CH2- Profession and Ethics

2.1 Profession: Definition and Characteristics

2.2 Professional Institutions
2.3 Relation of an Engineer with Client, Contractor
and Fellow Engineers
2.4 Ethics, Code of Ethics and Engineering Ethics
2.5 Moral Dilemma and Ethical Decision Making
2.6 Detailed Duties of an Engineer and Architect

2.7Liability and Negligence

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society
Ethics
Professionalism
5
 Voluntary action of person

desires Deliberation
Mental stage

motive

consequence action

Positive intended Negative intended

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 tradition

Family
individual
and friend

person

Economic
profession condition

Law

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नष्टो मोहः स्मृतिर्लब्धा त्वत्प्रसादान्मयाच्युि।
स्थििोऽस्स्म गिसन्दे हः करिष्ये वचनं िव।।18.73।। From Gita

भ्रम गो, ज्ञान प्रास्ि भो, तिम्रो प्रसाद अच्युि

अब शंका क़िै छै न , जे भन्छौ सोही गदल छु !
YOURSELF WHEN MAKING AN ETHICAL DECISION

10. Could the decision become habit forming?

If so, don't do it.
9. Is it legal?
If it isn't, don't do it.
8. Is it safe?
If it isn't, don't do it.
7. Is it the right thing to do?
If it isn't, don't do it.
6. Will this stand the test of public scrutiny?
If it won't, don't do it.
5. If something terrible were to happen, could I defend my
actions?
If you can't, don't do it.

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YOURSELF WHEN MAKING AN ETHICAL DECISION

4. Is it just, balanced, and fair?

If it isn't, don't do it.
3. How will it make me feel about myself?
If it's lousy, don't do it.
2. Does this choice lead to the greatest good for the greatest
number?
If it doesn't, don't do it.
And the #1 question you should ask yourself when making an
ethical decision:
1. Would I do this in front of my mother?
If you wouldn't, don't do it.

(Taylor, 1990)

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 epp ETHICS AND
PROFESSIONALISM
• Seven sins by Mahatma Gandhi

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12
 epp ETHICS AND PROFESSIONALISM
1. Right View. The right way to think about life
is to see the world through the eyes of the
Buddha--with wisdom and compassion.
2. Right Thought. We are what we think. Clear
and kind thoughts build good, strong characters.
3. Right Speech. By speaking kind and helpful
words, we are respected and trusted by
everyone.
4. Right Conduct. No matter what we say, others
know us from the way we behave. Before we criticize
others, we should first see what we do ourselves.
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 epp ETHICS AND
PROFESSIONALISM
5. Right Livelihood. This means choosing a job that
does not hurt others. The Buddha said, "Do not earn
your living by harming others. Do not seek happiness
by making others unhappy."
6. Right Effort. A worthwhile life means doing our
best at all times and having good will toward others.
This also means not wasting effort on things that
harm ourselves and others.
7. Right Mindfulness. This means being aware of our
thoughts, words, and deeds.
8. Right Concentration. Focus on one thought or
object at a time. By doing this, we can be quiet and
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attain true peace of mind.
 epp ETHICS AND
PROFESSIONALISM

Four Truth of Buddha

•What's wrong with me?
•Why am I sick?
•What will cure me?
•What do I have to do get well?

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•
History of code
The history can be traced out from the code of conduct
of Hammurabi , the king of Babylon 1792-1750 BC
• "An eye for an eye, and a tooth for a tooth."
• The builder shall be put to death , if the house he builds
collapse and causes death of the house owner
• The builders son shall be put to death, if the houses the
builder built causes the death of the son of the house
owner
• The builder shall compensate the house owner with the
slave of equal value , if the house the builder has built
causes the death of a slave of the house owner
• The builder shall restore at his own expense, if the
house the builder has built destroys the property of the
house owner
• In Nepal, NEA has approved and adopted the code first
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time March 1969.
 Epp Code of Conduct
• Objective:
• any professional conduct needs codes of ethics and guidelines to maintain
high level of standard of good behavior or conduct in the public.
• Engineers create facilities and services by any or all of the acts and do so
by applying engineering principles and the experiences gained.
• Fundamental of ethics:
• The national society of professional Engineers NSPE US approved by the board of
directors on 5th Oct 1977 has set the following principles for engineers to support
and advance the integrity, honor and dignity of engineering profession by

• Using their knowledge and skill for the advancement of human welfare

• Being honest and impartial and serving with loyalty the public, their employers
and clients.

• Striving to increase the competencies and prestige of engineering profession

• Supporting the professional and technical societies of their disciplines.

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 Epp Code of Conduct
• Five fundamental ethical values for codes

Protection of life and safeguarding people

Sustainable management and care for the

environment

Community well being

Professionalism, integrity and competence

Sustaining engineering knowledge

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 Epp Code of Conduct
• Some other basic norm for professional engineers as below
Welfare of public
Serve in area of competences
Issue public statement in an objective and truthful manner
Shall act as faithful or trustee
Should build their reputation, unfairness to others
Enhance honor, integrity and dignity of the profession
Professional career development
Advertise on factual representation
Do not offer or accept the hidden payment
Do not disclose confidential matter(information)
Do not engage in conflicting services
Sign those documents which are prepared under his direct
involvement
Report if any unethical matter in your knowledge etc.

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 Epp Code of Conduct
Professional ethics concerns the moral issues that arise because of the
specialist knowledge that professionals attain, and how the use of this
knowledge should be governed when providing a service to the public.

