worker employed in a factory contravenes any

provision of this Act or any rules or orders made thereunder, imposing any
duty or liability on workers he shall be punishable with fine which may extend
to five hundred rupees.

Penalty for using false certificates of fitness.- Whoever knowingly uses or

attempts to use, as a certificate of fitness granted to himself, a certificate
granted to another person under that section, or who having procured such
a certificate, knowingly allows it to be used, or an attempt to use it to be
made, by another person, shall be punishable with imprisonment for a term
which may extend to two months or with fine which may extend to one
thousand rupees or with both.

PERSONS WITH DISABILITIES ACT

This Act may be called the Persons with Disabilities (Equal Opportunities,
Protection of Rights and Full Participation) Act, 1995. It extends to the whole
of India except the State of Jammu and Kashmir. It shall come into force on
such date as the Central Government may, by notification, appoint.
In this Act, unless the context otherwise requires, (a)
"appropriateGovernment" means:

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• in relation to the Central Government or any establishment wholly or
substantially financed by that Government, or a Cantonment Board
constituted under the Cantonment Act, 1924, the Central Government;
• in relation to a State Government or any establishment wholly or
substantially financed by that Government, or any local authority, other than
a Cantonment Board, the State Government;
• in respect of the Central Coordination Committee and the Central
Executive
Committee, the Central Government;
• in respect of the State Coordination Committee and the State
Executive Committee, the State Government;

(b) "Blindness" refers to a condition where a person suffers from any of the
following conditions, namely:
• total absence of sight; or
• visual acuity not exceeding 6/60 or 20/200 (snellen) in the better eye
with correcting lenses; or
• limitation of the field of vision subtending an angle of 20 degree or worse;
(c) "Central Coordination Committee" means the Central Coordination
Committee constituted under sub-section (1) of section 3;
(d) "Central Executive Committee" means the Central Executive
Committee constituted
under sub-section (1) of section 9;
(e) "cerebral palsy" means a group of non-progressive conditions of a
person characterised by abnormal motor control posture resulting from brain
insult or injuries occurring in the pre-natal, peri-natal or infant period of
development;
(f) "Chief Commissioner" means the Chief Commissioner appointed
under sub-section
(1) of section 57;
(g) "Commissioner" means the Commissioner appointed under sub-
section ( 1) of section
60;
(h) "competent authority" means the authority appointed under section
50;
(i) "disability" means:
• blindness;
• low vision;
• leprosy-cured;
• hearing impairment;
• loco-motor disability;
• mental retardation;
• mental illness;
(j) "employer" means:
• in relation to a Government, the authority notified by the Head of the
Department in this behalf or where no such authority is notified, the Head of
the Department; and

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• in relation to an establishment, the chief executive officer of that
establishment;

(k) "Establishment" means a corporation established by or under a

Central, Provincial or State Act, or an authority or a body owned or
controlled or aided by the Government or a local authority or a Government
company as defined in Section 617 of the Companies Act,
1956 and includes Departments of a Government;

• "hearing impairment, means loss of sixty decibels or more in the

better year in the conversational range of frequencies;

(m) Institution for persons with disabilities" means an institution for the
reception, care, protection, education, training, rehabilitation or any other
service of persons with disabilities;

(n) "Leprosy cured person" means any person who has been cured of leprosy
but is suffering from:

• loss of sensation in hands or feet as well as loss of sensation and paresis

in the eye and eye-lid but with no manifest deformity;
• manifest deformity and paresis but having sufficient mobility in
their hands and feet to enable them to engage in normal economic activity;
• extreme physical deformity as well as advanced age which
prevents him from undertaking any gainful occupation, and the expression
"leprosy cured" shall be construed accordingly;

(o) "Loco-motor disability" means disability of the bones, joints or muscles

leading to substantial restriction of the movement of the limbs or any form of
cerebral palsy;

(p) "Medical authority" means any hospital or institution specified for the
purposes of this
Act by notification by the appropriate Government;

(q) "Mental illness" means any mental disorder other than mental retardation;

(r) "Mental retardation" means a condition of arrested or incomplete

development of mind of a person which is specially characterised by sub
normality of intelligence;

(s) "Notification" means a notification published in the Official Gazette;

(t) "Person with disability" means a person suffering from not less than forty per
cent of any disability as certified by a medical authority;

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(u) "person with low vision" means a person with impairment of visual
functioning even after treatment or standard refractive correction but who
uses or is potentially capable of using Vision for the planning or execution of
a task with appropriate assistive device;
(v) "prescribed" means prescribed by rules made under
this Act; (w) "rehabilitation" refers to a process aimed at enabling persons
with disabilities to reach
and maintain their optimal physical, sensory, intellectual, psychiatric or
social functional
levels;

(x) "Special Employment Exchange" means any office or place established

and maintained by the Government for the collection and furnishing of
information, either by keeping of registers or otherwise, respecting:

• persons who seek to engage employees from amongst the persons

suffering from disabilities;
• persons with disability who seek employment;
• vacancies to which person with disability seeking employment may be
appointed;

(y) "State Coordination Committee" means the State Coordination

Committee constituted under sub-section (1) of section 13;

(z) "State Executive Committee" means the State Executive Committee

constituted under sub-section ( 1) of section 19.

