RIBA - Good Practice Guide - Professionalism at Work

Good Practice Guide
Good Practice Guide

Professionalism
Professionalism is not automatic with qualification. It is decided by the manner
in which you carry out your professional life – the conduct and qualities that
you bring to your role. In architecture, it is founded on the principles of honesty,
integrity and competence, and a concern for the environment and others.
As a trusted expert, it is essential that you gain respect for your skills and
at Work
knowledge while maintaining veracity and transparency in your relationships
and dealings with clients, end users, design and construction professionals and
Richard Brindley
Professionalism at Work
the wider public.
With a focus on professional judgement, this book is a personal guide on how to

be a self-aware and successful practitioner, aspiring to best practice.
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It will give you the confidence to create meaningful industry connections and
handle contractual disputes, insurance and negligence claims while maintaining
a high standard of conduct.
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By paying attention to business planning, financial processes, good
management and effective communication, it will help you to protect your
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practice’s reputation and increase profitability and cashflow. Ultimately, it will
enable you to not only avoid professional pitfalls but to benefit from positive
working relationships.
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Richard Brindley is a chartered architect with many years’ experience in small
and large practices and was active in developing the profession while Director
of Practice and then Executive Director of Professional Services at the RIBA
from 2003 to 2015. Richard now runs anindependent consultancy company,
Richard Brindley
providing strategic management advice and project delivery support to
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professional membership and construction industry bodies, as well as being a
university lecturer and course director for RIBA Part 3 courses.
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Good Practice Guide
Professionalism
at Work
Richard Brindley
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RIBA Publishing, 2022 Commissioning Editor: Alex White

Assistant Editor: Clare Holloway
Published by RIBA Publishing, 66 Portland Place, London, Production: Richard Blackburn
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All rights reserved. No part of this publication may be Intelligence Center; Figure 6.6 © Marsha Ramroop 2018;
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in any form or by any means, electronic, mechanical, Rowlands.
photocopying, recording or otherwise, without prior
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A catalogue record for this book is available from the the subsequent use of this information, for any errors or
British Library. omissions that it may contain, or for any misunderstandings
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Contents
Dedication IV
About the author V
Acknowledgments VII
Introduction IX
1 Professionalism: an overview 1
2 Professionalism at work with clients 15
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Professionalism at work with money
Professionalism at work with the law

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5 Professionalism at work with projects 89

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6 Professionalism at work with people 117
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7 Professionalism at work with society 145

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8 Professionalism at work with insurance 153
9 Professionalism at work with professional conduct 177

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Index 197

Dedication
I would like to dedicate this book to valuable guidance and inspiration for
Owen Luder CBE PPRIBA (1928–2021), my, and many others’, career as an
whose book Good Practice Guide: architect. Owen based his guide on his
Keeping out of Trouble (published experience as a leading practitioner in
by RIBA Publishing over multiple the successful Owen Luder Partnership
editions between 1991 and 2012) from the 1960s to the 1990s and
acted as an inspiration. His insightful as President of the RIBA (twice),
and candid views on how to be a chair of the ARB and a prominent UK
successful professional provided construction industry leader.
Richard Brindley
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IV
About the author
Richard Brindley is a chartered independent consultancy company,

architect with many years’ experience providing strategic management
in small and large practices and was advice and project delivery support
active in developing the profession to professional membership and
while Director of Practice and then construction industry bodies, as
Executive Director of Professional well as being a university lecturer
Services at the RIBA from 2003 and course director for RIBA Part 3
to 2015. Richard now runs an courses.
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Acknowledgments
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This guide is a product of all the • Peter Godfrey, RIBA Insurance
experience and knowledge I have had Agency
the great fortune to gain during my • Tzena James RIBA,
professional career as a practising RIBA Standards Committee
architect, executive at the RIBA
and consultant across the UK and • Owen Luder CBE, PPRIBA,
international construction sector. author of Keeping Out of Trouble
I am grateful to all my bosses, clients, • Andy Munro, former COO of the
work colleagues, co-professionals RIBA
and friends and family who have
guided and inspired me throughout • Nigel Ostime RIBA, Hawkins\
my career. I would like to particularly
thank the following wonderful people
who have helped me write this guide
EN Brown Architects and chair of
RIBA Client Liaison Group
• Carys Rowlands, Head of
for you: Professional Standards, RIBA
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• Jane Duncan OBE, PPRIBA, • Linda Stevens, Head of Client
Jane Duncan Architects Ltd Services, RIBA
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• Simon Foxell RIBA, The • Alex White, commissioning

Architects Practice editor at RIBA Publishing.
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VII
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Introduction
Doing the right thing, not just doing things right
T his book is different. Unlike most other RIBA Good Practice Guides and
professional manuals, which focus on ‘doing things right’, this guide
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is all about ‘doing the right thing’. Instead of simply presenting textbook
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theories and rules about professional practice, this guide aims to be a
personal guide on how to be a successful practitioner while maintaining
your professional integrity and ethical values, enabling you to avoid
business difficulties as you strive to create great architecture.
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‘Doing the right thing’ is the very essence of professionalism. It is all
about having an informed ethical and strategic approach to your work,
in the interest of the greater good and for the wider public benefit. This is
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far more than just ‘doing things right’, which is mainly about following
the recommended procedures and applying knowledge correctly.
‘Professionalism’ is also integral to your approach to your work and your
judgement, and requires you to have the skills, emotional intelligence and
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personal ethical values to uphold your professional integrity.
Professionalism is not difficult, nor is it expensive. But it is worth a lot

to you, your practice, your clients and society. Conversely, not acting
professionally can be costly – financially, environmentally, socially and
reputationally – and can impede your career fulfilment and personal
wellbeing. Professionalism is mostly common sense, but it is far more
than just putting theory into practice.
I have based this guide on the wealth of experience I have gained over my
career as a practising architect, and on the insights of the profession and
construction industry I gained as the Director of Practice and Professional
Services at the RIBA. I have also had the privilege of working for and leading
small, medium and large architectural and multi-professional practices, in
a variety of sectors, for a wide range of clients and projects, both in the UK
and internationally. I now apply my professional skills and knowledge as a
mentor, teacher, trustee and independent consultant to students, practices,
professional bodies and charities across the construction industry.
IX
Good Practice Guide: Professionalism at Work
This guide aims to share what I have learnt, often the hard way, about the great
importance of professionalism and the personal integrity you need to enable
a rewarding (in every sense of the word) career. It focuses on what, in my
experience, are the areas where things can and do go wrong in professional
practice and careers, sometimes with serious consequences. In each of
the following chapters, I have highlighted and given practical tips on key
professional issues, including on the business risks and ethical pressures they
often raise, which are rarely dealt with in formal education or mentioned in
other textbooks. Each topic is supported by personal insights from key people
who have been actively engaged with developing and guiding our wonderful
profession of architecture.
Each of the chapters in this guide has covered a key aspect of being an
effective professional:
• Clients – taking good care of them and dealing with them successfully.
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• Money – having a prosperous career and profitable practice.
• Law – understanding and complying with legal obligations and avoiding
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disputes.
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• Projects – managing projects effectively and profitably.
• People – working well with people and getting the best from them.
• Society – serving the wider public interest by considering users,
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society and the environment.

• Insurance – managing risks and avoiding claims.
• Professional conduct – fulfilling professional codes and dealing with
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complaints.
The intention of this guide is not to be a replacement for all the detailed
practice manuals and technical good practice guides, but to complement
and supplement them. If there is one overall message in this guide, it is
to make good use of your acquired knowledge and experience to develop
emotional intelligence and a set of personal professional values that you
can apply to real-life situations, such as tackling difficult decisions, making
moral judgements or dealing with demanding people and conflicts. It is
also about creating a safer work–life balance, avoiding worries and trouble,
and maintaining your professional integrity.
Hopefully, this guide will give you at least some of the insight and inspiration
you will need to enjoy a successful and rewarding career and to be truly
professional.
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1 Professionalism: an overview
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Professionalism is not the job you do, it is how you do the job
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How do we define ‘professionalism’, or a ‘profession’ or being
‘professional’? There are many different views and numerous treatises on
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the subject, but they generally agree on the following key characteristics:
• Doing work that is paid.

• Applying specialist knowledge or expertise.
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• Completing specific training and qualifications.

• Working impartially.
• Applying independent informed judgement.
• Working ethically within a set of codified values.
• Being honest and trustworthy.
• Balancing the differing needs of clients, users, society and the
environment.
• Having a wider public interest and longer-term view for the
greater good.
The essence here is that professionalism is not just the job you do, but it
is how you do your job. It is having a set of values, behaviours and wider
responsibilities in how you apply your specialist knowledge and skills.
This applies to architects and the other recognised professions across the
design and delivery teams in the built environment sector.

Professionalism is demonstrated by more than just qualifications, knowledge

and skills. It also requires integrity, ethics and trust. Demonstrating and
maintaining a high level of professionalism in your conduct and values will
help you to create stronger relationships with your client and employer, as well
as the team you work with, the people you do business with and the public who
will use, or benefit from, the products of your work.
Each chapter of this guide focuses on a different set of professional issues,

such as working with clients, handling money, working with others, managing
projects and complying with the law. This chapter looks at the background and
current issues of professionalism, as well as its dynamics, which are crucial for
operating as a successful professional today.
To appreciate the importance and current drivers of professionalism for the

future, it is worth understanding how professionalism has developed over
time, particularly for architects in the UK.
History of the professions and professionalism

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The concept of professionalism and the establishment of the modern
professions developed from the trade guilds and from the learned societies
for the church, law and medicine. These originated from the transaction of
providing protected privileges and recognised status to particular people in
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return for the development and application of their specialist knowledge and
skills to a prescribed standard. There soon developed systems of exclusive
membership, training and regulation and compliance with an ethical code,
and for maintaining a degree of integrity. The aim was to create an honest,
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skilled and knowledgeable broker that people could trust, who was concerned
not only with their client’s interest, but also the wider interest of society, the
state and the environment.
From Greco-Roman to medieval times, there developed elaborate professional

systems for most trades, as well as for religion, law and medicine. They formed
the basis of local and state governance, vestiges of which still exist today in the
form of livery companies in the City of London and elsewhere.1 This served well
enough for running primarily agricultural economies with an established feudal
social hierarchy but, as international trade grew and the Industrial Revolution
took hold, the changing financial, social and political dynamics created a need
to evolve the system.
The UK was at the forefront of the Industrial Revolution, with the

development of new knowledge and technologies. It was also undergoing
a radical change in the way of thinking, through an intellectual and
philosophical movement that soon became known as The Enlightenment.
The vast changes in society led to the development of a new model of
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Professionalism: an overview
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chartered professional bodies and professional codes, ethics and regulation

from the early 19th century.
The invention of steam turbines, combustion engines, textile looms, steel

furnaces and mass production systems soon led to the creation of new
and much larger conurbations, with large workforces concentrated around
key resources (such as water, coal, iron and clay), all connected by newly
created canals, railways and roads. Society quickly became urbanised and
mechanised, particularly in the UK, and London became the first city in the
world to have a recorded population of over 1 million, while other British cities
were also exploding in size and wealth. Influence and people moved away
from agriculture and the domination of land ownership. Increasing power and
money became concentrated in a new elite of industrialists, manufacturers and
global traders.
The shocks to the economic and societal systems led to an urgent need for
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well-informed and independent experts who could help create and operate
these rapid advances in scientific knowledge and social structures. There was
also the need to control the exuberances of the free-for-all market economy
and to define and maintain the standards of the new modus operandi for the
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industrialised trading world. Who was going to be the repository of this new
knowledge? Who would set the standards? Who could look after the interests
of the public and provide reliable, unbiased and trustworthy judgement?
The answer was: the Professions.
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Figure 1.1: Office of architects Bodley and Garner, London, 1883
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Within a relatively short period, from the early part of the 19th century, a
plethora of new professions, with their own representative bodies, were
established for medics, lawyers, accountants, architects and all sorts of
engineers. A seal of approval and civic oversight, along with an obligation to
uphold the public interest, was awarded to the many newly formed professional
bodies through the granting of a royal charter, a particular British construct.
Professionalisation of architects
The Royal Institute of British Architects (RIBA) was one of these new
professional bodies, formed in 1834, gaining its royal charter from William IV
soon after, in 1837. The purpose of the RIBA was very eloquently described as:
the general advancement of Civil Architecture, and for promoting and

facilitating the acquirement of the knowledge of the various Arts and
Sciences connected therewith It being an Art esteemed and encouraged
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in all enlightened nations as tending greatly to promote the domestic
convenience of Citizens and the Public improvement and embellishment
of Towns and Cities
which can be simply summarised as the ‘advancement of architecture’.2

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Figure 1.2: RIBA headquarters, 66 Portland Place, London
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The creation of professional codes, qualifications, standard terms for

appointment by clients and fee scales followed quickly afterwards, all of
which developed and formalised the concepts of professional integrity and
behaviour. In several professions, there was also statutory regulation, legally
protecting the rights of those who could exclusively practise in the field.
For architects, a form of statutory regulation emerged in the 1930s, in the form
of statutory protection of the title ‘architect’ – although not of the function or
work of an architect. This was controlled by an independent regulatory body,
the Architects’ Registration Council of the UK (ARCUK), which became the
Architects Registration Board (ARB) from 1997.3
Peculiarly, it is only the use of the title ‘architect’ that is statutorily

protected. Anyone can carry out the functions of an architect in the UK,
just not call themself an architect unless they are suitably qualified and
registered. There is little statutory protection of any form of engineering,
surveying or planning in the UK, but in Europe and elsewhere in the world
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there are various forms of protection for both the function and title of many
built environment professions, including architects.4 Many of the other
national systems for regulating professionals have been based on the
British models, with the state taking on the self-regulating functions found
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in British royal charters.
An infrastructure of status, privilege and protectionism gradually grew

around the professions. This was often mirrored by similar exclusive rights for
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trades, fiercely won and guarded by their trade unions. Many professions had
generous fixed fee scales, so that they competed only on merit and quality
of service, without having to haggle with clients over price – which was
considered far too commercial and therefore unprofessional.
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With the government-led reconstruction across Europe after the Second World
War, many more professionals worked directly in the public sector, providing a
public service, insulated from the commercial pressures of the private sector.
In the mid-1950s, about half of the registered architects in the UK were in
salaried employment and the public sector. However, this fell significantly,
to below 8%, in the UK from the 1980s to the 2010s, due to the political and
economic changes that reduced state provision and focused more on the
private sector and open global markets.5
Rise of consumerism to balance professionalism

The value of organised professions was already being questioned as they were
being established from the late 18th century. In 1776, the Scottish economist
and moral philosopher Adam Smith famously described them as ‘a conspiracy
against the public’ in his treatise An Inquiry into the Nature and Causes of the
Wealth of Nations.6 This sentiment was echoed by the playwright and critic
George Bernard Shaw in his 1906 play The Doctor’s Dilemma as ‘conspiracies
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against the laity’, when commenting on the methods used by professions to

acquire prestige, power and wealth.7
Over time, and despite the public interest obligations written into royal
charters and statutory regulations, the professions were increasingly seen
through the early to mid 20th century as self-serving, overly protected and
privileged; focused mainly on looking after their own and their clients’
interests, rather than the interests of wider society and the public good.
Concern was often triggered by high-profile and much publicised failures in
professional decisions and products. A recent example of this was the cladding
failures in the Grenfell Tower fire. From the latter half of the 20th century, public
trust in professionalism diminished and the professions failed to convince both
government and society of their value in terms of protecting public standards
and that they warrant their protected privileges and status.
This led to the rise of consumer protection legislation in the UK and across
the globe, to protect individuals from these more protected professionals,
with their more powerful clients and corporate organisations. Professionals
were increasingly seen as abusing their greater knowledge, influence and
status to bamboozle ordinary citizens, which led to growing public pressure on
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governments to change the balance of power. The result was the dismantling
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of many professional privileges, and the giving of additional rights and
protection to consumers in their contracts with professionals and commercial
organisations. From the 1980s, a raft of consumer protection legislation was
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established in the UK, such as the Consumer Protection Act 1987 and the
Consumer Rights Act 2015. The effect of this legislation on the contractual
relationship between consumer clients and their professionals can be seen
in Chapter 2 (on clients) and Chapter 4 (on the law), in the sections on
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appointment agreements.
Professional bodies such as the RIBA were forced to reposition themselves
and their members and to make changes to their professional restrictions.
Mandatory minimum fee scales in the UK became recommended fee scales
in 19818 – these lasted until 2003, when a tightening of rules by the Office of
Fair Trading meant that professional fee scales were no longer allowable. The
RIBA codes were also relaxed in 1981, to allow architects to advertise, directly
approach clients and openly compete for work through competitive fee bids.9
The onset of open competition coincided with economic supply and demand
upheavals through the cyclic recessions of the 1980s and 1990s, which led
to the average percentage fees charged by architects being reduced by half
over these two decades. Architects, who were often poorly trained in running
a business, like many other professions, had to become far more aware of
their costs, adjusting their business models as necessary, and were forced
to find more ways to promote themselves and convince clients that their
services would provide good value for money. During this period there were
also significant changes to the ways architects work and provide their services,
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principally due to the arrival of the internet and the introduction of computer-
aided design (CAD) and building information modelling (BIM), as well as new
forms of procurement, such as design and build contracts and the Private
Finance Initiative. Architects had to be much more commercially aware, careful
and precise about defining and costing their services. It can be argued that this
was a positive step in developing professionalism, resulting in higher quality
and better delivery of professional services.
The future of professionalism
The demise of the professions has been widely predicted, and many theories
espoused about big changes to the way we will work in the future and the likely
future relevance and role of professionalism. This includes work done by the
RIBA and the Edge Group about the UK built environment professions and their
professional bodies.
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The main premise is that a combination of new technologies, globalism,
political popularism, social change (equity, diversity and fairness),
environmental challenges and, more recently, global pandemics is completely
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changing the way we live and work and relate to each other. It will also change
the role of professionals, and we may see the concept of professionalism
broaden and be redefined.
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Ownership of specialist expert knowledge was always at the centre of any

professional system. However, there has been an explosion of knowledge and
freely available access to an exponentially growing plethora of information
online. Professional bodies are no longer the custodians and gatekeepers of
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knowledge, being unable to compete with internet-based global knowledge

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providers. It has also become impossible for any individual, or even group of
professionals, to know all there is to know about their speciality. How to make
sense of the overload of information has become the key challenge. The role of
professionalism is moving from the ownership and awareness of knowledge to
its interpretation and application.
New knowledge is developing so fast that what an architect needed to know
and learn to become qualified to practise becomes rapidly out of date and
they will need to update their knowledge regularly throughout their career.
Therefore, all professions need a way of maintaining their competencies.
Increasingly, mandatory systems of continuing professional development
(CPD) have been established by most professional institutions, including the
RIBA.10 Since the early 2000s, both the ARB and the RIBA have a mandatory
requirement for registered and chartered architects in the UK to continue to
undertake structured learning and cover a set syllabus. This is monitored by
the RIBA and evidence of CPD is often checked if there is any complaint or
accusation of professional negligence. The RIBA has recently determined a set
7
FURTHER READING: FUTURE OF PROFESSIONALISM FOR ARCHITECTS
A Theory of General Ethics: Human relationships, nature, and the built

environment by Warwick Fox (Cambridge: MIT Press, 2006)
Architecture, Ethics, and Technology by Louise Pelletier and Alberto
Pérez-Gómez (Montreal: McGill-Queen’s University Press, 1994)
Architecture and its Ethical Dilemmas by Nicholas Ray (London: Taylor &
Francis, 2005)
Collaboration for Change: The Edge Commission Report on the Future of
Professionalism by Paul Morrell (The Edge, 2015)
Ethics and the Practice of Architecture by Barry Wasserman, Patrick
Sullivan and Gregory Palermo (New York; Chichester: Wiley, 2000)
Professionalism for the Built Environment by Simon Foxell (Abingdon:
Routledge, 2019)
The End of the Professions? The restructuring of professional work
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edited by Jane Broadbent, Michael Dietrich and Jennifer Roberts
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(London: Routledge, 1997)
The Ethics Toolkit: A compendium of ethical concepts and methods by
Julian Baggini and Peter Fosl (Malden: Blackwell, 2007)
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The Future of the Professions by Richard Susskind and Daniel Susskind

(Oxford: Oxford University Press, 2015)
The Future of Work by Charles Handy (Oxford: Basil Blackwell, 1984)
The Professionals’ Choice: The future of the built environment
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professions edited by Simon Foxell (London: Building Futures, 2003)
of core competencies, starting with Health and Life Safety, Climate Literacy and
Ethical Practice, that architects need to achieve to be competent to practise.
Chartered Members will be required to demonstrate an awareness and
understanding of these areas to renew their membership from 2024.11
The ascendance of social media has brought new challenges for
professionalism. The narrowing and polarising of opinions, coupled with
the opportunity to promote misinformation across digital platforms, distorts
balanced and trustworthy advice and decision-making. It is possible to choose
to believe only the news and views of those that suit us most, without it being
necessarily reliable or true, which undermines the relevance of an accurate
professional opinion.
Yet these challenges are also a great opportunity to highlight the value and
necessity of professional knowledge and expertise, which should be unbiased
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and trustworthy. The big issues facing society and individuals, from climate
change to sustainable use of scarce resources and demographic expectations,
increasingly need the application of informed judgements and thinking
holistically about the bigger picture and the wider impact on society. The
professions, particularly architects, can – and must – rise to this challenge and
have a valuable and important future role.
PRACTICE INSIGHTS
Future of professions in the UK built environment

By Simon Foxell, The Architects Practice and the Edge Group
Looking to the future is both foolhardy and very necessary. We need to
prepare ourselves for what the future holds, but we are also duty bound
to influence it for the better. Given the challenges that we already know
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UK built environment professions will face in the years ahead – from
economic recovery to job automation and climate and biodiversity
breakdown – how will the role of built environment professionals
change?
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While significant dangers of loss of function and potential irrelevance
lie ahead, there are also major opportunities for individual
professionals, professional practices and the professions collectively.
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Analysing where professional skills are likely to contribute competitive

value (or not) in the years ahead can offer an insight into all our
futures.
Under threat
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• The ability to identify opportunities and then to transform places

to achieve betterment has been intrinsic to built environment
professionals for centuries. It will remain so, but it is under
significant threat from automated expert systems that can offer
superior results without all the fuss.
• Technical ability has also been a key professional attribute
for as long as anyone can identify, but it is also the most likely
area to be displaced by new technology, whether physical or
intellectual.
• Much current work results from being able to navigate complex
legal and regulatory regimes, including funding, planning
and building standards systems. This work will be done more
effectively on a machine-to-machine basis and can be expected
to wither.
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Level pegging
• Creativity and ingenuity on the part of built environment
professionals can both add economic value and maintain value
that would otherwise be lost. This will continue to be highly
prized and rewarded; but the challenge will be to run companies
based on problem-solving alone, without the accompanying
regular income generation of project delivery.
• Through high levels of competence backed with insurance,
professional firms absorb vast amounts of project risk,
something of great value to their clients and others. This is likely
to sustain their attraction to those employing them.
• The ability, born of extensive experience, to steer projects
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through apparently intractable political mazes will maintain the
importance of professionals, as will the talent to foresee trouble
and to ensure sufficient preparations have been put in place.
Increasing in value
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• As technology change continues to dominate, professionals
will have an important mediation role, ensuring that new
technologies are adopted when appropriate and utilised
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effectively. This role is only likely to grow.

• The role of professionals as coordinators, collaborators and
catalysers, well beyond that of project management, has long
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been a key, if relatively unspoken, part of their value. It will come

to the fore, but it needs to be more formally asserted.
• The extent of the ongoing environmental challenge means that
finding, monitoring and learning from solutions to climate-
related issues will dominate almost all built environment
professionals’ working lives for the foreseeable future.
• Public purpose has been much discussed in recent times
and is a fundamental, if much neglected, building block of
professionalism. If, and only if, this core aspect can be rebuilt,
by both individuals and professions as a whole, will it become a
strong carrier of value.
• Knowledge and expertise will continue to be a major source
of future value, but they need to be continually tested and
extended. Significant time and effort will have to be devoted to
keeping abreast of and generating new knowledge and skills.
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10
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• The ability to provide social value, whether in the form of

wellbeing, community cohesion or other, wider improvements,
is critical to the functioning of society in a conflicted world and
may become the most valuable built environment professional
service in the years ahead.
• The cultural offer of professionals will continue to be highly
praised and sought after, but perhaps this cannot be thought of
as a professional attribute at all. After all, no professional has
ever been reprimanded for ignoring it and none has a monopoly
over it.
The pressures on professionals are not just the diminishing of respect, trust
and recognition as the ‘keepers of knowledge’. They are also the economic,
EN
political, cultural and ideological changes in our globalised society. These
have caused a radical reappraisal of the purpose and value of professionals.
The legitimacy and need for professionalism is again refocusing on the qualities
of impartiality and honesty, being an independent synthesiser and interpreter of
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knowledge, and having a real commitment to the greater public good.
New expectations of professionalism

EC
The relevance and definition of professionalism is now coalescing around

a new set of expectations. These go well beyond just having specialist
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knowledge and expertise. The following is a list of the key attributes

(in alphabetical order, not a hierarchy of importance) that are now needed and
sought from professionals:
Arbiter: Balancing the needs and relationships between the client, business
colleagues and society, resolving differences.
Business skills: Commercially aware and entrepreneurial, but with a public

interest ethos.
Catalyst: Being an instigator, catalyst and collaborator to provide the social

conscience and glue that allow liberal economies to function.
Competence and stability: Knowledgeable and experienced, trustworthy,

managing expectations, resilient and remaining calm under pressure.
Delivery: Being efficient and effective in providing your services, creating a

good client/user experience, good communicator, empathetic and relating well
to the client.
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11
Empathy: Ability to understand, inspire and influence others. Having and using
emotional intelligence.
Ethics: Having the public interest and cultural and wider public benefits
at heart. Offering honest and independent informed advice. Open
communication, transparency and an ability to overcome self-interest.
Integrity: Behaving honestly and with principles that safeguard and improve
the quality of the standing and reputation of the profession. Serving and
protecting the interests of the community. Acting with impartiality without
being unduly influenced by others – in the way you believe to be right – and
doing this openly and with conviction.
Judgement: Capable of applying specialist knowledge and expertise to make

complex judgements, fairly and independently. Managing risks and taking
decisions.
Knowledge: Acting as a synthesiser and interpreter of complex knowledge, and

keeping your knowledge up to date and relevant through structured CPD.
EN
Leadership and teamwork: Able to inspire, convince and engage others,
IM
providing team leadership, coordination and collaboration and working well
collectively.
Visionary: Having creativity and flair, being innovative and problem solving.
EC
Having a particular awareness of environmental and social issues for

architects.
Conclusion
SP
Being professional in a contemporary setting requires a rich variety of skills

and knowledge. Yet much of this is not new; it is just seen differently. There is
a new and increasing emphasis on empathy, and on how professionals relate
to others, particularly their clients and business colleagues, society and the
environment, which is encapsulated in the current ARB and RIBA Codes of
Professional Conduct.12,13 The RIBA code is based on three guiding principles:
integrity, competence and relationships. The ARB updated its code in 2019
to include ‘respect for others’. The implications of this are discussed in more
detail in Chapter 9 (on professional conduct).
Professionalism is not only about the job you do, it is more about how you do
your job. It is not just having the specialist knowledge, skills and experience
to do your job, it is also having a set of values and behaviours that extend
beyond your responsibilities to your client, which address your responsibilities
to society more widely and to the environment. There are many new challenges
for professionals to address, from climate change to technical and societal
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12
1
changes, which will shape the relevance of and demands on architects and
other professionals into the future. The expectations and demands of clients
are also changing.
Endnotes
1 Melling, J.K. Discovering London’s Guilds and Liveries (London: Shire Publications, 2003).
2 RIBA Royal Charter (1837) RIBA Collections.
3 Under the Architects (Registration) Act 1931 and Architects Act 1997.
4 EU Directive 2005/36/EC, on the recognition of professional qualifications (Brussels: European
Commission, 2005).
5 Mace, A. The Royal Institute of British Architects: A Guide to its Archive and History (London: Mansell,
1986).
6 Smith, A. An Inquiry into the Nature and Causes of the Wealth of Nations: A Selected Edition,
Oxford World Classic, edited by Sutherland, K. (Oxford: Oxford University Press, 2008).
7
8
9
RIBA. Recommended Fee Scales (London: RIBA, 1981). EN
Bernard Shaw, G. The Doctor’s Dilemma, Penguin Classics (London: Penguin, 1987).
RIBA. RIBA Code of Professional Conduct (London: RIBA, 1981).

10 RIBA. CPD Core Curriculum. See: www.architecture.com/education-cpd-and-careers/cpd/cpd-core-
IM
curriculum [accessed 23 August 2021].
11 RIBA. Mandatory Competences. See: www.architecture.com/knowledge-and-resources/resources-
landing-page/mandatory-competences [accessed 23 August 2021].
12 ARB. The Architects Code: Standards of Professional Conduct and Practice (London: ARB, 2017).
EC
Available at: www.arb.org.uk/wp-content/uploads/2016/05/Architects-Code-2017.pdf.

13 RIBA. RIBA Code of Professional Conduct (London: RIBA, 2021). Available at: www.architecture.com/
knowledge-and-resources/resources-landing-page/code-of-professional-conduct.
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13
EN
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EC
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2 Professionalism at work
with clients
EN
There can be architecture without architects, but not architects
without clients
IM
Clients are vital for architects. Without them, there are no buildings to
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design and no market for your professional services. The relationship

between an architect and their client is crucial and complex. Ensuring
it’s a positive and rewarding experience is important for both parties,
requiring a professional approach, otherwise it can become fraught with
professional risks. This chapter is all about understanding clients and how
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to set up, establish and maintain a fulfilling client relationship.
What do clients want from architects?
A client is the user and commissioner of the architect’s services, but it’s
important to note that clients vary widely. They may be an individual
or a client group, ranging from a homeowner to a major contractor or
government client. No two clients have the same needs or demands of their
architect. The first step for any architect is to gain the best understanding
of their client’s needs, whether financial, social, cultural or specific.
To gain a better understanding of how clients view architects and what they
want from them, the RIBA carried out a series of surveys with a wide range
of clients between 2013 and 2018 in its RIBA for Clients initiative.1 The
findings were not altogether surprising, but they did give a clear picture of
what the profession needs to do to improve its client relationships.
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Encouragingly, most of the clients surveyed were satisfied with the services
they received from architects and the design solutions that were created.
They appreciated architects’ design talents and rated the skills of professional
architects more highly than those of non-architects. However, contractor
clients in particular were less satisfied by the way architects managed the
design process and the design team. Clients were even more critical of
how architects understood and responded to their needs and how they
communicated with them during their project. The RIBA’s report on this
extensive survey of clients is well worth reading and is freely available on the
RIBA’s website.
PRACTICE INSIGHTS
RIBA for Clients

By Nigel Ostime, Delivery Director at Hawkins\Brown Architects and
Chair of the RIBA Client Liaison Group
The key conclusion from the RIBA’s client surveys was that clients
EN
think UK architects are great designers, but they want them to be
IM
better businesspeople and to equate being business-like with
professionalism. From the wide-ranging feedback, three activities stood
out among the services that clients want architects to perform:
EC
• managing finance
• obtaining feedback for continuous improvement
• providing (the right sort of) leadership.
SP
Managing finance
Clients want their architects to demonstrate a good understanding
of their business and the property sector they operate in. They
must understand the financial drivers behind the projects they are
responsible for managing on their clients’ behalf. Clients also reported
that they want their architects to be business savvy – so architects
must, for example, know their overheads, and be able to negotiate their
fees knowing what it will cost them to deliver the service.
Feedback
Clients also want to be asked for feedback on the services provided
(to facilitate continuous improvement) and to have post-completion
analysis (Post Occupancy Evaluation) of their buildings. There is no
fee for providing feedback, so it does not happen. But this is very
short‑sighted. Manufacturing has always recognised the need for a
feedback loop. The construction industry needs to make this happen.
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Professionalism at work with clients
2
And this should not just be feedback at the end of the project;
for optimum benefit, there needs to be opportunity for continuous
feedback throughout the process.
Leadership
Clients also want leadership. Not a didactic, ‘do as I say’ type of
leadership, but rather a collaborative, ‘leading from the front’ style.
Clients see architects as the natural leaders of the design team and this
is a role that the profession must focus on in the future if it is to thrive.
What clients think of architects
EN
The RIBA Client Liaison Group went on to produce a second report, What Clients
Think of Architects (2016).2 Based on an online survey, satisfaction ratings
for architects’ services were assessed from the responses of 958 clients,
who ranged from individual domestic clients to large commercial clients and
IM
contractors. The survey questions were deliberately phrased to encourage
clients to give honest feedback and to focus on where they think there is room
for improvement. The purpose of the survey was not to seek praise, but to learn
how architects can continuously improve their services to clients.
EC
The key findings showed that clients were generally pleased with their projects
and buildings. The highest scores came from private domestic clients – 76%
were ‘very satisfied’ or ‘fairly satisfied’ with their project – while contractors
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give the lowest satisfaction scores. Architects’ design skills were also highly
rated, and clients appreciated their project’s aesthetic and other design
qualities (such as levels of daylight, room dimensions, ease of circulation,
and so on) and their architect’s ability to meet the brief. Private domestic
clients were more satisfied with architects on all counts than were contractor or
commercial clients.
Importantly, architects’ process management abilities were less well rated.

Although clients gave architects good ratings for some aspects of the process,
such as interpreting client needs, explaining and communicating, clients
were less satisfied with other aspects of architects’ process management,
their commercial understanding and their ability to add value, adhere to
the programme and manage work. Contractors gave substantially lower
satisfaction scores than other clients.
Architects known and selected personally by the client were more highly rated
than architects chosen in another way. It seems that clients were more satisfied
when there was a personal element in the way they selected their architect.
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17
In other words, architects selected through personal recommendation, or

because the client had used them before, were rated significantly higher than
architects selected through an advertisement or framework or via novation
(on a design and build project).
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Architects who followed up after the end of the project were rated significantly
higher than architects who did not. Furthermore, among architects who did
seek feedback, those who were not under contract to do so were rated even
more highly than those who were.
Clients’ wish lists
The following list, compiled from a wide variety of sources of client feedback,
including the RIBA’s reports, summarises the things that clients include in
their wish lists for their architects and consultants. It is a useful checklist for
EN
how you promote, organise and deliver your services to your clients.
• Listening and understanding – Awareness of the client’s needs and the

drivers and constraints on their project. Ability to develop a client brief
IM
and scope of services that focuses on the client’s primary objectives and
business case.
• Knowledge and competence – Knowledge, skills, expertise and design
EC
competence, evidenced by results and feedback. Good at synthesis,

interpretation and application of information and knowledge.
• Vision and creativity – Innovative and creative design skills. Ability to
create attractive, affordable, buildable and well-performing solutions.
SP
Problem solver, providing good solutions. Able to optimise the

development opportunity and create long-term value for the client, users,
society and the environment.
• Leadership – Proactive leadership. Ability to coordinate the design and
delivery teams, enthuse and guide others and champion the client’s
vision. A team player.
• Business value – Commercial and financial awareness, and the skill to
understand fully and implement the client’s business objectives and to
create and maximise the project’s financial value for the client.
• Delivery – Well-organised business procedures, project management
processes, client relationship and communication systems, all focused
on delivering results with clearly defined and managed budget,
programme and quality controls. Able to manage expectations and
achieve outcomes that meet or exceed what was agreed with the client.
• Responsibility – Motivation to step up and take responsibility.
Engendering a no-blame, no-excuses culture across the project team.
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2
Ability to own up to and fix mistakes or omissions without fear of

retribution or undue penalty.
• Certainty – Robust approach to risk and change management.
Understanding and mitigating risks and changes to time, cost, quality
and reputation. Effective systems to monitor, report and deal swiftly with
unforeseen effects and uncertainty.
• Communication – System for keeping the client fully informed and
regularly updated. Being on the same wavelength, proactive, receptive
and aware of what is going on across and around the project. Being the
main contact with and unified voice of the design and construction team.
PRACTICE INSIGHTS
What clients want
EN
By Linda Stevens, Head of Client Services at the RIBA
The RIBA puts thousands of clients in touch with architects every year
through the Client Referrals Service, the online ‘Find an Architect’
service and RIBA Competitions.
IM
The advice we offer to practices is backed up by evidence gathered
by the RIBA’s Client Liaison Group. We found that clients share the
following five fundamental needs and wants.
EC
1. Championing the vision

Clients are willing to invest significant trust in architects who can nurture
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a vision from conception to completion. To take advantage, architects
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should do two things: bolster their team’s skills and techniques, so

they champion the vision from beginning to end; and ensure that their
communication is engaging, authoritative and persuasive.
2. Listening and understanding
While clients want their architect to challenge the brief, they do not want
to have to argue about design aspirations that do not align with theirs.
Equally, they do not want the architect to squander the value they have
added by an excellent design through inefficient project management.
The lessons for architects are to speak the client’s language, pre-empt
problems and optimise the design to meet the client’s key drivers.
3. Engaging with people
Clients value good teamwork, collaboration, cooperation,
communication, anticipation, respect, empathy and so on. These
characteristics are important in building trust and overcoming the
19
stresses that inevitably arise on even the smallest of projects. The trick
for architects is to find the sweet spot between leading the design
vision and working collaboratively with colleagues who will help to
deliver it. Central to this is the ability to sustain regular, constructive
communication.
4. Delivering technical talent

Clients recognise it is good design that adds most of the value to
projects. However, with disruptive new technology now affecting
practice, clients also increasingly see the profession as falling into
two broad but separate categories: concept architects and technical
delivery architects. They wish it were otherwise. Knowledge and
competence always matter. Architects should be investing in Modern
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Methods of Construction, BIM skills and innovation, treating cost,
EN
time and other client constraints as the grit in the oyster, and ensuring
that their designs are sustainable, human-centred and consider the
whole‑life of the building.
5. Learning and improving

IM
Clients increasingly expect evidence of competence and assurances
of quality. The more convincingly an architect can prove that they add
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value, the more they can dictate the fee. The key is for architects to
collect honest evidence of design effectiveness and service quality
through feedback, which should be used strategically to direct a
programme of continuous professional development.
SP
Choosing your client
Professionalism applies not only in how you provide services to your clients,
but also in how you choose the right clients and projects for your practice.
Clients can be a pleasure to work with and profitable for your practice, but
they can be hard to win and easy to lose. An ineffective client relationship
can cost you time and money and cause a lot of stress. At worst, when client
relationships break down severely, they can cost you your reputation, your
business and your career. Most of the legal disputes and claims against
architects’ practices – over money or for professional negligence – are
instigated by clients. Being able to understand what type of client base will
work best for your practice is a vital skill. This will enable you to decide whether
your aims align with those of a potential new client and, if not, to communicate
clearly why this is the case. Do not be frightened to say no if you feel the client
will not be a good fit for you or your practice.
20
2
Clients come from a variety of sectors and cultures, with different needs and
demands of their architects. They can operate in the public or private sector,
and can be an individual or a complex corporate organisation, novice or
experienced, focused on commercial or not-for-profit objectives and have
projects ranging from the tiny and personal to the gigantic and civic. But the
principles of a good client relationship remain the same.
Clients prefer to work with architects they know and may have worked well with
before, as evidenced in the RIBA’s client surveys.1,2 Developing and nurturing
long-term client relationships is not just worth the effort, it is the professional
approach.
There are so many questions you need to answer before agreeing to sign up
with any client:
• Is the potential client bone fide?
EN
• Are they trustworthy, reasonable and stimulating?
• Will they be good for you to work for?
• Are they serious and committed about their project?
IM
• Have they got the capability to achieve their project and can they fund it
through the various stages?
• Do they really know what they want or need?
EC
• What are their overall aims and goals for the project?
• How do they select and work with their consultants?
• What do they expect from their professionals?
SP
• Can you work successfully with them?

• Is this a type of client you want to work with and a project sector you want
to be in?
• Do you have the credibility and ability to win this client and the project?
• Do you have the experience, expertise and resources to deliver the job?
• Will this client enhance your reputation, be profitable and lead to
future work?
• Will this client and project help you to fulfil your personal and practice
ambitions and goals?
Finding out how good a potential client is, and how suitable they and their
project would be for your practice, requires both intuition and a rigorous
process of investigation. The following checklist is a valuable tool for ensuring
you adopt a professional and organised approach when choosing to take on a
new client.
21
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CLIENT SELECTION CHECKLIST
Before agreeing to work for a new client, it is both worthwhile and

professional to conduct a thorough assessment of their circumstances
and business set-up. To do this, consider the following questions:
Client identity – What is the precise name and legal entity of the client
you will be contracting with in your appointment contract?
Corporate or consumer client – Will the client be acting personally,
or on behalf of a corporate body? They may be contracting with you
personally, or as their own limited company, a private partnership or a
sole trader. This will affect their legal rights and therefore how you will
work with them. If they are an individual, consumer protection laws will
apply and will affect your appointment contract (more about this in the
section on appointment contracts, later in this chapter).
Company status – Is the client a limited company or some other form
of business entity? If so, it may be part of a larger conglomerate,
EN
a subsidiary of a parent company or a member of a consortium. Is it
IM
a private or publicly owned company? Who is in charge, and what
controls and resources does the company have? If the company
becomes insolvent, who will continue the project? Is the company,
and any parent company, registered in the UK? What do the records
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at Companies House say about the organisation? You may need some
form of guarantee from the parent company, or their funders, to ensure
the client will have the authority and funds to do and pay for the project
you are being contracted to do.
SP
Decisions and instructions – Who is the person, or group, that will

select you for appointment? And on what basis? How do they make
decisions? Who will be the specific person, the appointed ‘client
representative’, from whom you receive your instructions and obtain
approvals? Do they have the authority to do this?
Payment of fees – Who will pay your fees? It should be the same entity
as the one you will be contracting with in your appointment contract.
If not, be very careful, as you will also have to have contractual
obligations to the fee payer. Who would you make a claim against,
or even sue, for any non-payment of fees?
Ability to pay – Will the client be able to pay your fees and expenses?
Check any publicly available company accounts and, if these are not
accessible or not recent, ask the prospective client directly for their
current accounts and proof of financial status so you can check if they
have the resources to pay you. If it is a subsidiary company, do they
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22
2
have the assets and authority to pay you? It is easy and inexpensive
to carry out your own credit checks via a reputable rating agency.
On international projects, where payments can be tricky, and there
are added risks due to exchange rates, legal certainty and banking
conventions, it would be wise to insist that the client sets up pre-paid
bonds, held by a reputable bank in sterling, for payment of your fees
when due.
Payment on time – Can you rely on being paid on time and in full? It is
good practice to pre-agree a fee payment schedule, comprising regular
and smaller payments, to maintain your cash flow and credit control.
This enables you to spot payment difficulties early on and to deal with
them before any outstanding debt gets too large. You are not a bank or
source of finance for your client. It is worthwhile finding out who else
does business with this client and to check with them about the client’s
payment record. EN
Approach to money – Does the client have a realistic budget and
clear understanding of their finances for the project? Do they see their
IM
project as an investment to realise their objectives; or is it merely an
inconvenient expense, suggesting they will be reluctant to spend
money and will focus mostly on reducing costs? Clients usually focus
on value, not cost – they are driven and willing to spend money if they
EC
can see a return on that investment. Be wary of clients who focus on

how little they can spend and how they can reduce costs. This may also
affect how they approach your fees – for this type of client, it is more
about the lowest cost, rather than the value you can add. Or are they
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duty-bound to accept the lowest fee bid? Good clients want good value
for a fair price – they rarely haggle on price if you convince them you are
offering value and a good service for your fee.
Expertise – Is the client knowledgeable or inexpert about their
business and the project sector? What level of support will they need
from you? Do they know what they are doing and want from you?
What are their overall aims, objectives and targets for their project?
Public profile – What do social media and online profiles tell you about
the prospective client? Are there any adverse (or positive) comments
about how they do business and pay their suppliers? Ask others who
may know this client. It is better to do this by phone, or informally,
face to face. You will get a more candid assessment than through
anything written or more formal.
Reputation: Do they have a good public reputation for being successful,
efficient, trustworthy and ethical? Do they treat their employees,
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23
consultants and suppliers well? Are they decisive? How do they

conduct their business: fairly, clearly and collaboratively, or secretively,
aggressively and combatively?
Personal impression: Does this potential client seem genuine,
trustworthy and serious about their project? Do they share your design
and professional values? Do they listen and respect the advice of their
consultants? Does their personality feel compatible with yours? Can you
work with them? Your own personal vibes are important and valuable,
particularly when honed by your previous experience.
Working with your client
EN
Research into your client always pays dividends, particularly if it is done before
you choose to work with them. What you find out will help you to understand
and work with that client. It will help you to respond to their needs, get to know
them and build a trusting relationship. When you first meet your client, or make
IM
a proposal to them, you should interview them as much as they interview you.
Establishing a good client–consultant relationship is a two-way process.
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As well as carefully checking out your new potential clients, you should also
EC
periodically check your existing and long-term clients. You may think you
know them well and believe all is fine. But they can change, particularly if their
leadership, ownership, personnel, finances or business priorities change.
SP
Find out as much as you can about your client before signing up with them. If
you receive any negative signals or feedback, do think hard before committing.
Do not be embarrassed about carefully checking out your prospective clients.