Nepal Engineering Council

Professional Code of Conduct
The professional code of conduct to be followed by the registered engineers
of the council, subject to the provision of Nepal Engineering Council Act,
2055 (1998) and Nepal Engineering Council Regulation, 2057 (2000), has
been published as the following:

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21
NEC preamble प्रस्तावाना
Preamble:
Whereas, it is expedient to make the
provision of Nepal Engineering Council
in order to make the engineering
profession effective in the State of Nepal
and mobilize it in a systematic and
scientific manner as well as to provide
for, among other matters, the
registration of the names of engineers as
per their qualifications;

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 NEC code
1. Discipline and honesty:
2. Politeness and secrecy:
3. Non-discrimination:
4. Shall have to do only the concerned professional work:
5. Not to do such works, which may cause harm to engineering
profession:
6. Personal responsibility:
7. State name, designation, registration no:
8. No publicity or advertisement shall be made which cause
unnecessary effect:
Oath
I ……………………………… having been registered with the Nepal
Engineering Council agree to be governed by the memorandum, rules
regulations and byelaws of the council, as they now stand or as they
may hereafter be altered or added to according to law and I undertake
to observe the ethics of the profession and to promote objects and
interest of the council in so far as it lies in power.
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Other relevant code of ethics
• Other professional association has also provide
the code of ethics
• NEA (Nepal Engineering Association), SOMEN ,
etc.
• SCAFF (Society of consulting Architecture and
engineer's of Nepal)
• FCAN (Federation of Contractors Association
of Nepal)
• APEGGA (the association of Professional
Engineers Geologists, and geophysicists of
Alberta)
• ACM (Association for Computing Machinery )
• What are content of theses code ? …………. 24
Quality of engineer
1. Knowledge of technology

2. Social understanding

3. Economical realities

4. Legal awareness

5. Environmental skills

6. Management skills

7. Leadership and innovation

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 Relation with public
 The Engineer,
1. Will have proper regard for the for the health, safety,
and welfare of public
2. Will endeavor to extend public knowledge and
appreciation of engineering profession and to
dissemination engineering knowledge
3. Will be dignified and modest in explaining his work
and merit and refrain from misrepresentative self-
laudatory advertisement
4. Will express an opinion on an engineering subject

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 Responsibilities of
engineers
• Will be honest and fair, will serve the client and e the public with
devotion
• Will dedicate himself to the advancement of the competence of the
engineering profession
• Will use the knowledge and skill in the favor of humanity
• RESPONSIBILTY TOWARDS THE NATION
• MORAL RESPONSIBILITY
• INVOLVEMENT IN COMMUNITY DEVELOPMENT
• REFRAIN FROM WORKS WHICH ARE AGAINST
NATIONAL INTEREST

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 Responsibilities of
engineers
• RESPONSIBILTY TOWARDS THE CLIENT
• TO GAIN AND MAINTAIN CLIENT CONFIDENCE
• TO BE LOYAL TO THE CLIENTS
• TO PROTECT INTEREST OF CLIENT
• TO SAFEGUARD CLIENT COFIDENTIAL INFORMATION
• TO DISCLOSE THE CONFLICT OF INTEREST

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 Responsibilities of
engineers
• RESPONSIBILTY TOWARDS THE PROFESSION
• THE NECESSITY OF FORMER QUALIFICATION
• REFRAIN FROM CLAIMING SKILL NOT IN HIS/HER PROFESSION
• THE NEED TO EXERCISE GREATER SKILL IN SPECIALISED JOBS
• THE NEED FOR HIGH QUALITY OF SKILL
• ELIGIBILTY FOR agreed remuneration only
• Refrain from holding position where there is conflict of interest
• The need for professional development

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Relationship of engineering profession to basic science
and technology; relationship to other professions

• Engineering itself is an application of knowledge and skills

acquired through a specialized training, education and
experiences and practicing the same as an occupation in the
areas of public safety, health and property protection. In short
it is a systematic application of knowledge and skill.

• The basic science teaches us the law of nature, properties of

matters and sources of power that are available around us.
Technology teaches us the best application of those laws of
nature and utilization of the properties of matters and sources
of power by which, engineer can make new facilities and
create new services.

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 DUTIES/ LIABILITIES/ of designers or professional
1. Negligent, misstatement.
2. Statutes, bylaws, and standards
3. Examination of site above or below ground surface
4. Public and private rights
5. Plans. drawings/ specification
6. Suitability of materials
7. Suitability of Method of execution
8. Noble / risky design and employers interference in design
9. Revision of design during execution

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• नष्टो मोहः स्मृतिर्लब्धा त्वत्प्रसादान्मयाच्युि।
स्थििोऽस्स्म गिसन्दे हः करिष्ये वचनं िव।।18.73।।
From Gita

• भ्रम गो, ज्ञान प्रास्ि भो, तिम्रो प्रसाद अच्युि

• अब शंका क़िै छै न , जे भन्छौ सोही गदल छु !
epp negligence and liabilities

Concept of reasonable skill and care:

Every person who wants enter in to
learned profession undertakes to bring to
the exercise of it a reasonable degree of
care and skill.
The degree of skill that required is the skill
of an ordinary component person
exercising that particular art.
Breach: failure to perform an obligation
undertaken
Tort: civil mistake
epp negligence and liabilities

Some times while performing engineering duties,

engineers happen to harm or damage to other
unconcerned, non related person or property.
The engineers perform jobs more attentively
towards their client/ organisation/ employer but
even doing so they happen to cause damages or
harms to these who are not concerned to the jobs
at all.
That happens because of unnecessary incidental
negligence is doing jobs. Incidental negligence
seeks compensations for the jobs.
This type of compensation to unconcerned
parties/ property is tort liability.
epp negligence and liabilities
•Delegation of authority

employer

Main Expert/
designer specialist
 Voluntary action of person

desires Deliberation
Mental stage

motive

consequence action

Positive intended Negative intended

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 tradition

Family
individual
and friend

person

Economic
profession condition

Law

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epp negligence and liabilities

