Professional Practice

AR 805
Year : V Part :1

Gyanendra Shakya
[email protected]
9841253112
 Professional Ethics and Judgment (12hrs)
• Definition of Ethics and the professional
• Code of conduct RIBA, AIA, llA, SCAEF, SONA
• Practice Qualification
• Professional Behavior and Judgment.
• Nepal Engineering Council and Proposed council of
Nepalese Architects.
• Ethical Standard Interaction with other professional
societies.
Course Outline

Role of Architects (8hrs)

• Understanding who is professional and why
architecture is considered a profession.
• Architect’s role in the society.
• Architect’s role as a team leader.
• Relation with Client/Employer, Contractor and
Fellow professionals.
• Responsibility of client/client/employer, contractor
and consultants.
 Office Management (4hrs)
• Understanding the procedure for the establishment of an
architectural practice.
• Company Act and Registration including with professional
societies.
• Architect’s Administrative role – Financial, office accounts
and billing.
• Management of project coordination – Client, Consultant
and project managers.
• Professional Development – Training
Course Outline

• Office Automation Information Storage and Retrieval.

Hiring A/E Consultants (8hrs)

• Introduction to various selection procedures including
CBS, QCBS and QBS, long list and pre‐qualification.
• National practices – Procurement Act and the Consultancy
Development Act.
• Technical and Financial Proposals
• Guidelines of the Government.
• International practices of multi and bi‐lateral donors.
• Design Competitions.
 Contracts and Agreements (8hrs)
• Understanding condition of agreement, scope of work,
comprehensive architectural services and condition of
engagement, remuneration and professional fees
• ToR and Scope of works.
• Architectural Contract Agreement
• Professional Fees.
• Professional liabilities and insurances/securities.

Business Promotion (4hrs)

Course Outline

• Understanding the techniques of business :

commissions, marketing experts.
• Preparing proposals and winning contracts.
• Marketing and negotiation.
• Business planning, time and project management, risk
mitigation, and mediation and arbitration as well as an
understanding of trends that affect practice, such as
globalization, outsourcing, project delivery, expanding
practice settings, diversity and others.
• Design Audits and efficiency studies, analysis for special
efficiency of buildings.
• Best practices and quality assurance.
• Proprietary rights
 Regulatory Controls (10 hrs)
• Regulations in Planning and designing of projects in
controlled areas.
• Land use and Zoning
• Design Standards and Easements
• National Building Codes
• Housing and Apartment Act.
• IEE/EIA Studies
• Shelter Policy
Course Outline

• Municipal Drawings
• Demolition

Valuation of Properties (6hrs)

• Introduction to property valuation/assessment.
• Property assessment methods (land, builiding etc.)
• Valuation assessment as per guidelines of the Nepal
Rastra Bank.
 References:
• AIA Manual of Professional Practice
• IIA Standard for Establishing Fees
• IIA Code of Ethics
• Handbook for users and consultants. ADB/Manila and
other related documents related to procurement of
services under ADB/World Bank and other bilateral
donor Agencies funded projects.
• GoN’s Procurement Act an FAR
• Town Planning acts of Nepal 1962 with revision
• Building Standards
• Nepal National Building Codes
• National Building Code of India
• Ancient Monument Preservation Act 2013BS
References

• Relevant ISI Standards

• Company Act 2021 with revisions
• Professional Practice by Roshan Nanavati, Lakhani
Book Deopot, 1993.
 Other Recommended readings
• Legal and Contractual Procedures for Architects; Bob
Greenstreet and David Chappell; 1996.
• Nepal Engineering Council Regulations;
• Nepal Engineering Council, 2057.
• Report on Consulting Architectural and Engineering
Industry in Nepal; The Task Force on Consulting A & E
Industry in Nepal; 1990
• Professional Practice: A Compendium of Business and
Management Strategies in Architecture; Andy
Pressman; 1997
References
 Unit - 1
Professional Ethics

Professional Practice
AR 805
 Profession ???
Defintition

"a large body of specialized information and discipline

and mastery of this material and associated skills which is
Professional Ethics

obtained through long standardized period of education,

training and apprenticeship regulated by an association of
experienced members of the profession providing
specialized service to those who do not have this
expertise."

•Conduct research which improved the quality of their

services and report finding not only to their colleagues but
also to the public.

•Maintain a caring relationship with the client or person/s

served based on altruism, trust and virtue.
 Profession ???
Other Characteristics
• Autonomy : judgment, self-interest and a continuous
process of critical evaluation of ethics and procedures
Professional Ethics

from within the profession itself.