BARRIER FREE ENVIRONMENT

Refer given additional notes

Costal regulation zone

Refer given additional notes

Heritage act

Refer given additional notes

Preparedness for international practice & entry of foreign architects in India

Refer given additional notes

Architectural journalism and photography

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GLOBALISATION AND ITS IMPACT ON ARCHITECTURAL PROFESSION Refer
article: GLOBALISATION AND ARCHITECTURE by ROBERT ADAM+
IMPACT OF GLOBALISATION ON INDIAN ARCHITCTURE by VSDP (attached
along with these notes)

INFORMATION TECHNOLOGY AND ITS IMPACT ON ARCHITECTURAL PRACTICE

Refer article: INFORMATION TECHNOLOGY AND ARCHITECTURAL PRACTICE:

KNOWLEDGE MODELLING APPROACH AND BIM by Ajla Aksamija & Mir M. Ali
(attached along with these notes)

EMERGING SPECIALISATIONS IN THE FIELD OF ARCHITECTURE Architect as

Construction/ Project Manager
Introduction

Job definitions have broadened in the last few years with many titles defining
overlapping responsibilities. Construction managers oversee the day-to-day
operations involved when constructing facilities, buildings, road systems or
homes. Project managers usually oversee business systems and processes,
but can also oversee a construction project from inception to completion.

Construction Manager

A construction manager is involved in personnel management at the

construction site. He ensures that materials are delivered on time and that
tools are available on the work site. He also administers the construction
budget. He will request work order changes and make decisions as to
building practices in compliance with building codes. He could also be
responsible for meeting with consultants, clients, engineers and inspectors.

Project Manager

The title of project manager has taken on broader dimensions since 2000.
Project managers oversee all elements of a project, which could include
manufacturing, construction and marketing. In a large corporation, for
example, a company might have a multiphase construction project.
The project manager would oversee the administrative needs of the
project, including budgeting and funding, but would have an on-site
construction manager involved in the day-to-day personnel and site
supervision. The project manager becomes the "face" of the project.

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 A project management firm deals in all aspects of the project
development process from the initial assessment/conception phase, until the
final move in, and beyond. A construction manager, on the other hand, is
concerned solely with the construction aspect of the project.

Without interfering on any particular professional's responsibilities, a true

third party project manager leads and helps to integrate all vendors,
elements and phases of a project from start to finish. Designers, contractors
and real estate brokers are very capable within their specialties, but can
fall short if entrusted with an independent project management firm's
responsibilities-and so can a construction manager.

A project manager will act as your advocate and representative

throughout the project so that all of the goals from beginning to end
are met. During the project's life cycle [or] duration, a project manager
will become the owner's trusted advisor, go-to person and single point of
contact for project performance and procedure. A project manager
oversees procurement of specialty consultants such as Audio Visual, Food
Service, Security, and IT, with direction from the client. The project manager
will then act as liaison between the client and all vendors, designers,
engmeers and contractors to ensure smooth, constant
communication across the various parties, so everyone stays on the same
page for the full duration.

In simple terms, the project manager will make sure all activities are
aligned with the client's overall goals and objectives for the project. This
means that the project manager will plan, manage, oversee and fine-tune all
of the details of the project, not just its construction phase--and will even help
to select and ultimately manage the construction manager.

A project manager will assist in the hiring of a general contractor

and/or construction manager and will oversee their quality of work through
site visits, punch-list walkthroughs, and reports at weekly project meetings. A
project manager will also track and review the construction managers

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change orders, make sure all vendors are coordinated to and with the CM's
schedule and challenge the CM on lead times for products and delays.

*It is important to note that there is a difference between a

general contractor and a construction manager.

A typical construction manager has a scope of work that is limited to

the pre• construction/construction phase. A construction manager will
supervise all construction aspects of a project and will typically participate
in pre-construction meetings, provide onsite supervision during construction,
and manage sub-contractors. They may also directly hold subcontractor
contracts, and is therefore liable for all of the subcontractors' work.

A project manager will plan, manage, oversee and fine-tune all

of the details of the project, not just its construction phase

Construction Management:

A project delivery system that uses a construction manager to facilitate

the design and construction of a project by organizing and directing
men, materials, and equipment to accomplish the purpose of the
designer. A professional service that applies effective management
techniques to the planning, design, and construction of a project from
inception to completion for the purpose of controlling time, cost and quality.

Project Management:

The application of knowledge, skills, tools, and techniques to project

activities to meet the project requirements.