Concept of reasonable skill and care:

Every person who wants enter in to
learned profession undertakes to bring to
the exercise of it a reasonable degree of
care and skill.
The degree of skill that required is the skill
of an ordinary component person
exercising that particular art.
Breach: failure to perform an obligation
undertaken
Tort: civil mistake
epp negligence and liabilities

Some times while performing engineering duties,

engineers happen to harm or damage to other
unconcerned, non related person or property.
The engineers perform jobs more attentively
towards their client/ organisation/ employer but
even doing so they happen to cause damages or
harms to these who are not concerned to the jobs
at all.
That happens because of unnecessary incidental
negligence is doing jobs. Incidental negligence
seeks compensations for the jobs.
This type of compensation to unconcerned
parties/ property is tort liability.
epp negligence and liabilities
•Liability is a troublesome responsibility.
•It is a legal, binding or an obligation.
•Liability: is legal responsibility, accountability,
responsibility, and burden

•Engineers/ professionals are active actors in

the society
• attention towards all likely to be affected
parties are not paid, liability are likely to occur.
• Liabilities occur because of negligence in
performance.
•The liability that most engineers face is Tort
liability and
• organizational liability is called vicarious
liability.
epp negligence and liabilities
Two types of liabilities that must
engineers face
•Tort liability ; tort is something wrong but not
criminal
•Organizational liability or vicarious liability
Vicarious liability:
A person who commits a tort is a liable for the damage that he
causes. What about a person who did not commit a tort?
When an employee commits a tort in the course of his / her
employment, his/her employer will be liable for the tort of his
/her employee, which is called a vicarious (explicit) liability.
For example, during the course action if a servant commits a
tort his master will be liable for the tort of his employee.
epp negligence and liabilities
Tort liability is private wrong or civil
wrong for which a person may have to pay
compensation. Torts is any act or not act
(omission) that infringes (break) an
responsibility imposed by laws which gives
injured party the right to bring an action
for the damages or loss.
epp negligence and liabilities
Negligence:
Careful, care free
Careless
Types
Subjective (state of mind) and objective (conduct
absence of skill and care )
Heedlessness (without willingness)and
recklessness (ignores consequence)
Advertent (intentionally)and inadvertent
Contributory (conduct of doing job)
Reasonable person
Professional standard
Employer liability
Occupiers liability
Trespass (infringe)
epp negligence and liabilities
Elements of TORT:
Duty: a plaintiff in a tort case must establish that the
defendant (a person accused in a legal case) had a duty
(moral or legal obligation) to the plaintiff. (The
questions is not whether the defendant tried in good
faith, to be careful, but whether his conduct was up to
the standard of a reasonable persons conduct under the
circumstances)
Breach: a plaintiff must prove that the defendant had
breached the duty. (The defendant act fell below the
standard of care of reasonable persons
Proximate / legal case: the plaintiff must prove that the
acts of defendant actually caused the physical harm or
injury to the plaintiff.
Damages: A plaintiff must prove damage.
Damage without injury
Injury without damage
epp negligence and liabilities
Principles of tort law:
•In order to succeed in action in a tort, a plaintiff
must prove :
•The defendant owed to the plaintiff
•The defendant was in breach of that duty by his/her
conduct and
•The plaintiff has suffered damage or injury as a
result of that breach.
•Objective of tort law: Appease (settle) , Deter
(prevent), justice (fair dealing)
•Compensation to victims
•Transferring the cost of injury from victims to the
person responsible for that
epp negligence and liabilities
DUTIES/ LIABILITIES/ of designers or
professional
1. Negligent, misstatement.
2. Statutes, bylaws, and standards
3. Examination of site above or below ground
surface
4. Public and private rights
5. Plans. drawings/ specification
6. Suitability of materials
7. Suitability of Method of execution
8. Novel/ risky design and employers
interference in design
9. Revision of design during execution
 6. Duty and Liability of Engineer/ Architect
and Delegation of Authority

• The problem of design

• Designer’s duties.
• Delegation of design duties.
• Delegation of management duties.
• Limitations of liability and actions.
The Engineering Design Process

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 The Engineering Design Process
• The profession of civil engineer is- “the art of directing the great
sources of power in nature for the use and convenience of
human” (ICE Charter)
• The Engineering Design Process is a series of steps that
engineers use to guide them as they solve problems.
• While having a guide is useful for novices who are learning
about engineering, it is important to note that practicing
engineers do not adhere to a rigid step-by-step interpretation of
the process. Rather there are as many variations of the model as
there are engineers.
• The Engineering Design Process is cyclical and can begin at any
step, or move back and forth between steps numerous times. In
real life, engineers often work on just one or two steps and then
pass along their work to another team.
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The Engineering Design Process

50
 The Engineering Design Process

• Moving through the Engineering Design Process might involve

asking the following questions or making the following
decisions:

• Ask
• Imagine
• Plan
• Create
• Improve

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 The Engineering Design Process
• ASK
– What is the problem?
– What have others done?
– What are the constraints?
• IMAGINE
– What are some solutions?
– Brainstorm ideas.
– Choose the best one.
• PLAN
– Draw a diagram.
– Make lists of materials you will need.