• Formation: trade or occupation transforms itself
through "the development of formal qualifications based
upon education, apprenticeship, and examinations, the
emergence of regulatory bodies with powers to admit and
discipline members, and some degree of monopoly rights"
• Power: to control, dominate, police and protect its area of
expertise and the conduct of its members, over its entire
field.
• Rise and decline of status and power of Professions
 Profession ???
• Status and prestige: arises primarily from the higher
social function of their work, regarded as vital to society
as a whole. Education + continuing education.
Professional Ethics

• high standards of professional and intellectual excellence

• strong community orientation and loyalty
• self-regulation;
• a system of rewards
• esprit de corps - Collective spirit of a group that make the member
want the group to success

• local association or national association established;

• The codes of professional ethics introduced;
• State licensing laws were established.
 Profession ???
• Public evaluation – Practice of a professional is publicly
evaluated
• Skill based on theoretical knowledge
Professional Ethics

• Testing of competence
 Profession ???
Profession Trade
• e.g. Actuaries, advocates, • e.g. hairdresser, waiters, auto
Architects, Pilots, engineers mechanics, shopkeepers etc
etc.
Professional Ethics

• on most instances – not

• do not sell products but accountable for the quality of
services – fully accountable
their product
• Exercise discretion wisely
(e.g. auto mechanic may not know to • guided by profit or wage
fix a problem but designer have wide considerations
range of good solutions) choose best
from the good • manufacture, purchase, sale
• Fiduciary responsibility: " and resale commodities
place the client's interest above
one's own and the public interest • heavily dependent on
above both" advertisement
• Does not sell goods but
skills and knowledge.
• Do not advertise
 Consulting Services (World Bank)

What qualifies ?? What is not ??

• of a professional • Distinguished by
nature physical component.
Professional Ethics

• those which have

• study, design, organize
physically measurable
and manage projects.
outputs e.g.
• Advise borrower and cartography, aerial
Build their capacity photo, aerial mapping,
drilling, computer
service, installation of
information systems,
plant operation,
maintenance etc.
Professional Ethics
Professional Ethics
 Professional Ethics
Ethics = set of moral values – 'right' or 'wrong'
"teaching ethic is useless…" ‐‐‐‐ ????
Professional ethics: "… are established to codify those
Professional Ethics

standards of ethical behavior which members of

professional organization must adhere to"
"laying down fundamental duties and responsibilities of
profession."

[Ethical behavior]‐‐ Vs‐‐[self interest, guided/not by

practical ethics] in the time of trouble pragmatic
concerns cause to deviate
"A violation of the law is a violation of the code of ethics; however
some violations of the code may not be unlawful."
 Professional Ethics
Core qualities of professional practitioners

(Govindarajan, Natarajan & Senthilkimar, 2004)

Professional Ethics

1. Integrity
2. Independence
3. Impartiality
4. Responsibility
5. Competence
6. Discretion
 Professional Associations
• UIA (Union of International Architects, est.1948)
• FIDIC (International Federation of Consulting
Engineers)
• AIA (American Institute of Architects)
Professional Ethics

• RIBA (Royal Institute of Architects)

• NEC ( Nepal Engineering Council)
• SONA (Society of Nepalese Architects)
• RUPSON (Regional and Urban Planners' Society of
Nepal)
• SCAEF (Society of Consulting Architects and
Engineering Firms)
• NEA (Nepal Engineering Association)
 Professional Associations
• SOPHEN (Society of Public Health Engineers
Nepal)
• SEEN (Society of Electrical Engineers Nepal)
• SOCEN (Society of Civil Engineers Nepal)
Professional Ethics

• SIEN (Society of Illumination Engineers Nepal)

• SOMEN (Society of Mechanical Engineers
Nepal
 Hamurabi- Code of conduct
The king of Babylon (2200 BC)
A. If a builder builds a house for a man and does not make its
construction strong and the house which, he built collapses
and causes death of the owner of the house – that builder
Professional Ethics

shall be put to death.

C. If it causes the death of a slave of the owner of the house – he

shall give to the owner of the house a slave of equal value.

D. If it destroys property, the builder shall restore whatever it

destroyed at his own expense.

E. If a builder builds a house for a man and does not make its
construction meet the requirements and a wall falls in, that
builder shall strengthen the walls at his own expense.

F. If at causes the death of the son of the owner of the house –

they shall put to death a son of that builder.