An understanding client will see this as due diligence and they should
appreciate this, and you are more likely to go up in their estimation as being
responsible, careful and professional. They may also be similarly checking on
you. If they are asking you for client references, recent accounts or a banker’s
assurance, see it as a positive sign they are interested in you and that they are
also careful in selecting their consultants.
If you get qualified or negative responses to your enquiries, or still feel

uncertain or unclear, it may be better for you to say ‘no’, no matter how much
you want the job. Always remember, before you sign up with them, it is never
too late to say ‘no, thanks’. It is always easier to say ‘yes’, but the art of
professionalism is also knowing how and when to say ‘no’.
Like all relationships, a good client relationship requires constant attention

throughout the project. Personal and face-to-face engagement (in person
24
2
or via a video call) is far more valuable for building trust and respect than
more remote and formal communications, whether online, by telephone or in
writing.
Even if you have done all of the above and are sure that this is a client with
whom you could work and who has a good project to work on, things can go
wrong. Relationships can deteriorate, unpaid invoices can pile up. The scope
of the project and your services may alter beyond those you are comfortable
with. At some point you may have to decide that the relationship is no longer
workable or repairable and the risks of working with this client, and on their
project, outweigh the rewards.
Certain clients can be unreasonable and make unacceptable demands. At the

onset of the project, decide what your limits will be and, politely but clearly,
let your client know where the boundaries are. Will you respond to calls, emails
and meetings at nights and weekends, unless it is a dire emergency? What are
EN
your financial limits for unpaid fees? How do you expect you and your team to
be treated? What are unacceptable behaviours?
If you decide to part company with your client, you need to consider how to
IM
do this professionally and with minimal fuss and cost, minimising the effect
on everyone’s reputation and relationships with other parties. You will need
just cause to take such action and to terminate your contractual obligations.
There are forms of reconciliation and dispute resolution that can and should
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be explored first. The triggers and processes for withdrawing from a client or
project will usually be set by the terms of your appointment contract. Check and
comply with those carefully to avoid a counterclaim.
SP
If it does not compromise your contractual or ethical position, it may be

worthwhile to find someone else willing and able to work with your client, who
can take on your role and responsibilities. Make it clear it is a business and/or
professional difference, not a personal one.
At the end of each project, it is good to review what you have learnt from this
client relationship and to use it to inform the selection process for your next
client and project. If you are disciplined and follow a proactive process of client
selection, this will result in an increase in successful projects, fewer worries
and a more fulfilling professional career.
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Getting paid
Not getting paid is a big problem. The bigger the project and the larger the
fee, the bigger the problem can become. This issue is only outlined here
– regarding aspects relating to clients – but is addressed in more detail in
Chapter 3, on money.
25
It is important to keep monitoring the financial position of your clients. A client

who is financially sound at the outset of a project may get into trouble later. Keep
on top of regular payments and be aware of any outstanding costs and fees for
any client. A good strategy is to invoice regularly – ‘little and often’ should be
the maxim. A delay in payment of fees is often a good indicator of trouble in the
client’s finances. Don’t allow this to go unchallenged or to get worse.
If your client changes identity, or if you are novated to a new client, check that
they are as financially secure as the original client.
If a client does not comply with the agreed fee arrangements and gets behind
on payments, it is important that you contact them as soon as you discover it.
It is best to do this informally and gently at first, on the phone or when you next
meet them, but be persistent if it continues to be an issue. If needed, indicate
that you will be prepared to invoke the payment provisions they have agreed
to in their contract with you (e.g. charge interest, stop work or withhold the
copyright licence).
Appointment contracts
EN
IM
To establish and maintain a professional client relationship, it is essential
that you have a comprehensive, written contract of appointment with your
client and that it is in place at the very start of any project. This is not only key
EC
to running a successful practice, but also a requirement of the ARB and RIBA
codes of professional conduct.
The UK legal system recognises verbal contracts, but it would be foolhardy

SP
to rely on one in our increasingly litigious age as they are prone to

misunderstandings and disputes. The ARB and RIBA acknowledge this by
demanding that registered and chartered architects must have written contract
agreements (not necessarily a RIBA standard form of agreement) with their
clients.
It is difficult to prove exactly what was agreed in an unwritten contract, even if

there were witnesses to your conversation. In dispute resolution and litigation,
the judges decide on the documented evidence before them. If the evidence
is not explicit, the law tends to give the benefit of the doubt to the client,
particularly a consumer client. This also applies to informal light-touch written
agreements and letters of intent, where the disputed issue might not be
adequately covered in the brief text.
This is why the ARB and RIBA codes of conduct require all registered and
chartered architects to have a written agreement with their clients, and for
this to be in place before any work commences.3,4 Failure to do this puts you
at risk of serious professional misconduct, and even of being struck off the
26
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2
ARB register or expelled from RIBA membership. If a formal complaint about

you is made to the ARB or the RIBA, this tends to be the first question that
the ARB or RIBA will ask. The lack of a comprehensive written appointment
contract between an architect and their client is a frequent cause of successful
professional misconduct claims.
Any form of written contractual agreement can be used, as long as it complies

with the ARB’s requirements. However, using a standard RIBA Professional
Services Contract is sensible and highly advisable.5 If you use a different or
bespoke form of appointment contract, it is imperative that you check and
ensure that it closely follows the terms and conditions of the latest RIBA form
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of contract. Otherwise, you may not be in compliance with your professional
indemnity insurance policy requirements, and will thereby be uninsured and
not compliant with the ARB and RIBA codes.
It is common practice for experienced clients to have their own form of

EN
appointment contract and to insist that their consultants use it. This is
understandable, but not sacrosanct, and clients could be open to change.
Standard forms of appointment contract, such as the RIBA Professional

Services Contract suite, are based on extensive experience, analysis of
IM
case law and consultation with insurance underwriters, client forums and
construction industry bodies, to achieve a fair balance of responsibilities
and risks between the parties that is both insurable and tested in law. They
EC
are also carefully designed to be individually tailored to suit the specific

needs of the client and the project, without compromising the standard terms
and conditions. It is therefore in the client’s best interest, as well as the
consultant’s, to use standard forms of appointment contract, or to ensure their
SP
bespoke forms follow the standard forms very closely.
Standard appointment contracts

The following list outlines why you should use a RIBA Professional Services
Contract or other standard contract. As well as offering advice for your
professional practice, it may be a useful tool for persuading a client to use a
standard contract, or to ensure that their own appointment contract is based as
much as possible on a standard contract.
The key benefits of using a RIBA Professional Services Contract, or other

relevant and recognised standard form of appointment contract, are that it:
• engages the consultant within a framework that has a proven legal basis
and incorporates current standard industry practices, procurement
methods and legislation
• enables a successful client–consultant relationship by establishing a fair
and reasonable allocation of risk between the two parties
27
• clarifies the respective undertakings of the parties, providing comfort and

protection for both the client and the consultant
• is less expensive, more convenient and safer than developing and
keeping up to date your own bespoke forms
• enables all the consultants on a project team to be engaged on the same
basis and to work together seamlessly
• prevents contractual misunderstandings and disputes, and has clear
provisions for resolving complaints and disagreements.
There are also more detailed technical advantages in using standard forms of
appointment contract. These are that the contract:
• defines the scope of the work to be carried out (in the case of the RIBA
contracts this is mapped against the RIBA Plan of Work)
care), which can be covered by professional indemnity insurance

• has a proven legal basis – established using case law and tested in the
EN
• allocates and defines responsibilities and liabilities (including duty of
courts – which dispute resolvers and litigation judges rely on to make

IM
their decisions
• confirms the legal framework in which the contract operates (form of
contract law, pertinent legislation, etc.)
EC
• defines the fees, calculation methods and payment arrangements

• asserts and retains copyright over any intellectual property and limits use
of any confidential information
SP
• is likely to comply with the RIBA and ARB codes of conduct requirements,
which will be checked in any claims for professional negligence and
misconduct
• coordinates with other recognised construction contracts (RIBA, JCT
(Joint Contracts Tribunal), NEC (New Engineering Contract), etc.)
• identifies the parties to the contract and states who has the authority to
make decisions and give instructions
• clarifies the different legal status of a consumer client
• sets out methods of dispute resolution and complaints handling
• defines the provisions for the suspension and termination of obligations
under the contract.
There are several variants of the RIBA Professional Services Contract,

developed to deal with a range of different contractual situations. It is
imperative that the right form of contract is chosen, which depends on:
28 --`,,,,,,,``,`,`,,`,```,,````,,,-`-`,,`,,`,`,,`---

2
• type of client (commercial or consumer)

• type and complexity of the project (Concise version for simpler and
smaller projects)
• services required
• procurement route
• form of construction contract
• relevant legislation.
Detailed advice on how to select the right form of appointment and the right
construction contract for your client and their project is covered in various
publications, including Good Practice Guide: Fees,6 and by specific CPD. These
also give guidance on how to tailor a contract to meet the specific needs of a
client without adversely affecting the legal terms and conditions. However,
unless you are highly experienced and knowledgeable in this complex field,
EN
it is important that you seek advice from an independent expert, particularly
from your professional indemnity insurance provider, before signing up to any
bespoke or amended standard form of appointment contract.
IM
Bespoke appointment contracts
It is usually easier to convince a new client – one who has not previously
engaged consultants or architects – to use a standard form of appointment
EC
contract. But experienced clients, such as developers, contractors and larger

corporations, are likely to have developed their own bespoke contracts, which
they require their consultants and contractors to use. Some consultants,
including architects, are also known to develop personalised terms and
SP
conditions for their own appointment contracts.
Creating bespoke agreements by tinkering with the terms and conditions of

tried and tested standard forms of contract may seem worth doing, but it rarely
is and can have unintended adverse consequences. Even small changes to
the standard terms can alter the balance of risks and liabilities between the
parties, sometimes to professionally and commercially unacceptable levels.
If a client wants you to use a bespoke contract, or insert a new clause, it would
be advisable to establish why this is the case as there may be a better way to
accommodate their concerns.
Having shorter, seemingly simpler and less onerous contracts is also

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misguided. Edited versions can entail more risk, rather than less, through
what is left unsaid. There are good reasons – and many years of legal
precedence – behind why the RIBA Professional Services Contract suite is
the way it is. The legal requirements and professional liabilities surrounding
consultancy services are complex and extensive, as set out in Chapter 4, on
the law. Any changes or additions to established standard contractual clauses
29
should only be drafted and then carefully checked by legal experts for both of
the parties.
It is impossible to survey the whole construction market accurately, but it

is known that bespoke contracts are used for the majority of design team
appointments in the UK construction industry. Therefore, it may be difficult
to avoid using bespoke appointment contracts. The RIBA advises clients,
architects and consultants alike that the terms and conditions of bespoke
appointment contracts should at least be based on the RIBA standard
conditions, which are seen as the established industry norm and form the
basis for case law and professional indemnity insurance. If faced with a non-
standard contract, or a significantly amended standard one, you should consult
your professional indemnity insurers and seek legal advice.
The key things to look out for in a bespoke form of appointment contract are as
follows:
EN
• Duty of care – anything that changes the legally important phrase:
‘the reasonable skill, care and diligence to be expected of an Architect/
Consultant experienced in the provision of such services for projects
of a similar size, nature and complexity to the project’, or the addition
IM
of clauses and terms that would impose a greater duty of care on the
architect, such as ‘expert’, ‘professional’ or ‘indemnify’.
• Fitness for purpose clauses or performance warranties – anything that
EC
imposes absolute obligations on the architect to comply with the brief,

budget, programme or specific performance standards.
• Collateral warranties – which may impose on the architect different or
more onerous obligations to other parties than those of the appointment
SP
contract. If the client needs to include other parties in the contractual

obligations (e.g. funders, tenants or partners), it is better to use the
device of ‘third party rights’, which are based on the same terms as the
main contract (although it will still be important to be mindful of the
extent and identity of those being offered these rights).
• Ownership of copyright – terms that transfer copyright to the client.
Under the standard terms, copyright of intellectual property is retained
by the consultant/architect and a licence is given to the client for use of
the design upon full payment of the agreed fees. However, keep in mind
that clients may want to have full ownership of the copyright of your work.
Copyright has a real commercial value, which should be reflected in the
fees if ownership is transferred. Retaining copyright is a powerful way of
ensuring payment of your fees, as the licence can be revoked if the fees
are not fully paid, which would stop the client from making use of your
design efforts without due recompense.
• Subconsultants’ and other consultants’ terms – other consultants that
you have to work with should have identical contractual terms and shared
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30
2
responsibilities and risks, whether they are directly or indirectly (via a

main consultant) appointed by the client.
• Hazards, deleterious materials, environmental and pollution liabilities
– any additional liabilities should come within the current coverage
provided by your professional indemnity insurance. This will vary from
time to time, as new hazards are discovered. For example, many external
cladding systems became quickly uninsurable after the Grenfell Tower fire
in London in 2017.
• Professional indemnity insurance – any requirements to remove
‘joint and several’ liability or to have excessive or unlimited insurance
liabilities. Although not popular with some clients, try to ensure that your
contract has a ‘net contribution clause’ (payment cap) or maximum limits
to the value of any payout (that are within the level of your insurance
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cover). These are different, but interrelated issues. The professional
indemnity insurance market is volatile and affected by changes in
EN
wider economic conditions. The insurance requirements in the contract
should always be dependent on cover being readily available and at
commercially reasonable rates.
• Economic and consequential loss clauses – anything that changes or
IM
extends your liabilities beyond the costs of making good any design or
construction mistakes. If this has to be included, then ensure that there
are prescribed financial limits.
EC
• Liability periods – anything that extends your liability beyond the normal
six-year period for contracts or 12 years for deeds (see Chapter 4 for
an explanation of liability periods). There will be an additional cost for
the added insurance premium you will need to pay, not to mention the
greater liabilities, over the longer period of time.
SP
• Assignment or novation – anything that affects your right to decline

being transferred to a client you do not wish to work with.
• Legal jurisdiction – whether the contract will be governed by law
other than UK contract law (which varies slightly between England and
Scotland). If the contract law of another country is to apply, make sure
you are fully aware of the consequences of this and that your professional
indemnity insurance will still be valid.
The above list illustrates how important it is to approach contracts with

professional rigour and to seek expert legal advice where necessary, to ensure
you have an appointment contract that is fair and workable for both you and
your client.
Letter of intent agreements

It can be difficult to get the project and the scope of your services, or even the
method of construction procurement, fully defined at the start of a project.
31
‘Letters of intent’ are often used to get a project commenced before many of
the issues have been resolved and full appointment contracts or construction
contracts can be signed. If they have to be used, they must be carefully
assessed for their contractual implications (which are often unintended) for the
project and your professional duties.
A letter of intent may appear to comply with the requirements of the ARB and
RIBA codes to have a written agreement in place before you start. However, it
may not adequately cover all the points raised in these codes, and it is likely to
greatly increase your risks and liabilities. This is verified by the large number of
legal disputes and successful claims related to letters of intent.
It is far better to get the key aspects of the job resolved and defined as much as
possible beforehand, to enable a proper appointment or construction contract
to be signed, rather than signing a temporary letter of intent and hoping it
can all be sorted later. Holding out for a proper contract before commencing
EN
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the services or procurement often leads to the important outstanding matters

being resolved more thoroughly and quickly.
If you cannot avoid starting work under a letter of intent, make yourself and
the client aware of the limitations of such arrangements and the added
IM
risks for both parties. Ensure that the appropriate full contract is agreed
and in place as soon as possible – set a time limit for this. It may seem that
everything is adequately covered with a phrase such as ‘to be in accordance
EC
with the terms and conditions of the RIBA Standard Professional Services
Contract’. However, this can have unintended consequences due to many
important aspects not being specified in the letter of intent, such as the
limits on insurance cover, procedures for fee payments and forms of dispute
SP
resolution. To cover all these matters adequately, it might be simpler and

quicker to invest the time needed to agree a full appointment contract in the
first place. You can always add to and change the details of the project and
your scope of services in the original agreement as you proceed. The key is
to keep a written record of any changes and any instructions, copied to and
confirmed by your client.
Appointment contracts summary

This section has focused on the appointment contract because it is the
foundation of any architect–client relationship and any project. It is also
the single issue that causes the most aggravation for architects and other
built environment professionals, through complaints, disputes, claims and
professional conduct cases. The following checklist is a valuable tool to ensure
you are conducting the process professionally and to help you avoid getting
involved in a dispute.
32
2
CHECKLIST FOR APPOINTMENT CONTRACTS
□ Ensure you always have a written appointment contract, to

comply with ARB and RIBA codes.
□ Use the right form of contract for the project and for the type of
client (commercial or consumer) to ensure that the appropriate
legislation is covered. For commercial clients, use a separate
form of appointment for the role of Principal Designer.
□ Check the name of the client in the contract and ensure it is the
same as the entity that gives you instructions and pays your
fees.
□ Review bespoke and altered contracts carefully for any
significant differences to the standard terms and conditions from
EN
the RIBA Standard Professional Services Contract and the terms
of your professional indemnity insurance cover.
□ Check that the contract terms, or accompanying project
documents, do not extend your duties beyond exercising
IM
‘reasonable skill and care’ and do not increase your liabilities.
□ Ensure that the schedule of services is accurate and reflects
what you can deliver. Do not undertake work that is beyond the
EC
expertise and resources of your practice.

□ Do not provide guarantees for anything beyond your direct
control or take on responsibility for the work of others.
SP
□ Clearly set out your fees, the method of calculation and how and
when they are to be paid. Ensure your client understands the
payment provisions.
□ Explain, negotiate and agree your terms of appointment with
your client. Have written evidence of this, particularly for
consumer clients.
□ Try to retain copyright. If copyright is to be transferred to the
client, ensure there are limits to the content and usage of the
information. Ensure you will still have ownership and control of
your standard details and specification. You may need expert
legal advice to deal with this.
□ Agree the format and content of all information to be provided,
particularly electronic data, such as CAD drawings and BIM
models.
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33
□ Record all decisions, approvals, instructions and any changes in

writing. Confirm these with your client.
□ Inform your client of your complaints procedures and of the
options for dispute resolution and termination of the contract.
□ If possible, do not start any work until a full agreement is signed.
Communicating with your client
Communication with clients is an important skill for delivering successful

outcomes at a high professional standard and for developing strong
relationships within the industry. A common complaint from clients is that
architects do not always listen to or try to understand their business or project
needs. Listening and understanding are acquired skills that can be developed
at any stage in your career.
EN
Listen carefully to your clients. What are they telling you about how they feel
IM
and what they want and need? What the client says they ‘want’ can be different
from what they actually ‘need’. A key part of professionalism is being able to
understand, articulate and satisfy those client needs. Clients may not have
EC
the skills or knowledge to articulate what they really need, nor be able to
appreciate the opportunities and solutions for their project. That is the value
of engaging a professional, who can use their specialist expertise and creative
thinking skills to identify the potential of a project and provide the client with a
SP
solution they could not realise for themselves.
Beyond listening and understanding are the core communication skills of

enquiring and affirming. The architect should explore and constructively
challenge and test the initial assertions of the project brief with the client.
This establishes an ongoing dialogue and a close working relationship with
the client, which in turn build trust, empathy, respect and understanding
throughout the course of the project. Constant communication enables the
architect to guide and help the client to achieve, or even exceed, their aims.
Good communication pervades everything, from how you promote your

services and engage with clients, to how you deliver services throughout
the project, and to how you continue to provide services after the project is
completed, though feedback and a post-completion review of the project.
Clients are receptive to practices that listen, take the time to understand their
needs, showcase commercial awareness, work collaboratively, lead from the
front and have the skills and resources to deliver their services efficiently and
effectively, as well as creating positive outputs. It is important and professional
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34
2
not to overpromise on what you can deliver. It is far better to be able to

promote yourself and your practice as being reliable and able to fulfil the
agreed outcomes.
From the beginning, be truthful and realistic about what you can do within
your expertise and resources, then follow through with delivering on the
same basis. Managing your client’s expectations avoids disappointment and
disputes later.
Being in regular contact with your client – keeping them informed of progress
and of any difficulties or variations – and making sure they sign-off on
everything is crucial. It is worth agreeing to communicate formally at regular
intervals, such as at monthly client meetings or at the end of each RIBA Plan
of Work stage. Doing so will aid smooth project delivery, while giving the
client confidence through your organised and professional approach. In a
complex project environment, where there is a tight schedule and large sums
EN
of money are at stake, it is easy for misunderstandings to arise. To help you
pre-empt such problems, it is good to add feedback as a standard item on
all client meeting agendas. It is then important that you act on the feedback,
and any other concerns that are raised, even if these seem inconsequential or
IM
unsubstantiated.
Keeping records
EC
Affirming, confirming and recording the project brief, as well as all decisions
and instructions from the client, is crucial for a strong client relationship
SP
and successful project. Misunderstandings and disputes generally arise

where records are unclear or verbal instructions and agreements cannot be
substantiated. It is vital to be fastidious about recording and confirming
everything that is agreed, changed or instructed by the client. Formal records
play a crucial role in resolving any complaints, disputes and claims.
Technically, recordings of telephone conversations, witnessed site meeting

conversations, copies of emails, electronic messages and informal file notes
are acceptable legal evidence. However, it is good practice to have a formal
record of all these decisions and changes on any project, which demonstrates
rigour and a high professional standard. Practices often have standard
templates for recording decisions and changes. This can be a record sheet or
file or a log, that is regularly updated, reviewed and issued to the client, other
consultants and contractors for their information and agreement. A review of
any decisions or instructions should be a standard agenda item for any client
or project meeting, to be confirmed in the minutes, providing clear evidence of
this process and that all the relevant parties were aware of and have signed off
any changes, in case anything is subsequently disputed or denied.
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Duty to inform
Not only do professionals have a ‘duty of care’ to their clients, they also have
a ‘duty to inform’. This is covered in more detail in Chapter 4, on law, and
included in the standard form appointment contracts, as it should also be in
any non-standard contract. It is a less onerous liability than duty of care, but it
is still important to clarify. For example, under standard contract terms you do
not have any direct responsibility or liability for work done or items provided
by other consultants, the contractor, suppliers or manufacturers. But you do
have a professional duty to your client to inform them if you become aware
of anything that any other party does wrong or differently from what was
contractually agreed.
Dealing with client complaints
It is important to have a clear and transparent complaints procedure for your

practice and for all projects, and for everyone on the project team to be aware
EN
of and follow that procedure. This is a requirement of the RIBA’s Chartered
IM
Practice scheme. The RIBA has very useful templates for complaints handling
procedure7 and can provide guidance on their use to its members. The RIBA
also has its own complaints procedure for dealing with complaints against its
EC
members, which is worth reviewing.8
In case you cannot satisfactorily resolve a query or complaint from your client
directly and quickly, it is useful to have a referral system in place, so you
can pass the issue on to a business partner or your boss. If you are a sole
SP
practitioner, you could refer the client to an outside broker or independent

co-professional. Log all complaints, and communicate to complainants how
the issues are being handled. Some may also be notifiable to your professional
indemnity insurer. Deal with all complaints and monitor their progress, keeping
the complainant and your insurer regularly informed of progress and of any
outcomes. Review complaints regularly at your partner/director meetings, as
all complaints are potential business risks that must be properly managed.
It is usually better, cheaper and quicker to deal with any queries, complaints
and disputes by personal interaction and discussion. However, some may
be contentious and serious enough to be escalated to a formal procedure of
dispute resolution. There are various levels of resolution, and it is worthwhile
starting at the simplest level and proceeding up the scale – if it becomes
necessary and as appropriate to the issue – progressing from conversation to
mediation, then to adjudication, arbitration and, as a last resort, litigation.
The formal procedures are all covered in the standard forms of appointment
contract.
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36
2
Litigation is an expensive, cumbersome, contentious and fraught way of

dealing with disputes. It is best avoided if at all possible as the costs of the
litigation process often far exceed the value of the solution. Generally, over
60% of professional indemnity insurance payments goes towards paying
legal costs, with only 40% going towards the rectification of the problem or
compensating the aggrieved party.
Conflicts of interest
As a professional acting as an independent, impartial adviser to your client,

you may find you have a conflict of interest. This will most likely be due to a
relationship you have with another client or project, particularly if they could
be regarded as being in competition with your client or project. However,
conflicts of interest can also arise regarding business colleagues, other
consultants, contractors, product suppliers and manufacturers with which you
EN
have business dealings, or from family or personal connections. Even if the
conflict of interest is only perceived, it has the potential to compromise your
professional position.
IM
It is vital to act with integrity and to declare any potential conflicts of interest
at the outset or as soon as they emerge and become known to you. It is now
common practice – and worthwhile instigating if you do not already do so – to
have conflicts of interest as a standard agenda item for all meetings, so that
EC
any known or potential issues are declared and recorded.
Conclusion
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Choosing the right client, looking after them well and relating to them properly
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are key to your professional success and personal happiness. Ultimately, it is
about building and nurturing a relationship of trust. It is worth working hard to
achieve a healthy and successful client relationship.
Endnotes
1 RIBA Client Liaison Group. Client & Architect: Developing the Essential Relationship (London: RIBA,
2015). Available at: www.architecture.com/knowledge-and-resources/resources-landing-page/
client-and-architect-developing-the-essential-relationship [accessed 23 August 2021].
2 RIBA Client Liaison Group. What Clients Think of Architects (London: RIBA, 2016). Available at:
www.architecture.com/-/media/GatherContent/Working-with-Architects-survey/Additional-
Documents/RIBAClientSurveyfinalSCREENwithoutappendixpdf.pdf [accessed 23 August 2021].
3 ARB. The Architects Code: Standards of Professional Conduct and Practice (London: ARB, 2017),
clause 4.4. Available at: www.arb.org.uk/wp-content/uploads/2016/05/Architects-Code-2017.pdf.
4 RIBA. RIBA Code of Professional Conduct (London: RIBA, 2021), Principle 2, clauses 2.1 and 2.2.
Available at: https://www.architecture.com/-/media/GatherContent/Business-Benchmarking/
Additional-Documents/Code-of-Professional-Conduct--1-April-2021pdf.pdf.
37
5 RIBA. RIBA Professional Services Contracts 2020 (London: RIBA, 2020). Available at:
www.ribacontracts.com.
6 Farrall, P. and Brookhouse, S. Good Practice Guide: Fees (London: RIBA, 2021).
7 RIBA. RIBA Complaints Handling Procedure Templates (London: RIBA, n.d.). Available at:
www.architecture.com/-/media/GatherContent/Business-Benchmarking/Additional-Documents/
Template-Complaints-Handling-Procedurespdf.pdf [accessed 23 August 2021].
8 See www.architecture.com/knowledge-and-resources/resources-landing-page/dispute-resolution
[accessed 23 August 2021].
EN
IM
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EC
SP
38
with money
Money makes the world go round. It is also the root of
EN
most disputes
IM
Adopting a professional approach to financial management is crucial for

EC
ensuring a successful professional career and practice. Architecture and

other professions in the built environment sector are notoriously lowly
paid, compared with professions in other sectors. The average salaries for
architects in the UK are less than 66% of those for lawyers and only 50%
of those for medical doctors.1 And when you get to the senior positions,
SP
the differentials only increase. There is a similar pay scale difference for
professions in other European countries. Why is this?
The main cause lies within the professions themselves, which often
undervalue their services. Architects and engineers are not always
primarily motivated by money and may not completely understand the
true value of their services, but there are also other factors at play.
The UK construction industry is capital intensive with small profit
margins, highly dependent on the economic cycle and relatively risky
compared with other industries. Most of the money is made (or lost)
in the property investment and speculation sectors, at the end of a
project. The income and profits may be worked out at the initial project
appraisal stage, but they are only achieved when land and building
development potential are realised. However, the creative and technical
professions, such as architects and engineers, are typically involved
at the outset stages of this process, before the development value and
profits are secured.
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The solution to this conundrum of undervalued professions is twofold. First,

these professions need to engage with financial matters to enable them to
understand the value of their work. This begins with building cost awareness
and interest throughout the professional education and training processes.
Money is mostly ignored, or at best cursorily covered, in current professional
education and training programmes for the architecture, engineering and
planning professions. Second, the value created in property development
needs to be related to the professions whose efforts help to create it. Fee
calculations and recompense mechanisms should take into account the
eventual value added for the developer, financier, owner and/or user, not just
the development costs. Architects are not always involved with overall project
budgeting, but they should ensure that they are, and that they work with the
client at an early stage to develop the overall cost plans and understand how
the project value is to be generated.
Pay in the architecture profession is relatively low, reflecting the lack of

EN
connection between project values and the profession’s value. The average
annual salary for a qualified architect (at least five years ARB registered) in the
UK in 2020 was £40,000 (Figure 3.1), ranging from a median of £150,000 for
partners in large practices (100+ employees) to £25,000 for sole practitioners,
IM
with £30,000 being the median salary for newly qualified architects in small
practices.2 This is low compared with other UK professions, but higher than for
European colleagues, for whom equivalent earnings are about 20% lower.3
EC
The proportion of architects working part time has more than doubled over the
past 10 years in both the UK and Europe. Part-time architects now make up
25% of all working architects in the UK and 20% across Europe. This accounts
for 100% of the growth in the profession over the past decade. It also reflects
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new flexible ways of working and the gradual improvement of gender balance
in the profession, which has traditionally been male dominated. Although it
is improving, there is still a gender pay gap of 3% in the UK, and an appalling
21% across Europe, partly due to the higher proportion of male architects in
more senior and higher paid positions.3 This is gradually diminishing as more
women enter the profession and are appointed to more senior positions in
architectural practices. Since 2017, all UK businesses with over 250 employees
have had a legal obligation to gather and publish their gender pay gap data.
Although there are very few architectural and consultancy practices of this
size, the RIBA does provide useful best practice guidance and encourages all
practices, of whatever size, to voluntarily evaluate and share their gender pay
gap data. It also encourages practices to take positive actions to improve their
gender balance, through their recruitment, progression and retention of staff,
for the benefit of the wider profession and the performance of their businesses.
The RIBA encourages all RIBA Chartered Practices to pledge to ‘close the gap’
by signing the RIBA’s Inclusion Charter, and provides helpful information on
how to achieve this on its website.4
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40
3
£80,000
£69,008 Lower quartile

£70,000 Median
Upper quartile
£60,000
£50,000
Annual salary
£43,500 £45,000
£40,000
£40,000 £36,000 £37,248
£34,000
£31,500
£30,000
£25,000
£20,000
£10,000
£0
Equity partners,
shareholding directors
or sole principals
ENArchitects 5+ years
ARB registered
Architects <5 years
ARB registered
Figure 3.1: UK architects’ pay distribution, 2020

IM
When you look at the overall pattern of reward within the profession, you see
a distribution curve for architects that is more akin to those for other creative
EC
jobs (e.g. musicians, actors and writers) than for other technical professions.
Similar to the music industry, there is a relatively small, highly paid elite,
then a fair proportion in the middle, in the median salary ranks, and then a
long tail of low-paid independent architects struggling to make a reasonable
living wage. Everyone wants and deserves to earn a decent wage, but this
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requires changes to industry norms. There are now campaigns to raise

awareness and engender changes to establish fairer and more sustainable
pay structures within the profession, which has prompted discussions across
the industry.5
If you consider the talents and skills needed, the high-cost investment in
long-term, high-level training, the formal qualifications required and the
professional responsibilities and risks of the job, the low level of architects’
salaries in the UK is not an equitable reward. This does reflect the profession’s
lack of business skills, interest in money and understanding of its true
value. Many architects see their career as being more of a ‘passion’ than a
‘profession’. Put simply, if you do not value yourself and understand how you
create value for others, how can you convince your clients and employers
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that you are worth it? This chapter focuses on understanding financial
principles and how to value your services and manage money, to overcome the
profession’s low perception of its financial worth.
41
Historic fee scales
Certain members of the profession look back nostalgically to a perceived

golden period of presumed status and respect for professionals – and to the
mandatory predetermined fee scales. The use of predetermined fee scales, set
and enforced by the RIBA up to 2003 (Figure 3.2), may have been convenient,
but it resulted in architects not having to bother about managing their costs or
knowing how and where their fee was earnt for different work stages, or even
knowing if the percentage fee determined by the RIBA’s fee scale graphs, based
on historical averages, was the right fee for their particular project or client.
Fixed fee scales and restrictions on competition, and the resultant disinterest
in money and lack of commercialism, did not serve the profession well.
They gave the profession a false sense of security and entitlement, but no
awareness of the value of their services in society. Reliance on mandatory
EN
and recommended fee scales resulted in many architects not developing a
clear understanding of their costs and their value, or the skills to confidently
negotiate their fees with their clients.
The traditional lack of interest in money among the professions, and in

IM
their education systems, and a poor understanding of the value they bring
for clients, coupled with downturns in the economic cycle and changes in
procurement methods, has directly led to the decline in financial recompense
EC
and influence for architects and other built environment design professionals.
Fortunately, this is gradually changing. The younger and up-and-coming
professionals hanker less for an unknown past and are seeking greater
commercial awareness, to prosper in the real world of the present and
SP
foreseeable future. This includes understanding, calculating, negotiating and

carefully managing finances and fees.
Fee calculations
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The traditional way of expressing construction consultants’ fees is as a

percentage of the construction cost, but this is no longer the norm, with only
28% of UK architects’ fees (32% across Europe) now based on the construction
cost. Lump sum fees have become far more popular, accounting for 42% of UK
architects’ fees and 28% of the fees in Europe.3 A further 23% of fees in the
UK are based on hourly rates, which leaves only 7% of all UK architects’ fees
based on other methods, of which only a small proportion are related to the
value added by the consultant. If consultants wish to improve their earnings by
sharing in the value that they add for their clients, then their fee structures will
need to shift towards different fee structures, based on value rather than costs.
Architects will also need to persuade their clients that they too will benefit from
using value-based fees.
42
3
Class
100,000
5
4
3
2
1
10,000
EN
IM
Cost of works (£ 000s)

1000
EC
SP
Figure 3.2: Example RIBA percentage fee scale for normal services6
100
Percentage fee
10
13
12
11
10
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43
Percentage fee scales, based on construction costs, were developed and

promoted for the convenience of the consultant, rather than the client, for ease
of calculation and for an era of higher inflation, with mandatory fee scales
controlled by the professional bodies. It is understandable why clients are not
keen on percentage fee scales and why there has been a gradual move away
from them. They are not in the best interest of the consultant either.
If you look at it from the client’s point of view, the higher the cost of
construction the higher the consultant’s fee. There is no incentive for the
consultant to reduce the client’s construction costs – quite the reverse. If
the budget is exceeded and the project needs to be redesigned to effect cost
savings, extra effort is required of the consultants but for a reduction in their
fee, unless a mechanism for an additional fee for any design alterations has
been agreed.
The construction cost is variable during a project. At the outset, before

anything is designed and can be costed, a percentage fee is calculated on a
notional construction cost, usually based on known average costs of previous
similar projects. But these generic costs might not reflect the nature of this
EN
particular project, or its site and economic context, or the specific level of
IM
service required by the client. Subsequently, the construction cost and the
related fee will be updated, as the design details, procurement methods and
site issues become known during the design development stages.
EC
But there is still a large amount of cost estimation in these figures. The
construction cost becomes a bit clearer when the contractor has agreed a
contract price to construct the project. But the actual construction cost is not
truly known until the building has been completed and any changes and claims
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have been resolved. Appointment and construction contracts generally do have

provisions to recalibrate the construction cost, and thereby the basis of the
consultant’s percentage-based fee, during the course of the project. But this
creates uncertainty for both the client and the consultant.
It is no surprise that the industry has now moved towards ‘lump sum’ fees,
which give a bit more certainty for everyone. However, this requires the
consultant to decide in advance their resources and the costs and business
risks entailed in providing their services, before they know all the details of
the project. The services and the outputs also need to be clearly defined and
monitored, so that any unexpected changes and additions to the project can
be dealt with as it proceeds.
If the extent of the services required is unquantifiable – which is particularly

likely at the very early exploratory stages of the project or in the event of
unexpected changes – then the fee can only really be based on hourly rates
for time spent. Limits on the amount of time can be set, to provide a cap and
degree of certainty on costs for both the client and the consultant.
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44
3
Value added fees
A more positive way for a consultant to calculate and promote their fee is
to link their fee to the value they add for the client, rather than by selling
hours as a cost to the client or taking a percentage cut of the capital cost of a
project. The client will be keener to engage and pay for the consultant if the
consultant’s recompense is measured as part of a successful outcome, rather
than being based on the inputs. So, how can the consultant’s fee be based on
the value they add for the client?
It is difficult, but not impossible, to establish metrics for value in any project
type and client sector. The measures may not be just financial, such as added
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sales or letting value, or construction cost savings. They can be based on

operational efficiencies, such as additional operational floor space, improved
efficiencies in the use of the building, better learning outcomes for educational
EN
buildings and better health outcomes for healthcare projects, or even
improved staff recruitment, retention and absence ratios. The key issue is that
the value metrics must be relevant to the client or user and be measurable.
The problem with output-based metrics is that the benefits cannot always be
IM
proved or measured until the facility has been completed and in use for some
time. This would delay payment to the consultant until long after the provision
of their services. Some value-based metrics are realisable before completion
EC
of the project, such as the certainty and quantum of development achieved by

the planning approval, or the value of the construction contract when secured.
However, these outcomes still occur long after the consultant has expended
a lot of effort on the project. Therefore, a value-based fee should be used in
SP
combination with other, traditional input-based methods, such as a lump sum,

time-charge or percentage fee.
Value-based fees can create bigger profit margins for consultants and be a sure
way of increasing the incomes of professionals. A fee could be a very small
proportion of the value of the benefit to the client, but it could represent a
huge proportion of the architect’s recompense. For example, 0.5% of the value
of added lettable or sellable space can easily represent 30% or more of the
architect’s traditional fee. The construction cost is usually less than one‑third
of the project value, and if the architect’s fee is 3% of the construction
cost, this gives a gearing of 1 in 100, compared to the value of a traditional
input‑based fee.
There are also other benefits to value-based fees. They engender a positive
dialogue between the consultant and the client, and create a greater
understanding between the parties of what matters most to the project
before it starts. Value-based fees also build a longer-term engagement for the
consultant with the client and users, extending after practical completion. The
45
consultant keeps their connection with the client by carrying out ongoing work,
such as sorting out any teething problems, and is paid for this privilege. This
fulfils the purpose of RIBA Plan of Work Stage 7: Use. It also aligns the interests
of both parties and creates synergies through working on this together, which
makes for a richer design process and better outcome for all concerned.
Having even a small proportion of the overall fee based on value added is
a useful way to improve client relations, as well as the pay and reward for
architects. It is worth considering as a component of any fee proposal.
How much to charge?
Architects are often required to bid competitively to secure work and clients.
There is no quick and easy way to decide what fee you should propose or
negotiate. You first need to carefully work out what the job requires, then
EN
decide what resources you will need and what they will cost you. You then need
to add an allowance to cover your overheads, expenses and profit margin. Then
last, but by no means least, you need to price in a risk factor and the earnings
potential for working for this client on this type of project, within the overall
IM
context of your other workload and business objectives.
It is imperative that you know the costs of running your business and carrying
out projects, otherwise how will you know what to bid for any new projects?
EC
It is crucial that you keep accurate records and regularly monitor all operational
costs and resources used on projects, such as time sheets, travel (particularly
mileage) and other expenses and fee payments.
SP
If you know the costs of your business and the inputs required for the project,
doing the mathematical calculations is relatively simple. The complex and
clever bit is deciding the values you put on all the subjective variables. Even
experienced practitioners can get this wrong and significantly underestimate
the fee, particularly if they are under pressure to win the work by offering the
lowest bid or are not precise in what they will provide for the fee.
The key is to clearly understand and carefully manage your business costs
and the resourcing requirements and profit margins for the project, so that
you avoid underestimating the fee and the resourcing required to do the job
professionally. You may decide to take less profit from a good project or new
client, in a new sector, but a commercial decision such as this needs to be well
informed – are you sure the rest of your practice’s workload can support your
business development and research, as well as the wellbeing of your staff and
yourself?
If the fee is too low for the agreed amount of work, the resourcing and quality
of the work inevitably suffer, leading to higher risks and unprofessional
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46
3
practice. Many practices have to rely on long working hours and unpaid
overtime to make projects even marginally profitable. This is not good working
practice, as it is unfair on you and your staff, affects morale, performance and
wellbeing and creates an unfulfilling work–life balance. It is not a sustainable
way of running a business.
Calculating time costs
All fees are based on the amount of time required from people with the relevant
skills to complete the project. This is applicable not only to hourly rate charges,
but also to lump sum and percentage-based fees. It is surprising how often
practices do not properly count the hours to be spent on a project or do not
base their fees on the real costs to the practice. The following time-costs
calculation sets out the issues to be considered in deciding any hourly charge
out rate for fee-earning staff or the rates to be used in developing any fee
proposal. EN
IM
HOW TO CALCULATE PEOPLE COSTS AND TIME CHARGE OUT RATES
Time-charge component Amount

EC
For a Project Architect:
Annual salary £35,000
National Insurance – 13.8% of salary £4,830
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SP
Additional benefits (pension, subscriptions, medical insurance, £2,170

training, etc.) – say 6.2% of salary (can be between 3% and 20%)
Total annual salary cost paid by employer (salary + 20%) £42,000
Office overheads (rent, insurance, admin staff, equipment, utilities, £42,000

etc.) – say 100% (varies dramatically, depends on practice, can be
between 80% and 200%)
Total annual employment cost (2.4 × salary) £84,000
Profit margin (includes directors’ fees, reserves, etc.) – say 15% £12,600
employment cost
Project Architect’s annual cost (2.76 × salary) £96,600
Indicative hourly time charge out rate for a Project Architect earning £64.4/hour
£35,000 p.a., based on 1,500 fee-earning hours p.a. (see below)
47
The number of productive fee-earning hours per year varies greatly

between different roles within a practice. It depends on the amount
of non-fee-earning tasks (administration, marketing, management,
etc.) that each role has to do. These non-fee-earning duties tend to
be greater for more senior roles, therefore the hours available for
fee-earning work for partners, directors and sole principals would be
significantly less than in the example shown here, for a more junior
role. The hourly charge out rates for senior roles would, of course,
be higher than the rate shown above for a project architect.
Working time component Hours per year
Working hours 52 weeks × 5 days × 7.5 hours/day 1,950
Less annual holiday 22 days (165 hours) –165
Less bank holidays
Less sickness/absence
9 days (67 hours) EN
average 4 days (30 hours)
–67
–30
IM
Net working time (87% of total working time) 1,688
Less non-project time varies, for admin., CPD, etc. – say 11% –188
Fee-earning time (≈77% of actual productive time) 1,500