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 The Engineering Design Process
• CREATE
– Follow your plan and create it.
– Test it out!
• IMPROVE
– Talk about what works, what doesn't, and what could work
better.
– Modify your designs to make it better.
– Test it out!
– After you improve your design one, you may want to begin the
Engineering Design Process all over again to refine your
technology. Or you may want to focus on one step. The
Engineering Design Process can be used again and again!
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 Who is the design Professional?
• Architect, Engineers, Surveyor, Quantity Surveyor
– Education
– Licensure
– Training
• Design Firms
– Recognized by state licensing statutes
– Individual professional – licensed
– Employer must be registered
– Sole proprietorships, partnerships, limited liability companies,
corporations, etc.
• Issue of poor or defective design
– Obligation to the Public is paramount, but
– should also honor his obligation to Employer if possible 54
 Relationship with design Consultants?
• Design contracts
– Employer – Designer  Specialist Designer
• Construction Contracts
– Two-Party system
– Three-party system
• Project Delivery System
– Traditional D-B-B
– Design-Build (D-B)
– CM
– PPP
• BOT
• BOO, etc.

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What is a BOO project? What is BOOT (build, own, operate, transfer)?
BOO (build, own, operate) is a BOOT (build, own, operate, transfer) is a public-private
public-private partnership partnership (PPP) project model in which a private
(PPP) project model in which organization conducts a large development project under
a private organization builds, contract to a public-sector partner, such as a government
owns and operates some agency. A BOOT project is often seen as a way to develop a
large public infrastructure project with private funding.
facility or structure with some
Here's how the BOOT model works: The public-sector partner
degree of encouragement contracts with a private developer - typically a large
from the government. corporation or consortium of businesses with specific
Although the government expertise - to design and implement a large project. The
doesn't provide direct funding public-sector partner may provide limited funding or some
in this model, it may offer other benefit (such as tax exempt status) but the private-
other financial incentives such sector partner assumes the risks associated with planning,
as tax-exempt status. The constructing, operating and maintaining the project for a
specified time period. During that time, the developer charges
developer owns and operates
customers who use the infrastructure that's been built to
the facility independently. realize a profit. At the end of the specified period, the private-
sector partner transfers ownership to the funding organization,
The BOO model is one of either freely or for an amount stipulated in the original
several related PPP project contract. Such contracts are typically long-term and may
types including BOOT (build, extend to 40 or more years.
own, operate and transfer), BOOT is sometimes known as BOT (build, own, transfer).
BLT (build, lease, transfer) Variations on the BOOT model include BOO (build, own,
operate), BLT (build, lease, transfer) and BLOT (build, lease,
and BLOT (build, lease,
operate, transfer).
operate, transfer)
 The Problems of Design
4-5 years of Study, Training and Experience
Make
s

Architects/ Engineers/ Quantity

Good Surveyor Fault
y
Desig
Desig
n
n

Insurers/ Layers/ Expert

Appreciation/ witness/Arbitrators/
Award Judges

• Not every Disputes related to design results in a

legal action and reported case, majority of disputes However
are settled difficult to
•The Insurer are reluctant(offering resistance) to establish
produce details of the claim in which they have BECAUSE
involved
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 Options
1.Go to supervisor and suggest in the most tactful
way he can that he is uncomfortable about the fact
that his designs are not or do not…meet the
required standard
2.He might talk to others in the organization with
whom he has good working relationship and ask
them to help him persuade the management
3.Tell the management that he does not believe that
he can continue to engage in design work
4.He could find another job and then, after his
employment is secure, reveal the information to
the concerned authority or others who could stop
the practice
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 Options
5. He could go to the press or his professional
society and blow the whistle
6. He could find another job and keep the
information about his employer’s conduct to
himself, allowing the practice to continue with
others
7. He could continue in his present course
without protest.

59
 Analysis of option
• First option should be tried first
• Then second if the first is ineffective
• Third, less desirable; because it places him in a position of
opposition to his employer, but he may have to choose it if the first
two are unsuccessful.
• Fourth option produces a break in the relationship with his
employer. but it does protect the public and his career
• Fifth also causes a break with his employer and threaten his career.
• Sixth & seventh are unjustifiable because they do not protect the
public
• To be ethically and professionally
responsible,
– Find a way that honors both his obligation to protect the public and his
obligation to his employer
– Also, he should try to protect and promote his own career, insofar as he60can
• Professional negligence and
Designer’s duties