Based on principle of ‘Eye for an Eye’

 AIA Code of Ethics and Professional Conduct
REVISION IN 1993
ƒ Allowed submitting competitive bidding
ƒ providing discounts
ƒ provide free service: "Common good is right"
Professional Ethics

Canons
broad principles of
conduct.

Ethical Standards
specific goals toward which
Members should aspire in
professional performance and
behavior.

Rules of Conduct (Rule)

mandatory rules

AIA code of ethics: Three tiers of statements

Professional Ethics AIA Code of Ethics and Professional Conduct

CANON I - General Obligations

CANON II - Obligations to the Public

CANON III - Obligations to the Client

CANON IV - Obligations to the Profession

CANON V - Obligations to Colleagues

CANON VI - Obligations to the Environment

 AIA Code of Ethics and Professional
Conduct
"provides guidelines for members on conduct that meets the highest
aspirations of professional integrity and competence."
Professional Ethics

The Code is enforced by actions of the National Ethics Council

(NEC).
‰ Violations of the Code Æ hearing by the NEC. Æ if proved :
Four possible penalties
• Admonition: a serious reprimand
• Censure: disapproval or condemnation
• Suspension of AIA membership for a period of time
• Termination of AIA membership

‰ Revision of Code
‰ Educating it's members
 CANON – I : General Oblications
to maintain and advance their knowledge of the art and science of
architecture, respect the body of architectural accomplishment,
contribute to its growth, thoughtfully consider the social and
environmental impact of their professional activities, and exercise
learned and uncompromised professional judgment.
Professional Ethics

• E.S. 1.1 - Knowledge and Skill: Members should strive to

improve their professional knowledge and skill.
. ‐ AIA Code of Conduct

Rule 1.101: shall demonstrate a consistent pattern of

reasonable care and competence, and shall apply the
technical knowledge and skill
• E.S. 1.2 Standards of Excellence:
• E.S. 1.3 Natural and Cultural Heritage:
• E.S. 1.4 Human Rights:
Rule 1.401 shall not discriminate in their professional activities
on the basis of race, religion, gender, national origin, age,
disability, or sexual orientation.
• E.S. 1.5 Allied Arts & Industries:
 CANON II - Obligations to the Public
should embrace the spirit and letter of the law governing their
professional affairs and should promote and serve the public
interest in their personal and professional activities.

• E.S. - 2.1 Conduct:

Rule - 2.101 : shall not violate the law.
Rule - 2.102 : shall neither offer nor make any payment or gift to
Professional Ethic

a public official…
Rule 2.103 : shall not accept payments or gifts
. ‐ AIA Code of Conduct

Rule 2.104 : fraud or wanton disregard of the rights of others.

Rule 2.105 : If some other member of the team voilates – (a)
advise, (b) refuse and (c) report
Rule 2.106 : shall not counsel or assist a client for fraudulent or
illegal.

• E.S. 2.2 Public Interest Services: pro bono, not expecting

compensation in disaster situation

• E.S. 2.3 Civic Responsibility:

Rule 2.301: disclose any compensation while members making
public statements on architectural issues
 CANON III - Obligations to the Client
Members should serve their clients competently and in a professional
manner, and should exercise unprejudiced and unbiased judgment
when performing all professional services.

• E.S. 3.1 Competence:

Rule 3.101: shall take into account applicable laws and regulations.
Professional Ethics

Rule 3.102 : professional services only with qualified experts

Rule 3.103 : shall not alter the scope or objectives of a project
without the client’s consent.
.‐ AIA Code of Conduct

• E.S. 3.2 Conflict of Interest:

Rule 3.201 : shall not render professional services with conflict of
interest or disclose.
Rule 3.202 : impartially in interpreting contract documents and
judging of contract performance

• E.S. 3.3 Candor and Truthfulness:

Rule 3.301 shall not mislead clients

• E.S. 3.4 Confidentiality:

Rule 3.401 : shall not knowingly disclose information
 CANON IV - Obligations to the Profession
Members should uphold the integrity and dignity of the profession.

• E.S. 4.1 Honesty and Fairness:

Rule 4.101 :shall file a complaint for violation of code with the
National Ethics Council.
Rule 4.102 :shall not sign or seal drawings, specifications, reports,
Professional Ethics

or other professional work for which they do not have responsible

control.
Rule 4.103 :shall not knowingly make false statements
‐ AIA Code of Conduct

of material fact.

• E.S. 4.2 Dignity and Integrity:

Rule 4.201 : shall not make misleading, deceptive, or false
statements or claims about their professional qualifications,
experience, or performance
Rule 4.202 : make efforts to ensure to conform to conduct of
subordinates.
 CANON V - Obligations to Colleagues
Members should respect the rights and acknowledge the professional
aspirations and contributions of their colleagues.