EC
The RIBA benchmark for productive time is 1,700 hours per year for
fee earners. However, that may be optimistic as it assumes only about
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5% of time is non-productive and is based on an eight-hour working

day. The productive fee-earning time of a senior director or partner –
the time not spent on running and marketing the business, etc. – is
generally about 50%, or as little as 20%, of their overall working time.
The figures used above are for guidance only, but represent a typical
example. Amounts will vary immensely between different practices
(particularly overheads) and different roles and should be calculated
specifically for your business and workload. Actual figures need to be
used for each real situation, but the method of calculation remains
the same.
There is a RIBA Good Practice Guide specifically on fees, which provides more
detailed guidance on calculating and agreeing fees.7
48
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3
Expenses
As part of the appointment contract and the fee agreement, the recovery of
the expenses incurred on the project should be agreed. Expenses can amount
to a significant sum, and will typically cover the costs of travel, printing, BIM
models, presentation materials and physical models and also planning and
building control fees.
Expenses can be accounted and charged for individually, preferably with a

mark-up to cover your administration costs. Clients sometimes prefer that
expenses are included in the fee, usually as a percentage of the total fee,
often 3–5%.
Whichever way you recover these costs, you will need to keep accurate records
of all expenses and office costs related to the project and the client and to
EN
retain all receipts. This is essential for tax reclamation (VAT) and enables you to
keep track of the costs. By reviewing records from completed projects, you can
establish the typical amounts of expenses to be expected for different types of
project. These can be used to set realistic figures for expenses to be included
in the overall fee for future projects.
IM
If expenses are included within the fee, you need to set clear limits on the
various items, such as the amount of travel or number of copies of documents,
EC
and describe in precise detail what is included and what is excluded. If the
client asks you to commission an expense on their behalf, you should clearly
state in your order that the purchase is on behalf of your client and that the
client is ultimately liable for the payment.
SP
Fee bidding
Once you have calculated your proposed fee, based on the total amount of
time required from all the different roles and the expenses on the project, and
your associated office overheads, you need to think about the client and the
competition, before deciding where to pitch your fee bid. You may wish to put
in a low-cost bid, to be competitive and win the job, particularly if the client
is selecting their consultant primarily on price. To achieve a low price, you
need to know the realistic minimum amount of work and expenses that will
be required to do the job professionally and be prepared to work as efficiently
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as possible. If you do choose to put in an ‘at cost’ bid, you will need to rely
on other fee-earning projects to provide your business profits and to cover
contingencies for this project.
For any fee bid, it is essential to describe precisely what is included in your
price and what is excluded. You should also clearly state your assumptions
49
about the project, and the resources and expenses that the bid is based on.
In your fee proposal, carefully detail the amount of work inputs and outputs
that you will be providing, such as the numbers of drawings to be supplied
and meetings to be attended. You can always offer add-on extras and more
elaborate services later, for an additional fee.
Whatever price and services you are offering, consider your USP (unique
selling proposition) for the client and how it differentiates you from the
competition. It is good practice to tailor it to the client and their project
and to promote it in your fee bid. The key proposition may be your relevant
experience, design ability, project management capability or track record
on delivery. Whatever you claim, to be professional, ensure it is truthful and
achievable.
Fee agreement
EN
Once your bid has been accepted, a written fee agreement should form part
of the overall appointment contract. This is a requirement of the ARB and the
RIBA for any UK registered and chartered architect. The fee agreement should
IM
be fully detailed and cover all money issues: how much is to be paid, when,
how and what for. It is advisable that the fee agreement is a distinct document,
written as a separate schedule to the appointment contract.
EC
The fee agreement can include different fee arrangements (time charges, lump
sum fee, percentage fee, etc.) for different stages of the job. The frequency
and amounts of the payment instalments should be set out clearly in the
agreement. The agreement should carefully describe what is included in this
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fee, which would generally be related to a separate schedule of services,

preferably based on the RIBA Plan of Work stages, and a project programme.
It should also detail the number of meetings, site inspections and key
resources to be provided within the fee, as well as how expenses and any
changes or additional work will be charged.
If you are VAT registered, the fee agreement and any invoices you issue should
make it clear that your fee excludes VAT and that this will be charged on top
of your fee, at whatever rate is applicable at the time. It is best to note VAT
separately on all your invoices and payment receipts. If you are not registered
for VAT at the time of making your agreement but expect to become registered
during the course of the project, make it clear at the outset that you will be
obliged to add VAT to any invoices issued and due for payment after your date
of VAT registration.
It is important to finalise the fee agreement before you start the project or
commence any initial speculative unpaid work. Your negotiating position is
strongest at this stage, before you have provided any services. You should not
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3
put yourself or your practice in the situation where you have invested so much
in the project that you feel you cannot afford to walk away or that you have to
accept a lower fee.
If your client prevaricates in settling a fee agreement, it may be an early

indicator that you will struggle to get your fee instalments paid over the course
of the project. Without a firm agreement, there is a risk that the project will
continue to creep ahead and never reach a conclusion on services or fee. You
should have an office policy statement to rely on, which is clear about what
happens in the event of non-payment, so you can stop work if this occurs.
Despite the ARB and RIBA requirements, the omission of non-payment
provisions happens more frequently than you may think.
If you will be working with other consultants on the project, you should know
their fee arrangements and the terms and conditions of their appointment
contracts, particularly if you are to be the lead consultant responsible for
EN
coordinating their services. It is important for you to know if they will have
different forms of payments from you for the different stages of the project, or if
they are not being paid, or have a fee dispute with the client. This could affect
their performance and motivation to work with you and the other consultants.
IM
If you have an oversight of their appointment agreements, you can identify
and draw attention to any ambiguities, gaps and overlaps in the services,
roles and responsibilities. It is also in the client’s interest, so they should not
object to you having this information. It can also be reciprocated, so the other
EC
consultants are aware of your contract terms.
The RIBA Professional Services Contract suite8 includes versions of

the standard contract that can be used by the various consultants and
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subconsultants, which has the great advantage of everyone being engaged

under the same terms and conditions. This will be beneficial to everyone,
including the client, as it eliminates any gaps or differences between
consultants’ contracts, particularly regarding insurance cover and professional
liabilities.
Fee disputes
Most fee disputes with clients and subsequent fee recovery cases are lost
or result in less being paid to the consultant than was originally agreed. The
consultant also has to bear the added costs and effort of going through a
dispute resolution or litigation process. Fee disputes mainly happen because
there is no written fee agreement or, where one does exist, the agreement
does not properly cover the issues in dispute, such as changes or additions to
the fee. It is strongly advised not to begin work, even initial speculative work,
without first agreeing with your client, in writing, your fee and the mechanisms
for dealing with any changes or queries.
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Getting paid
It is impossible to overemphasise the importance of cash flow to the successful

running of a practice, which directly relates to getting paid regularly and on
time. It starts with having a precise fee payment schedule agreed with the
client, which can be closely monitored.
Structure your fee instalments so that you receive regular payments. It is better
for payments to be monthly, if possible, rather than at the end of a RIBA Plan
of Work stage. If you are working on different work stages at the same time,
these need to be separately noted in your invoicing. The monthly regular
payments can be ‘on account’ for a particular stage, and you can always have
an additional consolidation payment or incentive fee at the end of each stage.
If the project is large or fast-moving, it may be worth having even more frequent
fee payments, fortnightly or even weekly, to keep the value of your ‘work in
progress’ in check.
EN
It is useful to prepare and submit a fee invoicing schedule to the client for them
to agree in advance of starting work, and to have this incorporated into the
terms and conditions of your appointment contract and the fee agreement.
IM
If possible, include in your fee agreement a requirement for the client to sign
off each RIBA Plan of Work stage and to pay the due fee instalment for that
EC
stage before the next stage is started. This will also enable the client to budget
correctly and manage their cash flow, in line with any funding or income supply.
Before signing up, it is well worth checking if your client has the means to pay
and a good credit rating. Even with an established client you have worked with
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before, it is still worth checking their current financial status. Do you know how
the client will be funding the project? Is this funding in place? Does your client
have a good track record of paying in a timely manner? It is also sensible to
keep your fee exposure to a particular client or project in check, as it is risky to
be over-reliant on just one source of income.
You should set up your accounts system to issue invoices as soon as they
are due. Until you have invoiced the client, they are unlikely to pay you. After
invoicing, there is always a time lag before you get your money, while the client
approves and processes your payment. Getting paid promptly is often trickier
for the earlier design stages, which may be before your client has all their
project funding in place. This is also an issue for contractor clients, who tend
to work on very tight margins, and your design and construction supervision
services are likely to be completed well before the client gets their payment for
that bit of construction. Be aware of the triggers for the client’s funding, which
may be dependent upon the granting of planning consent and consequential
increase of the site value and development certainty.
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52
3
Carefully managing your cash flow – so that you keep within your credit limit
and bank overdraft – will also keep your bank happy and more inclined to
help you if you do get into difficulties. Keeping within overdraft limits will also
reduce your interest charges.
Having issued your invoice, it is worth regularly and methodically checking

that your payment is being processed by your client and or has been paid in
a timely manner. Check that there are no queries or outstanding issues or
legitimate complaints that may be delaying your payment. Resolve any of
these concerns promptly, to ensure the client has no reasonable excuse not
to pay you on time. Be prepared to stop work if the client does not pay on
time and is in breach of their contractual obligations under your appointment
contract.
Payment systems
EN
To make paying easy for your client, the payment process should be
coordinated with the client’s payment systems and accounting procedures,
not just your own. Ensure the content and format of your invoices comply with
what the client needs in order to process them. It is also worth finding out
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who is responsible for paying your invoices, as invoice approval and payment
processing may be done by different people.
If your client pays their bills on a particular day of the month, ensure your
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invoices arrive in the system in time to be processed before that deadline.

Otherwise, you will have to wait an additional month for your payment,
regardless of the payment period stated in your terms of business. Check with
the client, or their finance team, that your invoice has been processed for their
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next batch of payments. Most payments are now done electronically by BACS
payment, so ensure your client has your correct bank account details and the
right reference code for each payment, so you can trace them on your bank
statements.
Adopt a system for monitoring and chasing up late payments and rigorously
enforce it. There is no harm in checking the progress of an invoice a week or
so before its payment deadline. It is a good reminder to the client, and prompt
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early warning should there be any problems.
If you are reliant on cheque payments and have concerns about the financial
strength of your client, get any cheques specifically cleared by your bank.
Businesses can go into liquidation in the time between a cheque being issued
and cleared. Alternatively, you can insist on being paid by banker’s draft.
It is very useful if your fee agreement states that you can refuse to start the next
stage of the project until an overdue payment is cleared through your account.
This will be a helpful incentive for prompt payment of your invoices.
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Late payments
Late payments cost you money. Your fee agreement needs to include an
incentive for your client to pay you on time. Most standard appointment
contracts, including the RIBA Professional Services Contract, include a
provision that allows interest to be charged on late payments. You might
not always want to carry out this threat, but it is good to have it in your
armoury. Interest rates should be set above the current loan rates – you
need to make it cheaper for the client to pay you and incur bank charges
than not to pay you!
You may feel that your client will not pay the interest and you do not want to
upset them. But it is good business practice to make it clear that late payment
will be chased. If you do decide not to charge your client the interest due on a
late payment, it is still worthwhile letting them know that in this instance you
have considerately let them off this payment.
EN
If you do end up going through dispute resolution or litigation to secure
an unpaid fee, interest on late payments can be recovered as part of any
settlement in your favour. To enforce any interest payment, you must be able
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to prove your entitlement to charge interest for late payments in your contract
with the client.
It is important to state on all your invoices your terms of business for payment.
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You should include the precise date by which payment is due contractually and
a statement that interest payments can be incurred if payment is not received
by that date.
As well as charging interest on late payments, you could consider offering an

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incentive to the client, such as a discount, for early or prompt payment. This
can be valuable for maintaining your practice’s cash flow.
Project delays
Planning the resources for a project is based on the assumption that the
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project will proceed in accordance with its agreed programme, but projects
often get changed and delayed, and sometimes aborted, which can disrupt
your business plan and cash flow. You may have expended great effort and
incurred significant costs before a project is started, which you need to recoup
in later stages, which should be covered in your appointment contract. You
should also consider including compensation for delay and early termination,
for any reason beyond your control. It is prudent to allow for some delayed
projects, late payments and bad debts in your cash flow predictions and
business planning.
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Change of client
With the increased use of design and build forms of procurement, it is

increasingly likely that you will to be transferred to another client during the
course of a project. However, novation can be fraught with difficulties. You will
need to be able to cleanly and completely transfer to your new client, generally
the building contractor. If your original client continues to have some form of
authority over you, or you still have direct responsibilities to them, this creates
professional and business conflicts of interest. This situation may put you in
breach of the ARB and RIBA codes of professional conduct and can affect your
professional indemnity insurance cover.
It is preferable to have a new appointment contract with your new client for
their stages of the project, or to use a recognised form of novation agreement,
such as the one provided by the Construction Industry Council (CIC).9 Novation
advice if you are likely to be novated. EN

creates complex contractual issues and it is well worth getting expert legal
When negotiating your fee agreement, you may have agreed a lower fee for the
initial stages of the project, say up to obtaining planning permission, on the
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assumption that you would continue working on the project and get paid for
taking the project to its completion. However, there is always the risk that the
client may sell the site with the benefit of planning approval. The new owner
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may want to bring in their own consultants to complete the project for them.
It is useful to include an additional bonus for achieving planning approval, or a
severance fee to compensate for loss of earnings if your involvement in the job
finishes early. As an incentive, you could offer to waive these if the new client
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agrees to appoint you to continue the job for them, assuming you want to work
for the new client and there is a sufficient and compensating profit margin in
the ongoing fees.
For a design and build project on which you will be novated part way through,
it is advisable to negotiate your fee for the second stage with the original client
at the beginning, to create certainty for both clients. It is also useful to have
a let-out clause in your appointment contract, which says you do not have to
agree to be novated if you are not completely happy with the new client and
the changed arrangements. Your agreed fee should be based on a clearly
prescribed level of service, which may be varied later if the services required by
the new client are different.
Keep records
It is always useful to keep a separate file (on paper and digitally) for all issues
relating to the fee and any payments for a project. Update and monitor this file
55
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regularly. Ensure that your fee instalments are up to date, invoiced and paid.
Include in the file records of any changes to your services or the design that
affect your work, together with records of your fee negotiations and changes
– this will prove very useful if you have any queries about your fee or need
evidence to support any dispute.
Speculative work
Although not recommended as good professional practice, you may feel you
have to speculate and do some work for free to obtain a client or project.
Alternatively, you may be put under irresistible pressure by the client to
take on jobs on an ‘at risk’ basis at the start. But only do so with great
care, and ensure this does not overstretch you financially or compromise
your professional principles. The risks of doing speculative work must
be worthwhile and there must be an achievable greater reward than fully
paying work. EN
Have a clear policy on how much, if any, speculative work your practice is
prepared, and can afford, to take on, and have specific criteria for assessing
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any speculative job. The following checklist presents a range of questions you
should ask yourself before agreeing to take on speculative work.
As with any new project – whether speculative or not – or new client, carefully
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assess the project and the client before committing to speculative work.
What is the likelihood of it being successful, useful and, ultimately, profitable
for your practice? Is this just an opportunity to lose money and maybe your
professional reputation and practice? If an opportunity or client seems too
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good to be true, then more than likely it is! Think through the risks to your
business and professional reputation.
Understand the balance of risks between you and the client. It may be
appropriate or necessary to take on a reasonable share of the risk when your
client is also bearing their share, perhaps before the project is secured and
the funding is in place. But if the client is not directly put at risk by the project,
particularly in the case of a public sector client, why should you be?
As you are taking on a financial risk, then this should be reflected in your fee,
so that you earn a bigger share of the gains if the project is successful. This
could be through a higher fee for the remaining stages, a bonus on securing
the project or a share of the equity profits of the scheme.
Think of the gearing of the risk. Your fee is 100% of the value of the project to
you. But for your client, your fee will be a small portion of the overall project
cost. Typically, the architect’s and design team’s fees represent no more than
10% of the client’s total costs, and often less than 3%. Therefore, limit the
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3
CHECKLIST FOR ANY SPECULATIVE WORK
• Why do I want to take on this project for free (for money,

experience, contacts, profile)?
• What special opportunities does this project provide (new client
or work sector)?
• What are the chances of the project proceeding and becoming
fee earning?
• How much additional reward (fee) will I receive for taking on this
speculative risk?
• Can I afford to take on (and lose) this project?
• Do I have the resources to do this project without it affecting my
•
other work?
What effect will it have on my practice and professional
reputation?
EN
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• Why doesn’t the client want to pay for this work at this stage?
• Will the client be able and willing to pay more later?
• Is the client serious about the project and wanting to retain my
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services?
• When and how should I or could I stop working on this
speculative project?
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• Are the risks being shared fairly by the client and other team
members?
• Overall, do the benefits outweigh the risks? Is it worth it?
proportion of the overall fee you are prepared to put at risk. This should not be
more than 10% of the overall fee for the project.
Ensure your fee-earning work can support the costs of your speculative work.
Do not starve fee-earning work of resources in order to undertake work at risk.
Speculative work should not put you in debt, compromise your reputation
or risk your business failing. Be aware of the consequences if none of the
speculative work comes to fruition. Also assess the upside risks – if all the
speculative projects come good, can you cope with the resulting workload?
You must set limits on how much you are prepared to bet on a speculative
project or client. Be precise about how much work you are prepared to do, the
time and the costs you are prepared to invest and have at risk before it must
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57
become fee earning or be abandoned. Stick to these limits. Ensure that you
have a written appointment contract with the client in place before starting,
covered by your professional indemnity insurance. This contract should have
a clause that enables you to stop any speculative work when you decide to,
when you have reached your set limits or when the chances of the project being
successful have diminished.
Make your client aware of your cut-off limits at the start and inform them when
you are approaching these limits. If your client is serious about the project and
wants you to continue, then agree some recompense for continuing. This will
demonstrate your client’s commitment to the project and to you. It will also
impress your client that you keep to your word and you are business-like and
professional.
Ideally, to be professional, no work should be done speculatively. But if it

is unavoidable, keep the amount of speculative work you do under control.
working speculatively on a project or for a client.
Decide very carefully and precisely what you are prepared to take on
EN
Monitor it carefully and regularly. Never be afraid to cut your losses and stop
speculatively. If you choose to go ahead, ensure that you take on only a

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reasonable proportion of the risk and that there is an acceptable chance of
success and adequate reward.
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Additional work and changes
All projects change and evolve as they develop throughout their design,
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procurement and construction stages. There should be allowances for a

reasonable amount of change within the original fee and project programme.
However, be mindful of being asked to do more work than expected on
significant changes, beyond the original scope of the project, without first
agreeing an additional fee and extra time for doing this work.
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In the original appointment contract, the project and your services need to
be described in as much detail as possible, as the agreed fee is based on
this definition. It is also a good idea to set limits beyond which changes to
the scope of the project will trigger a reassessment of the services and the
associated fee and programme. These triggers can be set as proportionate
increases (say more than 5%) in the construction cost, floor area or
programme.
This applies not only for lump sum fees, which are fixed for a specific service,
but also for percentage fees. Where there is a percentage fee, if the services
are extended due to changes that do not increase the construction cost, there
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will be no increase in the fee. Similarly, redesign work or value engineering

may be required, or the construction cost may be reduced, which will affect the
value on which the percentage fee is based.
Variations and changes will affect your fee, your costs and your resources.
Think carefully and ensure you are able and happy to carry out these changes
before you agree to do them.
When to stop work
The most difficult decision with a client is when to suspend or terminate your
services. How and if you do this depends on the terms of your appointment
contract. Generally, you can only stop if there is a material breach of the
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contract by the client or if you have ‘break clauses’ in the contract, perhaps at
the end of certain stages. If you walk away, you need to be able to justify why
EN
contractually. Otherwise, you may end up in bigger trouble and give your client
cause to sue you or report you to the ARB or RIBA for unprofessional conduct.
If your actions are found to be unjustified by a dispute resolver or court, you
could face substantial costs and damages. ARB’s disciplinary committee has,
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in the past, upheld the complaints of clients whose architect has abandoned
them before their project is complete. You must take legal advice before
terminating your services under any contract.
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Clients can also be in breach of their contractual duties. The most common
causes are not paying the architect all of what they are due, not paying the
architect on time, not making key decisions, not giving necessary instructions,
contravening health and safety legislation, changing the project beyond
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recognition, behaving unreasonably, and asking the architect to do something

unprofessional.
Most appointment contracts allow you to give notice and suspend your services
until a breach or disputed matter is resolved. If this is not done in a timely
manner, the contract can be terminated.
If you terminate a contract, weigh up the risks of not working again for this
client. You must also be prepared to deal with any reputational implications,
and have a response ready if there is any adverse publicity, which your
aggrieved former client may raise against you.
Financial key performance indicators
It is important to understand the financial key performance indicators and

their implications for your business. Adopting a professional approach to
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financial management is crucial for ensuring a successful and thriving business

with longevity. You should keep track of these indicators for your business.
Keep them up to date, review them frequently and promptly act on what they
are showing you. The key indicators of financial performance are as follows:
• Turnover – The total amount of money that your business makes

(income), generally measured over a year.
• Profit – The difference between your total income and your costs
in generating that income. If your costs exceed your income, you
will have a negative profit, otherwise known as a loss. Profit is not
always easy to determine, and the different forms of profit are often
misunderstood.
• Gross profit – The margin you make after you have deducted all your
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fixed operational costs from your total income. These costs would
include salaries paid to employees, but not dividends or bonuses paid
to directors, partners or share owners. They also do not include tax
payments or financing costs, such as interest on loans, or any money you
need to retain for planned investment for your business or to build and
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maintain a cash reserve fund (to maintain cash flow or cope with possible
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rainy days). If all these other costs are added to the direct business costs
and then subtracted from your total income, this gives you your net profit,
which is a better predictor of future cash flow and the ongoing viability of
your practice. Therefore, it is a key indicator to be aware of and regularly
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monitor.
• Cash – The money you currently have in your bank account. The amount
of cash you have determines your ability to pay your bills (liabilities).
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• Cash flow – The flow of money into or out of your business. The rates of
flow, positive and negative, can fluctuate dramatically.
To maintain their cash flow, many businesses need an overdraft facility
or loan from their bank, or use more expensive short-term credit
facilities. Going beyond the limits of available and affordable credit
can be disastrous for any business or individual. Your business may
have enough work to be profitable in the long run, but if you have not
received enough income into your account, you may run out of cash and
be unable pay your immediate costs. This is likely to be terminal for your
business.
Businesses do not go bust because they are not profitable and not
making money. They go bust because they run out of cash. One in three
businesses in the UK fails within its first three years, and in nearly
all cases it is because the business runs out of cash. Understanding
your cash flow and being able to predict and manage upcoming cash
surpluses and cash shortages is crucial.10 If you can foresee a possible
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cash shortfall approaching in the future, you must take prompt action by
bringing forward income payments, delaying the payment of liabilities,
temporarily increasing your credit limit with your funder, or a combination
of these. However, bringing in more cash does not necessarily mean an
increase in profits. As you grow to generate more cash, your overall costs
are likely to grow too. The focus for financial success must always be
on the ‘bottom line’ – the net profit margin – and on keeping the cash
flowing.
• Liquidity and current ratio – Measures a company’s ability to pay
its short-term obligations (linked to cash flow). The current ratio is
calculated using the two key figures that are available on a company’s
balance sheet, by dividing the company’s total current assets by its total
current liabilities. An ideal figure is between 1.5 and 3. If the ratio dips
below 1.5, consider it an early warning. A ratio of less than 1 indicates
that there is not enough cash coming in to cover the bills. Any business
needs to be aware of its ability to pay its liabilities. Tracking this figure
EN
regularly can give advance warning of business cash flow problems and
that remedial steps may be needed.
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• Work in progress – The value of the work you have done to date but
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have not yet invoiced for. Work in progress is a key indicator for any
business that is primarily selling its people’s time. It is the equivalent
of the value of stock in hand for businesses that make or sell products.
It requires an accurate assessment of the value of the work you have
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completed as a proportion of the fees you are due for the whole amount
of work. Just because you are halfway through the time and resources
allocated for a particular piece of work, it does not mean that you have
completed half of this work or generated half of the value in it. You
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may be behind, or even ahead, of schedule. It is important that you

accurately assess the true amount of work completed, otherwise it will
distort your work in progress figure. The objective is to keep the value
of work in progress as low as possible, which can be achieved through
prompt and frequent invoicing.
• Debtors – Money you have invoiced for but which has not yet been paid.
Obviously, you want to keep the amount of debt to a minimum to manage
your cash flow. A good way of monitoring debt is to measure debtor
days. This is the average number of days between the date of invoicing
and the date the business receives the money. This can be measured
for individual clients, so you can focus on the clients that take longer to
pay and chase their payments. You can also factor it into your cash flow
calculations for any future jobs with those clients.
The following simple example will help you to understand the importance
of cash flow and work in progress for any professional consultancy practice,
particularly one starting out in business.
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UNDERSTANDING CASH FLOW AND WORK IN PROGRESS
• A good client asks your practice to design a £2 million project.

You agree a percentage fee of 7%, which would give you
£140,000.
• The practice has overheads (rent, light, insurance, etc.) of
£30,000 a year, has a single architect partner and employs one
junior architect.
• In the first three months of the project, the practice works
diligently on the design, during which time it spends £7,500 on
overheads and £23,000 on the two salaries and taxes.
• The practice invoices £50,000 for the design stage, as agreed
in the fee schedule. This is very profitable: costs of £30,500 vs
•
income of £50,000.
EN
The client typically has 30 days to pay, but is a little late in
paying the invoice (developers have cash flow problems too).
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• Meanwhile the practice carries on working on the next phase
and incurs another £20,000 of costs plus £2,000 expenses while
waiting to be paid for the design stage.
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• The amount of unpaid work (known as work in progress or

lock‑up) now totals £52,500.
• Even after the client’s cheque arrives, you will still have spent
more cash than you have received so far.
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The amount that you have to pay out (on costs and expenses) before
you receive payment from the client is known as working capital.
Business will always have to bear this burden so you need to be
prepared and plan for it. For this simple example, the business needs
£60–70,000 of working capital and this requirement will increase
as the business grows. Businesses should generally have access to
working capital equivalent to around three months’ turnover, preferably
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as cash in the bank or maybe through a borrowing facility with a bank or

funder.
‘Cash is king’, so produce regular cash flow forecasts and take steps
immediately if you see a problem ahead. Banks will respect early
action. It shows that you understand your business, which will give
them confidence in you. If you put off contacting your bank until you
don’t have enough money left to pay your wages bill, they will not be
impressed!
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Actively manage your customers and suppliers. Ask for stage payments,
and be prepared to negotiate up front. Keep a close eye on debtors,
and actively manage slow payers. The costs of some of your overheads
can be spread monthly or quarterly to help cash flow. Take particular
care when the business is growing because it exacerbates the amount
of work in progress. Accountants call this ‘overtrading’, which is
when there is insufficient working capital to pay the increased costs
generated by the growth in the business.
And finally, get a good accountant. If an accountant wanted to build a
house, you would strongly recommend they use an architect. You would
argue, correctly, that you would get a better job and it would probably
save them money and create more value. So why would you scrimp on
professional and tax advice? Choose your accountant carefully, find
someone with whom you are happy, who will give you good business
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advice, as well as help you to complete the tax returns for your business.
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Taxation
When considering buildings, development and construction, the client

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should be advised to consult a tax professional before doing anything.

Tax arrangements often need to be made in advance, and not doing things
correctly or at the right time may result in significant additional and avoidable
tax liabilities being incurred. Any professional, particularly an architect, should
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be aware of the principles of taxation relating to their line of business, and be

able to make their clients aware of these issues, but should also advise them
to get professional expert tax advice.
Here are two typical examples of how taxation affects simple residential
development projects and how your clients could save significant amounts of
tax through thoughtful tax planning.
EXAMPLES TO ILLUSTRATE THE EFFECT OF TAXATION
Developing part of a garden

A client decides to build a house on part of their garden, to provide
a nest egg for the future. The building plot gains planning consent
and is now estimated to be worth £200,000, an increase of £170,000
for a piece of land that was previously the client’s vegetable patch.
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Because it is part of the client’s main residence, any gain is currently

exempt from Capital Gains Tax (CGT). However, had the plot been sold
to a developer first, before planning consent was secured, no shielding
would have been available and tax at 28% would probably have been
payable on the gain, amounting to £47,600.
Retirement
The same client wants a nest egg because they are about to retire.
Before retirement, the client earned £65,000 a year, but their pension
will be £30,000, and they plan to retire at the end of March. You apply
for planning consent in January, it is granted in March and the tax
year ends on 5 April. However, if you had delayed the application for
planning consent until April, the CGT bill would have been reduced by
£17,000, because the client would have become a basic rate taxpayer.
These two examples are simplified, and you do not need to know the detailed
rules of taxation, which change frequently, but you should have an awareness
EN
of the basic types and principles of taxation. The information in this chapter
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is intended to assist in developing that awareness, but it does not make you
an expert on tax. The professional thing to do is always to advise your clients
to seek the expertise of a tax professional to ascertain and optimise the tax
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implications for their project.
Taxes, charges and grants applying to the building

• Value Added Tax (VAT) – The most important tax relating to buildings
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is VAT. In the majority of cases VAT must be added at the current rate
of 20%, but there are important exceptions, including new building
construction, buildings for disabled people or building your own home.
A reduced rate of 5% can apply if installing energy saving products and
for certain work for people aged over 60. There are also a wide range of
other exemptions for certain communal and charitable buildings, certain
conversions for housing associations and protected buildings.
• Community Infrastructure Levy – Most new development – creating
a new building or adding a floor space of 100m2 or more (net) – is
potentially liable for a levy of around £80/m2. A wide range of exemptions
exists, including residential annexes and extensions, self-build social
housing and charitable development, but the exemption has to be
applied for and obtained beforehand and a commencement certificate
issued.
• Specialised grants – Grants exist to encourage people to develop
buildings in a way that helps the government to meet a wider goal, such
as an environmental or energy efficiency target. The incorporation of
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3
plant, machinery or materials that qualify for a subsidy can be a welcome

boost for your client. It can also help the building to meet BREEAM or
other standards.
Taxes applying to the client, their business and your business

A complex range of different taxes will apply to the client and may have an
impact on a project. These include the following:
• Capital Gains Tax

• Income Tax
• Corporation Tax
• Inheritance Tax
• Stamp Duty Land Tax – the application of this tax depends on the
particular circumstances of the purchaser and the purchase: Is it a
second home? Is it a first purchase?EN
Form of practice
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Most practices now operate as limited liability companies, including sole
traders and previous partnerships. The main reason why practices do this
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is to reduce their exposure to personal liabilities and to take advantage of

certain tax concessions. The relative tax and legal advantages of being a sole
trader, partnership, limited liability partnership, limited company or employee
ownership trust are always changing, based on government’s changing budget
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proposals and political priorities. Deciding on the most appropriate financial

and legal structure for your practice requires careful consideration, with expert
advice, and the choice needs to be reviewed regularly.
Traditionally, professional practices had to be partnerships without any limits --`,,,,,,,``,`,`,,`,```,,````,,,-`-`,,`,,`,`,,`---
on liability, due mainly to the rules set by the professional bodies. But that
changed from the 1980s, with the increased commercialisation and reduced
protection of the professions.
Partnerships are made up of individuals (partners) who are jointly and severally
responsible for all of the partnership’s actions, with unlimited personal
liability. Setting up a partnership is relatively easy, but adding a new partner,
or retiring an existing one, is a complex operation and involves the reallocation
of past and future liabilities between the different partners. The partners
all have ‘joint and several’ liability, which means that if a claim against the
partnership exceeds the limit of the partnership’s professional indemnity
insurance cover, then all or any of the partners could be pursued to recover any
additional liabilities from their personal assets.
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Limited liability companies protect the directors from being made personally
bankrupt by limiting their personal liability in the event of insolvency or a
catastrophic claim on the company. As a director, you would not be liable for
the negligence of other directors (unlike in a partnership), but you cannot
avoid liability for your own personal negligence. You may lose your practice
and the capital invested in it, but your personal assets cannot be used to pay
the company debts or excess damages (unless you have provided a personal
guarantee to the company or its funders).
Companies are separate legal entities, where the shareholders and directors
are not personally responsible for the company’s debts. A company structure
is a more flexible practice vehicle in which to operate than a partnership and
offers the highest level of protection of personal assets. If you are starting
up in practice, the simplest and easiest way to contain your liabilities is to
commence as a limited company. All companies must file annual accounts at
Companies House, so your financial record becomes public information.
The Limited Liability Partnerships Act 2000 created a new halfway house,
between the traditional partnership, with unlimited personal liability, and the
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limited company. Setting up a limited liability partnership (LLP) limits each
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partner’s personal liability, but retains the essence of a partnership, rather
than a commercial company. Although the collective liability of the partners
can be limited, individual partners can still be pursued at a personal level for
recovery of the LLP’s debts.
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An employee ownership trust (EOT) is another form of practice structure

that is becoming increasingly popular. It was introduced in 2014 by the UK
Government to encourage more businesses to set up a corporate structure
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similar to the John Lewis model and to facilitate wider employee ownership. In
an EOT the employees own all or most of the shares in the company. It offers
several valuable benefits for businesses, their employees and the owners,
including tax incentives, succession planning, employee engagement and fair
profit sharing, rewarding everyone’s efforts in building up and creating value
in the business. It can also help to attract and retain talented employees and
create a positive team culture, which makes it well suited to creative people
businesses such as architecture.
You need to have appropriate professional indemnity insurance cover,

whatever the structure of your practice. If you change your practice entity, you
must notify all your existing clients and obtain their agreement to changing
their contract to reflect the new legal structure of your practice.
The decision on whether you should trade as a partnership, an EOT, an LLP or

a limited company is ultimately one that you should discuss with your solicitor
and accountant.
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3
Conclusion
Money really matters. How you handle your finances and the finances of a
project for your client is a key aspect of professional practice. Money is the
obvious and very visible area in which to demonstrate the professional values
of the architects’ ARB and RIBA codes of honesty, integrity, competence and
relationships. This also builds the vital professional components of trust and
respect with your client, the project team and your work colleagues. Getting
it wrong is a main cause for professional misconduct and contractual claims
against architects. If you know your value and how to be profitable and manage
your finances carefully, you can have a rewarding professional career.
Endnotes
1
2
Payscale.com compensation data software.
EN
RIBA. ‘RIBA Jobs Salary Guide 2021’ (London: RIBA, 2021). Available at: https://jobs.architecture.
com/staticpages/10290/salary-guide-architects-and-architecture/ [accessed 23 August 2021].
3 Architects Council of Europe, The Architectural Profession in Europe 2020: A Sector Study
(Brussels: ACE, 2021).
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4 RIBA. ‘Gender Pay Gap’ (London: RIBA, 2020). Available at: www.architecture.com/about/equality-
diversity-and-inclusion/gender-pay-gap [accessed 23 August 2021].
5 RIBA. ‘The RIBA’s first meeting with Future Architects Front’ (London: RIBA, 2021). Available at:
EC
www.architecture.com/knowledge-and-resources/knowledge-landing-page/riba-meeting-with-
future-architects-front [accessed 23 August 2021].
6 RIBA. A Client’s Guide to Engaging an Architect (London: RIBA, 2000).
7 Farrall, P. and Brookhouse, S. Good Practice Guide: Fees (London: RIBA, 2021).
8 RIBA. RIBA Professional Services Contracts 2020 (London: RIBA, 2020). Available at:
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www.ribacontracts.com.
9 Construction Industry Council. Novation Agreement – ab initio (London: CIC, 2018).
10 Office for National Statistics. ‘Business Demography, UK: 2019’ (ONS, 2020).
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4
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Professionalism at work
with the law
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Professionalism is the best and cheapest lawyer
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A core element of professionalism is understanding, applying and
complying with the law. It is certainly unprofessional and dangerous
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not to be aware of the legal principles that control the provision of

professional services, such as duty of care, copyright and contract law,
and basic employment law. A built environment professional also needs
to be conversant with the legislation relating to buildings, particularly
that related to planning and construction. But even more important than
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awareness is compliance with these legal principles.
Legal and contract issues are covered in great detail in many law books
and other RIBA guides, such as the Architect’s Legal Handbook and Law in
Practice.1,2 This chapter focuses on gaining an understanding of the key
legal principles, their implications and how to comply with them by acting
professionally, thereby mitigating your risks.
Risky business
The High Court deals with proportionally more cases arising from the
construction industry than from other industries. Although negligence
claims are rare, the risks for architects are high. Their dual role of design
team leader and contract administrator makes them responsible for
coordinating design and construction work by other people. Architects are
also in the front line for insurance claims made by clients, as investment

costs and development risks are high and projects are of great importance to
clients and their businesses.
The value of successful insurance claims against architects, and the relative
cost of their professional indemnity insurance premiums, tends to be lower
than for other built environment professions, such as structural and services
engineers. Professional conduct and negligence cases against architects are
also relatively rare, no doubt because of their professionalism.
Apart from the usual business risks of finding work, getting paid and making
a profit, architects may find themselves facing legal claims for negligence,
breach of contract, non-compliance with legislation, building defects and
development losses, or even criminal charges for health and safety breaches.
Legal claims can come not only from clients, but also from employees, building
users and third parties who may be affected by your actions, or lack of them.
All of these can result in expensive claims, fines or, in extreme circumstances,
prison sentences, and carry the risk of being struck off by the ARB or the RIBA
for unprofessional conduct. Even if you are innocent, defending legal actions
is expensive and time consuming. It is best to avoid getting into this situation
by being fully aware of the law, carefully managing your risks and maintaining
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a high level of professional conduct. Legal risks are avoidable, or can be
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mitigated to a minimal level and cost, if you understand and follow the law as it
applies to your role and responsibilities.
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Duty of care
The primary obligation of any professional is their ‘duty of care’ to both their
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client and the wider public interest. This is a very different legal concept from
the more familiar principle of ‘fitness for purpose’ (which is discussed below).
This can be simply explained as the difference between brains (applying
knowledge to provide a service) and beans (producing and providing goods).
This results in two very different obligations: of professional ‘negligence’ and a
‘fitness-for purpose’ warranty or guarantee.
If you buy a can of baked beans from a shop, you expect it to be exactly what
it says on the tin: edible and even tasty. If it is not, you have a legal right to
receive either a replacement can containing the correct product or a full refund
and, possibly, compensation for any costs or inconvenience you have incurred
because of the faulty product. These could include the costs of your travel and
the time spent returning it to the shop and compensation for your ruined meal.
You have a warranty or guarantee. In other words, the can of baked beans must
be fit for purpose. This is the legal principle for the supply of all goods and
services.
However, if you require your brain to be fixed by a lobotomy, by using the
professional services of a brain surgeon, it sets up a different type of legal
70
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4
obligation. There is less certainty that the medical treatment will be completely
successful. You cannot take your brain back to the shop and have it replaced, in
the same way as you can with baked beans. The brain surgeon cannot provide
a guarantee, they can only use their best endeavours and specialist skills to
make the treatment as successful as possible. In other words, they only owe
you a ‘duty of care’. You could only sue the surgeon for negligence if they have
not been as skilful and careful as you could reasonably expect a qualified brain
surgeon to be. This legal obligation of duty of care applies to the provision of
all professional services.
An architect is required to exercise ‘reasonable skill, care and diligence’ in
performing their services. Your formal contractual relationship with the client,
who may be the contractor on the building project, will define this duty of
care. The contract may also extend this obligation – so that you also have a
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duty of care to others – through the application of ‘third party rights’ or via
collateral warranties. These create contractual obligations, determined under
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contract law. But you also have similar obligations to others who you do not
have a direct contract with but who may suffer damage or loss because of your
possible negligence. This public interest obligation is created under ‘common
law’ or ‘tort’. A breach of legislation can also be negligence, which is a failure
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in duty of care to the state and punishable by the state under criminal law.
There are three different types of legal obligation, all of which create a duty of
care for providers of professional services:
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• contract law (contract)

• common law (tort)
• criminal law (legislation).
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If something goes wrong with the building you have designed, or there is a
breach of a contract you are party to, it is not necessarily your fault or due to
a failure in your duty of care. It may be the fault or others or due to something
beyond your control or knowledge. If you have behaved professionally, you will
have a good defence against any complaint or claim of negligence. In addition,
for any legal claim to be successful, in contract, tort or criminal law, there must
have also been a foreseeable loss or harm directly suffered by the claimant.
Duty of care in RIBA contracts

The RIBA Professional Services Contract 2020 (clause 3.1)3 precisely describes
the duty of care as:
In the performance of the Services and discharging all the obligations
under the Contract, the Architect/Consultant will exercise the reasonable
skill, care and diligence to be expected of an Architect/Consultant
experienced in the provision of such services for projects of a similar size,
nature and complexity to the Project.
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The key words, shown in bold above, are ‘reasonable skill, care and diligence’.
These should be used, without alteration, in any form of appointment contract,
as all architects’ professional indemnity insurance cover is based on this
wording, which also applies to other professions and has a precise legal
meaning, determined by many years of case law judgements. Changing the
words, or qualifying them in a particular way, may mean that your insurance
cover is void and your contractual obligations for ‘duty of care’ have been
greatly increased. You should check this with your professional indemnity
insurance provider or legal adviser.
The reference in the clause to projects ‘of a similar size, nature and complexity’
should also not be altered in any appointment contract. Implying, or
specifically stating, that the consultant has specialist knowledge or expertise,
or that the project requirements are particularly elaborate in some way,
will raise the expectations for the duty of care. It is important to retain this
statement in any appointment contract, to clearly separate the contractual duty
of care from the obligations of common law standards and the Supply of Goods
and Services Act 1982.
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Importantly, the RIBA Professional Services Contract 2020 (clause 3.1) goes on
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to say:
… the Architect/Consultant’s duties and obligations shall be deemed to

be subject to the exercise of such reasonable skill, care and diligence
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and nothing contained in this Agreement or elsewhere shall be

construed as imposing on the Architect/Consultant any greater duty
than the exercise of such reasonable skill, care and diligence.
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This may sound pedantic or tortuous, but it does usefully prevent the duty of
care from becoming more onerous or creeping towards more onerous ‘fitness
for purpose’ type obligations.
This important issue is also covered in the chapter on clients (Chapter 2).
Many bespoke appointment contracts, or alterations to the standard RIBA
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contracts, try to contractually raise the bar for this duty of care. This should
be determinedly avoided, particularly if it voids the architect’s professional
indemnity insurance cover, which would be in neither the architect’s nor
the client’s best interests. It is important to check appointment contracts
carefully for the expected or implied duty of care. Look out in particular
for any performance guarantees or warranties, which may relate to the
building’s specification or to the achievement of a particular deadline or
outcome, such as planning permission by a particular date or for a specific
amount of development. If in any doubt, refer the proposed appointment
contract to your legal adviser or insurance broker for checking before you
sign it.
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4
ORIGINS OF PROFESSIONAL NEGLIGENCE: THE SNAIL IN A BOTTLE OF

GINGER BEER
The development of the legal concept of professional negligence is all

due to a decomposed snail found in a bottle of ginger beer. This is a
true story that is so uniquely bizarre that you could not make it up. It is
the famous and memorable legal case of Donoghue v Stevenson (1932),
better known as the ‘Snail in the Bottle’ or ‘Paisley Snail’ case.4
In 1928, Mrs Donoghue’s friend bought her a ginger beer from a café in
Paisley, in Scotland. She had consumed about half of the ginger beer
when she poured out the remainder of the contents of the bottle, which
was made of dark opaque glass, into her glass. To her horror, she found
the decomposed remains of a snail in the glass, causing her stress,
and later she became ill.
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Mrs Donoghue had no direct contractual relationship with either the
café owner or the manufacturer of the ginger beer. Therefore, she could
not make a claim through any breach of a contract. So, she issued
proceedings against Mr Stevenson, the manufacturer, for negligence,
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but the law of negligence at the time was very limited and only applied
if there was some established contractual relationship. This was
increasingly thought in legal circles to be too limiting and unfair.
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Mrs Donoghue’s case was seen by lawyers as an ideal test case to

change the law. Over four years this case gradually climbed its way up
to the top of the UK’s legal ladder, the House of Lords.
The House of Lords eventually found in favour of Mrs Donoghue and
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held that the manufacturer did owe a duty of care to her, which had
been breached, because it was reasonably foreseeable that failure to
ensure the product’s safety could cause harm to a consumer of their
product. However, the primary legal principle that this judgement
established, and which the case is best known for, is the ‘neighbour
principle’.
In his judgement, Lord Atkin cited the biblical rule to ‘love thy
neighbour’ and established that you ‘must take reasonable care to
avoid acts or omissions which you can reasonably foresee would be
likely to injure your neighbour’.
This is the key legal case that led to the creation of the legal concept of
‘negligence’. It established the general principle whereby one person
would owe a ‘duty of care’ to another person, even where there is no
contract between them. This was an evolutionary step in the common
law for ‘tort’ – it separated negligence from just contract law.
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Subsequent significant legal judgements from the House of Lords

– Hedley Byrne v Heller (1964) and Caparo v Dickman (1990)5 –
developed the definition of professional negligence by establishing the
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following legal elements or tests to prove negligence:
1. Duty – The defendant has a duty of care to the claimant
(the neighbour principle).
2. Breach – The defendant did not take reasonable care to fulfil
that duty.
3. Cause – This breach directly caused some form of harm or loss to
the claimant, due to the defendant’s actions (or lack of action).
4. Proximity – The harm/loss caused by the breach was reasonably
foreseeable by the defendant.
claimant, due to this breach of care.