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 Professional Negligence
• Professional negligence, which may also be referred to as
malpractice, is negligence committed by someone who is
presented with more skills and training than the average person.
• Professional negligence is a breach of the duty of care between
professionals and their clients. The duty of care is a common
law arrangement where the client expects a level of
professionalism and standards commonly held by those in the
profession.
• As a consequence of being more highly skilled, professionals are
held to a higher standard and are expected to be able to complete
tasks related to their training in a competent way.
• A common law legal system is a legal methodology that places a significant
weight on precedent and on the principle that it is unfair to treat similar legal
matters differently on different occasions.
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 Professional Negligence
• The ability to sue people who commit acts
of professional negligence can be important. Professionals are held
to a higher standard of performance because they present
themselves as more highly trained.
• When they make errors, the nature of the error can be very costly
for a client; a doctor may kill a patient with negligence, a lawyer
may fail to achieve the right outcome in a case, a contractor could
build a house which falls down.
• People trust professionals to behave responsibly and need to have
a recourse when they act with negligence.
• One problem faced by professionals is that accidents happen, and
even highly skilled, very conscientious people do make mistakes.
Some professions come with a high potential risk of being sued
for professional negligence because they are risky professions to
begin with. 63
 Professional Negligence
• For many professions, the cost of malpractice insurance which
provides coverage in the event that a negligence suit results in an
order to pay damages is very high.
• In some regions of the world, governments have
recommended tort reform to change the way in which professional
negligence is handled in court and to limit the total damages which
can be paid.
• Failure to exercise due caution is considered negligence and
clients can sue for damages if they have been injured as a result of
negligent care.
• Proving a professional negligence case can sometimes be
challenging. Most laypeople do not have a clear idea of what the
duty of care might be in a specific case, because they lack the
skills, training, and experience which professionals have.
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 Professional Negligence: Engineering
• Builders and Architects maintain a duty of care with owners and
tenants to ensure that the building they erect will adhere to
government regulations and common practices for the
construction of buildings.
• An Engineer/ Architect undertaking any work in the way of his
profession accepts the ordinary liabilities of any man who
follows a skilled calling.
• He is bound to exercise due care, skill and diligence. He is not
required to have an extraordinary degree of skill and diligence.
But he must bring to the task that he undertakes the competence
and skill that is usual among architects practising their
profession. And he must use due care.
• If he fails in these matters and the person who employed him
suffers damage, he is liable to that person. This liability can be
said to arise either from a breach of contract or in tort.’ 65
 Professional Negligence: Engineering
• Consider following cases-
– A firm of architects was in breach of contractual duties owed to a museum
in failing to design or procure the design of steps, seats and terraces
which were architectural features within its sphere of contractual
responsibility.
– An architect's firm had fallen below the expected standard in failing to
ensure that in renovating a house, a contractor had installed
waterproofing, flooring and mechanical services and electrical
installations without defects. The homeowners were entitled to recover
damages for rectifying the defective works, together with general
damages.
– An engineering firm appealed against a decision on a preliminary issue
that the director had employed them in a personal capacity rather than as
agent for his company. Where the identity of a contracting party was
unclear from a written contract it was legitimate for the court to consider
what the parties had said to each other in the period leading up to the
offer and acceptance and the correct approach was an objective one. If the
extrinsic evidence established that a party had been misdescrib ... 66
Project phase where designers tend to be negligent
• Pre-design
– Negligence in Survey
– Geotechnical investigation, etc.
• Design
– Marginal designs
– Design Calculation
• Service delivery
– Advising client
– Statutory consent/permit
– Supply information
• Supervision
– Inadequate Attendance to site
– Failure in Defect identification.
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 Increase in Risk to the Designer due to:
• Technical development
– New technology
– New materials, etc.
• Claim Consciousness
– Employer
– Contractor
• Changes in Law
– Advising client
– Statutory consent/permit
– Supply information
• Supervision
– Attendance to site
– Defect identification.
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 Duties and Responsibilities of E/A

• Engineers, architects and code enforcement professionals have

substantially different viewpoints about their own roles and
responsibilities, and the responsibilities of others, for ensuring
adherence to the standard codes provisions in the design and
construction process.
• Actions for professional malpractice may allege a host of claims,
theories and causes of action. At their core, however, these actions
are suits for negligent performance of professional responsibilities,
i.e., breach of the standard of care.

69
 Designer’s General Duties
• A proper definition of “design responsibility” begins with an
analysis of a design professional’s legal duties – whether imposed
by state licensing laws, permitting agency rules or practices,
professional ethical standards, or contracts.
• Design firms frequently do not fully understand the legal or
professional duties that arise from these sources and,
consequently, do not properly address them in their contracts.
• STATUTORY DUTIES- Stated by various statutory provisions of
the state - Planning, Design, Supervision
• CONTRACTUAL DUTIES- Provisioned by the contract with
client- Express Terms, Implied Terms, Degree of Skill, Delegation of Duties
• DUTIES INDEPENDENT OF CONTRACT
• Duties to the non contracting parties comes from Tort
– third parties, contractors and subcontractors
70
 Designer’s General Duties
• To safeguard the interest of the Employer, the designer shall have
the following General Duties-
i. To advise and consult with the employer as to any limitation of
Land, Legislation, Restrictive Covenants, Rights of Adjoining
Owners and Public
ii. To Examine the Site, Sub-soil and Surroundings.
iii. To consult with and advise the employer as to the proposed work.
iv. To prepare and submit the employer the primary design drawing
(sketch) with probable cost.
v. To elaborate and, if necessary modify or amend the sketch, plans
and then to prepare contract documents.
vi. To consult with and advise the employer as to form of contract to
be used.
vii. To bring the contract documents in their final stages
71
Detailed Duties of the Engineers/ Consultant
 The detailed duty of a Consultant may comprises:
 Site Investigation
 Feasibility Studies
 Cost Estimates
 Knowledge of legislation, regulations and bye-laws
etc.
 Recommending builders
 Recommending form of contract
 Administration of contract
 Plans, drawings, specifications
 Supervision
 Clerk of works
 Certification
 Temporary Occupation Permit
72
 Detection of Defects
Detailed Duties and Liability of the Er/ Designer
• It is the designer’s duty to translate the owner’s needs and requirements into
drawings and specifications to be used during construction.
• During the construction phase, the architect may assist the owner with such
services as monitoring the progress of the work, verifying the specified level of
quality is being achieved, and certifying payment applications.
• The architect should provide unbiased interpretations of the contract documents
and give additional instructions as needed to enable the contractor to perform its
work.
1. Fitness for Purpose
2. Negligent Misstatement
3. Statutes, By-Laws and Building Regulations
4. Examination of the site above and below the ground
5. Public and Private Rights
6. Plans, Design and Specification
7. Novel and Risky Design and Employer’s Interference in Design
73
8. Revision of Design During Construction
• Delegation of design duties

74
 Delegation
• Delegation is the assignment of authority to another person to
carry out the specific job-related activities. It allows a
subordinate to make decisions; that is, it is a shift of decision-
making authority from one organisational level to another
lower one.
• Delegation should not be confused with participation. In
participative decision making, there is a sharing of authority;
with delegation, subordinates make decisions on their own.
Effective delegation pushes authority down vertically through
the ranks of an organisation.