Construction manager

The functions of construction management typically include the following:

1. Specifying project objectives and plans including delineation of

scope, budgeting, scheduling, setting performance requirements, and
selecting project participants.
2. Maximizing resource efficiency through procurement of
labour, materials and equipment.
3. Implementing various operations through proper coordination and
control of planning, design, estimating, contracting and construction in the
entire process.
4. Developing effective communications and mechanisms for
resolving conflicts.

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Roles and Responsibilities of Construction Manager:

• Schedule the project in logical steps and budget time required to meet
deadlines.
• Determine labour requirements and dispatch workers to construction sites.
• Inspect and review projects to monitor compliance with building and
safety codes, and other regulations.
• Interpret and explain plans and contract terms to administrative staff,
workers, and clients, representing the owner or developer.
• Prepare contracts and negotiate revisions, changes and additions
to contractual agreements with architects, consultants, clients, suppliers and
subcontractors.
• Obtain all necessary permits and licenses.
• Direct and supervise workers.
• Study job specifications to determine appropriate construction methods.
• Select, contract, and oversee workers who complete specific
pieces of the project, such as painting or plumbing.
• Requisition supplies and materials to complete construction projects.
• Prepare and submit budget estimates and progress and cost tracking
reports.
• Develop and implement quality control programs.
• Take actions to deal with the results of delays, bad weather, or
emergencies at construction site.
• Confer with supervisory personnel, owners, contractors, and design
professionals to discuss and resolve matters such as work procedures,
complaints, and construction problems.
• Plan, organize, and direct activities concerned with the construction
and maintenance of structures, facilities, and systems.
• Investigate damage, accidents, or delays at construction sites, to
ensure that proper procedures are being carried out.
• Evaluate construction methods and determine cost-effectiveness
of plans, using computers.
• Direct acquisition of land for construction projects.

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Project Management

Various Stages of Project

Why do companies use PM?

• To handle projects effectively in an organization.

• To define the project and agree with the customer.
• To plan and assess resource needs for the project.
• To estimate project cost and make proposals.
• To plan and schedule activities in a project.
• To allocate the right resource at the right time.
• To assess risk and failure points and make backup plans.
• To lead a project team effectively and communicate well.

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Why do people learn PM?

• To explore the latest concepts and techniques of project management.

• To increase value/contribution to the organisation.
• To prove yourself skilful in managing projects.
• To learn a new thought process that helps organized thinking and
structured approach.
• To acquire a professional degree/recognition and increase job prospects.
• Endless possibilities and benefits.

Project Management Plan:

"Tells how work will be done"

The key to a successful project is on the planning. All the detailed planning
work for different aspects of the project is integrated into one single plan
known as the Project Management Plan.

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The PM Plan establishes the project:

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Project Management Process

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Project Management Stages

Planning Phase

This is the most important phase of the project management.

Planning is an art and science of converting a set of objectives to realization

through a series of steps executed in an organized and predicted way so
that there will be less requirement of changes in the plan later on. Like the
old saying 'plan the work. Work the plan.'

Scheduling Phase

This is the process of formalizing the planned activities, assigning the

durations, resources and sequence of occurrence in consultation with the
team members.

Planning and scheduling phases are under taken before the actual project
starts.

Controlling Phase

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This phase is undertaken during the actual project implementation.

Project controlling is mechanism established to determine deviations from

the project base schedule, to re-plan and reschedule during
implementation to compensate the deviations on the basis of
commissioning minima, flow of resources like finance, man power, and
equipment and application techniques.

Closing Phase

Closing phase is the last phase of the project which brings close out of the
complete project. Whatever the project requirements are pre-defined,
during this phase the total delivery is made and it is accepted by the
customer.

Maximum conflicts can arise in the project during this phase between those
who have worked to deliver the outcome (contractor) and those who
are accepting the results of the work
(customer).
PM Knowledge Areas

Suitability of architect as construction/ project manager:

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Architectural project managers typically are involved in most, if not
all, aspects of construction projects. These professionals consider many
factors as they help architectural projects involving commercial, industrial
or residential buildings reach completion. Most architectural project
managers spend a significant portion of their time consulting with clients in
an office setting. However, they also visit construction sites, where they
interact with engineers, contractors and construction personnel.

Architectural Project Manager Duties

From site preparation to building completion, architectural project

managers oversee elements of the design and construction processes.
Part of this preparation includes developing, organizing and reviewing
building plans, as well as preparing construction contracts for general
contractors. Architectural project managers also can take part in
interviewing and hiring contractors for proposed projects. As they consult with
clients, these professionals generally include a cost estimate based on
equipment, materials and labour requirements.

Architectural project managers must ensure that construction projects meet

environmental, safety, structural, zoning and aesthetic standards. They
determine and schedule different stages of the building process according
to client needs. During construction site visits, they monitor progress and
ascertain whether phases of the construction process are in compliance with
building plans and project deadlines. After building completion, project
managers may provide additional services for expansion and relocation
projects.

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PREVIOUS QUSTION PAPERS

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