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5. Damage – There is a value to the harm or loss suffered by the
It is hard to overemphasise the impact of the ‘Snail in the Bottle’ case

on professional negligence for architects. It put Paisley, near Glasgow,
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on the international legal map and its significance has been recognised
by a statue of Mrs Donohue being erected in the centre of the town,
near the site of the café where the bottle of ginger beer was sold and
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consumed.
Fitness for purpose

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Fitness for purpose obligations are hard to avoid entirely. This is particularly
the case for residential projects, because the Defective Premises Act 1972
requires that any residential building has to be fit for habitation. This
obligation is really aimed at the owner or landlord, but it can include the
designer, if the designer’s duty of care is not carefully described in their
appointment contract.
This type of obligation can also arise in design and build contracts. The
contractor’s contract is likely to contain fitness for purpose clauses, to ensure
the building will meet a prescribed level of quality and performance. These
obligations are often passed on to consultants working for the design and
build contractor, as part of their appointment contracts – in some seemingly
innocuous clause requiring the consultant to comply with the construction
obligations of the contractor. This should be resisted.
Any proposed appointment contract should be carefully checked for the

inclusion of such clauses. This sort of warranty obligation should not be
74
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transferred to your appointment contract. If they cannot be avoided, they will

certainly need to be precisely prescribed in some way to comply with your
professional indemnity insurance cover requirements and checked by your
insurer.
The common law test for negligence provides that a professional person is not
negligent if their work is of the same standard as that of another reasonably
competent member of their profession, but this obligation can be increased by
a contract clause. Ultimately, the court will make a judgement on whether an
architect, working on this type of project, could reasonably have been expected
to know about, decide on or identify a particular defect or issue.
By contrast, a fitness for purpose obligation imposes a higher duty, such as

an absolute contractual obligation to achieve a specified result. This sort of
breach would not require proof of negligence. In 2017, the Supreme Court
ruled that any fitness for purpose requirements in the technical requirements
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of a contract must stand, despite any other contractual obligations regarding
the exercise of reasonable skill and care.6 All the more reason to carefully check
and negotiate, if necessary, all the clauses in any appointment contract.
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Third party warranties
A contract is usually between two parties – in the case of a building project,

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between the client and the consultant or contractor. However, the contractual
obligations can be extended to other parties, such as the project’s funders
or the building’s users or future owners. This can be done either by including
them as ‘third parties’ in the contract or by setting up separate collateral
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warranties. The Contracts (Rights of Third Parties) Act 1999 provides for
additional parties to be added to a contract, which would extend your
contractual duty of care to more people, although you may already owe a duty
of care in tort to these parties.
Extending your professional obligations and liabilities for the project and
its project team, can be quite burdensome. Additional obligations must be
checked carefully, preferably by your legal adviser and professional indemnity
insurance broker. Try to ensure that any extended contractual duties or
collateral warranties are similar for the other co-consultants, subconsultants
and contractors working with you on the project. Check and confirm this with
your insurers before signing any contract that includes third party rights or has
separate collateral warranties.
If you have to include additional parties in your professional services

obligations, it is better and simpler to do this by adding named third
parties to your appointment contract. As collateral warranties are separate
contracts, they could have different and more onerous terms than your main
75
appointment contract and therefore should be avoided. However, if you have

to enter into a collateral warranty, you must carefully check that it has exactly
the same (or lesser) level of obligation, duty of care and time limits as your
main contract. Involve your legal advisers and professional indemnity insurers
with this.
If you are taking on additional risks and obligations, it is legitimate and

sensible to negotiate an additional fee. These rights will be of value to the
other parties, but will potentially raise the cost of your indemnity insurance
premium, not to mention increasing the risks to you.
Copyright
The general principle of copyright is that it is owned by the creator/author/

designer of the product or creative outcome. For an architect, it applies to your
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designs, drawings and specifications, and enables you to control what you
have created and to reuse or reproduce it. It prevents your client from changing
your design or using it for another project without your permission. Such
permission could also require an additional fee to be paid to you.
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A client has an implied licence to use your design, but for the sole purpose
for which they have paid you a fee. This is clearly set out in the terms and
conditions of the RIBA Professional Services Contract. The RIBA contract
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provides the client with a licence to use your material, but only for the sole
purpose or project for which it was intended, and upon payment of the agreed
fees. This licence may be suspended or revoked if any due fees have not been
paid, which is a very powerful incentive for the client to pay your fees on time.
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If the client does not pay all your fees, or breaches the related terms of your
appointment contract, you can take out an injunction against your client to
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stop work on the project until the dispute has been resolved.
Copyright is a valuable asset. Many clients realise this and insist on

transferring the ownership of your copyright to themselves, as part of the
appointment contract. This should be resisted, and copyright should certainly
not be given up lightly, without negotiating reasonable compensation via an
enhanced fee at the outset of the project.
There are many implications of selling your copyright to someone else. The
obvious one is that if your client were to use your design again for another
development, you would not gain any benefit from it, and you may still have
liabilities for the design. Giving up copyright also restricts your own use of
the design in the future. You would need the permission of the new copyright
owner to use the design again (including any standard details or specification
clauses, which you may want for your other projects), and this could come at
a cost.
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Therefore, if you do agree to transfer your copyright to your client (perhaps

due to pressure from the client), ensure that it is restricted to specific
items, such as the general arrangement design specific to the project. It
should exclude anything that you may wish to use again, such as standard
details, specification notes or BIM protocols and software. You could also
retain your right to reproduce the elements of your design for which you
have relinquished the copyright without having to pay any fees to the new
owner. It is advisable to include in your appointment contract a clause that
indemnifies you from any liability for any other use, or misuse, of your design,
and the selling on of your copyright material by the future owner to anyone else
for use on another project.
The client generally has the right to use your design, for the intended purpose
and project, if the agreed or reasonable fees for it have been paid, up to
the completion or termination of your services, in accordance with your
appointment contract. The client is also entitled to use another consultant,
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or design and build contractor, to complete the project and develop your
design. The client could sell on the site or building to another party with the
benefit of your design, without your further involvement in the project. The
legal principle is that the client has paid for the design and complied with the
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contract conditions you agreed, and therefore has the right to use it for its
intended purpose.
If you have agreed a reduced fee with your client for the initial stages of
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the project – say, up to gaining planning permission – make sure there is a

clause in your appointment contract that states your services will be retained
for the ongoing stages, or that you will be paid a compensatory additional fee
if you are supplanted, either by your client or whoever takes on the project.
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You are in a stronger negotiating position to agree this additional protection

of your copyright at the onset of the project, before your appointment contract
is signed.
Although copyright is a powerful and valuable tool, it is notoriously difficult

to prove a breach of your copyrighted design. Case law on copyright shows
that even a minor change to your design by another person would be enough
prevent you successfully claiming for breach of your copyright.
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A way of reinforcing your copyright is to include the copyright symbol (©) on all
your drawings and documents, with a brief statement naming your practice as
owner of the copyright and warning that the drawings must not be reproduced
in whole or part without your written permission. The symbol identifies
your copyright ownership and brings it to the attention of anyone using the
information.
When employing staff, including contract self-employed staff, ensure that all
employment contracts specify that you (or your practice), as the employer,
77
retain the copyright of all work produced by employees during their term of
employment in your oﬃce.
Avoiding and managing claims
Most negligence claims against professionals are made by clients, which is

why it is important to maintain a good and professional working relationship
with yours. The key is to keep in close contact and frequently communicate
with your client, so you can become aware of any issues as they arise and deal
with them promptly, before they can grow and develop into a legal dispute.
It is essential to have a regular client feedback system, which acts as an

early‑warning system to alert you to any client dissatisfactions, and a
complaints handling procedure, in case an issue leads to a complaint. A client
feedback system also provides a helpful record, should a dispute materialise,
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and demonstrates that you had kept a professional eye on things and that you
react quickly to issues, even if the client has not previously alerted you to them.
This can be very useful evidence in handling any claim or dispute resolution.
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Almost every architect’s practice receives at least one negligence claim during
its lifetime, so do not feel persecuted or devasted if it happens to yours. You
can also be dragged into a negligence claim by others; for example, if there is
a claim against the contractor or another consultant on the project and you are
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apportioned part of the responsibility. Many claims are unsubstantiated, and

may even be a device for the client to avoid paying or to reduce the fee.
There is no definitive data on the claims rates for the industry or the various
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professions, as many claims are dealt with and settled confidentially between
the parties. However, it is estimated that fewer than 25% of claims against
professionals, or their practices, are successful. Successful claims are often
settled at a much lower rate than the original claim, but the cost of defending
them can be hefty, not only financially, but also in time, reputation and
personal angst.
Your professional indemnity insurer should provide a claims handling service

– ensure that your insurance will adequately cover you for this. If you are
successful in defending a claim, some of your costs may be reimbursed as
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part of the settlement. But this rarely, if ever, covers the full cost of defending
a claim, or compensates you for the stress and sleepless nights it may have
caused. So, the answer is to avoid facing any claims, if at all possible.
If a client considers you have breached the contract or been negligent in

carrying out your duties, they have up to six years after the end of a contract in
which they can make a claim. This period is extended to 12 years for breaches
of contracts that have been executed ‘under seal’ as a deed.
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For negligence claims, the time limit is six years from the date on which the
negligent action or resultant damage occurred or was reasonably discovered.
This is covered by the Limitation Act 1980. The date when the clock starts
ticking on the time limits for making contractual claims is not easy to ascertain,
particularly for projects that include construction stages. It is generally not the
date of the end of the original contract. Unless the contract specifies otherwise,
the time period usually starts when the final certificate for the contract has
been issued. If there are unresolved defects, this can be some time after the
end of the defects liability period. This can easily be two or more years after the
date of practical completion.
Latent defects
Some construction defects caused by failures in design, workmanship or

materials might not become apparent or readily detectable (even with the
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exercise of reasonable care) until many years after completion of the project.
If they were not identified as part of the contract, either during construction
or within the defects liability period, they are known as ‘latent defects’
(as opposed to ‘patent defects’, which are apparent). There has been much
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case law and some legislation over the years regarding latent defects,
particularly relating to foundation failures and subsidence.
There is also a limitation period within which the owner or successive owners
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of a building can make a negligence claim (under tort, not contract), which
is three years from first becoming aware of a latent defect, and an overriding
long-stop of 15 years from the act of negligence that resulted in damage.
Clients can also use collateral warranties and building warranty schemes with
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their contractor and consultants to create an extended contractual obligation

for latent defects. Alternatively, this can be achieved by including third party
rights in a contract. This effectively gives similar contractual rights and duty
of care obligations to other identified parties, who are not directly part of the
contract, usually the project’s funders, successive owners or tenants.
Different rules apply for claims of personal injury or illness, which could be
made by an employee or a building owner or user; however, such claims
are rare. The person has up to three years to make such a claim from when
they became aware of the injury or illness, but this period can be extended
by the courts. To guard against such claims, check that your business and
professional indemnity insurance covers you for such risks.
Compliant contracts
Clauses in contracts must be legal and fair. The courts can overrule unlawful
clauses and strike them out of a contract. This may affect how other parts of the
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contract operate, so it is best to avoid them in the first place. This is covered
by the Unfair Contract Terms Act 1977 – and additionally, for consumer clients,
by the Consumer Protection Act 1987 and the Consumer Rights Act 2015.
The Housing Grants, Construction and Regeneration Act 1996 (known as the
Construction Act) forbids the use of certain clauses, such as ‘pay when paid’ or
‘pay when certified’, and requires provisions for adjudication to be included in
construction contracts. The law is complicated on the issue of unfair terms and
conditions in contracts, particularly for professional services and construction
contracts. All the more reason to use compliant standard forms of contract
and to seek expert legal advice if you are asked to use a bespoke or amended
standard contract.
Statutory breaches and criminal charges
There is a plethora of legislation that affects the design and construction of

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buildings, as well as the provision of professional services. It covers planning
and building, health and safety, consumer rights and the provision of services.
Breaches of a statute or common law are classified as unlawful acts – crimes
punishable by the state. Some carry hefty fines and custodial sentences. You
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cannot insure yourself against a criminal conviction, and if you are found guilty
the ARB and RIBA may take action to censure or expel you from the register and
Institute, particularly if the conviction reflects on your professional integrity
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and reputation. This would be the case where there has been dishonesty, fraud
or abuse, even if it was not directly related to your professional practice.
Statutory breaches can trigger a claim for negligence from your client or
professional body. The best way to avoid this is to be aware of the law and
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your statutory obligations. As soon as you become aware of any action of a

client, contractor or co-consultant that has caused a statutory breach, or even
the prospect of one, it is your duty to inform that party, preferably recorded in
writing.
Proposing corrective action to avoid or remedy this breach would also be the
professional thing to do. Depending on the severity and type of the statutory
breach, it may also be necessary to inform the relevant statutory authority
promptly, and to demand that work is stopped immediately and not resumed
until the breach is remedied. This is definitely the case for health and safety
issues, where people’s wellbeing and lives may be at risk. If you do not take
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these actions promptly, you could leave yourself open to a legitimate claim for
negligence.
Breaches of planning legislation appear quite commonly in professional

negligence claims. They tend to relate either to unlawful development
(i.e. without the necessary approvals) or to non-compliance with planning
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4
approvals. This particularly applies to work affecting listed buildings

and development in conservation areas, which have additional statutory
protections. For example, strict controls relate to trees and external works
in these special locations. Generally, all trees in conservation areas are
automatically protected and specific permission is needed to fell or trim one,
and some trees may have specific tree protection orders (TPOs). At the start of
any project, check local authority records to see if any buildings, features or
landscaping have a protected status that might affect your work.
LISTED BUILDINGS
Non-compliance with the statutory protections afforded to listed

building can have serious repercussions. A well-known example relates
to 31 Doughty Street in London. This building was part of a terrace of
ten Grade 2 listed Georgian town houses built between 1794 and 1810.
EN
In 1993, consent had been given to a housing association to convert
three of these houses into social housing. Listed building consent
had been granted to demolish the interiors of nos. 29 and 30 Doughty
Street, but not that of no. 31.
IM
The architect was apparently not aware the consent did not apply to
no. 31 and had not been informed by the client. As work progressed,
the local planning authority was alerted by English Heritage that the
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interior features of no. 31 had been stripped out. The architect was
fined £2,000. This was the maximum fine at the time, equivalent to
about £4,000 in 2020, but the maximum is now much greater. The
housing association was fined £1,000 plus costs of £5,500 (equivalent
SP
to about £13,000 in 2020). But the costs of restoring not only the
interior features of no. 31, but also the reputations of both the client
and the architect, were much greater. The architect was also sanctioned
by the ARB and the RIBA.
Sadly, there are many more similar examples of this salutary tale. All of
the problems could have been avoided if the architect had checked that
the necessary statutory consents were in place, which is simply done by
checking the publicly available local authority records.
(Source: PlanningWeek, 14 October 1993.)
Before starting work, ensure that all necessary consents are in place and then
complied with. Do not allow your client to start work, including demolition and
site preparation, before the relevant permissions and notifications are in place.
There are often pre-commencement planning conditions to be dealt with before
work can start on site, which may take some time to complete. If you think a
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structure is unsafe, you must inform the local authority at once, as well as the
client and anyone on the site. Advise on any urgent works that may need to be
done to remove the immediate danger, then agree on the permanent solution.
Health and safety is an area covered by a lot of legislation and legal

obligations, which are likely to change in the future following the recent
Building Safety Bill (developed as a direct consequence of the Grenfell Tower
fire in 2017).7 The Bill includes new criminal charges and creates new roles to
take responsibility for health and safety issues on construction sites. Health
and safety on site is also legislated for under the Construction (Design and
Management) Regulations 2015 (CDM Regulations). Occupational health
and safety, both in your own workplace and in the workplaces you design for
others, is covered by the Health and Safety at Work etc. Act 1974. The design of
access into and within buildings must ensure accessibility and usability for all
people, including those with a range of disabilities.
EN
It is not only a legal duty but also a moral and ethical duty of any professional,
particularly architects, to ensure that all involved in the construction process
of any of their projects fully comply with the applicable health and safety
legislation, to protect themselves, their colleagues and the end users of their
IM
projects.
Health and safety risks are severe and could result in long-term illness, serious
injury or even death. The time limits for claims are therefore far longer than for
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negligence or building defects claims. Likewise, the courts can award much
higher damages and fines, and even prison sentences, for breaches of health
and safety law than for other areas of legislation.
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Risk management
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To adopt a professional approach to practice, it is essential to have and use

an effective risk management system. Risk can never be fully eliminated, but
it can be reduced significantly. Your risk management system should identify,
record and manage risks, including any complaints, business threats, contract
breaches, design errors and project problems, as they become apparent or can
be anticipated. Being able to spot and deal with any issues early and promptly
is a characteristic of being professional and makes good business sense.
Effective risk management is the foundation to good project management and
should be applied to even the smallest projects.
When considering project risks it is usual to think of catastrophic events, such

as a tower crane collapsing onto the building or a major fire on site. However,
the reality is that it is more likely a series of minor events will combine to derail
the project or cause a disaster, such as the changes to cladding specifications
and use of incompatible fire safety protocols that led to the fatalities in the
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4
Grenfell Tower disaster. These risks are determined not only by the competency
and actions of the design team or contractor, but also the inter-relationships,
dependencies and golden thread of responsibility throughout the project.
These are the risks of unintended consequences you need to consider.
Having identified a risk, ensure the relevant people are informed, particularly
the client and your professional indemnity insurer. Not notifying in time could
give your insurer the opportunity to void your cover for this item. Take prompt
mitigation and rectification action, to reduce your exposure to claims and
losses. Be aware of those risks over which you have no control or that are
unforeseeable and often uninsurable, such as pandemics, economic crashes
and climate change, and seek to cover as many of them as possible in your
insurance. Likewise, advise your client of the potential risks to them and their
project. Even if catastrophic risks are insurable, it may not be financially viable
to have complete cover. Being fully aware and looking out for potential and
unexpected risks is essential.
EN
Understanding the nature of the possible risks to your project is important for
working out how to avoid or mitigate them, thereby enabling you to fulfil your
professional duty of care. Risks can include both an occurrence of a negative
IM
event and a non-occurrence of a positive effect. Simple examples might be
late delivery of key materials, windows arriving on site being found to be the
wrong size or screeds not drying on time. When considering risks, it is usual to
think in terms of likelihood and impact: How likely is it that an event will occur?
EC
How much of an issue will it be if it does occur? Many texts and resources on
risk management are available, which you are advised to study and apply.
Risks can be assessed and managed by having a comprehensive risk register

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for every project. The following box outlines the key principles of using a risk
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register as part of a professional approach to risk management.
RISK REGISTERS
1. Risk identification
Identify any risks that might affect the progress and completion
of the project. This is best done by looking at the project and
its processes holistically and imagining what could go wrong.
Getting the project team together to brainstorm the project
at its inception is effective. It is helpful to have a standard
risk register template that can be used for every project, and
reviewing project risk registers from previous projects can
prove a useful memory jogger. Making the identification of
risks an integral part of the project management, such as part
83
of the critical path on a project, highlights on those elements

which will have the greatest impact if they are late or need
correcting.
2. Risk evaluation
List all the identified risks separately but grouped together by
risk type, in a table or spreadsheet. In the next column, identify
the mitigations for each risk. In the following columns, assess
the possible impact and the likelihood of each risk (these are
often given scores that are then multiplied together to evaluate
the relative importance of each risk).
3. Risk mitigation
Having identified and evaluated all of the risks, you now need to
manage them methodically. Typically, there are four approaches
to risk mitigation:
EN
Avoid – Risks that have a high likelihood of occurring and will
have a major impact should be avoided. For example, health and
safety shortcuts.
IM
Transfer – Risks that have a high impact but low likelihood
could be transferred or shared, for example by purchasing
insurance.
EC
Accept – For some risks, the cost of mitigating or removing the

risk may be greater than the cost of the risk occurring. Such risks
can be accepted, but they should still be carefully monitored.
SP
Limit – Some risks can be limited through a combination of

avoidance and acceptance, by taking some avoiding actions,
but accepting the risk that remains.
4. Risk management
Note the mitigative actions on the risk register, confirm that you
are content with the resulting net risks and satisfy yourself that
these are under control. You cannot eliminate risks altogether,
but if you have put effective risk mitigation in place then the
likelihood is that things are less likely to go wrong – and if they
do go wrong, you can be confident that you have a plan in place
to deal with them.
To practise professionally, it is essential to have and use an effective risk

management system. It is vital to remain vigilant about managing your
professional risks, particularly if you are overstretched by too much work,
leaving you with too little time or a lack of resources.
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Dispute resolution
There are several well-established formal methods of resolving disputes in

the construction industry or related to professional services. These include
mediation, adjudication, arbitration and litigation. (The first three methods are
known as ‘alternative dispute resolution’ – or ADR – as they are alternatives to
going to court.) Some forms of dispute resolution are required by legislation,
such as adjudication, which, under Part II of the Construction Act, must
be available in all construction contracts. Most construction contracts and
contracts for professional services contain specific clauses for the provision of
dispute resolution. Dispute resolution is covered in greater detail in other RIBA
guides and other legal publications, so this section highlights only the key
points for a professional approach.
Of course, it is better to prevent issues or complaints developing into formal

EN
disputes in the first place, which is why it is so important to nurture good
client and project team communications and relations. This will make it easier
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to identify and resolve any issues amicably as they arise. In case an issue
does develop into a complaint, it is important to have an effective practice
IM
complaints procedure in place to deal with it (see Chapter 2 on clients).
The ARB and the RIBA sensibly recommend to both clients and architects that
they should first try to resolve any differences of opinion or concerns by direct
EC
communication, before even thinking about making a formal complaint. If this

fails to resolve the issue and the emergence of a dispute is unavoidable, you
can look to the various forms of formal dispute resolution. It is better to start
with the less formal and quicker forms of ADR and, if you have to, to escalate
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up to more formal and binding methods. The following paragraphs outline the
main methods of ADR, in order of escalation.
• Mediation is an informal and voluntary process that uses an impartial

and independent third party to help the two parties in a dispute to reach
a mutually acceptable solution. It does not impose a resolution and only
becomes binding with the consent of all parties. The mediator provides a
formal structure and facilitates communication between the two parties.
The mediator has no decision-making power, they can only assist in the
negotiations. The aim is to help the two parties in the dispute to reach a
voluntary agreement themselves, which can only become legally binding
if both parties formally agree to the resolution.
Several organisations, including the RIBA, have registers of accredited
mediators from which a suitable mediator can be selected, by mutual
agreement of both parties (there is often a fixed fee for this service).
Mediation is a relatively quick and inexpensive form of ADR, and is a good
place to start in resolving a dispute, but it is only suitable when both the
parties have a genuine wish to settle.
85
• Adjudication is a contractual or statutory procedure for swift dispute

resolution. It is carried out by a third party adjudicator selected by the
parties in dispute. Adjudication decisions are binding, but they can
be referred to arbitration or litigation for a final decision. Adjudication
generally follows a strict timetable, requiring a decision to be reached
within 28 days, and are usually based solely on written evidence
submitted by the parties. The adjudicator can adopt an inquisitorial
role (and may ask for additional evidence to check the facts) and has
discretion in how legal costs are awarded (unless this is excluded by the
terms of the contract).
The Construction Act provides a statutory right to adjudication in most
construction contracts and contracts for architects’ services (a notable
exception being a contract with a residential occupier), even when it
is not expressly provided for in a contract. A nominating body, such
as the RIBA or the Royal Institution of Chartered Surveyors (RICS), can
be specified in a contract, or either party may apply to a recognised
nominating body for the appointment of the adjudicator.
Adjudication is intended to be a straightforward and speedy process,
without the need to involve lawyers. However, you may also wish to
EN
seek the advice of your legal adviser, particularly in formulating your
IM
written evidence. Adjudication tends to be more costly and onerous
than mediation, but it is generally more cost effective and speedier than
arbitration or litigation.
EC
• Arbitration is legally binding and the decision of the appointed

independent arbitrator is final. The arbitrator’s decision is enforceable in
the same way as a court judgement, but the decision is private and not
part of any public record. As well as being private, arbitration is usually
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significantly quicker and cheaper than litigation. The arbitration process

resembles a trial. The arbitrator hears the evidence from both sides and
can interrogate and seek further evidence, before giving their decision.
• Third party opinion is another, if less common, form of ADR. It involves
an independent expert being appointed on behalf of the parties to
provide an impartial and expert opinion, with recommendations for
the settlement. Third party opinion tends to be used for disputes over
a valuation or technical matter, such as the cost or performance of a
product or service. It can be a speedy process that is done by mutual
consent, rather than as part of the contract terms.
Conclusion
Professionalism entails a high level of rigour and attention to detail as your

conduct is always subject to scrutiny under the law, particularly should a
claim be made against you. Providers of professional services, particularly
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4
in the construction industry, are subject to many, often complex, laws and
regulations. An architect, or any other built environment professional, is not
expected to be a legal expert. However, it is valuable to have an understanding
and overview of the legal context in which you provide professional services
and to be able to advise your client appropriately. Most of the law, and how it
is applied, is common sense, but the detail is key. Compliance is a crucial part
of running a professional and successful practice. If in any doubt, seek expert
legal advice, or encourage your client to do so.
Endnotes
1 Speaight, A. (ed.). Architect’s Legal Handbook: The Law for Architects (Oxford: Architectural Press,
2010), 9th edn.
2 Wevill, J. Law in Practice: The RIBA Legal Handbook (London: RIBA Publishing, 2018).
3 RIBA. RIBA Standard Professional Services Contract 2020 (London: RIBA Publishing, 2020).
4
5
EN
Donoghue v Stevenson [1932] AC 562. The doctrine of negligence.
Hedley Byrne & Co Ltd v Heller & Partners Ltd [1964] AC 465. Assumption of responsibility;
Caparo Industries plc v Dickman [1990] 1 All ER 568. Three stage test.
6 MT Højgaard A/S v E.On Climate and Renewables UK Robin Rigg East Ltd [2017] UKSC 59.
IM
7 Ministry of Housing, Communities and Local Government. Building Safety Bill (Bill 139-EN)
(London: HMSO, 2021).
EC
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87
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EN
IM
EC
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5
with projects
EN
Good things happen for those who plan
IM
Managing the project
EC
Designing and constructing a building is a complex process. It involves

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responding to many different demands and interests, coordinating a

wide range of stakeholders and skills, and working with others on a
mixture of creative, technical and practical issues. There are great risks
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and uncertainties, as construction projects are subject to the vagaries

of the economic, political, regulatory and social environments. They
require intensive capital investment with high development risks,
often for modest returns. This applies as much to the smallest and
seemingly simplest of building projects as it does to the largest and most
complex project.
The design, construction, use and post-occupancy process is not linear

or straightforward. Turning an idea into a reality is a creative process,
with many iterative thought processes, return loops and dead ends, as
different solutions and options are explored. Construction has a complex
and fragmented supply chain, requiring the many different components
and skills to be assembled from a wide variety of different sources.
The process has to manage change throughout the project, as different
opportunities and challenges arise and alter the original plan. This often
has to be done within demanding time constraints, and where many
critical paths affect the programme and sequencing of activities.

To manage such a complex process requires great expertise on the part

of the designer, coordinator and manager of the project. This calls on the
professionalism of the architect, working collaboratively with the client, project
manager and other design team professionals.
RIBA Plan of Work
A great tool for project delivery is the RIBA Plan of Work.1 It is a comprehensive
and detailed process map that is freely available, widely established, simple
to use and universally applicable to all scales and types of design and building
projects. It is also relevant to many other complex production processes and
projects. The latest version is structured as a continuous process and circular
learning loop, from Stage 0 (Strategic Definition) to Stage 7 (Use) (Figure 5.1).
This chapter follows the RIBA Plan of Work stages, with an overview of how to
manage a project professionally. It does not attempt to replicate the detailed
guidance on the application of the RIBA Plan of Work stages found in other
books and RIBA practice and project guides2,3 and uses slightly different
EN
terminologies to relate to the professional issues. Instead, it focuses on what
IM
to think about professionally and to prepare for in order to carry out a project
effectively, ethically, successfully and with integrity.
EC
Strategic
Use Definition
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7 0
Handover Preparation
6 1 and Briefing
RIBA
Plan of Work
5 2020 2
Manufacturing Concept
and Construction Design
4 3
Technical Spatial
Design Coordination
Figure 5.1: RIBA Plan of Work 2020
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Professionalism at work with projects
5
RIBA Stages 0–1: Strategic Definition and Preparation

and Briefing
The client’s requirements – defining the project

The client’s requirements, or brief, is a vital starting point for achieving a
successful project and a satisfied client. The number of problems encountered
on a project – affecting construction programmes, build quality and cost
control – can be directly related to the quality and proper use of the original
brief agreed with the client.
Satisfying your client’s and other stakeholders’ requirements is crucial for the
success of your project and your client relationship. It is therefore important
that these requirements are accurately and comprehensively captured in the
project brief.
EN
Projects invariably develop and change as they progress and more becomes
known. The project brief therefore needs to be an evolving document that
manages these changes as they emerge. The client’s requirements often
IM
change during the project, as many things will not have been known or decided
at the inception of a project, and challenges may arise, such as unexpected
ground conditions, and the client’s and market situation may change. If these
happen, the project brief needs to be reassessed, reviewing the implications
EC
for the cost, timing and quality of the project. The impacts and benefits of these
changes for the client, and on your services, will also need to be considered, as
they could affect other members of the project team, the contractor and, even,
funders, insurers and users of the building. The changes may also require
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significant alterations to the cost plan and project programme. The balance of
the capital expenditure and the ongoing operational expenditure throughout
the building’s life cycle may also need to be recalibrated, as the outcomes and
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ambitions of the end product are developed.
The brief also needs to consider how the progress and performance of the
project will be measured. These metrics can include economic, social and
environmental impact and value targets. There are many systems and tools
already developed to do this, including Design Quality Indicators,4 the
Building in Quality (BiQ) Tracker,5 BREEAM6 and Passivhaus.7
As the RIBA Plan of Work stages progress, the client’s brief is confirmed in the
Client Requirements document for the project (Stage 0), from which a Project
Brief is developed (Stage 1) and then an Architectural Concept (Stage 2). It is
vital to formally agree and record any new decisions and changes as and when
they happen during the course of the project. All changes to the original brief
should be confirmed, in writing, with the client, and there should be a formal
system for recording any changes and approvals.
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The brief should be updated and re-issued regularly, particularly after a

significant change has been agreed. The latest brief (or the relevant sections
of it) should be issued to all the relevant parties, to ensure that anyone
who may be affected by these changes is informed. Each project should
have a client/project brief file, which is a chronological register of all the
confirmations of the client’s decisions and updated versions of the issued
briefing documents. There are several useful tips and templates for this in the
RIBA Job Book2 and the Handbook of Practice Management.8
Establishing the brief

It is important for you and your client to spend as much time and effort as
possible at the beginning of a project to ensure the brief is right, even if you are
both keen to get on with the job. Having a detailed and accurate brief agreed at
the start helps to avoid future misunderstandings and mistakes and reduces the
amount of subsequent change. It also helps you and your client to define the
EN
scope of your services precisely, by clarifying the resources and recompense you
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will need to do the job properly and to make a fair profit. All this reduces the risk
of claims and disputes arising, so greatly improves the chances of maintaining
a good client relationship and achieving a successful project.
IM
Effective brief writing is a specialist skill. On complex projects it may be worth
hiring a specialist brief writer or holding briefing workshops with the client
and their stakeholders. This will not only help to create a more accurate brief,
EC
but also enhance your understanding of the client and their needs, engage
the client stakeholders with the project and help to develop ongoing working
relationships. If the design team is involved, the briefing workshop can be
used to discuss and develop the design strategy for the project and to agree
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the methods by which the whole project team will work together to develop and
exchange design information. Instead of the client’s brief, the outcome can be
a full ‘project implementation plan’ (PIP) (also known as a ‘project execution
plan’ (PEP) or a ‘project quality plan’ (PQP)), which should be cross-referenced
to any BIM or digital execution plan for the project.
Defining the brief

The majority of clients engage in a building project only once in their lifetime,
and many others very infrequently. They may have an idea of what they want,
but this is not necessarily what they need, and they might not know how to
define and achieve their ambitions. Even with experienced and repeat clients,
who may have already prepared a detailed brief for the project, it is still
essential to explore their needs carefully and to record and confirm them in a
written project brief, with an initial idea of the outcome and the likely costs and
time involved. A handy way of doing this is to have a practice questionnaire, or
explanatory leaflet, that describes your services and explains what is entailed
and helps to elicit the client’s brief.
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In developing the brief, it is useful to have face-to-face meetings with all the
key stakeholders on the project, so you can benefit from their views and assess
whether they concur with what the client wants. At exploratory meetings with
the client, and their key stakeholders, you can show examples of your work on
other, similar projects to gauge their reaction. During this process, the client’s
real requirements will hopefully emerge, which may have evolved significantly
from their original thoughts. Use this process to clarify any uncertainties and
to develop as precise a brief as possible. Establish what is most important to
the client. Is it the quality, time or cost of the project? Rank these key issues
according to their relative priorities.
Having a clear idea of the budget and its limits is important. If the client has
a fixed budget limit, it is not worth developing ideas that will exceed this
budget. Developing the brief may expose the fact that the budget is unrealistic
or overly ambitious, and that the client has unrealistic expectations. It is vital
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to be honest and clear from the beginning about any concerns you may have
EN
about achieving the ambitions of the brief, particularly the costs. Clients, and
sometimes their consultants, can be swept away with enthusiasm and become
overoptimistic and underestimate the costs, time and risks of a project.
Your client may not, at first, want to hear that their financial expectations
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are unrealistic, but they will ultimately value the professionalism you have
shown in considering their value for money and responsibly managing their
expectations.
EC
Consumer clients (that is, clients who are individuals rather than companies)
have the added protection of the Consumer Rights Act 2015. Under this Act,
you will have to formally record that you have carefully reviewed and agreed
the brief, and the terms and conditions of your professional services contract,
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directly with your consumer client, and have documentary evidence to prove
this. It is, of course, good practice to do this for all your clients and on all your
projects. This can be done by sending the client a letter, or notes of a meeting,
confirming the process you have gone through with them to agree the brief and
the contract terms for your services.
Even experienced clients, who appoint consultants and develop projects

regularly, may not be as clear about the requirements of a project as they
believe they are. For example, they might not have thought about it from the
point of view of the users, the neighbours, the environment, the planners, or
the contractor and the design team. Your client may even provide you with a
comprehensive brief at the onset, but it is still very useful to go through this
with them in detail, checking every aspect. This is not only to ensure that the
brief is right and that you both understand it correctly, but also to demonstrate
your interest in the client and their project, as well as your thoroughness and
professionalism. Identify and resolve any omissions or inconsistencies; if
these cannot be satisfactorily dealt with at the start, before you agree your fees
and appointment terms, ensure they are recorded for future resolution.
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The following checklist outlines the main questions and issues to be reviewed
in developing the client’s requirements and the initial project brief. It is not
a comprehensive list, but an indication of what should be covered. Develop
your own form of standard checklist, based on these considerations and the
ethos of your practice for establishing client briefs and your design approach.
Adjust and personalise it as necessary, to include any particular requirements
for specific clients and projects. Producing a bespoke project-specific checklist
demonstrates a high professional level of attention to detail, even if it is largely
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based on your standard format.
PROJECT BRIEF CHECKLIST
What are the client’s objectives and ambitions?

• Key objectives and targets of the client for the project.
•
•
Budget and programme.
Funding and tax planning issues.
EN
• Own use or speculative development.
IM
• Eventual return on investment or site value expected.
• Nominated consultants/suppliers/contractors (and if to be used,
EC
who controls them?).

• Preferred procurement system.
• Risk profile and appetite.
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• Corporate responsibility and reputation.

• Social and environmental ambitions.
What building or outcome does the client require?
• Use and occupancy of the building, compatibility with local
planning policy issues.
• Amount of accommodation, size of building, floor heights, open
spans, floor loadings.
• Performance standards, life expectancy of the building and its
key elements.
• In-use operating costs and energy usage, maintenance planning.
• Environmental performance, carbon/energy usage, naturally
ventilated or air-conditioned, water and waste, heating,
information technology (IT) requirements.
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• Special components, materials, suppliers, finishes.

• Future flexibility, adaptability and extendibility.
• Complete ‘fit-out’ or ‘shell and core’.
• Fixtures and fittings and level of finishes.
• Design aspirations or audience/clientele for the building.
What are the site constraints?

• Permitted land use and maximum development.
• Planning restrictions, listed building status, conservation area.
• Land ownership and covenants.
•
•
EN
Site survey (accurate and up to date), boundaries ownership.
Existing trees (TPOs?) and landscape features, natural habitats.
• Retained/refurbished buildings or new build.
IM
• Site ground conditions, soil type, water table, bearing capacity.
• Local area and site subject to subsidence or flooding.
EC
• Environmental issues (pollution, noise, light, smell).

• Restrictive covenants, rights of way, adjoining neighbours,
rights to light, access.
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• Site access, vehicular/pedestrian/services, parking.
What are the time and programming constraints?

• Deadlines for the client, start and completion dates.
• Timetable for the funding or occupancy.
• Availability of the vacant site.
• Phasing and sequencing requirements.
• Timing of site preparation and demolition works.
• Time required for: planning approval, design, building approval,
procurement, construction, commissioning.
• Lead-in time for particular components or fittings.
• Procurement route, contract type, construction method
(how does it affect programming?).
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• Commissioning time before full occupancy.

• Staged or partial completions, any sequencing and phasing of
occupation.
• Areas of uncertainty or risk in the programme, contingency in the
critical path.
• Flexibility of the timetable.
• Priority and achievability of any time constraints and deadlines
(which may determine procurement route and method of
construction).
How much is the client prepared to pay?
• Overall project budget and construction budget.
•
•
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Balance of initial capital cost and ongoing operational costs
(this relates to the quality and performance of the building).
Quality of building required (see section above on the ‘building’).
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• Flexibility of the costs and cost sensitivity.
• Contingencies to deal with uncertainties or unknowns.
• Professional fees, other consultants, surveys, planning fees.
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• Requirements of the funders/banks.

• Warranties or third party agreements.
• Requirements for valuations and certification.
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• Cash flow requirements, not only of the client but also of the
contractor, suppliers and consultants.
• Responsibility for cost estimates, valuations and cost control
(separate quantity surveyor?).
What services does the client require?
• RIBA Plan of Work stages required.
• Detail and extent of information required.
• Information format (BIM, CAD, printed, models, visualisations).
• Other consultants (directly engaged by the client or the lead
consultant).
• Principal Designer (under the CDM Regulations) and health and
safety roles.
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• Contract administration and site supervision.