75
 Delegation of Design Duties
• The appointment of an architect, as with most professional
persons is personal to himself. He cannot delegate his duty to
be performed by someone else.
• In practice however, due to the complexities of some projects
an architect will usually delegate a substantial proportion of
the technical aspects of design to other skilled professionals
like mechanical & electrical engineers, civil & structural
engineers, quantity surveyors, etc. Where an architect
undertakes the design and
• Supervision of a building project under an “umbrella”
arrangement, he should let the client know that he is delegating
other aspects of the design like the mechanical & electrical
design work and structural design work to other professionals.

76
 Delegation of Design Duties
• Issues
– Necessary skills of designer
– Contract type: personal or with firm
– Benefit for better skills and knowledge
– Contract
• Design responsibilities
• Quite apart from the aesthetic designs of a building, the design
responsibilities of an architect can extend to specifications,
selection of finishes choice of construction techniques.
• He must exercise skill and care in the execution of his designs
and in the choice and specification of materials.

77
 Delegation of Design Duties

• A Designer usually delegates his duties

in one of the following ways:-
1. engages specialist(s) directly and pays fee
to the specialist from the designer’s own
2. advises the employer to engage
specialist(s) directly
3. obtains a design, usually free of charge,
from a sub contractor who usually later
becomes a nominated sub contractor

78
• Delegation of management duties

79
 Delegation of Management Duties
• A sign of a good leader is how they are able to delegate.
• A good manager needs to get the work done through others. This
is the best way to accomplish more every day.
• The basic definition of delegating is “assigning duties to another
person or persons while still being held accountable.” The most
important thing is to know whom to delegate to and when.
• You should make sure you know exactly what needs to be
accomplished before you give the task to someone else.
• Some managers make the mistake to not delegate because they
think that if they hold all of the cards, they are indispensable.
• On the contrary, you are more indispensable when you show your
leadership skills by delegating.
• You are more likely to get praised or even promoted when you
show your leadership skills, and not because you know something
that someone else doesn’t know. 80
 Delegation of Management Duties
• Delegation is one of the most important management skills. These
logical rules and techniques will help you to delegate well (and
will help you to help your manager when you are being delegated
a task or new responsibility - delegation is a two-way process!).
• Good delegation saves you time, develops you people, grooms a
successor, and motivates. Poor delegation will cause you
frustration, demotivates and confuses the other person, and fails to
achieve the task or purpose itself.
• So it's a management skill that's worth improving. Here are the
simple steps to follow if you want to get delegation right, with
different levels of delegation freedom that you can offer.
• Delegation is a very helpful aid for succession planning, personal
development - and seeking and encouraging promotion. It's how
we grow in the job - delegation enables us to gain experience to
take on higher responsibilities
81
 Delegation of Management Duties
• Delegation and SMART, or SMARTER
• A simple delegation rule is the SMART acronym, or better still,
SMARTER. It's a quick checklist for proper delegation.
• Delegated tasks must be:
i. Specific
ii. Measurable
iii. Agreed
iv. Realistic
v. Time bound
vi. Ethical
vii. Recorded

82
 Delegation of Management Duties
• Steps of successful delegation
a) Define the task
b) Select the individual or team
c) Assess ability and training needs
d) Explain the reasons
e) State required results
f) Consider resources required
g) Agree deadlines
h) Support and communicate
i) Feedback on results

83
 Delegation of Management Duties
• Delegation of Authority
• Delegation of authority is one vital organizational process. It is
inevitable along with the expansion and growth of a business
enterprise.
• Delegation means assigning of certain responsibilities along with
the necessary authority by a superior to his subordinate managers.
• Delegation does not mean surrender of authority by the higher
level manager. It only means transfer of certain responsibilities to
subordinates and giving them the necessary authority, which is
necessary to discharge the responsibility properly.
• Delegation is quite common in all aspects of life including
business.
• In delegation, an attempt is being made to have meaningful
participation and cooperation from the subordinates for achieving
certain well-defined results. 84
 Delegation of Management Duties
• Delegation of Authority
• Due to delegation, the routine responsibilities of the superior are
reduced. As a result, he concentrates on more urgent and important
matters.
• Secondly, due to delegation, subordinate becomes responsible for
certain functions transferred to him.
• Delegation is a tool, which a superior manager uses for sharing his
work with the subordinates and thereby raising his efficiency.
• Delegation is not a process of abdication. The person who
delegates does not divorce himself from the responsibility and
authority with which he is entrusted.
• He remains accountable for the overall performance and also for
the performance of his subordinates.

85
 Delegation of Management Duties
• Delegation of Authority
• Delegation is needed when the volume of work to be done is in
excess of an individual's physical and mental capacity.
• Delegation involves the following three basic elements:

1. Assignment of duties to subordinates,

2. Granting of authority to enable the subordinates to perform the
duties assigned, and
3. Creation of obligation on the part of subordinate to perform
duties in an orderly manner.

86
 Delegation of Management Duties

• Objectives of Delegation of Authority

• To reduce the excessive burden on the superiors i.e., executives

and managers functioning at different levels.
• To provide opportunities of growth and self development to junior
executives.
• To create a team of experienced and matured managers for the
Organisation. It acts as a technique of management and human
resource development.
• To improve individual as well as overall efficiency of
the Organisation.
•

87
 Delegation of Management Duties
• Process of Delegation of Authority
• Delegation process involves four distinct stages. The process of
delegation moves through these stages. The following figure
shows the stages in the process of delegation of authority.