• E.S. 5.1 Professional Environment: Members should provide their

associates and employees with a suitable working environment,
compensate them fairly, and facilitate their professional
development.
Professional Ethics

E.S. 5.2 Intern and Professional Development: obligation to nurture

fellow professionals as they progress through all stages of their
‐ AIA Code of Conduct

career, professional education in the academy, internship and further.

Rule 5.201 : interns shall be assisted in proper and timely

documentation

E.S. 5.3 Professional Recognition:.

Rule 5.301: shall recognize and respect the professional
contributions of their employees and colleagues
Rule 5.302 : Members leaving a firm shall not take designs,
drawings, data etc without permission.
Rule 5.303: shall not unreasonably withhold permission to take
copies of designs, drawings, data etc that are not confidential.
 CANON VI - Obligations to the Environment
Members should promote sustainable design and development
principles in their professional activities.

E.S. 6.1 Sustainable Design: should be environmentally

responsible and advocate sustainable building and site design.
Professional Ethics

E.S. 6.2 Sustainable Development: should advocate the design,

construction, and operation of sustainable buildings and communities.
.‐ AIA Code of Conduct

E.S. 6.3 Sustainable Practices: Members should use sustainable

practices within their firms and professional organizations, and they
should encourage their clients to do the same.
 RIBA Code of Conduct
‰Three principles of professional
conduct
Professional Ethics

‰Professional values that support those

principles
‰Guidance Notes which explain how
the principles can be upheld.
RIBA

¾ RIBA can reprimand suspend or expel

 RIBA Code of Conduct
Principle 1: Integrity
• to act with impartiality, responsibility and truthfulness; not to
allow to be improperly influenced by their own, or others’, self‐
Professional Ethics

interest; to respect confidentiality and the privacy of others;

not to offer or take bribes;
Principle 2: Competence
• In the performance of their work Members shall act
competently, conscientiously and responsibly. Members must
be able to provide the knowledge, the ability and the financial
and technical resources appropriate for their work.
Principle 3: Relationships
• Members shall respect the relevant rights and interests of
others
 Upholding Three Principles
RIBA Code of Conduct

Principle 1 – Honesty and Integrity

1.1 impartiality, responsibility and truthfulness
1.2 not to allow improper influence by their
Professional Ethics

own/others’, self‐interest.
1.3 not to be a party to any – i.e. untrue, misleading,
unfair to others or contrary to their own
professional knowledge.
1.4 Members should avoid conflicts of interest. If
arises, declare/withdraw
1.5 respect confidentiality and the privacy of others.
1.6 no bribes in connection with their professional
work.
 Upholding Three Principles
RIBA Code of Conduct

Principle 2 – Competence
2.1 apply high standards of skill, knowledge and care
in all their work ‐‐informed and impartial judgment
Professional Ethics

in reaching any decisions

2.2 realistic appraisal . ‐ should make their clients
aware
2.3 terms of appointment, the scope ‐ clear and
recorded in writing.
2.4 keep their clients informed of the progress of a
project and of the key decisions made on the
client’s behalf.
2.5 use their best endeavors to meet the client’s
agreed time, cost and quality requirements.
 Upholding Three Principles
RIBA Code of Conduct

Principle 3 – Relationships
3.1 respect other's beliefs and opinions, recognise
social diversity and treat everyone fairly. Æ have a
Professional Ethics

proper concern for the effect of their work on its

users and the local community.
3.2 be aware of the environmental impact of their
work.
3.3 to comply with good employment practice.
3.4 in competitions Æ act fairly and honestly – ensure
if reasonable, transparent and impartial. If not >
try to rectify or withdraw.
3.5 prompt & effective procedures >> disputes or
complaints.
 PPR 2064
Public Procurement Regulations
136. Make available the document related with procurement to the
agency having authority of auditing, monitoring,
investigation or inspection within a reasonable time period.
Professional Ethics

137. Public notice of the procurement agreement

138. Consultant should not have conflict of interest
139 Information of undue offer, corruption or fraudulent
behavior
139 Inspection and investigation
140 Black listing
141 Free from black listing
142 Record keeping

A. If at causes the death of the son of

the owner of the house – they shall
put to death a son of that builder.
 Mission Statement of FIDIC –
"Promote Ethics, Enhance Image."
Professional Ethics
 SCAEF Code of Conduct
Society of Consulting Architectural and Engineering Firms
• Est. 1990 Novmember
• Code of ethics applicable to its members
Professional Ethics