• Preferred procurement method.
• Appointment contract conditions (professional indemnity
insurance level, liability period, etc.).
• Client representative (who makes the decisions and gives the
instructions?).
Are there any special project or client requirements?
Finding out about the project

On receiving the initial project enquiry, it is professional to carry out some
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basic due diligence checks, such as making preliminary investigations
into the client (if new to you), the market for the project, the local planning
requirements and any environmental restrictions (related to flooding,
contamination, etc.). Most of this can be done anonymously online, or through
IM
personal contacts. It will give you an overview of the viability of the project
and the likely demands of the client, as well as the risks involved in gaining
planning consents and other approvals.
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Check if the site and/or building survey and any other project information is
generally accurate and can be relied upon. Check also that it is supplied in a
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format (CAD/BIM) that is usable. Do the surveys include: site topographical

details, trees and ground conditions; building dimensions and conditions;
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services? If you have any doubts about the accuracy and extent of the available
survey information, do recommend to your client that new full surveys are
carried out. Check with the client that there are no restrictions on the use of
the project information they have provided (i.e. there are no copyright or other
restrictive issues). Finally, get confirmation from your client of whether the
site deeds contain restrictive covenants or give others a right of access across
the site.
You and the project team are relying on the information provided by the client,
and it is reasonable for you to expect this to be correct. This is recognised
legally and covered in standard forms of appointment contracts, but still worth
specifically noting to the client that you assume that all the supplied project
information is correct and that you will be relying on it in good faith. If any of
the information proves to be wrong, you are protected from actions due to
the deficiencies.
It is important to find out, understand and agree how the project and your
fee are being funded, and by whom. Are they able to pay you? How will they
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pay you? What are the procedures for payment? How will any cost changes
be dealt with? Clients, and their funders and investment partners, may have
specific requirements and triggers for the release of funding. Will they be
involved in decision-making about the design and in signing it off? Who
will be the ‘client representative’ – to instruct you and make the project
decisions?
Make sure that everyone involved is clear about the project budget, payment
procedures and cost controls, including the agreed schedule of interim
payments throughout the project. Doing so ensures the client is fully aware of
their funding obligations and enables you and the project team to manage your
own businesses.
The project programme needs to be prepared, discussed and agreed with

all the parties involved. Identify the critical path through the programme
and any areas of float. Are there any critical target dates (such as planning
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approval) and, if so, how fixed are they? Will there be phasing of different
parts of the project? What is the availability of the site? What are the main
programme risk areas? What planning issues are there? What type of
procurement route would best suit the programme? Monitor and update
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the programme at all stages. Advise the client, firmly and in writing, if
you consider any of the target dates to be unrealistic or challenging,
particularly before committing to the construction start or completion and
occupancy dates.
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This is the best time to review the legitimacy and realism of the project
and that you have the skills and resources required to do the job properly
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and professionally. If your initial investigations and analysis of the client’s
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requirements indicate that it will be difficult, if not impossible, to achieve the

project as planned, you need to inform and warn the client straight away. It is
in their best interest, and your professional duty of care obliges you to do so.
If the concerns become a deciding factor in whether you start the job, for you
or your client, it allows you to part on good terms, without the risk of a claim
for negligence.
Establishing the project team

Construction projects have increasingly complex team structures, particularly
for the design team, even on simple projects. Changing legislation and ways of
working are creating new roles, such as project and design managers, Principal
Designer, and specialist consultants and advisers on planning, environmental
impact, cladding, drainage, fire safety, etc.
It is crucial that you, and everyone else involved with the project, understand
your role and your relationship to the other members of the project team. Help
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to ensure everyone is clear about who is doing what, who reports to whom,
who decides on what, and who takes overall responsibility. The RIBA Plan
of Work includes the use of a Responsibility Matrix, which is a schedule that
defines what each role does and who they are. For more complex projects, with
many different roles and relationships, this can become a large matrix. The CIC
provides a multidisciplinary role and responsibility matrix template as part of
the CIC Scope of Services documentation, which is helpful for more complex
and larger projects.9 The RIBA Standard Professional Services Contract allows
the various roles that the architect is to take on in the project to be specified in
the schedule of services.10
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Issues generally arise at the interfaces of the different roles and their
responsibilities. Areas of contention can arise around the junction between
the below-ground and above-ground drainage and services, the ownership
of the overall BIM/CAD model, and the checking and updating of the project
programme. There should be a check on the communication, digital, technical
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and software capabilities and compatibilities of all members of the design
team, which can be confirmed in a BIM execution plan.
The contract terms for the various members of the design team should
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be similar (if not identical) and compatible with each other, regardless of
whether the specialist consultants or subconsultants are appointed directly
by the client or by the lead consultant or architect. Direct appointment of
consultants by the design team leader or architect does, however, increase the
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responsibilities, liabilities and management control of the design team leader

or architect.
It is particularly important that the design team members’ appointment

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contracts have the same levels and limits of professional indemnity insurance
cover, contractual liability periods, methods of dispute resolution and
copyright ownership and similar terms and conditions for their services. This
should also apply to new members of the design team, who may come on
board during the course of a project.
The client, the other design team members or, even, your own practice may
not wish to disclose the full content of their individual appointment contracts.
However, it is advisable and legitimate to ask the client to confirm that key
terms and conditions are the same for all members of the design team. You
have more control over the terms and conditions for subconsultants directly
engaged by you. Ensure that they have the same terms and conditions for
the project as you do, so there are no gaps or differences in your professional
obligations. There is a subconsultant version of the RIBA Professional
Services Contract, which can be used alongside the Standard version for the
lead consultant.
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RIBA Stages 2–3: Concept Design and Spatial

Coordination
Design development and approval

Creating and developing the design is one of the prime areas in which the
architect’s and their design team colleagues’ talents are employed. Design
is a complex, inspirational, exploratory and iterative process, exploring new
ideas and options until the best-fit solution emerges. The design solution that
is chosen needs to be able to be realised, through the process of procurement
and construction, which can involve managing complex manufacture, supply
and assembly processes while also navigating the planning approval process
and supply chain, and assembled in an unpredictable site environment.
It takes skill to coordinate and manage all the moving parts, options and
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unknowns. A successful project is usually the result of a clear brief, an engaged
client, a clearly structured project team and a well-organised process. Pulling
this all together, and being the conductor of this cacophony of an orchestra,
is the traditional role of the architect. But, as a profession, architecture
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has become increasingly focused on the creativity, not the deliverability, of
outcomes. Clients see this as the real weakness of architects – good on design,
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but wanting on delivery (see ‘What clients think of architects’, in Chapter 2 on
clients). To be professional, architects and designers need to concentrate as
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much on the competent management and delivery of the project as they do on

the performance, quality and creativity of the design.
Project and design management

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Separate roles have emerged to deal with the overall management of the
increasingly complex process of design and construction. Having a separate
project manager to oversee the overall process became popular in the UK from
the 1980s. A new project management profession emerged in the construction
industry, but was more focused on the technical, financial and delivery sides of
the process and became dominated by professionals from quantity surveying
backgrounds. Architects initially lamented that their traditional role of design
team leader had been usurped, but soon realised that project management
that focused on the technical parts of the project and on driving the project
team did not fully solve the issues for the client. To effectively manage a
complex project requires a much more holistic overview and range of creative,
people and political skills – the range of skills embedded mostly in the
architect’s profession.
More recently, the role of design manager has emerged, which is now
frequently used by developer clients to manage the creative parts of the whole
process, particularly on larger projects. The role focuses more on the art than
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the science of management, employing the softer skills of managing and

coordinating people and the creative process.
The role of managing the design process is valued by the client. It requires
the holistic overview, synthesising skills and lateral thinking approach that
characterise architects and similarly trained creative professionals. As the
design and construction process becomes ever more complicated, the role
provides a more relevant and effective future for the architectural profession.
Design management is an area where architects should showcase and
promote themselves to clients, on projects of all scales and types. It requires
an understanding of the creative process, an overview of the wider project
objectives and an intuitive skill of organising, coordinating and directing the
design team. This comes naturally to those with an architectural training and
interest. To be effective, it also requires the application of robust practices.
These include:
EN
• keeping the design team inspired, on board and focused on the project,
through regular coordination meetings and information exchanges
between members of the design team
• knowing the sequencing and consequences of the design process and
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the implications of any design decisions on the performance, costs,
programme and outcomes of the project
• carefully managing the political processes, and any public consultations,
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for the planning approvals

• most of all, keeping the client involved, managing their expectations and
getting their timely decisions and sign-offs.
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Value engineering
Value engineering is intended to increase the value and performance of a
project by resolving design problems and eliminating unwanted costs. It is
vital to conduct this process with honesty and to factor in its wider benefits
to the project, the end user and for the welfare of all, rather than merely as a
cost-saving process with potentially harmful consequences. Cutting corners
may reduce the initial costs or shorten the programme, but it can diminish
the functionality and quality of the project. Value engineering can therefore
become a misnomer as it may result in the project costing more, rather than
less, if the bigger picture and longer-term value are not considered. Designers
must be prepared to be constructively critical and aware of the longer-term and
wider implications for the project and the client.
Value engineering should start at project inception, where the benefits can
be greatest, but it is more usually commenced following the establishment
of the detailed cost plan. It should involve the whole project team and
complement the development of the project brief. The contractor should
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also be brought into this process, as soon as they are known, as they can
make a significant contribution to streamlining and adding value through the
construction process.
To be truly effective and live up to is name, value engineering should be about

taking a much wider, whole-life view of the building, not just the design and
construction stages. Benefits to be looked for include improvements in quality
and reductions in life-cycle costs and environmental impacts.
Procurement route
There are now many different forms of procurement and types of contract, and
an ever-increasing range of reasons for selecting the best-fit procurement
route for the client and the project. This choice of procurement route will
affect the structure of the project team and influence the types of appointment
agreements and scopes of services for project team members. The pros
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and cons of different forms of procurement and construction contracts are
discussed in detail in other RIBA Good Practice Guides.11 This section focuses
on the overall considerations regarding how to decide which one is best and
how to manage that process in a professional manner.
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Selecting the best procurement system need not be overcomplicated.
Most small to medium-sized projects are still best served by the so called
‘traditional’ procurement route, where the design and construction information
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are prepared by the client’s design team, possibly with elements of contractor-
aided or subcontractor design, and the contractor is engaged by competitive
tender or negotiation. The construction is then supervised by a contract
administrator, appointed by the client, but independently managing the
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contract between the client and the contractor. The RIBA, RICS and other
standard forms of appointment for consultants, and the standard forms of
JCT building contract, are based on this ‘traditional’ procurement route,
but they are generally adaptable, or have different versions, for use with
other procurement routes, such as design and build. The traditional form of
procurement is very familiar to the industry and traditional contracts have been
well tested in the courts.
There are many variants of design and build procurement, which together have
become the most prevalent form of construction procurement in the UK (when
measured in construction value). Design and build is promoted as a way of
saving time and of reducing risk and cost uncertainty for the client. Experience
shows that this is rarely the case, as time still needs to be spent (perhaps even
more time) on developing the design and organising the construction. The
risks are not reduced – rather, the balance of risk is shifted from the client to
the contractor. The client pays a price for this transfer of risk and loses some
control over the project. Cost certainty does not seem to be any better for
design and build projects, and changes during construction tend to cost more.
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Cost certainty is less a function of procurement route and more a result of making
timely decisions and few changes. Whatever the chosen procurement route, for
certainty and efficiency in cost, time and output there is no substitution for clear
project objectives, a well-managed design and construction process, a clear
‘golden thread’ of responsibilities throughout the process and good teamwork
between the client, the design team and the contractor.
If any particular procurement route was definitely cheaper, faster or more

certain, it would become the norm and all others would become redundant.
Which procurement route is the best fit for a particular project depends on the
interrelationships between the following complex issues:
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• risk appetite and experience of the client
• type of client (consumer, corporate, public)
• size and complexity of the project
EN
• certainty of the design and the project outcomes at the outset
• cost certainty and constraints, funding requirements
• time constraints, the need for speed
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• level of client control over the finished project
• services required from the consultants.
EC
The procurement route needs to be discussed in detail and agreed with the
client as early on in the project as possible as it will shape the scope of your
services. The RIBA Plan of Work provides for the procurement route to be
thought about from the very beginning of Stage 0 (Strategic Definition) and
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finalised by Stage 3 (Spatial Coordination). The earlier the procurement route is

known, the better.
The preferred procurement process can be tentatively decided at the start, to

enable the design team’s scope of services and appointment contracts to be
put in place and the outline project budget and programme established. It can
then be reviewed and tested during the initial project stages and the final
decision made later, preferably before Stage 3. If it is changed later, it is likely
to require a change to your scope of services, programme and fees, as well as
to the project’s programme and budget.
RIBA Stage 4: Technical Design
Construction contracts
Deciding which construction contract to use depends on the chosen
procurement route and the type of project. As with consultants’ appointment
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contracts, it is better to use a standard form of construction contract wherever

possible, as they are tried and tested under contract law and accepted by
professional indemnity insurers. There are plenty of different standard
construction contracts to choose from (JCT, NEC, RIBA, etc.), and guides such
as Which Contract?12 offer advice about which one to use. The key is to decide
which contract to use as early as possible, as the construction information and
contract documents will need to be prepared in accordance with that particular
contract’s conditions.
Before the client signs the construction contract, it is useful to attach a

summary of their contractual obligations along with all the agreed contract
documentation (or at least a detailed schedule of the documentation). For
consumer clients, provide a written explanation of the role of the independent
contract administrator, even if you are not fulfilling that role. Ensure the client
understands that, even though they are employing and paying the contract
administrator, the contract administrator’s role is to act independently and
to administer the construction contract fairly (the construction contract being
between the client and the contractor).
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Instructions to the contractor can only be given by the contract administrator,
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and not directly by the client. If you are carrying out the role of contract
administrator, you should not only inform the client not to give instructions
to the contractor, but also make sure the contractor knows they are only to
accept and act on instructions from you. This can be very difficult to achieve
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and maintain, particularly if the client is based on site or sees the contractor
more frequently than you. Your role as contract administrator is to supervise
the contract, inspect the works and issue instructions to the contractor. If the
client, or anyone else, finds something on site they do not like, or thinks is not
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right, or wishes to change, then they need to let you know, not the contractor.
Make sure everyone understands this contractual obligation.
Construction contract documentation

Obviously, any design and construction information you produce needs to
be as accurate and comprehensive as possible. Having insufficient time or
resources, or too little fee, are not legitimate excuses for not doing it properly.
It is your professional duty to ensure that you do have the capabilities to do the
job you signed up for. If you foresee or encounter any problems in achieving
this then you have a duty to inform your client – you can be deemed to be
negligent if you do not. Any errors, contradictions or omissions will have to be
resolved later, costing both you and the client more time, money and angst.
The successful tenderer or negotiated contractor will have offered to construct

the building for a price that is based on the information supplied to them in
the tender/negotiation documentation. The finalised documentation then
becomes part of the legal agreement. The different items (such as drawings
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5
and specifications) all need to be listed, with the relevant versions identified,
as contract documents. It is important to get the contract documents as
accurate and complete as possible, to mitigate the need for contractual
changes due to any omissions or errors. If any changes need to be made to the
documents, and the contractual conditions, these need to be agreed with the
contractor and, possibly, the price and programme adjusted.
It is likely that the construction information will not be complete at the time
the construction contract is agreed. This is usually dealt with by agreeing a
‘request for information’ (RFI) schedule with the contractor, listing information
to be issued during the construction period. This can also double up with
the process for recording and dealing with the Site Queries, as the project
progresses. It is beneficial for the design team leader to take the initiative
and to compile this schedule, identifying what information will be supplied,
when and by whom, to the contractor. The contractor can then respond to this,
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rather than setting the pace for the flow of information from the design team.
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If you provide construction information late, this could prompt a valid claim
from the contractor.
Do check all documents carefully before you issue them. Be careful not to take
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on responsibility for information provided by other design team members,
suppliers or the contractor – you may not have the knowledge or competency to
do so. But you do have a duty, particularly as design team leader, to check the
coordination and completeness of others’ information and to let them know if
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you have any concerns. If you have to confirm that you are content with others’
information, state clearly this is only for ‘coordination’ purposes and not for
accuracy and correctness.
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For design and build contracts, be careful when acting for the contractor
and working up a design prepared by the client’s design team. Get written
confirmation that you can rely on this information and that your client has a
licence to use the design and is responsible for any faults, inaccuracies or
discrepancies therein.
Recommending contractors
You may be asked by your client to recommend contractors or suppliers for their
project. Before doing so, make sure that they are bone fide, reliable and able
to do the job successfully. Be very careful about making recommendations
that others will rely on – remember your duty of care (see Chapter 4). Carry
out checks as you would for a potential client. Even if you are familiar with the
contractor or supplier, check their current financial viability, their claims history
and their recent performance on projects for other clients. Your client can
expect to rely on your professional advice. If any problems arise later, you need
to be able to demonstrate that you acted professionally and took all reasonable
precautions to ensure your recommendations were reliable and honest.
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Health and safety strategy

Health and safety is an area that has been subject to increased legislation
and more demanding legal obligations. Legislation includes the Construction
(Design and Management) Regulations 2015, and changes are likely to be
brought about by the Building Safety Bill.13 The CDM Regulations created a
Principal Designer role, with specific responsibilities for the health and safety
aspects of the design of the project. But there are also health and safety roles
and responsibilities for all members of the project team, including the client.
Everyone has a shared responsibility to consider and reduce health and safety
risks during the design process. The RIBA Plan of Work also includes the
need for a Health and Safety Strategy to be created and implemented for any
building project.
The key health and safety actions for the architect or contract administrator are
as follows:
EN
• Check that the client has selected and appointed a competent Principal
Designer.
• Make sure the project team is competent and has the resources to
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address health and safety issues.
• Check the client is aware of their duties and is carrying them out.
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• Design out construction risks and identify any unavoidable hazards

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during the design process.

• Develop and provide information to constructors on health and safety
issues and any unavoidable hazards.
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• Coordinate your work and approach with those of others to improve the
way risks are managed and controlled.
RIBA Stage 5: Manufacturing and Construction
Construction programme
Most construction contracts oblige the contractor to prepare a detailed work
programme. This should include a critical path analysis, to identify where the
crunch points occur.
Although the construction programme is the responsibility of the contractor,

there are key aspects of the construction programme that the contract
administrator should do or oversee, as follows:
• Establish and agree the key dates for when specified things need to have
been achieved.
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• Monitor actual progress on site against the contractor’s agreed

programme.
• Record any delays, and ask the contractor how they plan to overcome the
delays or if they will affect the completion date.
• Establish the reasons for any delay, and determine whether the delay is
due to an issue for which the contractor is responsible or if it is a client
responsibility.
• Record any delays as they accumulate during the construction process.
• Check that the RFI schedule matches and is appropriate for the
programme.
• Regularly check the anticipated completion date and inform the client
accordingly.
If the design team leader has proposed an outline information supply

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programme and an RFI schedule for the construction process (at Stage 4),
then the contractor could be asked to base their programme on those.
This would mean the design team, rather than the contractor, drive their
own programme of work. If the contractor initiates the programme and RFI
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schedule, they may make unreasonable and unrealistic demands for design
information and decisions, which are difficult to achieve – or which have even
been set up to cause the design team to fail, to provide an opportunity for the
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contractor to make a claim against the client.
Start on site
If at all possible, ensure the construction contract is signed before any work
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starts on site. As with professional services contracts, the difficulties and risks
of working under a letter of intent mean that such an arrangement should be
avoided (as set out in Chapter 2 on clients). The client may press for site start
before the contract documentation can be finalised or the insurances and
warranties are in place. Make sure that the implications and risks of starting on
site without having all the contract elements in place are known by the client.
Only use a letter of intent to commence the construction work if absolutely

necessary. There may be problems in the way it has been drafted that mean
it differs from or does not cover the intended terms and conditions of the
construction contract. There is much case law that proves this point. Disputes
usually arise around the issues that prevented the contract being signed in the
first place. Sometimes, contracts never quite get signed, even by the end of
the project. This is very risky and should be avoided. Warn the client and the
contractor that it is in both of their interests to be fully covered contractually.
It will be very difficult for you to administer a contract that does not yet exist or
where there are still areas of disagreement.
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If a site start is unavoidable before the contract can be signed, it is better to

agree a limited package of initial work to be started under a letter of intent,
with no commitment to continue with any further works if, for any reason, the
contract does not proceed.
The payment arrangements for the contractor should be agreed before the
ordering of materials and construction commences. These should include
the frequency of valuations, certifications and payment instalments, with
a cash flow forecast for both the client and contractor. It is the contract
administrator’s role to ensure that these arrangements are implemented
according to plan and that the client pays on time.
Any changes from the original plan and construction programme must be
carefully recorded and updated forecasts issued.
Architect’s instructions
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All construction work, particularly where there is a change to the design, must
be instructed formally in writing, in the way prescribed by the construction
contract. The main standard forms of contract have standardised forms for
these instructions. Each instruction should clearly identify the actual (or at
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least the provisional) value of the work in the instruction, highlighting any
changes to the contractual budget and programme.
EC
Cost control is vital – variations, cash flow and forecasted or actual final
costs all need to be monitored. If there is a quantity surveyor or valuer on the
project, it is usually their role to oversee the cash flow and prepare these cost
statements. But it is still the responsibility of the contract administrator to keep
the client informed of the costs and construction progress. It is important to
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have regular planned updates with the client, as clients need to know what
is happening on their project and do not like surprises, particularly on cost
overruns.
Payments and valuations

If you are acting as the contract administrator without the services of a quantity
surveyor and so are responsible for valuing completed work, assessing the
amount to be paid and issuing interim payment certificates, you need to do this
as fairly and accurately as possible. You must not be influenced by the client
or the contractor on this, it must be your independent professional judgement.
It is your responsibility to ensure the contractor is not overpaid or underpaid.
If the client loses money through overpayment or the contractor suffers due to
the withholding of funds that are due, you could be accused of negligence for
unprofessional judgement.
When valuing completed work, you should exclude any defective work.
Materials and components that are not yet on site should also be excluded.
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Where the contract allows for payment for off-site components and materials,
they should be listed separately and the client’s ownership confirmed.
Otherwise, there may be problems with proof of ownership if the supplier goes
bust before the components or materials are delivered on site.
If you have any doubts or queries, question the quantity surveyor (if there is
one) and the contractor, or check for yourself.
Procedures for issuing interim payment certificates are strictly controlled by the
construction contract clauses. Ensure you comply with them.
Managing changes
If the client wishes to make changes to the agreed design, you need to explain
to them the potential outcomes. You may need to make changes if the contract
documents are found to contain errors or omissions, or the site conditions and
EN
constructing process mean they are required. Contractors may see changes
and variations as an opportunity to increase costs, thereby increasing their
profit margin on the project. They may have tendered keenly for the project
and may actively be looking to make their profit from the client’s changes or
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architect’s mistakes.
IM
If client or design changes are unavoidable, assess their impact on the
project’s programme, budget and overall outcome. Also assess how these
EC
changes may affect your services – additional resourcing, time and fees may
be required. Agree each of these changes to the project and your services,
in writing, with the client as the project progresses. Do not delay or wait until
the changes have been done. It will be far more difficult to negotiate and agree
them with the client later, when the work is completed. You have a duty to keep
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your client informed, and your duty of care means that you need to deliver
their project, as agreed with them. Clients are likely to become disgruntled if
surprised by unexpected additional fees, costs or delays.
Site visits and inspections

Ensure you have a structured programme of site visits and inspections.
You should have worked this out and detailed it in your scope of services,
as part of your appointment contract, even if only as an estimate on which
to base your fee. The frequency of site visits and inspections will depend on
the job and the client. They should take place both at regular intervals and
at specific milestones or critical events during the construction period, such
as before filling in foundation trenches. Allow for sufficient time to inspect
the works and discuss on-site issues with the contractor, as well as to attend
site meetings.
As contract administrator, you are not supervising, just inspecting the

construction works. Your role is to ensure, as far as reasonably possible,
109
that the works are in accordance with the contract and are of an acceptable
standard. It is the contractor’s responsibility to guarantee the works have been
carried out correctly and are fit for purpose.
Clients sometimes wish to appoint their own site representative, or you may
have the benefit of day-to-day oversight by a traditional on-site clerk of works.
However, this is very rare nowadays. If there are other site representatives who
are supervising or inspecting the works, do insist that they report to you and
make this clear to all concerned. It is the contract administrator who has the
overriding contractual responsibility for construction supervision and should
also have the authority for the role.
Schedule your site visits to coincide with critical events on site, such as
before filling in foundation trenches. As mentioned before, the frequency of
your site visits depends on the job and the client but should be noted in the
construction contract and your appointment agreement.
It is important to keep records of the progress of construction, such as regular

site notes, photos and videos with date stamps, as they can become valuable
evidence later, if any disputes or claims arise.
EN
IM
Extension of time
If the contractor believes that completion of the building will be late, whether
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or not the cause was due to them or outside of their responsibility, they are
contractually obliged to give the contract administrator written notice of a
claim for an extension of time, giving the reasons for the delay and the impact
it will have on the completion date. The contract administrator decides if it is a
relevant cause, and if the proposed extension is substantiated and reasonable.
SP
The claim can be rejected or accepted, or the contract administrator can grant
an alternative extension of time, based on the available facts and their own
professional judgement. The contract administrator has to respond within a
time limit specified by the contract (usually 12 weeks or less).
As the contract administrator, you may need to ask for more information or
query points. Do not make a decision until you are happy you have all the
information you need. Judging an extension of time is not an exact science,
it requires professional judgement. The contractor may naturally ask for more
than can be reasonably substantiated. If liquidated and ascertained damages
are at stake, the contractor and the client will both take a keen interest in your
decision as there may be significant sums of money at stake.
You will need to justify and substantiate your professional decision,

demonstrating that it is fair and reasonable. This can be a very complex issue
– if you are uncertain, seek experienced legal contractual advice on assessing
extensions of time.
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RIBA Stage 6: Handover
Practical completion
Practical completion can happen before the contractual finish date. It can also
happen after the client has taken possession of all or part of the building. If it is
unavoidable that handover to the client is to occur before practical completion,
you should make the client aware of the contractual and practical risks of doing
this and carefully note all the outstanding works that need to be completed for
practical completion to be achieved.
It is the contract administrator’s role to make an independent, professional

judgement on when practical completion has been achieved. The decision
must be objective and independent of any wishes of the contractor, client
or anyone else, to certify practical completion before (or after) the contract
EN
administrator is fully satisfied that it has been achieved. To do otherwise would
be unprofessional and potentially negligent.
Contractors naturally want the practical completion certificate to be issued

as soon as possible, as this triggers additional payments and ends some of
IM
their construction and insurance responsibilities. Clients might also press
for practical completion to be achieved early, so they can get into their new
building quickly. Conversely, clients may want it to be delayed as they do not
EC
yet want to take possession.
There is a simple legal definition and test of ‘practical completion’, supported

by detailed legal judgements, which is the building being usable for its
intended purpose. As the term implies, it must be ‘practically’, but not
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necessarily ‘absolutely’, complete. There may still be minor items to complete

and minor defects to make good, so long as they do not prevent the reasonable
use of the facility. If the number and nature of defects or unfinished items
is such that they would hamper the reasonable use of the building, or that
making them good would be very inconvenient for any occupant, then it can be
justifiably argued that practical completion has not been achieved.
There may be financial damages to be paid by, or deducted from, the contractor
for late completion, but these must not be more than a reasonable estimate
of the losses the client would actually incur due to a delay caused by the
contractor. They are not intended to be a penalty for late completion or an
incentive to complete on time. If time is of the essence for the client, you may
wish to suggest a financial bonus for early or on-time completion. But any
incentive to complete the project early should not result in compromises on
quality or safety.
The date of practical completion triggers the start of the defects liability
period (DLP), and marks the end of the period for which liquidated and
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111
ascertained damages (LADs) can be claimed. Any outstanding minor defects

and works should be fully listed, and reasonable costs for dealing with them
withheld from the certified sum. The contractor is obliged to make these good
as soon as reasonably practical and convenient for the client, but certainly
before the defects liability period is ended and the final payment certificate
is issued.
Handover
Managing the client’s expectations at handover and ensuring a smooth
transition through commissioning to full occupation and use of a new building
are crucial to the ultimate success of the project and for the client’s overall
satisfaction. When the client and the building’s users see the finished product
for the first time, they might suddenly realise that something is not as they had
expected – or they may even be pleasantly surprised.
A helpful initiative called Soft Landings was launched by BSRIA in 2009

(and has been updated several times, mainly to accord with the changes in
the RIBA Plan of Work). It is a process for managing the gradual handover of a
EN
new or refurbished building, and for monitoring its initial usage and providing
IM
feedback on its performance. It is increasingly being adopted by commercial
clients. If it is to be used, this is best agreed at the outset of the project. The
Soft Landings framework is available via the BSRIA website.14
EC
The client has a lot to consider as the contractor clears up and moves
off the site and the building occupants prepare to move in. Testing and
commissioning of all the services and facilities is also required and enough
time should be allowed for this all to happen properly.
SP
If possible, the architect or design team leader should be retained and

resourced to help the client through this important stage. If not already
included in the original scope of professional services, it is good to agree
and provide a support service of professional aftercare, which could be for up
to three years after practical completion, under RIBA Plan of Work Stages 6
and 7. This will enable you to deal with any issues as they arise, keep your
relationship with the client going and provide valuable feedback and
experience for your (and your client’s) next projects.
Final account and payment certificate

The final payment certificate can only be issued when all the items that were
outstanding at practical completion and any defects discovered during the
defects liability period have been satisfactorily completed. The final accounts,
presenting the final overall costs of the contract, also must have been agreed.
This can take some time to achieve, as there may be outstanding claims to
be resolved.
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5
Differences can still persist between how much the contractor believes
they are owed and how much the client is prepared to pay, despite the best
endeavours of the contract administrator to negotiate an agreement. If this
happens, the contract administrator needs to assess what divides the client
and the contractor and make a professional judgement on what would be a fair
final settlement.
On quite a few projects, the contract administrator never issues a final payment
certificate. There is a view that it is too risky for the contract administrator
to certify that everything has been successfully completed, and that their
professional liabilities will be less onerous if they do not issue the final
certificate. This is a misguided view and a disservice to both the client and
the contractor. It can be argued that all this does is perpetuate the contract
administrator’s liabilities, and that it is unprofessional (maybe even negligent)
not to issue the final certificate.
RIBA Stage 7: Use EN

Occupation and use
IM
Stage 7 was added as a new stage of the RIBA Plan of Work in 2013. It is yet
to become commonly adopted by the UK construction industry, but awareness
of its importance and benefits is gradually increasing. There is a greater
EC
understanding that buildings in use often do not perform as well as they could,
particularly regarding energy use and carbon emissions, and there could be
significant gaps between predicted and achieved performance. This may be
due to a variety of issues, including poor briefing, deficiencies in the design
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and construction processes, little connection between the building design and
operation and, by no means least, inefficient operation by the users.
Even if your client does not appreciate the benefits of paying you for this
stage, it is a good idea to build in a bit of leeway in your fee calculations and
resourcing, to support some ‘free’ in-use aftercare for the client. Another
alternative is to offer your aftercare services, perhaps under a separate contract
for Stage 7: Use monitoring, but rather than charging a fee, you will be given
use of the post-occupancy evaluation data.
It is useful to keep in touch with your client after they have started to use the
building, so you can deal with any early teething problems as they arise and
before they become complaints and disputes. You can also benefit from the
continuing relationship with your client, through future work opportunities and
recommendations to others.
Stage 7 services can be provided as part of a Soft Landings framework, as

mentioned previously for Stage 6. Aftercare service and operational feedback
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113
should be considered at the outset of the project, and could include carrying
out a post-occupancy evaluation with the users, monitoring and benchmarking
the building’s performance, and providing training and facilities management.
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There is so much valuable information that can be gained from post-
occupation evaluation, which can be used by the client and the occupiers to
improve the use of their building and reduce its operational and maintenance
costs. It also provides valuable feedback and experience for the design team,
as well as the client, to benefit their future projects and encourage responsible
professional behaviours.
Building insurance
Building insurance is an issue that needs to be considered at the beginning of

a project and managed throughout the whole project process, but changes as
the buildings are handed over and occupied. EN
For existing buildings, the client usually insures the existing property and the
construction works, including cover for the contractor. If the client does not
IM
own the building or site, check if the existing owner or funder is insuring the
building and construction.
For new buildings, the contractor normally insures the works as they progress
EC
up to handover and practical completion. If anything happens to the structure

or site during construction, it is the contractor’s liability. It is the architect’s
or design/project team leader’s responsibility to check, or at least remind the
client, that appropriate insurance cover is in place at all times. An insurance
SP
broker can assist with procuring building insurance. Confirm with the client
that their insurance brokers have arranged for periodic checks to be made
throughout the project, to confirm that the insurance cover is still in place
and valid.
If the client takes part possession of the site or building, the insurance cover
for that part needs to transfer from the contractor to the client. There may be
complicated arrangements for shared access areas that the broker will need to
sort out.
Knowing when to stop
The most difficult decision on a project and with a client is whether to suspend
or terminate your services before they are completed. How you can do it, and
in what circumstances, depends on the terms of your appointment contract.
Under standard forms of appointment, you can only terminate your services if
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5
there has been a material breach of the contract by the client (i.e. non-payment
of fees) or events outside of your control prevent you continuing and you have
given the required amount of notice of termination.
There are specific reasons that enable immediate termination, such as

becoming bankrupt or insolvent, becoming incapacitated and death. To enable
you to terminate for other reasons, you can introduce into your agreement with
the client additional break clauses – say, at the end of certain stages, or if you
have exceeded your agreed limit of inputs into a speculative project.
Despite the limitations on your ability to terminate a professional services

contract, you still need to know when to stop. You may have persistent
difficulties in getting paid fully and on time, the project is changing beyond
recognition from what you originally signed up for, or the risks are rising
intolerably on the project. If the project cannot be turned around, you will have
to face up to the fact that continuing with it may be worse, and costlier for you,
than walking away from it.
EN
Consider withdrawing if you can no longer provide the services required or
cannot afford to work on this project or for this client, and do not let your
losses, debts or risks get to a point that you cannot afford to walk away. Your
IM
payment terms should be precisely described in your appointment contract,
along with the actions you can take should the client be in breach of the
agreed terms. It is useful to have an office policy on working if agreed fees are
EC
outstanding, which your client can be made aware of, and to stick to it politely
but resolutely. This is simply being professional.
You have a professional duty of care to your practice, your employees and
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SP
yourself to ensure that you can properly complete the project, which is also
ultimately in your client’s interest as well. Weigh up the risks of working, or
not working, again for this client. Look carefully at the termination clauses and
triggers in your services contract and ensure you comply with them. If you do
withdraw from the project, you must be able to justify why you took the steps
you did. Otherwise, your actions may be found to be unjustified by a court or
ADR process, and you could face substantial costs and damages.
Conclusion
Running a successful and efficient project starts with establishing the right
brief, in as much detail as possible, and getting it agreed by the client,
and then putting the right design team in place. Then there is the ongoing
organisation and skilful management of the complex design and construction
processes, which require extensive professional knowledge and experience,
to be applied with great care, skill and professionalism.
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All of this is essential for the successful completion of a construction project –

one that fulfils the project’s objectives, creates a valuable and useful long-term
asset, on time and on budget, leaves a happy client and project team and
appreciative end users, has avoided claims and disputes, and allowed the
architect to make a profit while retaining their professional integrity.
Endnotes
1 RIBA, RIBA Plan of Work 2020 (London: RIBA, 2020).
2 Ostime, N. RIBA Job Book, 10th edition (London: RIBA, 2020).
3 RIBA, RIBA Plan of Work 2020 Overview (London: RIBA, 2020).
4 www.dqi.org.uk [accessed 23 August 2021].
5 www.architecture.com/working-with-an-architect/building-in-quality-tracker [accessed 23 August
2021].
6 www.breeam.com [accessed 23 August 2021].
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7
8
9
www.passivhaustrust.org.uk [accessed 23 August 2021].
EN
Ostime, N. Handbook of Practice Management, 9th edition (London: RIBA, 2013).
Construction Industry Council. The CIC Scope of Services (London: CIC, 2007).
See: https://cic.org.uk/services/the-cic-scope-of-services.php [accessed 23 August 2021].
IM
10 RIBA, RIBA Standard Professional Services Contract 2020 (London: RIBA, 2020).
11 For example, Farrall, P. and Brookhouse, S. Good Practice Guide: Fees (London: RIBA Publishing,
2021).
EC
12 Lupton, S. and Stellakis, M. Which Contract? Choosing the Appropriate Building Contract, 6th edition
(London: RIBA Publishing, 2019).
13 Ministry of Housing, Communities and Local Government. Building Safety Bill (Bill 139-EN)
(London: HMSO, 2021).
14 Building Services Research and Information Association. Soft Landings Framework 2018: Six Phases
SP
for Better Buildings. BG 54/2018 (Bracknell: BSRIA, 2018). See: www.bsria.com/uk/consultancy/

project-improvement/soft-landings/ [accessed 23 August 2021].
116
with people
Professional services are all about people
EN
IM
Understanding people
EC
Being able to understand what drives and motivates other people, and
yourself, is a vital skill for life. It is also a crucial skill for your career in
a people business based on professional services. To be a successful
professional in the construction industry, you must be personable,
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empathetic and trusted by clients, co-consultants, contractors and

colleagues. You need to be skilled at working collectively with others
in teams and motivating and leading others, and be fully aware of how
others will feel, react and respond. To be able to work effectively on any
project requires a collaborative and coordinated effort, working with,
understanding and appreciating others.
People are the main resource of any professional activity. Professional

consultancy services are all about thinking, providing specialist
knowledge and applying that to make judgements. Professional practice,
particularly in architecture and construction, requires working together
with others and constantly forming, and re-forming, teams of different
people to work on different projects. Despite their importance, the
skills required to understand others and ourselves are rarely part of any
professional training. We have to develop our people skills intuitively and
through experience.
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There are many benefits of being able to understand people. It helps you to:
• communicate effectively
• establish better relationships
• know how others will react and what is important to them
• motivate/influence/convince/impress others
• lead effectively and empathetically to improve team performance and
contentment
• avoid or resolve conflict and misunderstandings
• appreciate the diversity and talents of others
• improve your self-awareness and your responses to the behaviour of
others.
Emotional intelligence EN
The ability to understand people requires emotional intelligence, which
IM
is an attribute that may come naturally to a few with more empathetic
personalities. We usually develop a degree of emotional intelligence as
we grow up and experience life, but it can be developed and honed to a
EC
higher level with conscious effort and practice. It is worthwhile thinking

about this and deliberately developing these skills. It can help our
personal professionalism in so many important ways. It is the softer social
skills, as well as the technical and legal aspects, that are becoming more
valued by clients.1
SP
The concept of emotional intelligence, and how to evaluate it, was developed
by academics Peter Salovey and John Mayer at Yale and New Hampshire
universities in the 1980s2 and became more widely known through Daniel
Goleman’s book published in 1995.3
There are four interrelated components of emotional intelligence (Figure 6.1):
• self-awareness – how aware you are of your emotions, which leads you
to …
• self-management – your ability to control your emotions, which expands
into ...
• social awareness – your understanding of others and your awareness of
the dynamics of groups, which then enables…
• relationship management – your leadership skills, the ability to inspire,
develop and support others.
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118
Professionalism at work with people
6
Self Social
Self-awareness Social-awareness
Recognition
∙ Emotional self-awareness ∙ Empathy
∙ Accurate self-assessment ∙ Organisational awareness
∙ Self-confidence ∙ Service orientation
Self-management Relationship management

∙ Self-control ∙ Inspirational leadership
Regulation
∙ Transparency ∙ Developing others

∙ Adaptability ∙ Influence
∙ Achievement drive ∙ Change catalyst
∙ Initiative
EN
Figure 6.1: The four components of emotional intelligence
∙ Conflict management
∙ Building bonds
∙ Teamwork and collaboration
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IM
These are all essential skills for any professional. Emotional intelligence is
something you may pick up intuitively, but it is rarely, if ever, mentioned in
formal professional education and qualification. Thankfully there are many
EC
accessible texts and online resources on the characteristics of emotional

intelligence and how to develop your emotional intelligence skills. It is well
worth taking the time to explore and learn from these resources yourself.
SP
Personality types
Humans are hardwired to be social beings. Throughout human evolution, as

societies and cultures emerged over many millennia, we have been trying to
better understand how we behave and relate to each other. Different cultures
across the globe have separately developed their own psychosocial theories
and categories for different personality types (which were often used to
diagnose and treat medical conditions). The remarkable thing is how similar
these theories are, even though they were developed in isolation from each
other, and in very different social and cultural traditions.
The most prevalent system for categorising personality types today is the
Myers-Briggs Type Indicator (MBTI®), developed by an American mother and
daughter team in 1943 and inspired by Carl Jung’s 1921 book Psychological
Types.4,5 MBTI is not the most sophisticated system of personality
categorisation and it has its critics, and alternatives have been developed
by several psychologists, management academics and leadership theorists.
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However, MBTI remains popular because of its simple principles and flexibility,
with different degrees of blends of each characteristic, and many find it
remarkably accurate in identifying overall personality traits, in themselves or
others. There are several different forms of personal MBTI-style assessment –
which can be done online, quickly and free of charge. These may help you to
understand yourself, as well as other members of your team, and how you can
better understand and work with each other.6
Personality assessment is increasingly being used in recruitment and team
selection, but care must be taken to ensure these tests are unbiased and are
consistent with the principles of equity, diversity and inclusion.
Teamwork
Most business activity is not done alone. In fact, few human achievements
or ideas are solely due to one person. Any business activity, even sole
practitioners, requires teams of people (sometimes from other organisations),
bringing together an array of different knowledge, skills and ways of thinking.
EN
Learning to work well in teams is a vital skill for any professional. By utilising
IM
the talents of others effectively, you can achieve far more than you could
by yourself.
Businesses often fail to thrive if they only recruit and involve people with
EC
similar social and cultural backgrounds and outlooks. This can be very limiting
for business effectiveness, particularly in the complex process of designing
and constructing buildings. Recruitment, team-building, staff support and
management policies in any professional practice should follow recognised
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standards to support the social, physical and mental wellbeing of its people
and to encourage equity, diversity and inclusion. Having teams of people
with different backgrounds and skills can provide benefits in a range of areas.
It could help a practice to:
• make use of a wider range of knowledge, experience, talents and

strengths
• widen social networks and business contacts
• develop personal skills and emotional intelligence
• enable creativity through different ways of thinking and broader
experiences
• cover any blind spots in knowledge and approach
• build trust and relationships
• reflect society, its client base and real life.
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6
There is a real difference between groups of people who work together

and teams with a common purpose. ‘Groups’ tend to be collections of
individuals, who coordinate their individual efforts to pursue a shared
interest, value or aspiration. In contrast, a ‘team’ is more engaging, being
defined as a group of people who share a common purpose with a collective
goal and who need to work together to achieve their goal. An understanding
of this can help to develop the way you work in your practice and on
projects, from being part of an organised group of people to being a
member of a far more effective and closer team of colleagues.
Teamwork is a valuable asset for designing and constructing buildings.

Most of the dynamics within a team relate to the interactions between
individuals. These are generally not visible or obvious, but they are intuitive
and implicit and are felt. Understanding what is going on under the surface
of a team, and paying attention to it, is vital for effective teamwork.
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EN
A lot of thought and research has gone into understanding why some
teams are more successful than others, and how this success can be
replicated and developed when establishing new project and practice
teams. Six key characteristics are generally identified as being crucial for
IM
effective teams:
• leadership – clear direction, roles and responsibilities

• purpose – common and shared goals, vision and mission
EC
• trust – understanding and caring for each other

• identity – sense of belonging and accountability
SP
• communication – open, honest and respectful

• commitment – willing to contribute and help others.
Examination of why some teams are less successful has identified the converse
of the key attributes of effective teams. The American management academic
Patrick Lencioni has articulated this as a hierarchy of the five behavioural
dysfunctionalities of teams (Figure 6.2):7
1. absence of trust – unwilling to be vulnerable within the group

2. fear of conflict – seeking artificial harmony over constructive debate
3. lack of commitment – false buy-in for group decisions creates
ambiguity
4. avoidance of accountability – ducking responsibility
5. inattention to results – focusing on personal success, status and ego.
121
Inattention Status and ego

to RESULTS
Avoidance of Low standards

ACCOUNTABILITY
Lack of Ambiguity
COMMITMENT
Fear of CONFLICT Artificial harmony
Absence of TRUST Invulnerability
Figure 6.2: Lencioni’s hierarchy of dysfunctionality in teams EN
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Leadership
IM
Good leadership is widely recognised as being a key element of good
organisations and successful projects. It can partly be attributed to innate
EC
personality traits, but it is predominately due to developing an approach based

on skills that can be learnt, mainly by practice.
There is no one personality profile that constitutes a good leader. Leaders and
leadership styles come in many different forms, shapes and sizes, and from
SP
all parts of the spectrum of personality classifications. Just think of the very
different types of effective political leaders we have had. It is true that different
contexts and challenges are more suitable to certain styles of leadership than
others, but they all tend to share the same core characteristics.
There are many well-known theories on leadership in business and

professional practice, including those by Peter F. Drucker8 and Charles Handy,9
but there is a general consensus on the key characteristics and qualities of
good leadership in an individual or organisation. These can be defined as:
• authenticity and integrity

• vision for the future
• inspiration to others
• commitment and passion
• enable and motivate others
• rise to the challenge
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6
• good communication
• clear decision-making
• direction-setting and pathfinding
• accountability
• delegation and empowerment
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• creativity and innovation.
Authenticity and integrity

Authenticity and integrity are generally seen as being key leadership qualities.
They are also the focus of this guide. Authenticity is all about being who you
are and keeping true to yourself. This depends on your own personality traits.
The qualities of authenticity in leadership can be defined as:
EN
• being guided by a shared set of professional values
• being honest, open-minded and fair when applying professional values
• using your own personality
IM
• acting in the collective interest
• being considerate, just and equitable
• providing consistency and predictability.
EC
The key characteristics of integrity are different from, but complementary to,
those of authenticity:
• discerning what is right and wrong
SP
• doing the right thing, not just doing things right

• acting in the way you know to be right and doing so openly and with
conviction
• using the professional values and rules in which you believe,
not deciding simply on the circumstances or precedents.
Create a shared vision

Effective leaders are future-orientated and have a clear vision and purpose
that they want to share with others. People are motivated most not by fear or
reward, but by ideas that capture their imagination.
Inspire and encourage, commitment and passion

Good leaders unleash enthusiasm in others to reach the shared goals and
to believe in the shared vision. They seek to energise others by passion,
enthusiasm and emotion; they celebrate the success of others.
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Enable, motivate and communicate

Leaders do not seek to achieve everything themselves, they achieve
results through and with others. Leaders build trust and loyalty. They foster
collaboration within the team they build and lead. They communicate clearly,
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appropriately and inspirationally.
Rise to the challenge

Leaders seek challenging opportunities to change, grow, innovate and
improve; they do not just accept ‘business as usual’. Leaders experiment, take
risks, thrive on adversity and learn from any failures.
Set the direction and show the way

Leaders not only set the direction, but also go first and live the behaviours they
want others to adopt. People will believe not what they hear their leaders say,
but what they see their leaders consistently do.
Accountability, delegation and empowerment

EN
IM
Leaders take responsibility for their own actions, and do not blame others for
their failings or mistakes. They are able to trust, delegate and empower others in
the team to contribute to the team’s goals, while still taking overall responsibility.
EC
Leadership styles
There are many different effective styles of leadership, the main differentiator
being between extrovert and introvert styles (Figure 6.3). Which of these is
SP
more effective depends on the cultural context, the type of business activity
and the nature of the workforce or team. But the most important factor in
establishing an effective style of leadership is authenticity – the style you
adopt must fit with your personality.
Introverts Extroverts
Observe Communicate
Prefer working alone Prefer group work
Good listeners Good motivators
Nurture existing relationships Make new relationships
Decide before speaking Think out loud
More passive in meetings Active participant in meetings
Private recognition Public recognition
Quiet and calm Busy and demonstrative
Figure 6.3: Characteristics of introvert and extrovert leadership styles
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Communicating and presenting
Being able to communicate effectively and present your work convincingly is

an essential skill for most professionals. This is particularly true for architects,
who have to make pitches for their work, convince others about their design
ideas and manage diverse project teams. Sadly, this is a skill that does
not feature much in the formal education and training of professionals, so
communication skills tend to be developed on the job, by trial and error,
without much formal understanding about what works and why. This section
aims to remedy that deficiency by highlighting the impact of presenting
knowingly and in a focused way.
A lot of time is spent in preparing written, drawn and verbal presentations,

focusing on what we present. But not as much thought or effort goes into how
we communicate, or consideration given to how it will be received. There have
been many research studies on what people remember from presentations
EN
and the impact they have on the audience. The results of this research are
surprising. Collating the results of all this research shows that only 7% of
what is said (the words) is remembered, while about 38% of what is retained
IM
is how it is said (the voice). Surprisingly, the main impact, 55%, is due to the
visual messages you give (pictures, props, clothes, etc.) (Figure 6.4). So, it
is the combination of how you look, your tone of voice, use of language and
style of delivery that really matters. It is certainly worthwhile focusing on
EC
these attributes, learning more about them and practising your skills through
presentation workshops.
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7%
Words
55% 38%
Visual Voice
Figure 6.4: Impact of communication
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Presentation checklist
Before you start preparing any presentation, there are several questions you
should ask yourself if you want it to be engaging and successful:
• What is the main purpose and desired outcome of this presentation?