88
• Limitation of liability and actions

89
 Limitation of Liability (LoL)
• LoL is a contractual clause between a design professional and
their client that limits the damages recoverable by the client from
the design professional.
• It is not applicable in a third party injury case – a pedestrian hit by
glass that falls out of the building or a job site injured worker. The
claims of these non-signatories to the design contract are not
affected by the Limitation of Liability clause.
• Are these Clauses legal and enforceable?- It depends
• Generally, well written clauses have been upheld. However, it is a
state by state issue and analysis of the law applicable to the design
contract is essential.

90
 Limitation of Liability (LoL)
• Basic Requirements of LoL Clause
1. Protect individual professionals and employees in
addition to the firm.
2. Some form of monetary limitation.
3. Broad description of claims limited.
• Common Options for a Monetary Limitation
1. Fixed amount or fee charged, whichever is greater.
2. Fixed dollar amount or fee charged, whichever is lesser.
3. Fixed Amount.
4. Available liability insurance limits.

91
 Limitation of Liability (LoL)
• Typical LoL clause-
• AIA Limitation of Liability based on fee or fixed amount:
– Neither the Architect, Architect’s consultants, nor their agents or employees
shall be jointly, severally or individually liable to the Owner in excess of the
compensation to be paid pursuant to this Agreement or Dollar ($), whichever
is greater, by reason of any act or omission, including breach of contract or
negligence not amounting to a wilful or intentional wrong.
• AIA Limitation of Liability based on insurance limits:
– Neither the Architect, Architect’s Consultants, nor their agents or employees
shall be jointly, severally or individually liable to the Owner for an amount in
excess of the proceeds of the available professional liability insurance
coverage.
• AIA Limitation of Liability to amount of compensation:
– In consideration of a reduction represented in the Architect’s compensation,
the parties agree that neither the Architect, Architect’s consultants, nor their
agents or employees shall be jointly or individually liable to the Owner in an
amount in excess of the Architect’s compensation.
92
 Limitation of Liability (LoL)
• Typical LoL clause-
• Other Limitation of Liability Language-
• There are a variety of risks which potentially affect the Architect by
virtue of entering into an Agreement to perform professional services
on Owner’s behalf. In order for the Owner to obtain the benefit of a fee
which does not need to account for unlimited risks, Owner agrees to
limit the Architect’s liability to the Owner. To the fullest extent
permitted by law, the total liability of the Architect with regard to the
Project under any and all theories of liability shall be limited to the
Architect’s fee under this Agreement.
• Limitations on liability provided in the Agreement are business
understandings between the parties and shall apply to all theories of
liability, including breach of contract or warranty, tort including
negligence, strict or statutory liability, or any other cause of actions.
The limits of liability may be negotiated with appropriate compensation
to the Architect. 93
 Limitation of Liability (LoL)
• What kind of reasons are expressed when these clauses are
not enforced?
a) Licensing Laws
b) Anti-indemnity statutes
c) Public Policy
• 2010 Virginia Statute
• No such corporation, partnership, sole proprietorship, limited
liability company, or other entity, or any affiliate thereof, shall on
its behalf or on behalf of any such licensee or certificate holder,
nor any licensee or certificate holder, be prohibited from (i)
purchasing or maintaining insurance against any such liability;
(ii) entering into any indemnification agreement with respect to
any such liability; (iii) receiving indemnification as a result of any
such liability; or (iv) limiting liability through contract.
94
 LoL- Not always enforceable
• New Hampshire Town of Bow v. Provan & Lorber,
Inc.
• Limitation of Liability –To the fullest extent permitted by law, the total
liability in the aggregate of PLI and PLI’s officers, directors,
employees, agents, and independent professional associates, and any of
them to CLIENT and any one claiming by, through, or under Client, for
any and all injuries, claims, losses, expenses, or damages whatsoever
arising out of or in any way related to PLI’s services, the project, or this
Agreement, from any cause or causes whatsoever, including but not
limited to, the negligence, errors, omissions, strict liability, breach of
contract, misrepresentation, or breach of warrant of PLI or PLI’s
officers, directors, employees, agents or independent professional
associates, or any of them, shall not exceed the total compensation
received by PLI under the Agreement, or the total amount of $50,000,
whichever is greater… In the event the CLIENT is unwilling to limit
PLI’s liability as set forth above, this limitation may be waived for
additional fee consideration. 95
 LoL- Not always enforceable
• “Engineering services for the design of public bridges are of
great importance to the public. Thus, a clause limiting the
liability of a professional engineering firm for the design of a
public bridge is unenforceable as a matter of public policy.”
• “Additionally, PLI’s LOL clause violates public policy
because it interferes with the public welfare and safety.”
• “If a party is confident that the damages for an error are
limited, the party is less likely to ensure that those errors do
not occur.”
• “Additionally, the court is hesitant to enforce a Limitation of
Liability clause for professional services contract because of a
general public policy against waiving professional liability for
negligence.”
96
 Limitation of Liability

• Limitation of liability
1. By contract agreement (Exclusion clauses)
2. By insurance
3. By working in partnership
4. By establishment of limited company
5. By Risk management
– Possibility of minimizing a claim
– Effect on the business can be limited, in case of claim

97
 Limitation of Liability and actions

• Limitation of Action
• Principles
1. Person who has committed the wrong should not
have the possibility of legal proceedings hanging
over the designer
2. The people injured by a wrong should be
encouraged not to delay in bringing their
proceedings

98
 LoL: By Contract Agreement

• A) Agreement with the Employer

– The Consulting Engineer has no liability whatsoever for
any part of the works not designed by him/her or under
his/her responsibility unless due to decisions taken and
directives given by the Consulting Engineer in the course
of carrying out the services
– The Consulting Engineer has no liability whatsoever for
any damages resulting from the act of Client, the
Contractors or the Suppliers which is not covered by the
ToR or the Consulting Engineers’ instructions or written
advice