• 88 members
• It's codes are revised version of NEA code of ethics prepared in
1969.
• Six articles in CODE OF ETHICS
– Article 1.0 ‐ Name
– Article 2.0 ‐ Définitions
– Article 3.0 ‐ Fundamental Principles of Professional Engineering
Ethics
– Article 4.0 ‐ Responsibility Towards the Nation
– Article 5.0 ‐ Responsibility Towards the Client
– Article 6.0 ‐ Responsibility Towards the Profession
 SCAEF Code of Conduct
• Article 3.0 ‐ Fundamental Principles of
Professional Engineering Ethics
Professional Ethics

A Consulting Engineer
• will be honest and fair and will serve the Client
and the public with devotion
• will dedicate himself to the advancement of the
competence of the engineering profession and
• will use his knowledge and skill in the service of
humanity.
 SCAEF Code of Conduct
Article 4.0 ‐ Responsibility Towards the Nation
• Moral Responsibility : to the community must try to gain the
public's confidence by employing the full spectrum of his/her
professional capabilities.
Professional Ethics

• Involvement in Community Development

• Refrain from Works which are Against National Interest
: against the national interest, or endanger the human race
and the fragile environment
Article 5.0‐ Responsibility Towards the Client
• To Gain and Maintain Client's Confidence :
• To be Loyal to the Clients : use best technical knowledge and
skills To Protect Interests of the Clients ‐ with absolute
professional integrity
• To Safeguard Client's Confidential Information
• To Disclose any Conflict of Interests
 SCAEF Code of Conduct
Article 6.0 ‐ Responsibility towards the
Profession
• The Necessity of Formal Qualification
Professional Ethics

• Refrain from Claiming Skill not in his/her Profession

• The Need to Exercise Greater Skill in Specialized Jobs
• The Need for High Quality of Skill
• Eligibility for Agreed Remuneration Only
• Refrain from Holding Position Where There is Conflict of
Interest
• The Need of Professional Development ‐ by exchanging
professional experiences, continually striving to improve the
professional image.
 SCAEF Code of Conduct
Criticism:
• some of the clauses are appropriate for
inclusion in contract agreement rather than
Professional Ethics

code of conduct.
• concern for subordinate and employees is
absent
• no mentions against discounts,
commissions, gifts and other inducements.
• no mention about recognition to
professional contribution of employees.
 Nepal Engineering Council (NEC)
• The Nepal Engineering Council Act, 2055 (1999)

• Preamble >>> " … in order to make the engineering profession

effective in Nepal and mobilize it in a systematic and scientific
Professional Ethics

manner as well as to provide for, among other matters, the

registration of the names of engineers as per their
qualification "
• Nepal has no separate Architect's Council.
• Statutory institution >>
– authority to prepare policies for engineering services,
– award recognition to the educational institutions,
– determine minimum qualification for practice and
– to register names
– to strike out names if committed misconduct.
 Nepal Engineering Council (NEC)
Code of conduct for its members
1. Discipline and Honesty
2. Politeness and Confidentiality
Professional Ethics .

3. Non‐discrimination >> based on religion, race, sex, caste or

any other things
4. Professional Work >> provide recommendations or
suggestions only within the area of their subject of study or
obtained knowledge or skills.
5. Deeds which may cause harm to the engineering profession
>> obtain improper financial gain of any kind or conduct
improper activities
6. Personal responsibility
7. State name, designation and registration no while signing
the documents
8. No publicity or advertisement must be made which may
cause unnecessary effect.
 Nepal Engineering Council (NEC)
On violation of the conduct >>
Professional Ethics

COMPLAINT >> INVESTIGATION >> IF FINDS GUILTY >> SUSPEND

OR CANCEL THE MEMBERSHIP >> PREVENTED FROM

PRACTICING.
 Ethical Standard Interaction with
Professional Societies
• learns to live in harmony with other
societies
Professional Ethics

• respects them as well.

• Nepal Engineers Association – have
wide range.
• Nearly every profession has its own
society to safeguard the interest of its
professional.
• Licensing institutions
 Whistle blowing
Whistle blowing is the act of a person in
which he/she brings the internal
institutional issue, in which he/she has
Professional Ethics

been involved, at the public in the

assumption that if he/she remains silent
in such an issue public welfare and safety
is likely to be in danger.
I. Remaining silent ‐ may get visible afterward
II. Blowing the whistle – internally or publicly or
Inform the authority
III. Silently resigning from the job.