• What are the key points/messages you want to get across?
• Who is your audience and what is the best way to present to them?
• What information will you choose to present, and what will you
leave out?
• Who is doing the presentation and, if there are to be multiple
presenters, what role will each play?
• How will you ensure clarity and understanding, and create empathy with
the audience?
EN
• How will you use your voice, body and movements to achieve the
optimum impact?
• How will the audience remember your content?
IM
• If it is a client presentation for work, how will they remember and choose
you, or agree to your proposal?
Presentation structure and tips

EC
Every presentation you do should have a clear structure, from beginning to

end, aimed at achieving the desired outcome for the audience. This is the
same for presentations that are in person or online, verbal, visual or written, to
SP
an individual or a group, and is particularly important for presentations where

you are pitching to a client, or employer, for a job.
The following list presents tips for planning and giving a presentation:
• Begin with impact – Start with a memorable key point, introduce yourself
and any co-presenters, gain the audience’s attention quickly.
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• Tell a story – Give context and meaning, take your audience on a journey,
tell them a story about their project, with them in the starring role!
• Keep it relevant – Audiences only pay attention to ideas and proposals
that are immediately relevant to them (i.e. why they should appoint/use
you for the project/job).
• Make it simple and clear – Use simple graphics, easily readable fonts
and understandable language.
• Have memorable key points – Give a maximum of three messages,
which must be memorable, dramatic and relevant to the client/project.
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• Create empathy – Reassure the client of your understanding of,

commitment to and relevance for their project.
• End on a high note – Finish with a punchy message, or USP, for the
audience to remember you by – this should answer their ‘Why you?’
question.
• Address the audience – Focus on your audience, not your notes or slides.
Be very aware of your body language and tone of voice – keep them
positive and use them to emphasise your message. Keep your audience
engaged.
• Observe reactions – Stay alert and observant on how your message is
being received by your audience. Are they attentive? Does their body
language signal engagement and approval?
• Expect the unexpected – Be prepared for interruptions. If things go
wrong, don’t panic, regain control and carry on.
EN
• Keep to time – Finish before any time limit expires. Time yourself.
• Engage/respond – Prepare for questions that the client is likely to ask.
Engage the client with questions of your own to start a conversation.
IM
• Farewells – Leave with thanks, confirming your enthusiasm for the
job/client. Your parting words should leave your key message ringing in
their ears.
EC
Rehearse and practise your presentation beforehand and test it on others.

After the presentation, follow up with an email, phone call or letter. This is an
effective way of confirming your appreciation, reaffirming your enthusiasm and
reinforcing your key message. It will significantly increase the impact of your
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presentation and keep you in the mind of your client.
Wellbeing
Our wellbeing, and how we nurture it, has become increasingly important.
A greater focus is now rightfully devoted to wellbeing in our personal careers,
our workplaces and our work–life balance. This guide highlights the key issues
of how we can approach wellbeing in our practice with professional integrity
and empathy.
For any business, it starts with the recruitment process and employment
ethos and polices, not only for employed staff, but also for the directors and
partners who lead and own the business. There is a professional obligation,
enshrined in the ARB and RIBA codes of conduct for architects, to respect
others and to treat them fairly, empathetically and with integrity. This applies
to everyone we deal with, including our clients, those we work with and for,
and particularly those who we lead or are responsible for. This fits within the
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overall professional context of being concerned with the wider public interest,
encompassing users, society and the environment.
Awareness and openness about mental health has also improved, thanks
to the change in attitudes brought about by various initiatives created
by businesses, charities and other institutions (including the RIBA and
the Architects Benevolent Society (ABS)), which is removing the stigma
surrounding stress and mental health in the workplace. Businesses are
encouraged to support their staff’s wellbeing by nurturing an environment of
active listening and support. Employees are also encouraged to talk about their
mental health, if they feel concerned, to someone within the organisation who
has been appointed as a wellbeing champion, with the empathy, training and
resourcing to alleviate these issues.
The RIBA provides useful guidance on how to manage stress in practice,10–12

and the Architects’ Mental Wellbeing Forum (supported by the RIBA and ABS)
has developed a useful Architects’ Mental Wellbeing Toolkit.13 These resources
include a simple three-step process for managing stress:
1. Assess – Identify the issues that are triggering this stress, including the
EN
causes and any solutions.
IM
2. Appreciate – Understand the manifestations of this stress and explore
actions to overcome it. Accept that it is OK not to be OK.
EC
3. Adjust – Take actions to overcome the stress, by dealing with the causes
(delegate excess workload, resolve conflicts, etc.). Mitigate the effects by
dealing with issues you can change, but recognise and don’t worry about
what is beyond your control to change.
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The key issues are knowing who to ask for help, and to actively listen to others
who may need support. This help and support may be available from external
helplines, chat rooms and care packages.
Leading by example is essential within any organisation. Having the support

of the senior leadership and communicating and demonstrating this to the
workforce should be part of the way of working in a practice, and not just a
one-off campaign. It is also important to keep in mind that mental health and
wellbeing are very individual issues, with different cultural nuances, therefore
a simple ‘one-size-fits-all’ approach is unlikely to be adequate.
Equity, diversity and inclusion
An increasingly important part of professionalism is how professionals relate

to, work with, design for and support the needs of all of society – which
should be with fairness, respect and integrity. This has evolved into the
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three interrelated concepts of equity, diversity and inclusion (often referred

to as EDI), which are now included in professional codes, business policies
and legislation. These matters are now extensively covered and widely
promoted, but it is worth considering, in the context of professionalism with
people, the definitions and drivers for equity, diversity and inclusion in any
professional practice.
Equity
Equity is the impact of having a diverse range of people, who are consciously
included in an organisation.
Equity is different from equality. Equality is treating everyone the same, and
works if everyone is at the same starting point. This is not the case in many
organisations and bias means unintended discrimination often occurs.
EN
Equitable workplaces support the different needs of individuals. Equity is
about eliminating barriers and creating a level playing field to provide fair
treatment, access, opportunity and advancement for all, while striving to
identify and eliminate barriers that have prevented the full participation of
some individuals or groups. It helps to define and uphold the diversity- and
IM
inclusion-related goals and actions of an organisation and society.
Tackling equity issues requires an understanding of the root causes of the
EC
disparities within our society and in any organisation, including an architect’s

practice. Equity is promoting justice, impartiality and fairness within the
procedures, processes and distribution of resources to provide equal
opportunities and outcomes for every individual within a team or organisation.
Every professional should consider, develop and implement their project in an
SP
equitable manner, taking account of different personal needs and ensure their
practice procedures support this goal. This should be done in coordination
with the practice’s diversity and inclusion efforts. Not only is having proactive
equity objectives and procedures ethical, it also makes good business sense
to be able to get the best out of the valuable people resource within any team
or practice.
Diversity
Diversity is simply the mix of visible and invisible difference. Just as we would
speak of a diversity of plant and animal life, there is a diversity of human life.
And just as we would not describe one plant specimen or a single animal as
being diverse, it would be nonsensical to do so when referring to an individual
person.
The Equality Act 2010 talks about difference in terms of nine protected
characteristics – age, disability, gender reassignment, marriage and civil
partnership, pregnancy and maternity, race, religion or belief, sex and sexual
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129
orientation. This can, in itself, be seen as an issue, as it forces us to silo

difference. The way we self-identify may be different to any label that others
might give us, including the law, and we are all made up of several identifiers.
White, able-bodied, heterosexual men make up just 3.1% of the UK population

(based on Office for National Statistics figures for London and south-east
England), so it is inaccurate to talk about others as minority groups. Women
are more than half the population, and non-white people make up a global
majority, so it is better to talk about under-representation.
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Teams and organisations should reflect the diversity of the human population
and a variety of lived experiences. While a person is not diverse, collectively
they can provide a diverse range of experiences, approaches and outlooks.
Diversity in a professional setting is about having a rich mix of different

personal attributes, many of these are defined and protected by law, as
EN
mentioned. A diverse group, community or organisation is one in which
a variety of different social and cultural characteristics co-exist to be fully
representative of the society within which it belongs and which it understands
and supports. This all starts with a recruitment process that actively promotes
diversity and which addresses under-representation in an organisation’s
IM
workforce.
Inclusion
EC
Inclusion is how each different individual is valued and developed or provided

for. For example, when designing an inclusive work or community space, the
architect has to consider and provide for all the people who may use or benefit
from the space. This is not just about accessibility and facility, but also the
SP
operational systems and policies for the space. This is best done by engaging
and working closely with a wide spectrum of the people and community we are
designing for.
Inclusion is a culture in which people feel their different perspectives, styles

and needs are respected, valued and taken into account. It is a conscious act.
Inclusion is not an automatic consequence of a diverse team. It has to

be specifically designed into, and actively implemented for, any team or
organisation. It is not a human attribute (such as diversity characteristics),
but a value system and quality of human experience within an organisation.
In a culture of inclusion, staff feel safe and confident to express their authentic
selves and know they belong to something bigger. To achieve this, any
business needs to have specific policies and procedures to actively promote
and implement inclusion.
In order to create a culture of inclusion, it is recommended that the Cultural

Intelligence (CQ®) framework is used (see the box below).
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CULTURAL INTELLIGENCE
By Marsha Ramroop, Director of Inclusion and Diversity, RIBA
People come in glorious variety, and a working environment that is
inclusive of this variety promotes high engagement, productivity,
increased profitability and innovation.14
Being inclusive of variety, difference and diversity is not always
straightforward; it requires particular skills within leadership and an
understanding of people and perspectives beyond your own experience
and realm.
We live and work in an increasingly globalised and multicultural
world.15 The barriers around what is acceptable and familiar are
constantly being broken down. Getting to grips with how to lead and
manage others who have different views, values, experiences, lifestyles
EN
and approaches is key to being successful.
The Global Leadership and Organizational Behavior Effectiveness
(GLOBE) study examined leaders and followers across 62 countries to
IM
determine similarities and differences in what followers want from their
leaders.16 When asked, followers had some agreement in what they
did and did not want in terms of negative (e.g. dictatorial, ruthless,
egocentric, irritable) and positive (e.g. trustworthy, dependable,
EC
decisive, honest) attributes, but the way these adjectives were

described when manifested in the individual still varied considerably.
For example, how I determine ‘trustworthiness’ may be different to how
you do. ‘Irritability’ may be acceptable in some circumstances, and you
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may be more tolerant or sympathetic to it than others are.

So, how do you navigate these nuances?
Inclusive Culture Pyramid
The Inclusive Culture Pyramid© is a paradigm of my own design, which

overlays four different ideas: Cultural Intelligence (CQ®), the McKinsey
Influence Model of Change, the levels at which inclusion needs to be
implemented, and the four areas of an organisation as I have identified
them.
The purpose of the Inclusive Culture Pyramid is to describe the strategic
process required to embed inclusion in any organisation.
Cultural Intelligence
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CQ is the foundational principle and framework of behaviours required

to be inclusive. CQ is the capability to work and relate effectively with
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people who are different from you; it is a measurement – a quotient,

hence the ‘Q’ – as well as an improvable skill.17
CQ is broken down into four key competencies, which in turn are broken
down into 13 subcategories in total, each identified in order to help
people pinpoint the areas they need to improve.
CQ Drive CQ Knowledge
Your level of interest, Your understanding about
persistence and how cultures are similar
confidence during and different.
multicultural interactions.
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CQ Action
Your ability to adapt when
relating and working in
multicultural contexts.
EN
CQ Strategy
Your awareness and
ability to plan for
multicultural interactions.
IM
Figure 6.5: The four CQ® competencies: Drive, Knowledge, Action and Strategy
CQ is separated as follows:
EC
• CQ Drive – the curiosity and motivation needed to work well with

others.
Subcategories: intrinsic motivators, extrinsic motivators, self-
SP
efficacy.
You are more likely to be effective at working with and relating to
others who are different from you if you want to.
• CQ Knowledge – understanding the kinds of differences that
describe one group as different from another, without resorting to
stereotyping specific cultures.
Subcategories: leadership, values and norms, socio-linguistics,
business.
You are more likely to be effective at working with and relating
to others if you are cognisant of various differing values and are
willing to listen to those with life experience that varies from your
own.
• CQ Strategy – learning how to plan effectively in light of cultural
differences.
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Subcategories: checking, planning, self-awareness.

You are more likely to be effective at working with and relating to
others if you know and understand yourself fully and check your
assumptions, and think about what you are thinking about, using
structure and procedures to mitigate unconscious bias.
• CQ Action – being able to adapt behaviour when the situation
requires it.
Subcategories: verbal communication, non-verbal
communication, speech acts.
You are more likely to be effective at working with and relating
to others if you are adaptable in your behaviours but remain
authentic in yourself.
McKinsey Influence Model of Change EN

The next component of the Inclusive Culture Pyramid is the McKinsey
Influence Model of Change.18
IM
In both research and practice, McKinsey found that transformations
stand the best chance of success when they focus on four key actions
to change mindsets and behaviour: fostering understanding and
conviction, reinforcing changes through formal mechanisms, developing
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talent and skills, and role modelling. Collectively labelled the ‘influence
model’, these ideas were introduced more than a dozen years ago in a
McKinsey Quarterly article, ‘The psychology of change management’.19
They were based on academic research and practical experience – what
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was seen to work and what did not.

A recent McKinsey Global Survey examined successful transformations
and found that they were nearly eight times more likely to have used all
four actions than just one.
Levels of inclusion
The third component of the Inclusive Culture Pyramid is the levels at
which the two overlaid principles need to be adopted. First, at individual
level; second, at team level; third, at departmental level; and finally,
as an organisation. This paradigm only works if every individual in an
organisation takes responsibility for inclusive change, which they can do
when they have the CQ framework to work with and are supported with
the change model. Everyone in your immediate team needs to be rowing
in the same direction, with the same principles guiding the change; the
departments form and implement inclusive policy and procedure, and
every department does this across the organisation.
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133
Areas of organisation
The final component of the Inclusive Culture Pyramid is identifying the
four areas of the organisation and ensuring each is robust in the way it
delivers inclusion. The four areas are:
• attraction and recruitment – how you get people into the
organisation/sector
• staff engagement, management and progression – how you treat
your people in the organisation/sector
1. Foster understanding 2. Develop talents & skills

Individual Individual
Team Team
Department
Organisation
EN Department
Organisation
IM
CQ® Foundation CQ® Foundation
CQ D CQ e®
rive g
® wled
EC
Kno
3. Role model 4. Supportive formal mechanisms

SP
Individual Individual
Team Team
Department Department
Organisation Organisation
CQ® Foundation CQ® Foundation

CQ S
trate cti on®
gy® CQ A
Organisational areas of implmentation

∙ Recruitment/attraction ∙ Output/services
∙ Staff retention/progression ∙ Users/clients
Figure 6.6: The Inclusive Culture Pyramid® – four levels, four sides, four CQ cornerstones and
four areas
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6
• products and services – how you create the output of your

organisation/sector
• users, clients and customers – how you attract and treat the
people who use the output of your organisation/sector.
When you bring all of these elements together, you can address any
agenda in the diversity and inclusion space in order to bring about
equity, but it starts with every individual knowing and understanding
their CQ.
It is fairly straightforward to describe, but much harder to do. This is a
granular, detailed piece of work that requires time, effort and resource,
and certainly discomfort at times.
Approaching and managing these issues can cause you to feel
EN
defensive – we have been socialised to feel this way, in order that we
do not upset the status quo. If you do find yourself feeling this way,
you have a choice: lean into the discomfort or shut down. If you do the
latter, you will walk away from the engagement no better off than when
IM
you started it; but, if you accept the discomfort, and work through it,
not only will you learn and grow, but you will be more successful at
improving your CQ Drive.
EC
If you make this investment in time, energy and resource, from that will
come growth, learning and, ultimately, better environments, increased
productivity and enhanced business.
SP
Employing people
People are the most valuable asset and highest cost for any professional
services business. They also pose the greatest risk and vulnerability of
businesses. Having good employment policies and practices – knowing how to
inspire people, treasuring them and enabling them to work well with others –
is key to any business’s success.
There is extensive published and online information available on best practice

for employing people and looking after their wellbeing, and professional
bodies such as the RIBA also provide helpful information tailored to their
professions. The RIBA Chartered Practice scheme provides guidance and sets
employment and personal development standards for architecture practices.
The RIBA also provides specific support and guidance on mental heath and
wellbeing in practice and support for LGBT+ communities (see the section on
wellbeing, above).
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Employment law
This section does not attempt to cover all the details of employment law.
Instead, it aims to give an overview of the principles of employment law
and some thoughts on how to achieve best employment practice in your
professional career and business.
People working in the UK benefit from an established and extensive framework

of employment law, which has developed and evolved over many years. This
legal framework provides a minimum charter of employment rights, based
on various statutory acts and regulations, case law precedents and common
law rights. For established professions, these are supplemented by specific
requirements and standards from their professional and registration bodies.
For architects in the UK, employment rules and guidelines for practices are
issued and updated regularly by the ARB20 and the RIBA.21 Together, these
regulate the relations between employees and employers.
EN
UK employment law may be complex and extensive, but the principles behind
it are straightforward and simple to understand. The objective is to achieve
high standards of behaviour and a fair balance of rights between employees
IM
and employers. Good employers want to get the best out of their staff, and
motivated individuals want to have a fulfilling career within a respectful working
environment. The government wants to have an effective and efficient workforce
and employment conditions that create a vibrant national economy. Employment
EC
laws aim to enable all of this and so should be seen in a positive light and
applied constructively. Having good employment conditions and positive
employee–employer relationships is vital for the success of any business.
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OVERVIEW OF KEY UK EMPLOYMENT LEGISLATION
• Employment Rights Act 1996 – gives the right to leave for

childcare, and the right to request flexible working patterns.
• National Minimum Wage Act 1998 – provides the right for all
workers over school leaving age to be paid a minimum wage.
Workers over the age of 23 are entitled to receive the National
Living Wage. Rates for London differ from the rest of UK.
• Working Time Regulations 1998 – limit the hours that can
be worked and provide for paid holidays, work breaks and
maximum working periods. There are exceptions for critical
sectors of activity (transport, medical, police, army, etc.) and
opt-out provisions (requiring written agreement). The key
provisions require (unless excluded or opted-out):
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▪ a maximum average of 48 working hours a week, reduced to

40 hours for those aged 16–18
▪ a minimum of 28 days of paid holiday every year (includes
public holidays)
▪ at least one full day off every week
▪ a 20-minute rest break on all working days longer than
six hours
▪ no more than eight hours of night shift working in any
24‑hour period.
• Equality Act 2010 – requires that all people are treated equally
and without discrimination. The Act contains a set of protected
characteristics, including age, gender, race, religious beliefs
EN
and sexual orientation. A worker that is unfairly treated at work
or unfairly dismissed on the basis of any of these protected
characteristics can make a claim at an employment tribunal.
The Act also protects pregnant women’s rights.
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Employers must positively accommodate the needs of
disabled people. Part-time staff, agency workers and people
on fixed‑term contracts must be treated similarly to full-time or
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permanent staff.
• Public Interest Disclosure Act 1998 – protects employees from
being victimised or dismissed for disclosing details to their
employer (or, in limited situations, to certain prescribed bodies,
SP
such as the Health and Safety Executive or the Care Quality

Commission) about certain acts, including criminality, breaches
of the law, dangerous working practices and environmental
damage. Where a disclosure is made in the public interest, the
worker should have the full protection of the law and not be
subject to dismissal or victimisation in the workplace on account
of their whistleblowing.
• Pensions Act 2008 – gives workers the right to be automatically
enrolled in a basic occupational pension, whose funds must be
protected according to the Pensions Act 1995.
The definition of a ‘worker’ or ‘employee’ can also be complicated, as
is how all these requirements and rights relate to particular groups of
individuals, such as self-employed consultants and part-time casual
workers. The UK Government is tightening up on these definitions,
particularly the tax office, HMRC.
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Employment contracts
A contract of employment is an agreement between an employer and an
employee, setting out the conditions and expectations for the employee’s
work, and the financial remuneration and other benefits that the employer
will provide. It is a common misconception that every employee must have a
written employment contract by law in the UK. This is not true, but employers
are required to give employees certain basic information about their job
(duties, hours, pay and notice period) in writing within two months of the
employee commencing work.
Therefore, it is sensible and advisable to have all the conditions of employment

written into a formal contract. A copy of this contract should be provided as
part of any offer for a job, along with any requirements for reference checks,
proof of identity (passport) and right to work (National Insurance reference,
and visa for foreign nationals).
Some arrangements that are agreed verbally can also be considered as being
part of an employee’s contract. While this is legal in the UK, it can cause
EN
problems in the event that a dispute arises about any unwritten, verbally
IM
agreed arrangements. An employment tribunal hearing may then be forced
to rely on other written evidence to determine any dispute, such as salary
payment records and time sheets.
EC
EMPLOYMENT CONTRACT CONTENTS
An employment contract for professionals should include the following:

SP
• Employer – name of employer, place of work, who you report to.

• Job description – job title, outline of duties and responsibilities.
• Working hours – times of normal working, break times, any other
requirements (flexi-time, evening and weekend working).
• Salary – amount and method of payment (usually paid in arrears
in monthly instalments). Compulsory tax (PAYE: Pay As You
Earn scheme), pension and National Insurance payments to be
deducted by the employer. Where relevant, minimum wage or
living wage minimum rates.
• Benefits – Pension, bonuses, incentives, insurance cover
(medical, death in service). Also, any requirements or provision
for development, training, CPD and qualification. All RIBA
Chartered Practices are required to provide a CPD programme
and support for those doing their RIBA qualifications and formal
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6
professional experience. Employers are not legally obliged

to provide these benefits (except for a contributory pension
scheme) and their value to the employee is taxable.
• Start and probation – start date for the commencement of the
employment and length of any probation period. There are
normally curtailed benefits and a shorter notice period during
probation, which can be from a week to up to 6 months, or more.
• Absence – notification procedures and pay if off work due to
illness or incapacity. If an employee is absent due to illness for
four or more days, they are entitled to be paid at least Statutory
Sick Pay (SSP is £96.35 per week in 2021/22 and reassessed
annually). Employers do not have to pay any more than this,
but many do agree to pay all or some of the salary above SSP
for specific periods of illness. This is an additional discretionary
EN
payment by the employer and can be a significant benefit of
employment.
• Holidays – 28 working days’ holiday per annum must be
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provided as a legal minimum, this includes public holidays.
Employers can, and often do, offer longer holiday allowances,
the amount often related to periods of services with the
business.
EC
• Maternity/paternity leave – leave of up to 52 weeks is permitted

for the mother, part of which can be shared with the father.
The employee is entitled to Statutory Maternity Pay (SMP) for
SP
most of this period and Statutory Paternity Pay (SMP) for up to

two weeks’ leave. The employee is entitled to return to work in
the same/similar role and the employer has to retain this job
opportunity for up to one year.
• Notice period – both employees and employers are obliged to
provide each other with some notice before terminating the
employment agreement. The minimum period of notice by law
is one week for employees and between one and 12 weeks for
employers, depending on the length of service. But significantly
longer periods of notice are often required in the contract,
particularly for senior and critical employees.
• Confidentiality and copyright – an employee’s obligations to
maintain the confidentiality of company or project information
and data protection, with any procedures for dealing with
breaches. It often covers maintaining the reputation and
public image of the employer’s business. Ownership of the
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139
copyright and intellectual property rights for the employee’s

work is usually retained by the employer. These obligations can
continue beyond the end of the employment.
• Disciplinary and grievance procedures – the employer’s
disciplinary procedures for any performance and conduct issues,
and the grievance procedure for dealing with a complaint from
an employee.
• Termination – circumstances and procedures for terminating
the employment. This usually includes immediate dismissal
(no notice period) by the employer for gross misconduct by
the employee, such as theft, dishonesty, discrimination,
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defamation, violence and criminal conviction.
Employment termination EN
An employment contract should describe the circumstances and procedures
for the termination of the employment. The employee usually has a specified
IM
period in which to give notice of their intention to leave their job. For an
employer, terminating an employment contract is more complex. They need to
have due cause for the termination and must follow the procedures prescribed
EC
by legislation. Employees are also legally protected from being dismissed

illegally. There are three different categories of illegal dismissal: unfair,
constructive and wrongful, which are outlined below.
Unfair dismissal
SP
If an employee has worked for their employer for two years or more
continuously, they have the right to be protected from unfair dismissal.
The employer must have a valid and substantiated reason for terminating an
employee’s employment. These include:
• lack of capability – if the employee’s health or capabilities are

inadequate, or the employee does not have or loses the qualifications
and skills needed to do their job (normally specified in the job
description)
• poor conduct – where the employee has not complied with the
employer’s reasonable conditions, such as being consistently late,
breaking confidentiality or behaving offensively or criminally (this can
also be outside of the work environment)
• redundancy – where the job ceases to exist and there is no alternative
suitable role for the employee to fulfil
140
6
• illegality – when the employee’s continued employment would

contravene the law (such as if they lose their right to work lawfully in
the UK)
• some other substantial reason – which has put the reputation and
livelihood of the employer’s business at risk, such as personality clashes
with clients, project team members or work colleagues.
If an employee believes that their employer has dismissed them unfairly

(i.e. without any of the valid reasons above), or has discriminated against
them in some way, they may be able to make a claim for unfair dismissal at an
employment tribunal hearing.
Constructive dismissal
Constructive dismissal is when an employer breaches a key term of an
employee’s contract or restricts their ability to do their job. This can happen
EN
if the employer makes the employee’s working conditions untenable
or unpleasant, or if the employee suffers discrimination, bullying or
harassment by fellow workers and the employer fails to take action to
protect them from this behaviour. This may force the employee to resign
IM
and they may be able to make a claim for constructive dismissal at an
employment tribunal hearing.
Wrongful dismissal
EC
Wrongful dismissal occurs when a statutory or contractual procedure has

not been followed or notice has not been given by the employer when an
employee’s contract is terminated. The notice period must be at least as long
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SP
as that specified in the employee’s employment contract, or comply with

statutory minimum periods, except if the employee is dismissed for gross
misconduct.
Disciplinary procedures
In order to ensure that employees are not unfairly dismissed, every employer is
required to tell their employees, in writing, about their disciplinary procedures.
This is to ensure employees are aware there are procedures that must be
followed. These procedures should comply with the ACAS Code of Practice on
Disciplinary and Grievance Procedures.22
Broadly speaking, disciplinary procedures should be followed to prevent

someone from being unfairly dismissed. Procedures should provide for a
stepped process of verbal warnings, written warnings, final warning and fair
hearing before someone can be dismissed. Where the procedures have not
been followed correctly, an employee may be entitled to make a claim for unfair
dismissal at an employment tribunal hearing.
141
Redundancy
Redundancy is the termination of employment when a job comes to an end or a
role ceases to exist due to a change in workload, changes to working practices
or closure of the workplace. An employer cannot use redundancy to replace an
employee with another to do the same role.
If only part of a workforce is being made redundant, there is a right to

challenge the selection criteria for redundancy. Some employers may use
overly subjective criteria or may choose employees for redundancy based on
discrimination against protected characteristics, such as age, pregnancy or
maternity. If an employee believes this has happened to them, they may be
able to start a claim at an employment tribunal.
If a business is bought or the job outsourced, the current job holder has
the right to be transferred. The Transfer of Undertakings (Protection of
Employment) Regulations 2006 (TUPE) require that employees’ terms cannot
be worsened without a good economic, technical or organisational reason.
Employment tribunals
EN
IM
In the UK, claims to an employment tribunal are common, as an employee or
ex-employee can issue a claim without having to prove merit. Even if a claim
against an employer is unsuccessful, it is rare for the employer to recover the
EC
costs they have incurred in defending the claim.
The largest number of claims are for unfair dismissal. In the UK, employers
must have a statutory or fair reason to dismiss an employee (conduct,
capability, redundancy, retirement [about to be repealed], statutory illegality
SP
and ‘some other substantial reason’) and must follow a set statutory fair
procedure to terminate their employment (or even to discipline an employee).
If this procedure is not followed, the individual may have a right to issue a
claim that they have been unfairly dismissed.
If an employee succeeds in a discrimination claim (for example, on the grounds

of gender, race, age or disability) a tribunal award is uncapped, so it can be
very expensive for the employer.
Conclusion
People are our most important asset and should be understood, engaged,
valued, managed and treated properly. To be an effective professional, it is
crucial that you understand both yourself and other people: our variety of
personalities and backgrounds, our wellbeing needs and how we can work well
together and be motivated through effective leadership. There is a complex
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142
6
and comprehensive range of employment legislation in the UK that you need

to be aware of and comply with, whether as an employee or an employer.
Successful professional practice depends on it.
Endnotes
1 RIBA Client Liaison Group, Client & Architect: Developing the Essential Relationship (London: RIBA,
2018).
2 Salovey, P. and Mayer, J.D. ‘Emotional intelligence’. Imagination, Cognition and Personality 9(3)
1990: 185–211.
3 Goleman, D. Emotional Intelligence: Why It Can Matter More Than IQ (New York, NY: Bantam, 1995).
4 Myers, I.B. with Myers, P.B. Gifts Differing: Understanding Personality Type (Mountain View,
CA: Davies-Black Publishing, 1995 [1980]).
5 Jung, C.G. Psychological Types (London: Routledge, 1971).
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6 MBTI online testing: www.humanmetrics.com/cgi-win/jtypes2.asp [accessed 23 August 2021].

7
8
9
EN
Lencioni, P. The Five Dysfunctions of a Team (San Francisco, CA: Jossey-Bass, 2002).
Drucker, P.F. The Effective Executive (New York, NY: Harper & Row, 1967).
Handy, C. The Empty Raincoat (London: Hutchinson, 1994).
10 RIBA. ‘Looking after your mental health and wellbeing’. Available at: www.architecture.com/
IM
knowledge-and-resources/knowledge-landing-page/talking-about-mental-health-and-wellbeing
11 RIBA. ‘Top tips to manage stress’. Available at: www.architecture.com/knowledge-and-resources/
knowledge-landing-page/top-tips-to-manage-stress [accessed 23 August 2021].
EC
12 RIBA Chartered Practice Toolbox. Available at: www.architecture.com/knowledge-and-resources/

resources-landing-page/chartered-practice-toolbox [accessed 23 August 2021].
13 Architects’ Mental Wellbeing Forum. Architects’ Mental Wellbeing Toolkit (AMWF, 2019). Available at:
www.amwf.co.uk/resources [accessed 23 August 2021].
14 Bourke, J. Which Two Heads Are Better Than One? How Diverse Teams Create Breakthrough Ideas and
SP
Make Smarter Decisions (Sydney, NSW: Australian Institute of Company Directors, 2016).
15 Livermore, D. Leading with Cultural Intelligence: The Real Secret to Success (New York, NY: AMACOM,
2009).
16 House, R., Dorfman, P.W., Javidan, M., Hanges, P.J. and de Luque, M.S. Strategic Leadership
Across Cultures: The GLOBE Study of CEO Leadership Behavior and Effectiveness in 24 Countries
(Thousand Oaks, CA: SAGE Publications, 2013).
17 Further detail on the background research into CQ can be found on the Cultural Intelligence Center
website: https://culturalq.com/about-cultural-intelligence/research/ [accessed 23 August 2021].
18 Basford, T. and Schaninger, B. ‘The four building blocks of change’, McKinsey Quarterly, April 2016.
www.mckinsey.com/business-functions/organization/our-insights/the-four-building-blocks--of-
change [accessed 23 August 2021].
19 Lawson, E. and Price, C. ‘The psychology of change management’, McKinsey Quarterly, June 2003.
www.mckinsey.com/business-functions/organization/our-insights/the-psychology-of-change-
management# [accessed 23 August 2021].
20 ARB employment guidelines are available at: www.arb.org.uk.
21 RIBA. RIBA Chartered Practice Employment Policy Guide (London: RIBA). Available at
www.architecture.com.
22 Advisory, Conciliation and Arbitration Service. Code of Practice on Disciplinary and Grievance
Procedures (London: ACAS, 2015).
143
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EN
IM
EC
SP

with society
Society needs professionalism to define and support its values
EN
IM
‘Public interest’ is a balancing concept, based on the greater benefit to
the larger part of society or a relevant group. It is not about what may be of
EC
interest to the public, but what is, on balance, for the overall ‘good’ of the
public and creates the least harm or disadvantages to others. It relates to
anything that supports the rights, wellbeing and commercial and cultural
interests of society.
SP
Public interest has become increasingly enshrined in UK legislation

– such as the Consumer Protection Act 1987, the Public Interest
Disclosure Act 1998 and the Freedom of Information Act 2000 – but it
is usually purposely loosely defined in law and professional codes, as it
is dependent on the context and the balance of interests and benefits.
What is regarded in law as public interest is ever changing, to protect the
greater good as circumstances change. For example, the Coronavirus Act
2020 gave emergency powers to the UK Government to temporarily curtail
personal and business rights and freedoms, to balance the more pressing
need to protect the population against a lethal pandemic. Powers are
changed as existing threats subside or new threats or changes in public
values emerge.
The public interest of society and the community is also addressed in

professional codes. Professionals have a duty to evaluate and take a
balanced view on what is in the best public interest. For example, the RIBA
Code of Professional Conduct, Principle 2 (Section 14: Community and
society), states:
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14.1 Members shall have proper concern and due regard for the effect
that their professional activities and completed projects may have
on users, the local community and society.
14.2 In performing professional services Members should promote

stronger communities and improve equality, diversity and
inclusion in the built environment.
A prime reason for the development of the concept of professionalism and the
formal establishment of professions was to help define and to independently
support, promote and protect the interests of the public (see Chapter 1).
Professional codes and obligations also evolve to serve the changing needs
and expectations of the public, such as the RIBA’s introduction in 2021 of new
mandatory competencies in health and life safety, climate literacy and ethical
practice. For example, the RIBA has recently adopted a knowledge schedule
on ethical practice, to define the new mandatory competencies, which include
EN
obligations for society and the end user, as well as the wider world.
RIBA ETHICAL PRACTICE KNOWLEDGE SCHEDULE

IM
In light of the growing focus on ethical practice and professionalism,
this knowledge schedule aims to be a framework for the exploration of
ethical thinking, reasoning and decision making within architecture
EC
and architectural practice, and collects the issues that RIBA Chartered
Architects will be expected to understand under the RIBA mandatory
competence in Ethical Practice.
SP
Ethics in practice
• history and definitions
• recognising an ethical issue
• virtue ethics/social contract ethics/duty ethics/utilitarian ethics
• defining behaviours – codes, regulations, sanctions and
best practice
• public interest – how it is defined and who is responsible
Duty to oneself
• the codes of conduct and practice
• principles and values
• competence
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146
Professionalism at work with society
7
• continuing professional development

• pro bono work
• corruption
Duty to the profession
• reputation and value
• respecting previous appointments
• copyright & credit
• whistleblowing
• research, POE & building berformance
• EN
equity, diversity and inclusion
(including the RIBA Inclusion Charter)
Duty to those in the workplace
IM
• employment law
EC
• company culture
• respecting colleagues
• managing practice
SP
• equity, diversity and inclusion

(including the RIBA EDI Policy Guide)
Duty to those commissioning services
• lay clients
• experienced private clients
• public sector clients
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• confidentiality
Duty to society and the end user
• building regs, housing standards and planning policy
147
• equity, diversity and inclusion

(including bias and discrimination)
• health and safety
• modern slavery
• community engagement and regeneration
• social value and social responsibility
• rights of future generations
Duty to the wider world
• the climate and biodiversity emergency
•
•
sustainable and regenerative design
supply chains
EN
• rights of nature
IM
Resolving ethical issues
• core values
EC
• decision making
• life long learning
• independence
SP
• advocacy
• resources and toolkits
Social value
There is an implicit obligation upon architects to help create social value

for users, communities and society in the work they do in creating new built
environments. The principles of social value are wider than just economic or
environmental value, they include the value of increased equality, wellbeing
and social cohesion and newly created opportunities.
The UK Government has included consideration of social value in the

procurement of public services since 2012, which has been reinforced by
the Public Services (Social Value) Act 2012. This Act requires anyone who
commissions public services to think about how they can also secure wider
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7
social, economic and environmental benefits. This generally involves engaging

with the stakeholders of any project to establish what are the social benefits
they most need and value and to agree a method for measuring the impact
of the outcomes of the project. Several systems to help assess and calculate
social value for public procurement projects in the UK are available online,
which can also be applied to private sector projects, particularly those
involving larger scale urban regeneration and the creation of new communities.
Social Value UK is the professional body for social value and impact
management in the UK and a good source of information about implementing
and achieving social value.1
Environmental challenge
The climate change and global biodiversity emergencies are the greatest
EN
challenges now facing the world and the future of humanity. On top of
this are increasing scarcity of resources, from water to food and precious
metals, and rising pollution, affecting the quality of our air, oceans and
lands. Professionals, particularly those related to our built environment
IM
and infrastructure, have a crucial role in overcoming these challenges and
developing innovative solutions, and there is increasing public expectation
on them to take a lead. Any response to these global challenges raises ethical
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EC
issues and involves significant changes for individuals, society and global
populations and new responsibilities for future generations, which puts even
greater pressure on our concepts of professionalism.
The RIBA and other UK professional bodies are increasing their focus on these
SP
mega issues and raising the professional obligations, mandatory competencies

and performance standards for their members to deal with these challenges.
The RIBA has adopted the 2030 Climate Change Challenge, developed with the
Green Construction Board and other UK professional bodies, and is encouraging
its members and Chartered Practices to sign up and implement the initiative.2
The Challenge includes targets for operational energy use, embodied carbon
and water use reduction, for both new and existing buildings. The ambition is to
achieve net zero whole life carbon for new and retrofitted buildings by 2030 and
for the whole UK building stock by 2050.
Specific refinements and additional metrics for these targets are being
developed for the different building sectors (commercial, residential, etc.),
with a progression of increasing percentage reduction from the current
baselines and minimum regulatory standards.
The way buildings are designed and constructed, and how architects operate,
is changing dramatically to meet this great environmental challenge. There is
a vast array of publications and guidance on the technical, implementation
149
and business aspects of this subject, but not much on the professional issues
this raises for architects and co-professionals. The professional codes and
mandatory competencies (ARB and RIBA) for architects have already changed
to focus more on the environmental and sustainability issues, as has the RIBA
Plan of Work.3–6
As well as developing knowledge and competencies in this area and gearing

up practice policies and procedures, there is the important issue of informing
and convincing clients, other consultants, suppliers and contractors to achieve
zero whole life carbon and sustainable environmental targets in all their
projects. The architect has a professional responsibility to be the sustainability
champion, expert and leader to meet this challenge. This should be seen not
as a burden, but as a great opportunity for architects and co-professionals to
enhance their relevance and value to their clients and society.
Building performance
EN
Building performance is usually measured in relation to specified design
criteria or regulatory standards for physical, social and environmental
IM
considerations. A building’s physical efficiency can be evaluated on
parameters such as heat loss, energy and water usage, carbon emissions,
fire resistance, structural performance and maintenance costs. The building’s
EC
performance in use can also be assessed, by examining aspects such as rental

or sales income generation or occupation and visitor rates for commercial
buildings, and educational and health outcomes for schools and hospitals.
The performance of the design and construction process can be assessed
using metrics such as people and material resources used, embedded carbon,
SP
wastage of materials and time and cost of construction.
It is harder, but not impossible, to measure the comfort and user satisfaction
performance of buildings. This can be done by conducting regular
post‑occupation surveys, with clear metrics for comfort factors such as
temperature range, ventilation, acoustics, lift waiting time, etc.
The way some buildings perform when completed and used may not live
up to the design intentions. The difference between anticipated and actual
performance can be significant and detrimental to the occupiers, owners
and the environment. This ‘performance gap’ is a significant issue for the UK
construction industry and can result in contractual disputes, legal proceedings
and remedial works. Ongoing client relationships and professional reputations
can suffer if the actual building performance does not live up to expectations or
agreed standards.
Clients may need to be persuaded that it is worth investing in post-occupation

and building performance evaluation (RIBA Plan of Work Stage 7: Use), given
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7
how much money, time and energy the client has already invested in the
project. Continuing engagement with the client and involvement with the
building following its completion and occupation are very useful in maintaining
client confidence, being able to quickly deal with any issues that may arise
and gaining valuable feedback from the project to benefit future work. Some
practices build some ‘aftercare’ service into their fees and project resourcing,
even if the client has not specifically commissioned this service.
There are several well-established building and post-occupancy performance

monitoring systems that can be used, such as the Construction Industry
Council’s Design Quality Indicators and the post-occupancy evaluation element
of BSRIA’s Soft Landings framework.7,8
Solving professional dilemmas
professional dilemmas and ethical issues. Professionals have to face complex EN