99
 LoL: By Contract Agreement
• B) FIDIC Clause-4 (Duties and Power of the
Engineer and Engineer’s Representative)
– Carry out duties defined in the Contract’
– Obtain specific prior approval as defined in contract,
– Accepts responsibility for the actions of Engineer’s
representative
– Delegate in writing powers and authorities to the
Engineer’s Representative and give copies to the Employer
and Contractor
FIDIC is a French language acronym for Fédération
Internationale Des Ingénieurs-Conseils, which means the
international federation of consulting engineers. ... Over the
years, FIDIC has become famous for its secondary activity of
producing standard form contracts for the construction and
engineering industry 100
 LoL by: Risk Management

• Risk Analysis
– Sources of risk-
• The project
• The design professional
• The Client
• Method of project delivery
• Type of contract used
• Time and cost
• Risk Assessment
– Probability and impact
101
 LoL by: Risk Management

Risk Response High

Manement
Allocation Avoidance
1. Acceptance
2. Mitigation
Probability
Mitigation
3. Allocation
4. Transfer Transfer
Acceptance
5. Avoidance Low

Small Risk Impact Large

102
Limit of Liability LoL by: Risk Management

• The E/A should be familiar with the strength of

each staff member so that design responsibility
can be delegated to the proper person
• The E/A should provide consultation,
leadership and guidance to less experienced
employees
• Assess and evaluate the capacity of the staff
best suited for delegation of the particular risk
and keep the periodic review

103
 Limiting Risk of Delegating design duty

• Training
• Standard of practices: code, standard, etc.
• Systematic design calculation
• Systematic Computer input
• Peer Review
• Systematic Checking Procedure

104
epp negligence and liabilities
•Delegation of authority

employer designer specialist

epp negligence and liabilities
•Delegation of authority

employer

Main Expert/
designer specialist
107
 Assignment -
A homeowner hires a contractor to install new plumbing
and insists that the pipes, which will ultimately be sealed
behind the walls, be red. The contractor instead uses
blue pipes that function just as well.
a. Can the owner get compensation under the “breach of
contract “by the contractor ?
b. If the contractor in the above case had been instructed to
use copper pipes, but he used iron pipes, then what
would be the scenario?
Support your opinions in both questions with sufficient
logics of performance and breach of contract.
108
•As an expert of consultant you were asked to monitor
(performance check) new water pump installed for a
water supply project financed by an INGO and handled by
local users committee (UC) at rural area of western
Nepal. The project to be completed by the end of
December 2019, otherwise the donor would stop the
payment. When you visited the site at the mid of
December 2019, you found that the water pump was not
installed. The UC informed the pump is ordered to
supplier of Nepalgunj and going to be delivered at site
within few days and the UC requested you to submit the
performance check report so that they could install the
water pump after some time and it will be beneficial to
about 300 households of the project area. Discuss the situation
Step of situation analysis
• STEP
1. Determine the facts in the situation
2. Determine the stake holders
3. Assess the motivation of the stakeholders
4. Formulate the alternative solutions
5. Seek additional assistance as appropriate
6. Select the best course of action
7. Implemented the selected solution
Case
A client came to designer’s and asked to design a multistoried building. The soil type is
found not suitable for that type of structure. The designer hesitated to design a
building. The Client revealed his/her intention as that he/she actually is not going to
build that structure. But he/she wanted to collect fund from outside sources (bank) on
behalf of that design and he/she wanted to utilize that money in other business. What
should a designer do in such situation?

STEP
1. Determine the facts in the situation
2. Determine the stake holders
3. Assess the motivation of the stakeholders
4. Formulate the alternative solutions
5. Seek additional assistance as appropriate
6. Select the best course of action
7. Implemented the selected solution
• ABC Company awarded a contract of
building work in KMC after dismantling
old building. A person request for the
order from the court for stopping the
construction work, as the old building
was offered to the KMC only to run
offices till the building exists. Once the
building is dismantled it must be his land
as per his claims. Now, from the
engineering aspects, what do you suggest
and clarify the situation.
Read the case carefully and Discuss the situation.
You are asked to evaluated and provide certificate to
users committee UC for final payment procedure of an
irrigation canal works in Dadeldhura constructed through
users committee. You found that the canal is excavated by
excavator (backhoe) and complete as per design. As per
public participatory provision in Act it is prohibited to
use heavy equipment in participatory approach work,
because the motivation of public participation is to
generate employment and to give opportunity to local labour.
The UC requested to you to provide the certificate
because the young people are not available in village in
these days so they use equipment.
HT: The Melamchi project can at least carry out
temporary black topping of the busy areas and
spray water to minimise dust
Dust is killing many residents of Kathmandu Valley. Already a polluted valley,
digging of roads to lay water pipelines for the Melamchi Drinking Water Project
(MDWP) has aggravated the situation causing respiratory problems like
bronchitis and asthma and chest pain, especially to commuters and those
residing close to the roads.
The MDWP did not come up with an appropriate plan to minimise this public
health hazard well before digging around 1000-km long water pipelines to
distribute drinking water throughout the valley, which has been facing
shortages of drinking water even during the rainy season.
Digging roads for laying water pipelines is not only the cause of dust and
environmental pollution, carbon emissions from old vehicles, brick kilns
located close to settlements, heavy concentration of population and
mismanagement of garbage are also responsible for the sorry state of affairs.
Air quality of the valley will not improve unless some drastic measures are
taken to control dust, smoke and pollution, the three major sources of health
problems.
Thank You

115