Wider professional obligations to society and the environment can give rise to
choices, balancing the differing needs of clients, occupants, users, regulators

and the public, as well as the project team and work colleagues. There is
IM
often no one clear correct answer, but a best-fit balance of conflicting issues
to optimise the overall benefits and minimise the detrimental outcomes. For
example, how do you trade off the environmental benefits of having natural
ventilation in a building against the comfort and commodity of an air-
EC
conditioned building while coping with increasing extremes of climate?
To deal professionally with these complex decisions, balancing conflicting

values and priorities, it is useful to develop and apply a clear process for
SP
making ethical judgements. This process should start with information

gathering, so you can collate all the relevant facts, differing needs, required
standards and expected outcomes. You should then explore with the client,
users, community and project team the key issues and potential conflicts, so
that you can evaluate and identify the various issues, potential consequences,
preferred outcomes and decision-making process for the project. When this
has been established, the criteria and processes can be agreed, preferably
collectively. It is likely that a difficult decision will have to be made – one that
does not suit all of the stakeholders – but if the process to reach that decision
has been transparent, fair and inclusive, then it can be substantiated ethically
as a valid professional judgement.
Endnotes
1 Social Value UK website: https://socialvalueuk.org/about-social-value-uk/ [accessed 23 August
2021].
2 RIBA. RIBA 2030 Climate Challenge (London: RIBA, 2021). Available at: www.architecture.com/-/
media/files/Climate-action/RIBA-2030-Climate-Challenge.pdf [accessed 23 August 2021].
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151
Available at: www.arb.org.uk/architect-information/architects-code-standards-of-conduct-and-
practice/ [accessed 23 August 2021].
4 RIBA. RIBA Code of Professional Conduct (London: RIBA, 2021). Available at: www.architecture.
com/knowledge-and-resources/resources-landing-page/code-of-professional-conduct [accessed
23 August 2021].
5 RIBA. RIBA Code of Practice (London: RIBA, 2021). Available at: https://www.architecture.com/
knowledge-and-resources/resources-landing-page/code-of-practice-for-chartered-practices
6 RIBA. RIBA Plan of Work 2020 (London: RIBA, 2020). Available at: www.architecture.com/-/media/
GatherContent/Test-resources-page/Additional-Documents/2020RIBAPlanofWorktemplatepdf.pdf.
7 Design Quality Indicator website: www.dqi.org.uk [accessed 23 August 2021].
8 Building Services Research and Information Association. ‘Building performance evaluation’
webpage: www.bsria.com/uk/consultancy/building-improvement/building-performance-evaluation
EN
IM
EC
SP
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8
with insurance
Insurance isn’t risky, it’s safety
EN
IM
Architecture, like many other professional endeavours, can be a risky
business. It is a professional responsibly to mitigate these risks and
EC
provide adequate protection for the client and end users, as well as for the
professional. These risks are due to the complex and indeterminate nature
of providing professional architectural services:
• Designing and constructing buildings is a complex process,

SP
involving large amounts of money and great potential for mistakes,

accidents and disputes.
• Coordinating and integrating the inputs from a variety of specialist
consultants, suppliers and constructors creates a host of liabilities
and responsibilities for the design team leader.
• Determining and delivering the client’s requirements while also
satisfying the user’s needs poses many challenges, including
managing the differing expectations.
• Society has become increasingly demanding, and business
generally more litigious.
The combination of these issues creates very particular business risks

for architects. Professional indemnity and other business insurances are
therefore essential for any practitioner.
Whether you run your own practice, are an employee, personally doing an
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occasional project, mainly retired, or are just giving free friendly advice,

you are still liable for your professional inputs if something goes wrong with
anything you have worked or advised on. This may end up with a claim for
compensation or negligence against you. It makes no difference whether a
professional person provides advice for a fee, for benefits in kind or free of
charge, they still have a duty of care to their client. In the eyes of the regulators
and professional bodies, anyone using or relying on the professional services
of an architect, or built environment professional, even for informal pro
bono advice, can expect their work to be covered by professional indemnity
insurance (PII).
The ARB and the RIBA also require registered architects and Chartered
Practices to have appropriate insurance to protect the interests of their
clients.1,2 In the ARB’s Architects Code, Standard 8 ‘Insurance arrangements’
states:
8.1 You are expected to have adequate and appropriate professional

EN
indemnity insurance cover for you, your practice and your
employees. You should ensure that your insurance remains
adequate to meet a claim. You are expected to maintain a minimum
level of cover, including run-off cover, in accordance with ARB’s
IM
guidance.
Anyone who has had the experience of defending a negligence or damages

claim will know that it can be a worrying experience and is time consuming
EC
and costly, with the potential to seriously damage your professional reputation
and livelihood. However, insurance cover is not just a burden, it can also be a
valuable business asset and an important marketing tool that sets you apart
from many of your non-professional competitors.
SP
PII not only covers the costs of compensation for negligent acts for
professionals, it can also cover the costs of defending a claim, as well as
providing a reliable source of advice for taking on and managing contractual
liabilities and risks.
If you are an employed professional, it is important to check and satisfy

yourself that appropriate insurance cover is provided for you by your employer,
particularly if you are working through an agency or as a temporary external
consultant. The need for PII cover extends to any professional work undertaken
in a private capacity outside your main practice or employment. It is your
responsibility to ensure that your professional work is adequately covered and
that appropriate cover is in place before you undertake any work. Otherwise
you could be personally responsible for losses caused by any work you have
done privately or for others and be in breach of the ARB and RIBA codes.
This chapter focuses on PII, but it also mentions the other types of insurance
cover that professional practices should have in place.
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154
Professionalism at work with insurance
8
REASONS TO HAVE PII
• The ARB and the RIBA require any registered and practising
chartered architect to have PII.
• Clients want security, and there has been a growing trend
towards litigation, particularly among commercial clients.
• Professionals have a personal duty of care to their clients, and to
a wide range of third parties, including users and society.
• Architecture has many specific design and business risks.
• Construction is a high value, complex and inherently risky
industry.
• PII provides architects with valuable cover for defending or
•
paying out for any negligence claims.
EN
It is a positive selling factor for clients that you are protected,
for their benefit.
IM
What is PII?
EC
PII is a form of business insurance that covers professionals for the costs of
mistakes they may make, or may have contributed to, when providing their
professional service. Its primary purpose is to provide financial protection
SP
for the client, not the professional; however, it does enable professionals to
fund any successful claims that are made against them and to cover their legal
costs.
PII has developed over the years into policies that primarily cover professional
negligence, for incorrect advice, mistakes, omissions and breach of a duty
of care. PII polices, depending on the type of cover purchased, can also now
cover losses due to:
• legal costs incurred in defending a claim and the payment of a successful

claimant’s legal costs
• business interruption or lost revenue for the client
• defamation – making or supporting libellous statements about the client
or claimant
• breach of confidence – unintentionally disclosing sensitive information
without permission
• breach of copyright, trademarks or intellectual property
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155
• loss of or damage to documents in the care of the professional

• civil liabilities – non-criminal unintentional actions that cause damages
to third parties
• acts carried out by employees, on behalf of the practice, that cause a loss
to the client.
PII policies are written on a ‘claims made’ basis and are generally annually
renewable. This means that the cover is for any claims made during the year
of insurance, up to the financial limit and under the conditions of the cover
purchased. The claim may be for an issue that occurred several years before,
when the professional could have been covered by a different insurer under
different terms or different practice name. It is insuring the historic risks of a
professional or their practice.
PII policies are normally on an ‘any one claim’ or ‘each and every claim’ basis.
This means that the professional is covered up to the full limit of indemnity
for each claim received during the insurance year. For example, if your PII
policy limit is £1 million and you are unfortunate enough to receive three
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claims within the year of under £1 million each, but together adding up to
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£2.5 million, your policy would still cover you for the total value. The full
£1 million limit would be available for each of the claims. Look out for and
avoid the alternative PII policy wording of ‘in aggregate’, which means that the
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cover is only up to the total of all the claims that are received in a year. In the
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example above, this would only cover 40% of the total value of the claims,
rather than the full 100%.
For higher PII policy limits (above £5 million), cover is likely to be structured
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as multiple layers of insurance, placed with different PII underwriters. The first
layer is referred to as the primary layer, and the additional layers are known as
excess layers. A typical policy structure for £10 million would be a primary layer
for the first £2 million, a first excess layer for the next £3 million, and a second
excess layer for the final £5 million. If this £10 million layered policy was
arranged on an each and every claim basis, all the loss would be absorbed by
the primary layer insurer, and the excess layer insurers would only be involved
if there was a single claim that was settled for more than £2 million. This
significantly reduces the risk for the insurers of the upper layers, which in turn
reduces the cost of the overall premium.
A recent change in the PII market is the formulation of policies as ‘aggregate

plus unlimited round the clock reinstatement’. This means that the full limit
of indemnity available for any claim is rotated across the various layers of
insurers for the different claims settled. Using the £10 million cover example,
the first £2 million of the total claims would be paid by the primary layer, and
the next £0.5 million by the first excess layer. When the £2 million primary layer
is eroded by claims, this part of the insurance limit is reinstated as the top
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layer of the stack, so it would only become involved again when the remaining
£8 million of the other layers have been utilised.
One way of thinking of this kind of structure is as a stack of playing bricks.

As bricks are removed from the bottom of the stack to pay claims, they are
replaced at the top of it. The number of bricks is always consistent, but their
position in the stack changes. It is a way of spreading the risk between the
different insurers.
The ARB and the RIBA have specific minimum requirements for PII cover for
architects.3 Ensure via your insurance broker that your PII policy is ARB and
RIBA compliant.
Project-based insurance
EN
Directly insuring the risks of a construction project has been promoted for
many years as a better solution for both clients and the design team. With PII,
clients have the more convoluted and less certain process of having to first
prove the negligence of the consultants or contractors before they can gain any
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remedy or compensation via the professionals’ PII. Project-based insurance
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provides direct insurance cover for the asset or risk, similar to how most other
consumer insurance works for property, cars, pets, etc. However, this form
of insurance has not taken hold in the construction industry, except for large
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infrastructure projects (such as Crossrail and Heathrow Terminals 4 and 5),

mainly due to project-based insurance being more costly and not completely
removing the need for some PII.
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Although project-based insurance provides simpler and more certain cover for
the client, it does come with other complications and costs for construction
projects. To ascertain the risks and an economic insurance premium for a
project requires much more inspection and certification as the design and
construction progresses. There are so many variables and complexities in
assembling a building and there is a view that letting the designers, suppliers
and constructors off the hook for their liabilities could lead to them being less
conscientious.
Insurers therefore demand a much higher level of inspection and quality

management for project-based insurance than building control usually
provides for. It requires the project team to use a partnering form of contract,
so that a ‘no blame’ culture is established, enabling any issues to be
identified and dealt with as they arise. Everyone in the project team needs to
be encouraged to inform their manager if they think anything is not right, to
prevent any issues escalating into something bigger. The UK Government is
encouraging the use of integrated project insurance for public construction
procurement.4
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Even with comprehensive and integrated project insurance, it is impossible to

eliminate the need for PII. There is still a need to pinpoint the cause of a claim,
so that it is the perpetrator that mainly pays, particularly if there are large sums
of money at stake. The higher costs and complex processes associated with
project-based insurance generally make this form of cover uneconomic.
Owner’s protective professional indemnity
Owner’s protective professional indemnity (OPPI) policies are an alternative

to project-specific policies and are complementary to professional liability
policies. They are specifically for the owners of construction projects, providing
cover for damages outside of the professional liability cover of the design team
on the project. The ‘owner’ may be the funder of the project, rather than the
client you directly deal with.
EN
OPPI policies are used more for international and larger scale work, as an
alternative to project-based insurance and where the normal PII of the design
team does not operate or cover the risks. OPPI can provide the owner with
cover for damages that exceed, or are outside of, the cover of the PII policies
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of the design team professionals. It can also provide the owner with cover for
the full duration of the project (not just annually arranged), and for third party
claims. Policies may be written on a project-specific basis, or on a ‘blanket’
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basis for all of the construction projects of the owner.
An OPPI policy offers no cover to the professionals but allows the principal
owner of the project to insure against their potential losses, which might
exceed the PII coverage. The terms of these policies are usually confidential to
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the owner. You may need to make a client aware that such cover is available for
situations requiring higher levels of indemnity.
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Insurance protection
The primary way of reducing your financial exposure to professional business

risks is by having PII. However, even if you have and monitor project quality
procedures in your practice, your PII might not cover you fully for a catastrophic
claim. There is also the small possibility of your PII company going bankrupt,
which would leave you without cover and unable to fulfil your contractual
obligations and ARB and RIBA requirements. Insurance protection schemes
can economically cover you for that unlikely event. If your practice workload is
extensive and varied, it can be prudent to spread your PII cover over several
insurance companies or underwriters, to avoid a total loss of PII cover if one
insurer fails. Seek advice from your PII broker.
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There is a risk of a major claim being larger than the level of your insurance
cover, especially when legal costs and consequential losses are taken into
account. Limiting your liability, by agreement with your client, to your agreed
level of PII cover or sharing the risk with the other project consultants is a
sensible precaution (see the ‘Nets and caps’ section below).
However, you cannot limit your liability to claims from third parties. As a sole
practitioner or a partnership, claims not covered by your PII become claims
against your personal assets, which can result in you being made personally
bankrupt. This is a risk you can avoid, or at least minimise, by professionally
managing your business risks and PII cover, as set out in the rest of this chapter.
The PII market
The PII market has specific characteristics that are different from other
EN
forms of insurance. These are beyond the control of the professionals being
insured, but it is important to understand the dynamics of this market as the
availability, price and terms of PII insurance can fluctuate greatly. The PII
market depends on a wide variety of volatile interconnected issues, including
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the current economic conditions, global insurance risks, changes in regulatory
and legal requirements, current technical knowledge, political stability, public
confidence and the recent claims history of the insured and the industry.
Therefore, the premiums, market conditions and insurance risks for PII are
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constantly being reassessed by the insurance underwriters and brokers.

PII is a quicker market for insurers to get in and out of, with annually renewable
policies, compared with other types of business insurance, which tend to
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provide cover over a longer term. If an insurer is looking to adjust the risk
profile and market sectors of its ‘books’ – its overall insurance policies – PII
tends to be their first port of call. This adds to the volatility of the PII insurance
market, particularly in the construction sector.
The insurance marketplace is affected by the general economic situation, as
insurers look to invest during periods of growth and divest in a downturn. The
level of claims has a tendency to rise in a recession, when people have more
time on their hands to complain and also a greater need to recoup any losses.
The occurrence of major catastrophes, such as hurricanes and pandemics,
can cost the insurance industry significant sums of money, and this affects the
overall trends in premiums.
When a practice renews their PII insurance each year, the details and cost of
the cover can vary dramatically. For example, annual PII premiums increased
and policy cover changed significantly following the Grenfell Tower fire in 2017,
which triggered major concerns about the fire safety of cladding systems that
led to certain types of cladding and materials becoming uninsurable. It was
also the genesis of the Building Safety Bill, announced in 2020, containing
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significant changes to the fire safety obligations for building designers.5 In

recent times, there have been significant changes in the insurance cover for
asbestos, pollution, flooding, terrorism and energy performance.
Therefore, all standard forms of appointment contracts have an insurance
provision for the cover to be dependent on what is currently readily and
economically available in the market.6 Many projects and their professional
team’s appointments have durations of several years and the PII market,
and therefore the cover available, can change dramatically between one year
and the next. This is also mentioned in Chapter 2 in relation to appointment
agreements with clients, but here is a reminder that it is essential to ensure
that any bespoke professional services appointment contract contains a similar
clause on the availability of insurance.
PII policies are generally individually assessed and tailored for each practice,
their market sector and workload, as well as their risk profile. But there are
EN
generic, automated PII products available online for small-scale practices and
professionals, those with lower levels of turnover, working in more familiar
sectors (small-scale residential) and providing limited lower-risk services
(early design stages, not detailed design or construction supervision). These
policies are normally provided as part of wider group policies for select groups,
IM
such as smaller RIBA Chartered Practices with lower fee turnovers.
With the increasing pressures and complexities of designing and constructing
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buildings in a rapidly changing environmental, economic and regulatory

context, with new technologies and risks emerging, the global PII market is
hardening. This means that there is a reduced capacity and appetite for new
insurance, premiums are increasing, and insurers are becoming more diligent
and cautious when taking on new risks and unproven customers.
SP
Architectural practices that know what they are doing – with robust risk
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management procedures and efficient operational processes – and have a proven

good track record are becoming even more attractive to PI insurers. Insurers prefer
policyholders that actively manage their client relationships and contracts and
keep them fully informed. They increasingly prefer to build up long-term
relationships with practices and people they know and trust. This is particularly
the case when insuring a practice’s past performance with PII. It significantly
reduces the risk of ‘claims made’ annual insurance, knowing that it is less likely
there will be subsequent claims during the year of the policy. These practices
are valued by insurance brokers and underwriters and tend to be offered better
PII coverage and lower premiums, even when the PII market is tricky.
Cost of PII
The cost of PII cover depends on a wide variety of factors, some of which are
specific to the individual professional or practice. Premiums are based on
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a practice’s type and size, nature of work, type of clients, project contracts’
terms, annual turnover, claims history and risk management processes, as well
as the financial limit of the cover and the excess, the level of claims handling
and support services to be provided and the current PII market conditions.
In assessing the premium rate, insurers will look carefully at the risks they are
taking on based on your work-load history and your list of identified potential
claims. Recent claims that have already been settled should not affect the
premium as much, but they can have an influence if the underwriter (new
or existing) gets the impression that you adopt risky practices and poor risk
management.
Rates for PII insurance premiums for architects’ practices generally range from
1% up to 5% or more of fee income or annual turnover. This equates to about
0.1% to 0.25% of the construction value insured. Insurance premium tax of 12%
is also payable on insurance premiums, but premiums are not subject to VAT.
EN
PII is not a cost-efficient form of insurance for the client or the professional,
mainly due to the convoluted processes and high legal costs of proving
negligence, for both pursuing and defending claims. No more than 40% of
the total premium cost of architects’ PII goes towards paying damages. The
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remaining 60% or more is spent on the legal costs, with a very small proportion
of this (generally less than 5% of the total 100%) spent on the administration
of PII. It is the high level of legal costs that leads insurers to seek to settle
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some claims without legal recourse (particularly those with relatively low value
and where there is some element of liability) as early as possible to reduce the
legal costs.
SP
Despite its inefficiencies, PII does provide protection for the client that is
cheaper overall than other forms of insurance, such as project-based insurance
or the European form of ‘inherent defect’ insurance.
Amount of PII cover
How much PII cover, or what financial limit of indemnity, a practice should have
depends on several factors, not just the overall annual fee income. There is
no simple or standard answer and each practice is different, because of the
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type and sector of the work undertaken, the nature and needs of the clients,
the size and risks of the projects and the practice’s contractual obligations.
The financial limit selected is generally a balance of the requirements of the
projects and the clients, tempered by the practice’s view on exposure to risk
and the affordability of the premium.
Practices should maintain sufficient PII cover to enable them to meet claims
arising not only from making good any defects in the design and construction
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of the projects due to negligence, but also claims that may arise from
consequential loss and personal injury. This includes losses to the client
due to delays and additional costs, such as lost rent or income generation,
additional funding and extended temporary accommodation costs. The level of
cover relates more to the construction and property value of the projects than
to the practice’s fee income.
As a rough guide, a practice’s level of PII cover should generally be about three
of four times its annual fee income. If the fees represent about 3% to 8% of
the construction value of the projects, it will give cover for between 10% and
25% of the construction costs. This is generally sufficient to cover the costs of
making good an error or omission of the architect. There are often claims where
the consequential losses are significantly more than the construction cost
and where claims exceed the contract value. The smaller the contract value,
particularly for residential work, the more likely it is that there will be a claim
that exceeds the project value. Basement works are particularly prone to this as
they can cause damage to the adjoining property, and premiums for covering
this type of work tend to be higher.
EN
In more costly and larger scale catastrophic negligent faults, there are
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generally other factors and people (co-consultants, contractors, suppliers,
approvers, etc.) involved who contributed to the disaster and so share the
liability for the costs (see ‘Nets and caps’ below). However, there is no
substitute for carefully considering your potential exposure, evaluating and
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mitigating the risks, and seeking expert advice to assess the appropriate level
of cover for you and your practice. A good insurance broker will be able to
provide some advice on this, but the key advice is to purchase as high a limit of
PII as is commercially viable.
SP
The ARB and the RIBA recommend a minimum limit of PII cover of £250,000
for each and every claim. Most PII policies for architects’ practices are based
on this minimum level and amounts lower than this may not result in any
reduction to the premium.
The level of PII cover is often determined by the demands of your clients and
the size of your projects. This can be problematical for a practice that usually
works on projects within a certain value range (say £0.5 million to £2 million),
and so has annual PII cover to reflect the usual value (say £2 million), but is
offered a larger scale project (say £5 million) with demands for higher levels of
PII (say £5 million). It is possible to buy an increased indemnity limit for just
this specific project (of £5 million), but the additional premium may be about
the same as it would cost to raise the cover for all of your projects to the higher
amount. It is possible to charge your client an additional fee for the additional
costs of your PII cover for their specific project. You can limit the maximum
level of cover on your smaller projects to a much lower amount by including an
insurance cap in the appointment contract.
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8
Having cover for complaints handling and legal costs is increasingly important.
Most PII policies cover these costs and provide a claims handling service.
Checking your insurer’s approach and track record on this is crucial in deciding
on your PII cover. Further, check the insurer’s attitude to alternative dispute
resolution, especially to adjudication, how they negotiate and whether they
meet claims effectively and efficiently. Most PII claims are settled privately out
of court, some are settled by dispute resolution, and a very few reach litigation.
Over 60% of insurance pay-outs relate to the handling and legal costs, with
less than 40% spent on the compensation, which indicates where the value
is in your PII premium and the support you need from your PII broker and
underwriter to contain the legal costs.
Excess
Excess is the initial amount of any claim that is your responsibility to pay and
excess amount, the lower the premium. Insurers prefer some level of excess
EN
which is not covered by your PII. Like all forms of insurance, the greater the
to deter frivolous and smaller scale claims. The level of the excess can vary
considerably and is generally imposed by the insurer. It normally ranges from
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a minimum of £500 for the smallest of practices to £25,000 or more for large
practices working on larger projects.
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Exclusions
Where risks are considered too unpredictable or costly, insurers exclude them
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from their policies. The exclusions primarily comprise a list of deleterious

materials, which regularly changes as new hazards become apparent. These
changes cause complications in how the issues created by new exclusions can
continue to be insured, particularly on an ongoing project.
For example, asbestos was commonly used as a lagging and roofing material
up to the 1980s, before its serious carcinogenic effects became known.
Asbestos subsequently became a banned material in new construction
and therefore uninsurable. However, there is still a need to deal safely with
asbestos hazards in existing buildings, particularly in the examination
and refurbishment of buildings where the presence of asbestos is not fully
known. Some PII polices still cover for negligence in removing or working
around asbestos, but this cover is extremely limited and no longer covers
personal injury claims. Where you suspect, or become aware of, the presence
of asbestos, you should inform your client and any site operatives and
recommend a specialist to deal with the issue. You should also include this in
your record of potential risks and claims.
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163
The Grenfell Tower fire in 2017 also provoked new insurance exclusions,
particularly in relation to cladding and fire safety design. This high-profile
disaster also provoked the drafting of new legislation (as proposed in the
Building Safety Bill5) including additional health and safety obligations and
liabilities for building designers.
If new and unavoidable exclusions are imposed on your policy at renewal, you
should check the terms of your current appointment contracts and, if required,
inform your client of this change. You should also do this for former clients on
recently completed projects for which the liability period has not yet expired.
You should avoid any future work that would leave you uninsured.
Nets and caps
An effective way of containing your PII liabilities is to have a net contribution

EN
clause or insurance cap in your appointment contracts. Both are included in
the RIBA Professional Services Contract, but commercial and developer clients
are less keen on these and often try to have them deleted from standard
appointment contracts. Similarly, nets and caps are often missing in clients’
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bespoke appointment contracts, but it is still worth negotiating for and basing
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your fee on the level of risk you are taking on a project.
A net contribution clause limits the extent of your liability, so that you are
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only liable for the proportion of the client’s loss that was due to your failure
to exercise reasonable skill and care in undertaking your services. It excludes
the remaining proportion of the loss, which has been determined to be due to
the failures of other members of the design team, or the contractor, or due to
SP
circumstances beyond your control. The apportioning of the loss between the
various parties involved is agreed by negotiation between the parties, or by
independent assessment by the appointed assessor/adjudicator/arbitrator,
or as judged by a court.
Most losses in construction projects are due to a combination of factors

and actions (or lack or action) by several parties involved in the project. For
example, a successful claim may be made for the disruption and making
good of faulty construction by the contractor, or an error in the design of a
subconsultant. However, the contract administrator should have discovered
the construction defect during their site checks, or the design team leader
discovered the design error when checking and coordinating the design
information, so they are partly liable for the losses.
A net contribution clause is valuable to all concerned as it is a fair way of

sharing the risks and making everyone responsible for their own work.
Although it is also in the client’s interest, clients generally resist net
contribution clauses, as they consider them to be inconvenient and restrictive.
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Clients will often try to put all of the liability onto the lead consultant’s
PII (generally the architect’s). In the event of a claim, the lead consultant
then has the task of claiming against the other contributing parties for the
proportion for the loss that they caused.
Insurance caps simply limit the maximum amount of damages recoverable
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from an individual project team member, either to the value of their PII
cover or a figure agreed in the contract with the client. This protects the
professional by ensuring that the maximum pay-out is totally covered by
their PII, but it does not limit the value of claims for personal injury or to
third parties.
Net contribution clauses and insurance caps work independently of each

other and can be combined. It is best to have both. But, if only one of these
is acceptable to a client, it is preferable to the consultant to have a net
contribution clause. The insurer may prefer an insurance cap as it gives a
EN
definite limit to the liability they are covering.
For consumer clients, due to the requirements of consumer protection

legislation, it is important to clearly explain any insurance cap provisions to
them and to have written evidence of this explanation. It is more likely that
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an individual inexpert client could get a cap overturned if they could say they
did not understand what it meant. The general legal view is that the more
sophisticated the client, the more knowledge they have of the construction
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and contractual process, the harder it is to allege that the cap is an unfair
contract term.
It is worth specifically mentioning in your initial pitch or fee proposal for any
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job, and in your standard terms and conditions for your services, that your PII
liabilities will be based on having a net contribution clause and insurance cap.
If this is not acceptable to the client, then the removal of one or both of these
devices can be negotiated, with a compensatory adjustment in the fees for
taking on the additional risk.
Insurance risk register
A good way to mitigate insurance risks and to manage potential and real claims
is by maintaining an insurance risk register for your practice. It should be an
integral part, if not the central core, of the risk management system for your
business. It need not be complicated or time-consuming, and can be a simple
and effective way of keeping out of trouble, saving you money and stress in the
long run.
To start, you should identify any risks on all your projects and in your business
operations and have a process for reviewing and recording them regularly.
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Make it a standing agenda item for all your project team and management
meetings. Record formally, in a written register, all newly identified potential
risks and any updates to previously identified ones. Categorise the risks by
project, date, type, priority and person responsible for dealing with it. For each
risk, provide a brief description, numerical assessments of its likely occurrence
and impact, and the mitigating actions. Guidance on risk registers is readily
available on the internet, along with several standard register formats.
The insurance risk register should be a living document, regularly updated

and frequently referred to and actioned. Remember to sign off any risks that go
away or are dealt with and resolved, but keep them as a record in the historic
risks section of your register. The overall responsibility for this register and its
upkeep should be owned by the appointed risk manager in your practice, which
is preferably someone senior. The register should be reviewed and acted upon
at every senior management meeting.
EN
It is worth implementing a process to regularly update (quarterly or monthly)
your PII broker on your practice risk assessment, which can be done by simply
sending them a copy of your up-to-date risk register, in confidence and for
information only. Separately identify the risks that you are formally notifying
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to your insurer and on which you want them to advise you or take some action.
The register and your regular communications with your PI insurer will be
useful evidence for your annual renewal form and show that you are careful and
responsible in managing your risks. The register also identifies the risks that
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have been resolved and the current status of the ongoing ones, quantifying the
risks that you are seeking cover for in the forthcoming year.
Starting or renewing your PII

SP
As PII is an annually renewable insurance, each year a new proposal form is

required, with an update on the work history and risk profile of the practice.
As PII is a ‘claims made’ type of insurance, it is all about insuring history. It is
important that the proposal form is completed accurately and comprehensively,
as the new policy is based on this information and can be voided if there is not
full and honest disclosure of the risks to be insured.
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The PII market is volatile and the terms and conditions of the next year’s
insurance cover may be different to the current year’s. Your existing insurance
broker and underwriter may not have an identical product available to continue
your insurance. If possible, it is sensible to continue cover with the same
insurer and on as similar terms as possible, particularly if you have ongoing
claims or potential claims, or you feel you may be slightly underinsured. It will
help to protect you in the event that disputes arise from projects completed in
previous years when you were also insured by them.
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Due to the increasing level of uncertainty and regulatory changes for insurance
in the construction industry, many PI insurers in the construction sector
are asking more questions and giving closer scrutiny to new and renewing
policyholders. These may include a questionnaire relating to cladding,
basements and COVID-19. The renewal process can take longer and involve
more inputs from you, so allow enough time to do this properly.
When completing the PII documents, you are required by the Insurance Act
2015 to make a fair presentation of all relevant information. If you have a
practice brochure, formal risk management procedures or other methods
– such as always including a liability cap in your appointment – include
such information with your proposal form. If a claim has been successfully
made against your practice, you should include a description of the claim
and state both the lessons learned from it and the steps taken to prevent
a recurrence.
EN
Proposal forms can change slightly each year. The detailed terms and
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conditions of seemingly similar policies from different underwriters and
brokers can significantly differ. So it is important to read the fine print carefully.
Look closely at the details of any exclusions, conditions of the ‘any one claim’
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(not ‘aggregate’) basis and legal fees, and the level of support provided for
handling claims and advising on new contracts. It is also worth checking who
is the solicitor acting for your insurer, to ensure they may not also be acting for
you or your key clients (a potential conflict of interest).
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It is your, or your practice’s, responsibility to fully understand the terms and

conditions of your PII policy and to be satisfied that it fulfils your professional
and practice requirements. If in any doubt, ask your broker for an explanation.
SP
To acquire or renew your PII successfully, with a cost-effective premium, the

following points should be considered:
• Prepare for your application for insurance well in advance of the renewal
or commencement date. Insurers need time to assess your risks and
prepare the best proposal. You need time to collate the information,
assess your future insurance needs and explore the current PII market
through arranging alternative quotations.
• Demonstrate your understanding of your business and its risk profile.
Provide information about your record-keeping, client relations, project
management systems, risk management, claims notification and
complaints handling procedures.
• Provide evidence of your appointment contract conditions, and that you
have robust contractual documentation in place for all your projects.
• Produce a risk register for all your recent and current projects and a
claims history document that is up to date and accurate.
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• Be cautious before changing your existing insurer. You may benefit from
a cheaper premium, but there is additional risk if there are outstanding
claims or notifiable incidents.
Notification of claims
As soon as you become aware of a potential claim, or if you receive an

unexpected claim, it is essential that you notify your insurer immediately. This
could be when a mistake or defect becomes apparent or when a dispute arises
between parties in the project.
Insurers need to know of any potential claim at the earliest opportunity.

Notifying your insurer of a circumstance that may give rise to a claim allows
them to give you helpful advice on how to respond to a complaint, and gives
you the opportunity to use the insurer’s expertise in dealing with the issue.
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There may be tight time limits for defending and dealing with a claim under
some dispute resolution procedures, such as adjudication, and your insurer
needs as much time as possible to deal with this on your behalf. Keeping
your insurer informed and talking to them about issues that may give rise to
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claims demonstrates your business awareness and proactive management of
insurance risks. It is equally important to keep your insurer regularly updated
with any new information on potential and ongoing claims.
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Making a notification of a circumstance that may give rise to a claim should

not adversely affect your insurance premiums in the future. In contrast, failing
to notify your insurers in good time may result in a later claim being rejected.
Do not wait until a foreseeable complaint has materialised or, worse still,
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correspondence has been exchanged about the issue with the complainant
and formal proceedings commenced, as this might void your insurance cover.
Declaring on your future insurance renewal form that you have had a claim
rejected for not complying with PII notification procedures will make insurers
cautious and definitely affect your ongoing insurance premiums.
Be fully aware of the notification procedures and guidance for your PII policy
and follow these meticulously. Be accurate, but also careful, in the wording
of any notification. Identify each notification as a separate potential claim.
If there are several notifications on the same project, they should be defined
as part of one combined claim, not separate issues, otherwise separate
excess charges and administration costs will be incurred when the claim
is settled.
There are differences between the policy wordings of different PII insurers,
particularly in what needs to be notified and how a circumstance is defined.
Some policies refer to matters that are ‘likely to give rise to a claim’, whereas
others are wider in scope and refer to matters that ‘may’, ‘might’ or ‘could’ give
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8
rise to a claim. The ‘likely’ wording is generally viewed as relating to matters

that have a 50% or more chance of becoming a claim, whereas the alternative
wordings are much broader.
When making any notification of a potential claim to your insurer, do describe

your notification using the same language as that in your policy. For example,
say issue ‘X’ has arisen and that we believe it ‘may/might/could’ or is ‘likely to’
lead to a claim being made against us. If in doubt, seek the advice of your
insurer broker, and when doing so speak to their claims handling team,
which may be different to your normal contact.
Some policies will have time limits on notifications. This is particularly the
case if adjudication is to take place. Because of the timescales involved,
it is common for there to be a time stipulation. This is often two working
days, in respect of the notification of a ‘notice to adjudicate’. Usually with
adjudications, there will be a specific contact named in your PII policy who
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requires direct notification (your insurer’s representative, usually a solicitor),
rather than the notification being through your broker. Direct notification to
an insurer’s representative may apply in other situations as well, particularly
when the policy wording is the insurer’s own. If you are notifying direct to an
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insurer’s representative, do remember to copy your insurance broker into the
notification.
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Dealing with claims
Even though it is not fee-earning work, you must give priority to dealing with
current claims. Not being diligent with this can put your insurance cover at
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risk. Remember, it is the insurer who handles claims, not you. Once a formal
claim has been made, do not deal directly with the complainant, or their
representatives, without your insurer’s approval and, if possible, presence.
All you have to do is provide the information and responses your insurer and
their legal team require of you to process, negotiate and settle the claim on
your behalf.
It is very important that you do not start by admitting liability, which is no

different to any other type of insurance claim you may be familiar with, such as
a car accident or personal injury. All discussions and documentation should
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be clearly noted as being done ‘without prejudice’. Be careful with any written
or printed documentation, particularly emails, texts and social media, as
they may be disclosable to other parties as evidence against you. Documents
between you and your solicitor remain privileged and do not need to be
disclosed, but should still be marked ‘private and confidential’.
Always be professional, polite and accurate, without suppositions. Do not

write or say anything derogatory or defamatory, as it may incriminate you
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later. Continue to keep comprehensive records of correspondence, telephone

conversations and meeting discussions relating to an ongoing claim.
Working internationally
Any international work done by a UK-based practice also needs to be

adequately covered by PII, in accordance with the ARB and RIBA requirements.
The insurance system, contractual obligations and legal framework can be

very different in different countries. For example, Europe predominantly has
a civil code based legal system, with ‘decennial liability’ or ‘inherent defect’
insurance requirements for construction projects, which is different from the
UK’s case law based legal system, with ‘duty of care’ negligence obligations
and contractual liability periods or six or 12 years. Many countries have a
strict liability, or warranty, for buildings for 10 years after completion, which is
EN
generally insured by the contractor. This is a strict liability (‘fitness for purpose’
obligation) as it does not require any proof of fault or negligence. It covers
the integrity of the structure and suitability of the accommodation to fulfil its
intended purpose. It is roughly equivalent to project-based insurance schemes
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in the UK. It costs about 1.5% of the structural construction value and requires
technical inspections during construction by the insurer’s inspectors. It costs
far more than the usual PII systems in the UK, which generally cost only about
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0.1% to 0.25% of the construction cost, but provides less certain and finite
insurance cover.
In Europe, professionals usually have to certify that a building complies with

all the statutory planning and technical codes, which is covered in the UK by
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planning and building control approvals, certified by local authorities. To be

able to do this certification, European building designers generally need to
be registered and regulated by their relevant professional body and have
relevant PII.
Contract law, for appointment and construction contracts, also varies

significantly between different countries. As this is separate from local
legislation, it is possible to have your international contracts under UK contract
law jurisdiction, even if the client or the project they relate to is located
elsewhere in the world. This needs to be specifically stated in the contract. UK
standard forms of appointment and construction contracts usually do include
a provision that states which jurisdiction applies, with UK as the default,
which can be altered to a different national jurisdiction for the contract.
If you are working on a project abroad, consult your broker about what
insurance cover you need and whether your UK PII policy would be sufficient.
It is highly likely that you will need a specific extension to your PII policy or
an additional form of insurance. Another solution would be to partner with
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an architect based in the other country, relying on their locally complaint

insurance cover and registration.
UK PII policies will have limitations on their territorial limits and applicable
legal jurisdictions. Most policies will exclude projects in the USA and Canada,
or claims brought under their legal systems, unless specifically agreed
otherwise. This is due to the compensation-driven legal system and the scale
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of damages awarded in North America. Similar to travel insurance, where PII
cover is provided for North America, it will be on a more restrictive basis than
for the rest of the world. The insurance limit in the USA is usually restricted to
an aggregate basis and generally additional exclusions are applied, to ensure
that the punitive damages that are common in US claim settlements are not
covered under the UK-based PII.
When working internationally, another consideration is whether the country

in which the project is located is subject to any international sanctions. If
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sanctions apply, then insurers would not be able to pay a claim that breaches
them. As insurers are generally international groups, it is common for policies
to mention the sanctions imposed by the United Nations, European Union, UK,
USA and Australia, but there could be other, more local issues involved as well.
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Run-off cover
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Due to the ‘claims made’ basis of PII, cover is needed not when an incident
occurred, but rather when a claim is made, which can be long after you
have retired or ceased to work in the insured practice. ‘Run-off’ cover can be
obtained after the closure of a practice or by an individual leaving or retiring
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from a practice, to cover the risks of claims for work previously undertaken.
It is recommended that run-off cover is maintained for a minimum of six years
(the usual limit of liability for contracts). The level of cover should be an
amount similar to the highest level of cover of PII you had for the last three
years of practice, which could gradually taper off to lower amounts for the
remaining period, as the risk of claims recedes. However, insurers do have
minimum premium levels for any given insurance limit and once that has been
reached the premiums will not reduce further. In hard market conditions, it
is possible that run-off premiums may increase, if the insurers adjust their
minimum premium levels upwards, during the run-off period.
Run-off cover may need to be maintained for more than six years, to cover
appointment contracts executed as deeds (which have a liability period of
12 years) and to cover latent defects and personal injury claims. Run-off
cover can be necessary for up to 15 years, particularly for retired directors
and partners, to deal with deed contracts (12 years) plus latent defects
(three years). The law in this area is complex, and some of these policies
171
contain ‘retroactive date’ clauses that limit the cover, so you should take legal
advice before arranging your cover.
Insurance brokers used to offer a single policy that covered the complete run-
off period, but sadly that is no longer the case due to the increased volatility
of the PII market. Therefore, like all other forms of PII, run-off cover needs to
be renewed annually. You will have to allow for this in your ongoing expenses,
or include for the total likely cost of the premiums for your six to 15 years of
run-off cover in your employment termination payment. Some practices provide
run-off cover as part of an employment termination agreement.
Practice closure
If you are voluntarily closing your practice, you are expected to ensure that
adequate run-off insurance is put in place to cover ongoing liabilities. You
should allow for this expense in the winding-up costs.
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Should your practice unfortunately become insolvent, the decision to continue
with PII may be taken by the administrator or receiver. You can still take steps
to protect the interests of your former clients and your own professional
interests. You should inform your present and previous clients of the position.
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Run-off cover can be put in place to cover the previous liabilities of the now
defunct practice, which is more likely and useful for a partnership than for a
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limited company or LLP that has been wound up. The issue is that the legal
entity of a company or LLP no longer exists, therefore there is nothing to make
a claim against or for the insurers to insure. If the defunct practice has been
taken over, or its assets bought, by another practice, then the new owners
often have to take on the liabilities of the previous practice and have a PII
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policy to cover these liabilities.
Other types of business insurance
A range of non-PII insurances are available and advisable for architecture

practices, as outlined in this section. Non-PII insurances can be bundled
together into tailored packages for a practice. They can often be provided by
the same broker who provides the practice’s PII cover, so a single composite
insurance plan can be managed by a single broker. This may be more
convenient and often a bit cheaper than separately sourcing each type of
insurance separately.
Public liability
Like every business, an architecture practice has contact with customers and
members of the public and so should have public liability cover. This covers the
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8
practice for claims from anyone for personal injury or damage to their property
and possessions that resulted from your business activity, whether on your
business premises or at another location. Although the costs and pay-outs for
successful public liability claims can be high, the probability of these risks is
relatively low and therefore this insurance is inexpensive.
Employers’ liability
Employers’ liability cover protects the practice from claims for compensation
by employees who have suffered an illness or injury as a result of their work for
the practice. The definition of an ‘employee’ can include a volunteer, a family
member or a temporary contract worker, so goes beyond those on your payroll.
This insurance is relatively inexpensive and widely available.
Business content and equipment
EN
This provides cover for replacing or repairing office furnishings, fixtures and
fittings, office equipment, such as computers, printers and telephones, and
also documents and drawings. It also covers portable items (laptops, mobile
phones, surveying equipment and personal protective equipment) that are
taken outside of the office. These are all assets that your business depends on
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to function and can be costly and disruptive to replace if they are lost, stolen or
broken, but can be insured relatively easily and cheaply.
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Cyber crime
All businesses are increasingly dependent upon technology, software, digital
data and online access. Cyber crime, online fraud, hacking and digital data
breaches are increasingly frequent and insidious risks. As well as having
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a direct impact on the practice, such crimes or data breaches may have
impacts on your customers, employees and contacts, which can lead to them
making a claim against you. Specific insurance policies are available to cover
these risks.
Terrorism
Acts of terrorism very rarely directly damage businesses and their staff, but
when they do occur, they can cause significant business interruption and
stress. Insurance cover is available for losses and business interruption arising
from acts of terrorism.
Business interruption
An event that causes business interruption can impair a practice’s ability to
trade normally, leading to loss of revenue, unexpected costs and claims for
delayed work. Cover for this can provide the practice with help to recover
quickly and minimise further disruption.
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Legal protection
Claims can be made against your practice by anyone to whom you have a
contractual obligation or duty of care, which includes clients, contractors,
suppliers, co-consultants and employees. Legal protection can provide
cover for the cost of legal advice and representation if you or your practice is
faced with such a claim. It is normally provided as part of a PII policy for any
professional negligence claims, but there are other types of claims that can be
covered by a legal protection policy.
Directors and officers

Directors, partners and senior officers of a practice are more prone to having
claims, allegations and disputes aimed personally against them due to their
prominent profile within a practice and because they are the individuals in
overall control of projects and responsible for the staff and operations of their
EN
practice. Such claims put personal assets and reputations at risk, but are also
incredibly distracting and damaging for the practice. Directors’ and officers’
insurance can protect not only the senior individuals, but also all the people
within your practice from compensation claims and associated defence costs.
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Personal accident
Personal accident insurance provides compensation for lost income (to the
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individual, their dependants and the practice) and medical costs in the event
of an accident, injury or death affecting a member of the practice while carrying
out their work. A group policy is usually taken out for a practice, which is
inexpensive due to the relatively low probability of these risks.
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Medical
Absence through illness is not only disruptive and costly for the practice, it
also affects all of the team, as the rest of the team have to cover the work of
their absent colleagues. Private medical insurance is a valued and attractive
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employment benefit to the individual and can be extended to their close family
members. It can also reduce the impact of illness absence on the practice,
by reducing waiting times for treatment and speeding up recovery. It can be
expensive to provide, but costs can be shared with employees, particularly if
they wish to extend it to cover their family members.
Conclusion
Protection against risks and liabilities incurred in your professional practice

needs to be in place in the interests of both you and your clients. It is a
requirement of the ARB and the RIBA for all registered architects and Chartered
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Practices in the UK. Allegations of professional negligence often involve

complex and detailed issues, and litigation may be expensive and traumatic.
PII, or other appropriate insurance cover, is therefore essential to protect you
and your business against such claims.
You should always seek advice from an appropriate expert adviser in relation
to the insurance cover you intend to obtain, including, for example, on any
exclusions from cover and the limit of indemnity. Remember, complaints and
negligence claims can be avoided, or certainly mitigated, by careful practice
and risk management.
Endnotes
2
practice/ [accessed 23 August 2021].
EN
RIBA. RIBA Code of Practice (London: RIBA, 2021). Available at: www.architecture.com/knowledge-
and-resources/resources-landing-page/code-of-practice-for-chartered-practices [accessed
23 August 2021].
3 ARB. ‘PII Guidance’ (London: ARB, 2020). Available at: www.arb.org.uk/architect-information/
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professional-indemnity-insurance/pii-guidance/ [accessed 23 August 2021].
4 Cabinet Office. The Integrated Project Insurance (IPI) Model: Project Procurement and Delivery
Guidance (London: HMSO, 2014). Available at: www.gov.uk/government/publications/integrated-
project-insurance [accessed 23 August 2021].
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5 Ministry of Housing, Communities and Local Government. Building Safety Bill (Bill 139 EN),
introduced in the House of Commons on 5 July 2021 (London: HMSO, 2021).
6 RIBA. RIBA Standard Professional Services Contract 2020 (London: RIBA, 2020).
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EN
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9
with professional conduct
EN
Your conduct is the clearest proof of your professionalism
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Professionalism is defined by ethical behaviour and social purpose.
The quickening pace and increasing impact of environmental, economic,
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political and social change and increased focus on personal wellbeing

have moved the ethical aspects of professionalism to the fore. Both
the ARB and the RIBA have recently reinforced their ethics obligations
in updated codes of conduct and are improving the requirements for
professional competencies on these issues, through the RIBA’s Way
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Ahead review1 and the ARB’s Engagement Group.
There is a complex interplay between a professional’s duty to themself,

their profession, their work colleagues, their clients, the users of their
services and wider society and the environment.
A professional’s duty of care implies that the public interest should take
precedence and that this should be applied with integrity, impartiality
and independence. Professional ethics require all professional work and
judgements to be undertaken competently and with relevant knowledge,
awareness, reflection, scrutiny, evaluation and imagination.
Codes of conduct
A defining attribute of any profession is having a code of ethical

behaviour and conduct, which is usually maintained and administered
by a professional body and, in some cases, by a statutory regulator.
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Built environment professions, including engineers, surveyors, planners,

architectural technologists and architects, have professional bodies that
administer their own codes of conduct, which vary in format and content but
cover similar issues of integrity and competency.
Unique among the UK’s built environment professions, architects have added
statutory regulation under the Architects Act 1997, which protects by law the
use of the title ‘architect’ in the UK , and use of the term ‘chartered architect’
is controlled by the RIBA. Architects in the UK are regulated by both the ARB
(statutory regulator) and the RIBA (professional body), both of which have
codes of professional conduct for their registrants and members to adhere to.
The requirements for architects in the UK and Ireland are as follows:
• All ‘architects’ in the UK have to be registered with the Architects

Registration Board (ARB) and comply with the ARB’s Architects Code:
Standards of Professional Conduct and Practice to be able to practise
using the title ‘architect’. EN
• ‘Chartered Architect’ members of the Royal Institute of British Architects
(RIBA), in the UK and internationally, are required to comply with the
RIBA Code of Professional Conduct.
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• ‘Chartered Architect’ members of the Royal Incorporation of Architects
in Scotland (RIAS) are required to also be registered with the ARB, which
provides the professional conduct function for the RIAS.
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• ‘Chartered Architect’ members of the Royal Society of Architects in Wales

(RSAW) and the Royal Society of Ulster Architects (RSUA) in Northern
Ireland must also be members of the RIBA and follow the RIBA code and
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professional conduct system.
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• ‘Chartered Practice’ business members of the RIBA are required to comply
with the RIBA Code of Practice for Chartered Practices.
• The Royal Institute of the Architects of Ireland (RIAI) acts as a combined
professional body and statutory regulator for professional conduct for
members in Ireland.
The purpose of a code of conduct is to set the standards of integrity and

competency and the level of respect for the environment and society expected
of a professional. This is primarily for the public interest, but is also to benefit
the reputation of professionals. Codes also provide guidance for professionals
on good practice. Such codes enable the public and clients to expect and
receive a high standard of behaviour and independent expertise from their
qualified professionals. Professionals are expected to comply with the spirit of
the codes, not just their specific terms.
Codes tend not to repeat the obligations of general law, and they do not
deal with criminal or civil offences, or even proving negligence, as these are
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Professionalism at work with
professional conduct 9
matters for the courts and alternative forms of dispute resolution. However,
serious criminal convictions can automatically lead to a disciplinary sanction,
including expulsion, by a professional body or regulator, even if the criminal
offence was not directly related to your professional activity. An offence of this
severity is considered a breach of the values of professional behaviour and
damaging to the reputation of the profession.
Criteria for qualification as an architect (ARB and RIBA) include all the attributes
covered by their codes of professional conduct, including evidence of:
• overall competence and the ability to behave with integrity, in the ethical
and professional manner appropriate to the role of architect
• the skills necessary to communicate and work effectively, to carry out the
duties and provide the services expected of a professional architect
• a clear understanding of the architect’s obligation to society, the
environment and the profession
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• a sufficient awareness of the limits of their competence and professional
experience to ensure they are unlikely to bring the profession into
disrepute.
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ARB and RIBA coordination
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Many members of the RIBA are also registered with the ARB and are therefore
bound by both sets of codes and procedures for professional conduct. This
similarly applies to members of the RIAS, RSAW and RSUA who are also
registered with the ARB. To avoid confusion and inconsistency, as well as
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double jeopardy, the ARB and the RIBA work in liaison with each other in
handling any professional conduct complaints about their joint registrants
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and members.
Where a complaint is made to the RIBA, but the RIBA finds the same or a
related complaint has also been made to the ARB, the RIBA registers the
complaint but suspends its further investigation until the ARB reaches a
decision. If the ARB decides to take no action, the RIBA’s appraisal team
considers the complaint and the member’s response and follows its
procedures, with the knowledge of the ARB’s decision. If the ARB upholds the
case and applies a sanction, for unacceptable professional conduct or serious
professional incompetence, then the RIBA contacts the member concerned and
requires them to make a written plea in mitigation to the RIBA’s appraisal team
within 28 days. The RIBA’s appraisal and (if required) hearings procedures then
take place.
Any RIBA professional conduct complaint application and decision about a

member who is also ARB registered is similarly referred to the ARB. Although
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the ARB and RIBA codes and professional conduct procedures are different and
independent of each other, it is very unusual for the ARB and the RIBA to come
to different conclusions about a complaint.
ARB Architects Code
EN
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EC
Figure 9.1: The Architects Code

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The ARB’s Architects Code: Standards of Professional Conduct and Practice

and guidance on the procedures for making and processing a complaint are
published on the ARB website.2
The ARB’s code has 12 standards that an architect is expected to follow.
ARB ARCHITECTS CODE – THE STANDARDS

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1. Be honest and act with integrity

2. Be competent
3. Promote your services honestly and responsibly
4. Manage your business competently
5. Consider the wider impact of your work
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6. Carry out your work faithfully and conscientiously

7. Be trustworthy and look after your clients’ money properly
8. Have appropriate insurance arrangements
9. Maintain the reputation of architects
10. Deal with disputes or complaints appropriately
11. Co-operate with regulatory requirements and investigations
12. Have respect for others
RIBA Code of Professional Conduct

EN
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EC
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Figure 9.2: RIBA Code of Professional Conduct
The RIBA’s Code of Professional Conduct for its members covers similar issues
to the ARB’s Architects Code, but it has a different format, based around
three principles: integrity, competence and relationships. This code, along
with useful information and guidance on professional conduct procedures,
is published on the RIBA’s website.3
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RIBA CODE OF PROFESSIONAL CONDUCT – THE PRINCIPLES
Principle 1: Integrity
Members shall behave with integrity and shall strive to safeguard and
improve the standing, reputation and dignity of the Institute and its
Members in all their professional activities. Members shall consistently
promote and protect the public interest and social purpose, taking into
account future generations.
Principle 2: Competence
Members should continuously strive to improve their professional

knowledge and skill. Members should persistently seek to raise the
standards of architectural education, life-long learning, research,
training, and practice for the benefit of the public interest, those
commissioning services, the profession and themselves. Members
should strive to protect and enhance heritage and the natural
environment.
EN
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Principle 3: Relationships
Members shall respect and seek to uphold the relevant rights and
interests of others. Members shall treat people with respect and shall
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strive to be inclusive, ethical, and collaborative in all they do. Members

shall seek and promote social justice.
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RIBA Code of Practice
The RIBA also has a Code of Practice for its Chartered Practices. As well as
the personal professional conduct obligations of the code for individual
members, the Code of Practice includes additional ethical issues relating to
running a business and providing architectural services. This code, with useful
information and guidance, is available on the RIBA’s website.4
The Code of Practice has the same three principles format as the RIBA’s code
for individual members.
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182
RIBA CODE OF PRACTICE – THE PRINCIPLES
Principle 1: Integrity
Chartered Practices shall behave with integrity and shall strive to

safeguard and improve the standing, reputation and dignity of the
Institute and its membership in all their professional activities.
Chartered Practices shall consistently promote and protect the public
interest and social purpose, taking into account future generations.
Principle 2: Competence
Chartered Practices should continuously strive to improve their

professional knowledge and skill. Chartered Practices should
persistently seek to raise the standards of architectural education,
life-long learning, research, training, and practice for the benefit of
EN
the public interest, those commissioning services, the profession and
themselves. Chartered Practices should strive to protect and enhance
heritage and the natural environment.
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Principle 3: Relationships
Chartered Practices shall respect and seek to uphold the relevant rights
and interests of others. Chartered Practices shall treat people with
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respect and shall strive to be inclusive, ethical, and collaborative in all

they do. Chartered Practices shall seek and promote social justice.
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Chartered Practices should also ensure that their clients are aware of the
risks to their project and have been advised on relevant insurances, such as
project insurance. Chartered Practices should also provide each client with a
specific client contact, who need not be directly connected to the project but
is available to assist in disputes or complaints that have not been able to be
resolved through the normal practice procedures.
Integrity
The first and most important standard in both the ARB and RIBA codes is
to act with integrity and honesty. This is the cornerstone of all regulated
professions and the guiding principle for all the other professional standards.
It is important because it is the basis for the trust and confidence placed in
professions by the general public, as well as clients and work colleagues.
The public must feel able to trust architects with their homes, properties,
investments, finances and, even, personal safety.
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The expectation to act with honesty and integrity extends beyond an architect’s
professional duties. The ARB and RIBA codes make clear that this is expected
‘at all times’. Any breach of this first principle or standard is considered the
most likely to seriously undermine the reputation of the profession and harm
public confidence in the profession. Integrity encompasses ethical issues such
as honesty, impartiality, confidentiality and compliance with the law.
Honesty
Honesty for professionals is expected, and defined by the courts, to be of
a higher standard than that expected for general society. A professional
must be completely truthful and candid, and not act deceitfully by omission
or implication. A breach of integrity does not require an intentional act of
dishonesty. It can occur whenever conduct is considered questionable and
falling short of the higher standard expected of a professional, such as placing
personal interests above those of clients or misleading a planning authority
about the facts of a planning application.
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The ARB is particularly concerned about the compliant use of the regulated title
‘architect’ in the UK. It must only be used for those who are suitably qualified
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and currently on the ARB register. Any partially qualified person (not yet
passed their Part 3), even if an associate or student member of the RIBA or with
many years of experience, must not describe themselves or allow themselves
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to be described as an ‘architect’. The plural use of ‘Architects’ in a practice
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name is only permitted if there is more than one ARB-registered architect in

the practice. The ARB also insists that all architectural work in an ‘architects’
practice’ is under the control of an architect and that the client knows the name
of that architect. The RIBA also requires this for Chartered Practices.
SP
The accurate and honest advertising and promotion of practices and services
is an area of concern for both the ARB and the RIBA. It is the main reason
behind a significant number of professional conduct complaints by the public,
fellow professionals and clients. Expectations of professional integrity go
beyond simple compliance with general advertising standards – it is expected
that clients know the names of the architects managing their project and
the procedures for handling complaints. In their marketing material and
promotion, practices must not state, or even imply, that their skills, experience
or resources are different or greater than the reality.
The handling of clients’ money and acceptance of financial incentives or

commissions are also areas covered by the ARB and RIBA codes. Clients’
money, whether for a project or as prepayment for services, should be held in a
separate account and any interest paid to the client.
The requirements and expectations regarding incentives go beyond statutory

compliance with the Bribery Act 2010. Architects should not accept incentives
184
or commissions from suppliers or contractors they recommend or specify.

Any discounts should be openly declared and passed on to the client. The
exception is in interior design and fit-out contracts, where it is common
practice for designers/specifiers to receive a commission from suppliers –
where this is the case, the commission must be openly declared to the client.
Impartiality
A common area of complaint is the declaration and management of conflicts
of interest. Any potential or perceived conflict of interest should be declared
in writing to the client and contractor. It is also recommended that written
confirmation is obtained from the affected parties, acknowledging the fact and
agreeing that you should continue to act.
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This issue can arise if you have a pre-existing commercial or personal
relationship with the contractor or another member of the project team. Design
EN
and build contracts can create conflicts of interest, as you may be acting for
the contractor but have some reporting or design compliance responsibilities
to the client. Such conflicts should be avoided, ideally by having a separate
appointment contract with no concurrent duties, or at least by using a robust
form of novation agreement, such as the CIC Novation Agreement 2018.5
IM
Impartiality is expected in any professional judgements. You should make
sure that you have all the relevant information and knowledge that is required
EC
before reaching any decisions, and that you fairly balance the interests
(sometimes conflicting) of the various stakeholders, including the client, users
and the community.
These wider duties can cause real ethical dilemmas for architects. For
SP
example, architects have to consider, in an impartial way, how to balance

the environmental impact of initial embedded carbon and energy with that of
ongoing carbon generation and energy usage, or the project’s initial capital
costs and construction budget with its in-use running costs and whole-of-
life costs. It is best to record the basis and assessment process for any such
important decisions and to inform the client of the trade-offs and the reasoning
behind your decisions. This may be used as evidence should any dispute or
complaint arise regarding your professional judgement.
Confidentiality and privacy

Professionals are expected to respect and safeguard the confidentiality of
their clients and their projects scrupulously. This relates primarily to the use
of personal data, but the requirements go well beyond compliance with the
Data Protection Act 2018. Any information provided by the client or about the
project should only be used and imparted for its expressed use. This means it
could be shared as necessary among the project team, or as part of a planning
or building control application, but its confidentiality must be clearly stated.
185
The practice should have office procedures and requirements for all their
staff (through their employment contracts) to ensure all data is appropriately
stored and handled, to maintain confidentiality. Appropriate procedures
must be in place and implemented and should be checked regularly. Any
breach or non‑compliance should be identified and acted upon promptly
(through remedial action), and reported to the client and, as necessary, to any
statutory body.
Observance of confidentiality and privacy also applies to a professional’s

interpersonal relationships with colleagues, in how they use and share
personal information.
Competence
Competence relates to the knowledge, skill and ability of a professional

EN
and, more importantly, how the professional applies them in the services
they provide. Clients rely on this competence, as they expect and trust their
architects and other professionals to properly deliver and effectively manage
their services, from project inception to project completion.
IM
Both the ARB and RIBA codes of professional conduct cover the practical
issues of competence from the business management of professional practice,
to standards of service delivery and maintaining up-to-date knowledge.
EC
Competence has recently been expanded to include issues of environmental

sustainability, community responsibility, respecting heritage assets and health
and safety.
SP
Competence is never static – it is an evolving standard. The knowledge and

skills, working practices and technology necessary to fulfil your professional
obligations are constantly developing and changing, as are the legal context,
regulatory requirements and expectations. Both the ARB and the RIBA require
all their registrants and members to maintain their competence (keep it up to
date) by regularly undertaking systematic continuing professional development
(CPD). These include new RIBA mandatory competencies for health and life
safety, climate literacy, research and learning, ethics and social purpose.
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It is up to each individual professional to undertake their own CPD, tailored

to cover the relevant current knowledge and skills they need to do their job
properly. The RIBA requires all chartered members to complete a minimum of
35 hours of CPD each year, where at least 50% is structured learning and at
least 20% relates directly to the RIBA’s core curriculum.
Practices can help to facilitate and provide CPD for their staff, which is a
specific requirement for Chartered Practices and is included in ARB and
RIBA guidelines. The RIBA provides CPD programmes and CPD recording
186
services via the RIBA Academy,6 which the ARB relies on for evidence of
maintaining competence. Nevertheless, it still a personal responsibility of
every professional architect to maintain their competencies through planned
and recorded CPD, and a wide array of CPD providers, courses, workshops and
publications are available. Evidence of CPD is nearly always asked for by the
ARB and the RIBA when investigating any professional conduct complaint.
Working diligently
The ARB and RIBA codes require work to be carried out conscientiously and
without undue delay. Unexpected problems and changes may cause delays or
require work to be redone. Errors or omissions may be discovered and need
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to be rectified. All of these may affect the programme, cost and quality of a
project. It is essential that you keep the client informed, in writing, about these
issues, their likely impact on the project and your proposed actions to deal
EN
with them. Despite all your efforts, mistakes and adverse consequences may
still occur. If you have, and can prove you have, taken appropriate actions to
overcome them and acted professionally, this will not be seen as a disciplinary
matter or due to professional misconduct.
IM
You are expected to have appropriate arrangements in place to enable your
professional work to be kept going should your practice suffer bankruptcy,
EC
or in the event of your or a key colleague’s incapacity, long-term absence or,

even, death. Every practice should have some form of crisis management or
disaster recovery plan and should carry out succession planning. If you are a
sole practitioner or run a single-principal or small practice, you should have
an agreement in place with a nominated practice or practitioner, so that they
SP
would take on your workload in case of such a catastrophe. This can be a

reciprocal arrangement, include provisions for your dependants, and even be a
regular collaboration agreement.
Communication
Many problematic issues can arise from a misunderstanding or a lack of

communication between parties. These are common causes of professional
conduct complaints. Good communication with all the parties involved in a
project, particularly the client, is crucial to being a competent professional.
As part of their qualification criteria and continuing CPD, all architects are
expected to have and use effective communication skills, to be able to
discharge their professional responsibilities.
Implementing good communication, in a proactive and systematic way, can

prevent and significantly reduce the risk of disputes and complaints arising.
187
Every practice should have a communication plan, tailored and applied to each
project. This can include regular client, design team and site meetings, with
key information and decisions recorded in writing, circulated to all relevant
parties, and monitored for follow-up actions and progress.
Managing your business
The most prevalent areas of client complaint relate to business management

and service delivery issues. Half of the professional conduct cases considered
by ARB’s Professional Conduct Committee (PCC) between 2018 and 2020
related to a breach of the ARB Code’s Standard 4: ‘Competent management of
your business’.
ARB Standards 4.1 and 4.2 require the systems, resources, monitoring and
supervision you have in place to be appropriate and ensure a good service to
clients throughout the life of each project.
You are expected to be competent to carry out the professional work you
EN
undertake to do. If you engage others to do that work they should also be
IM
competent and adequately supervised, which includes having the technical
resources and knowledge required to undertake and deliver the agreed project.
If you employ staff, you must make sure they are suitably qualified and are
EC
properly supervised and managed. A complaint to the ARB or the RIBA may
initially be about a member of staff who is not ARB registered or a RIBA
member, but this is not beyond the ARB’s or RIBA’s control. If an ARB/RIBA
architect was responsible for the member of staff that failed to deliver a
SP
competent service, or the project they were working on, the architect could be
investigated by the ARB or the RIBA. The architect in control could be asked
to provide evidence of adequate supervision, and the management of the
practice could be investigated. It is therefore important to retain documents
related to supervisory and management procedures, such as internal notes
of supervisory meetings, employee appraisals, CPD records, correspondence
about the work, and sign-off procedures for drawings.
Criminal conviction
An architect who receives a criminal conviction of any kind must report it to the
ARB within 28 days and to the RIBA within 30 days. The ARB or RIBA will then
decide whether the offence is serious enough to warrant an investigation into
a breach of its professional code of conduct. If found guilty of a serious offence
that has a custodial sentence of 12 months or more (even if your sentence is
shorter), you would automatically be expelled from RIBA membership and the
ARB register.
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188
Appointment contracts
Most professional conduct complaints can be traced back to an inadequacy

or omission in the terms of engagement at the start of the project. It is a
requirement of the ARB Architects Code and RIBA Code of Practice to have a
written appointment agreement covering all the key issues – such as scope
of services, responsibilities and fees – in place before any architectural
work is commenced. This is regardless of the scale of the project or extent of
the services.
Contractual terms must also be updated if the brief or instructions change

during the project. Failure to do this is an obvious breach of the professional
conduct codes and could incur a hefty sanction. It is often difficult to know
the scope of the project or your services and to agree your terms with the
client at the very start of any project. In these cases there should, at the very
EN
least, be some form of written agreement to commence the services, with the
intention to complete a more comprehensive appointment agreement as soon
as it is possible.
IM
Professional conduct complaints
Anyone can make a complaint to the ARB or the RIBA, or both, about an
EC
architect’s alleged transgression of the codes. Complaints are mostly received

from disgruntled clients, but they can also be from the public, building users,
co-professionals and even the ARB or RIBA itself.
SP
Complaints to the ARB are divided into two distinct categories, as laid out in
the Architects Act 1997:
• unacceptable professional conduct

• serious professional incompetence.
If a complaint regarding a professional is upheld, neither the client nor the

complainant will be given compensation. Professional conduct cases only
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examine the standard of professionalism of the professional in question,

investigating whether there has been a breach of the values expressed in the
relevant code of professional conduct. Damages to the complainant are not
assessed in the process, but if a professional conduct complaint is upheld,
it can be used as evidence to gain recompense for any loss or damages via
dispute resolution or the courts.
A complaint or dispute concerning a professional’s contractual performance

is very different from a complaint about their professional conduct or
competence. A complaint about contractual performance should preferably be
189
resolved by the practice’s own complaints procedure or one of the alternative

dispute resolution processes – or as a last resort by legal action.
Each case is judged on its facts, and there may be circumstances in which
unacceptable professional conduct or serious professional incompetence is
found even where there has been no clear breach of the express terms of the
code.
In the unlikely event that you have to deal with a professional conduct
complaint from the ARB or the RIBA, the best thing to do is to is to respond to it
positively and promptly. The key things you need to do are as follows:
• Cooperate with the ARB or the RIBA and follow the instructions you are
given and respond to any requests fully and compliantly.
• Accept your error or mistake or wrongdoing if the complaint is true,
and give an explanation.
EN
• If the complaint is untrue, refute it in a calm and professional manner
through the appropriate channels.
• Provide all the evidence, as requested, to substantiate your case.
IM
Being able to provide comprehensive records and a full response can
help demonstrate your professionalism.
• If there is a degree of fault on your part, you should apologise and
EC
express contrition, but this will depend on your professional indemnity

insurer’s advice.
• Explain how any legitimate mistake or wrongdoing came about, that it
was not intentional, what remedial actions you took (or can now take)
SP
and how you attempted to deal directly with the complaint and the
complainant.
• Show insight by demonstrating you have learnt how avoid a repetition of
the error in the future.
• Turn up in person to any hearing panel or professional conduct committee
and be open to and cooperative in their interrogations.
A proactive and constructive approach will help to mitigate and temper any
sanctions that the ARB or the RIBA decides are due.
Sanctions
The purpose of professional conduct sanctions is to protect members of
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the public and to uphold the proper standards of conduct and competence
of the profession. Sanctions are not imposed to provide recompense to
the client or punishment to the professional, but they may have a punitive
effect.
190
PRACTICE INSIGHTS
View from the RIBA

By Carys Reynolds, RIBA’s Head of Professional Standards
The RIBA receives around 40 to 45 new professional conduct
complaints each year. The vast majority of these complaints come from
clients, although we do receive complaints from co-professionals and
members of the general public.
Many of the complaints received are avoidable and often involve
absent or inadequate written terms of engagement and/or poor
communication between architect and client. Very few of the
complaints dealt with by the RIBA are to do with technical professional
competency as an architect. Our members on the whole have strong
technical skills; however, failures to have accurate and comprehensive
EN
written contracts in place are fairly common, as are failures to keep
the client informed and failures to appropriately deal with client
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complaints.
IM
In recent years we have also begun to see a rise in complaints
concerning inappropriate publicly expressed views and opinions of
RIBA members, particularly on social media platforms. While members
may believe that their personal views, even publicly expressed, have
EC
nothing to do with their professional status, they should remember

that the duties and responsibilities of a professional do extend beyond
the strict boundaries of their professional life – all professionals
have a duty, including in their personal life, to avoid acting in
SP
ways which may bring their profession into disrepute, including by

making inappropriate comments on social media or by transgressing
the law.
The RIBA Codes are intended to be tools to support best practice. They
are instruments to hold members to account, but we hope that they are
referred to daily and relied on by members to ensure they are practising
in line with high standards. Going forward, the Codes will be examined
and reviewed every two years to ensure they remain fit for purpose in a
fast-changing industry.
Sanctions depend on the degree of transgression, its impact, any remedial

actions, the quality of communication between the parties and the previous
record of the professional. If it was a one-off mistake, or a matter caused by
a failing of the professional’s employer or exacerbated by the actions of the
complainant, these issues will be taken into consideration in assessing the
sanction.
191
The ARB and the RIBA have different purposes, codes, disciplinary processes
and forms of sanction. The primary duty of the ARB is to protect the interests of
consumers, by regulating those who can use the title ‘architect’ in the UK. The
primary purpose of the RIBA, as a professional body rather than a regulator,
is to promote architecture and ensure society can rely on RIBA-qualified
architects to act professionally and competently.
The Architects Act 1997 enables the ARB, as a statutory regulator, to reprimand
(privately or publicly), fine, suspend or expel (known as ‘erasure’) an architect
from the register. As a professional body, the RIBA can privately caution,
publicly reprimand, suspend or expel an RIBA member.
The ARB only has jurisdiction for architects practising in the UK. Its role is to
maintain a register of people qualified to use the title ‘architect’ (including
recognised qualifications of EU architects). It also sets the educational
standards for professional practice, prosecutes unregistered people who
EN
illegally use the title ‘architect’, and can discipline registered architects found
guilty of unprofessional conduct or serious professional incompetence or who
have received a criminal conviction.
Prevalence of complaints
IM
There are relatively few professional conduct complaints about architects.
Most of these are from individual consumers and novice clients for residential
EC
projects, as commercial and experienced clients tend to use dispute resolution

or litigation to get compensation. On average, each year 50 valid complaints
are made to the ARB and 40 to the RIBA (Figure 9.3). Over 90% of these are
upheld and about 50% are related to competence. This affects about 1 in 2,500
SP
architects or 0.04% of the profession, which is a lower ratio than for other UK
professions, such as solicitors and general practice doctors.
The ARB also handles about 750 investigations each year into the misuse
of the title ‘architect’ by those not on the ARB register. This results in about
20 prosecution a year for title misuse.
It is an encouraging statistic that only 1 in 2,500 UK architects are found

guilty of professional misconduct each year. Although your chances of being
subjected to professional conduct investigations are very low, it is still best to
avoid it happening by being conscientiously professional and well prepared for
any complaints, with documentary evidence of your integrity and competence.
The most obvious things that you can do to head off any formal complaints
about your professionalism are to be close to your clients and aware of their
feelings about your services, and to keep an eye out for any emerging problems
and deal promptly with them as they arise.
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192
2019
2018 Expulsion
2017
Suspension
Public
2017: reprimand
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∙ 16 hearings
∙ 37 new complaints
∙ 28 cases closed Private caution
2018:
∙ 7 hearings
∙ 43 new complaints ARB sanction
∙ 65 cases closed sufficient
2019:
∙ 10 hearings
∙ 41 new complaints
∙ 30 cases closed
Dismissed
EN
0 1 2 3 4 5
IM
Figure 9.3: RIBA professional conduct cases and their outcomes
EC
PRACTICE INSIGHTS
Typical professional conduct complaints to the RIBA

SP
By Tzena James, FRIBA, member of RIBA Standards Committee

All complaints are cited as breaches of the relevant Principle
(P1/P2/P3) of the RIBA’s Code of Professional Conduct (CPC).
Here is a list of the most common complaints:
• The architect failed to set out adequate terms of engagement
properly in writing (CPC/P2).
• The architect did not carry out work in accordance with the
terms of engagement (CPC/P2).
• The architect did not deal with the complaint and the dispute
appropriately (CPC/P3).
• The client was not kept informed by the architect during
the progress of the project and there was a general lack of
communication between the architect and the client (CPC/P2).
193
• The architect took far longer than originally programmed from

the initial meeting to submission of the scheme for full planning
permission (CPC/P2).
• The architect did not quote a fee for the design work at the
beginning of the project (CPC/P2).
• The architect subcontracted CAD drawings to another architect
and a virtual artist without the client’s knowledge.
• The full planning permission set out conditions which the
architect did not discuss with the client (CPC/P2).
• The architect accepted a commission to work on a project,
whereby the previous appointment had not been properly
determined (outstanding fee dispute existing) and there were
EN
outstanding contractual matters with the previous architect.
The architect used information prepared by the previous
architect, without checking, for which the client was withheld a
licence (CPC/P3).
IM
• The architect submitted a planning application to the planning
department that was refused on the grounds that it did not meet
the local authority’s guidelines and statutory requirements
EC
(CPC/P2).
• The architect did not conduct any pre-submission research with
the neighbourhood and the planning authority (CPC/P2).
• The architect did not take due care, attention and time to
SP
prepare a report with regard to a building dispute for which they

were engaged (CPC/P2).
• The architect, a RIBA Chartered Practice, did not pay for work
carried out by a student, then treated and dismissed the student
unfairly (CPC/P3).
• Copyright dispute over the ownership, or extent of usage, of the
information produced by the architect (CPC/P3).
Professional conduct complaints procedures

The ARB and the RIBA work in liaison with each other in dealing with
professional conduct complaints against their joint members, both following
similar three-stage processes that differ only in their detailed procedures.
The first stage is a review by the professional conduct administrators of the
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194
complaint to assess if it is an eligible potential breach of their codes. Often the

initial enquiry or complaint relates to a concern or misunderstanding of the
client that is not covered by the codes. If this issue is not eligible, the client
and the architect or practice concerned are encouraged to work it out together
or are referred to a dispute resolution service.
When an eligible complaint is confirmed, the architect is informed and invited

to respond, with their defence evidence, to the allegations. Subsequently,
the second investigation or appraisal stage starts with an investigation of the
complaint, based on the information submitted by the complainant and the
architect. The ARB does this stage with a three-person investigation panel,
consisting of a registered architect and two lay persons, while the RIBA uses
a three-person appraisal team, consisting of two RIBA members and a lay
person. Panel members are selected from lists of experienced assessors kept
by the ARB and the RIBA.
EN
The investigation or assessment panel can ask for additional information
and then either dismiss the case, issue a private caution or refer a potential
significant breach of the code to a hearing panel. The professional conduct
administrators then prepare a formal charge, which the architect is invited to
IM
respond to in writing, and the complainant is invited to submit any additional
information. The response is referred to a three-person hearing panel for
consideration and decision.
EC
All parties, including the complainant, with their legal advisers are invited
to attend a hearing and can call witnesses to give evidence to the hearing
panel. An ARB hearing panel consists of a registered architect and two lay
members, one of whom is legally qualified. A RIBA hearing panel similarly
SP
consists of a chartered architect and two lay people, but not necessarily
with any legal qualifications. Hearing panels are supported by a legal
adviser and staff from the professional standards team. The hearing
panel can question the parties and the witnesses and ask for additional
information before making their decision. A majority decision is made on
the basis of the balance of probabilities. The panel can decide to either
dismiss the case, reprimand (privately or publicly) or fine (ARB only),
or suspend or erase/expel the architect from the ARB register or RIBA
membership. The ARB and the RIBA place public notifications of any public
sanctions on their websites for a prescribed length of time, depending on
the severity of the sanction.
There are appeal processes (about the decision process, not the decision)
for the architect and the complainant if either feels the process has not
been properly conducted. These are described in detail on the ARB and RIBA
websites, along with their code and useful guidance.
195
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Conclusion
Professionalism is defined by ethical behaviour and social purpose. This

is described, maintained and enforced by professional codes of conduct.
Acting with integrity and competence is an essential aspect of professionalism
– it enables public trust and is an asset, not a burden, to professionals. It is
the best way of achieving a successful, trouble-free and fulfilling professional
career.
Endnotes
1 RIBA. The Way Ahead (London: 2020, RIBA). Available at: www.architecture.com/-/media/
GatherContent/Social-Value-Toolkit-for-Architecture/Additional-Documents/The-Way-Ahead-PDF.pdf
2
3
practice/ [accessed 23 August 2021]. EN
ARB. The Architects Code: Standards of Professional Conduct and Practice (London: ARB, 2017).
RIBA. RIBA Code of Professional Conduct (London: RIBA, 2021). Available at: www.architecture.
com/knowledge-and-resources/resources-landing-page/code-of-professional-conduct
IM
4 RIBA. RIBA Code of Practice (London: RIBA, 2021). Available at: www.architecture.com/knowledge-
and-resources/resources-landing-page/code-of-practice-for-chartered-practices [accessed
23 August 2021].
5 Construction Industry Council. Novation Agreement – ab initio (London: CIC, 2018).
EC
6 https://riba-academy.architecture.com [accessed 23 August 2021].

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196
Index
INDEX
additional work 58–59, 109 complaints 36–37, 189–195

adjudication 86 confidentiality 185–186
advertising 184 conflicts of interest 37, 55, 185
aftercare 112, 113, 151 consents 81
appointment contracts 26–34, 79–80 consequential loss liability 31
compatibility 99 conservation areas 81
insurance issues 160, 164 Construction (Design and Management) (CDM)
other consultants’ 51, 99 Regulations 2015 82, 106
requirement for 189 construction contractors 105
termination 59 construction contracts 103–105, 107–108
updating 189 Construction Industry Council (CIC)
see also Professional Services Contract (RIBA) novation agreement 55
arbitration 86 Scope of Services 99
‘architect’ (title) 5, 178, 184 construction information 104–105, 107
architect’s instructions 104, 108 construction programme 106–107
Architects Registration Board (ARB) 5, 7 constructive dismissal 141
Architects Code 26, 154, 178, 180–181, 189 consumer clients 93, 104, 165
asbestos 163 consumer protection 6, 80, 93
assignment (transfer) 31 continuing professional development (CPD) 7–8,
186–187
bankruptcy 115, 187 contract administration 104, 106–107, 108, 109,
bespoke appointment contracts 29–31 110, 111, 113
BIM/CAD model ownership 99
break clauses 59
budget (project) 23, 93, 96
building insurance 114
building performance 45, 113, 150–151
EN contract documentation 104–105
contractors, recommending 105
contracts of appointment see appointment
contracts
copyright ownership 30, 33, 76–77
Building Safety Bill 82, 159–160, 164 core competencies 8, 186
IM
building surveys 97 cost calculations 47–49
building warranties 79 cost constraints see budget (project)
business content insurance 173 cost control 98, 108
business interruption insurance 173 criminal charges 80
business management 188 criminal conviction 188
EC
crisis management 187

cash flow 52, 53, 60–61, 62 cultural intelligence 131–133
certificates (payment) 108–109, 112–113 cyber crime 173
change management 58–59, 91–92, 105, 109,
187, 189 data protection 185–186
change of client 55 defect liability 74, 79, 164
SP
‘chartered architect’ 178 defective work 108, 111, 112

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client, change of 55 defects liability period (DLP) 79, 111–112

client brief 91–97 delayed projects 54, 107, 111
client checks 22–23, 24, 52, 97 see also extension of time
client communication 34–35, 187–188 design and build contracts 55, 74, 102, 105, 185
client complaints 36–37, 189–195 design changes 58–59, 109
client feedback 16–18, 35, 78, 113–114 see also change management
client perspective 15–25 design coordination 105
client relationship 24–25 design development 100
client representative 98 design management 100–101
client satisfaction 17–18 design responsibility 99
client selection 20–24 see also defect liability
clients’ money 184 design team 98–99
clients’ wish lists 18–20 directors’ insurance 174
Climate Change Challenge 149 disaster recovery 187
codes of conduct 145–146, 177–187 disciplinary procedures 141
collaborative working 17, 18–19 dispute resolution 51, 85–86
collateral warranties 30, 71, 75–76, 79 diversity issues 129–130
commission 185 documentation 104–105, 169
commissioning 112 see also record keeping
communication skills 125–127, 187–188 due diligence 22–23, 24, 52, 97
communication with clients 34–35, 187–188 duty of care 30, 70–72, 154
community benefit 148–149 duty to inform 36
Community Infrastructure Levy 64
companies 66 early completion 111
competence 186–187 early start 107–108
197
economic loss liability 31 key attributes of professionals 11–12

emotional intelligence 118–119 key performance indicators 59–61
employee ownership trust (EOT) 66 knowledge and skills 11–12, 186–187
employers’ liability insurance 173
employing people 128, 135–142, 188 late completion 111
employment contracts 77–78, 138–140 late payments 54, 61, 115
employment law 136–137 latent defects 79, 171
employment termination 140 leadership 17, 18, 122–124
employment tribunals 142 legal jurisdiction 31
environmental challenge 149–150 legal matters 69–87
equipment insurance 173 legal obligations 71
equity issues 129 see also duty of care; fitness for purpose
ethical practice 146–148, 151 legal protection 174
expenses recovery 49 legislation 80
extension of time 110 consumer protection 6, 93
employment 136–137
fee agreement 50–51, 53–54 health and safety 82, 106
fee basis 42–44 planning 80–81
fee bidding 49–50 letters of intent 31–32, 107, 108
fee calculation 46–50 liabilities 30–31, 65–66
fee disputes 51 see also defect liability
fee invoicing schedule 52 liability periods 31
fee levels 39–41
fee payments 22–23, 25–26, 52–54, 97–98
late 54, 61, 115
schedule 98, 108
feedback 16–17, 35, 78, 113–114
EN
licences 76
limited liability companies 66
limited liability partnerships (LLP) 66
liquidated and ascertained damages (LADs)
111–112
final account 112 listed buildings 81
IM
final payment certificate 112–113
financial incentives 184 making good defects 112, 161
financial management 16, 49, 52–53, 55–56, 184 marketing 184
see also cost control; payment systems mediation 85
financial performance indicators 59–61 medical insurance 174
EC
financial risk 56–57 metrics 45, 91, 113, 150

fire safety 160, 164
fitness for purpose 30, 74–75 negligence claims 69–70, 74–75, 78–79, 80
forms of practice 65–66 net zero carbon 149
future of professionalism 7–11 novation 31, 55, 185
SP
grants 64–65 occupation of building 112, 113

officers’ insurance 174
handover 112 off-site components and materials 109
hazards liabilities 31 operational feedback 113–114
health and safety 81, 106 overseas work 170–171
Health and Safety at Work etc. Act 1974 82 owner’s protective professional indemnity (OPPI) --`,,,,,,,``,`,`,,`,```,,````,,,-`-`,,`,,`,`,,`---
historical perspective 2–7, 42 158

Housing Grants, Construction and Regeneration
Act (HGCRA) 1996 80 part possession 114
partnerships 65
Influence Model of Change 133–135 part-time working 40
information supply schedule 105, 107 payment certificates 108, 111, 112–113
insolvency 172 payment schedule 98, 108
inspections 109–110, 157 see also fee payments
instructions to the contractor 104, 108 payment systems 53
insurance people skills 117–118
claims 69–70, 168–169 performance guarantees 72
other types 172–174 performance measures
protection schemes 158–159 building 45, 113, 150–151
risk register 165–166 financial 59–61
interest on late payments 54 project 91
interim payment certificates 108–109 performance warranties 30, 74–75
international work 170–171 personal accident insurance 174
in-use stage 113–114, 150–151 personal injury claims 79, 171
invoicing 52, 53, 54 personality types 119–120
see also payment schedule planning approval 55, 80
198
Index
planning legislation 80–81 Code of Practice 182–183

post-occupancy evaluation 114, 150–151 Code of Professional Conduct 26, 145–146,
practical completion 111 181–182
practice closure 172 RIBA for Clients initiative 15–18
practice management 188 RIBA Plan of Work 90–114
presentation skills 125–127 What Clients Think of Architects (2016) 17
Principal Designer 106 see also Professional Services Contract (RIBA)
privacy 185–186 run-off cover 171–172
procurement route 102–103
professional dilemmas 151 salaries 39–41
professional indemnity insurance (PII) 31, schedule of services 50, 99
154–157, 159–165 severance fee 55
claims 69–70, 168–170 site constraints 95, 97
international work 170–171 site inspections 109–110, 157
nets and caps 164–165 site notes, photos and videos 110
run-off cover 171–172 site surveys 97
starting or renewing 166–168 site visits 109–110
professional integrity 183–186 social inclusion 130, 131–135
professional negligence 66, 71, 75 social responsibility 145
professional organisation 4–6 social value 148–149
Professional Services Contract (RIBA) 27–29 Soft Landings 112
copyright ownership 76 speculative work 56–58
duty of care 71–72
late payments 54
other consultants 51
schedule of services 99
subconsultant version 99
EN standard appointment contracts 27–29
statutory obligations 80
subconsultants 30–31, 36
appointment contracts 51, 99
succession planning 187
professional skills 11–12, 186–187 surveys (site) 97
IM
profit margin 60 suspension of services 59, 114–115
programme plan 98, 106–107 sustainability issues 149–150
project brief 91–97
project budget 23, 93, 96 taxation 63–65
project delays 54, 107, 111 teamwork 120
EC
see also extension of time technical design 103–106

project execution plan (PEP) 92 tender/negotiation documentation 104
project funding 97–98 termination of services 59, 114–115
project implementation plan (PIP) 92 terrorism 173
project information 97 third party rights 79
project management 89–114, 100–101 third party warranties 75–76
SP
project meetings 35, 93, 188 time constraints 95–96

project outcomes 45, 94–95 time costs 47–48
see also building performance time of the essence 111
project performance 91 tree protection 81
project plans 90–114
project programme 98, 106–107 Unfair Contract Terms Act 1977 80
project quality plan (PQP) 92 unfair dismissal 140–141
project risks 82–84 unsafe structures 82
project roles and relationships 99 urgent works 81
project team 98–99 use monitoring 114
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project timescale 95–96 USP (unique selling proposition) 50

project viability 97, 98
project-based insurance 157–158 valuations 108–109
public interest 145 value added fees 45–46
public liability insurance 172–173 value engineering 101–102
variations 58–59, 109
record keeping 35, 49, 55–56, 110, 188 VAT 50, 64
redundancy 142
registration 5 warranties 72
request for information (RFI) schedule 105, 107 building 74, 79
Responsibility Matrix 99 third party 75–76
risk management 82–84 see also collateral warranties
risk registers 83–84, 165–166 wellbeing 127–128
Royal Institute of British Architects (RIBA) 4, 6, 7 wrongful dismissal 141
Climate Change Challenge 149
199
EN
IM
EC
SP
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Good Practice Guide
Good Practice Guide

Professionalism
Professionalism is not automatic with qualification. It is decided by the manner
in which you carry out your professional life – the conduct and qualities that
you bring to your role. In architecture, it is founded on the principles of honesty,
integrity and competence, and a concern for the environment and others.
As a trusted expert, it is essential that you gain respect for your skills and
at Work
knowledge while maintaining veracity and transparency in your relationships
and dealings with clients, end users, design and construction professionals and
Richard Brindley
Professionalism at Work
the wider public.
With a focus on professional judgement, this book is a personal guide on how to

be a self-aware and successful practitioner, aspiring to best practice.
It will give you the confidence to create meaningful industry connections and
handle contractual disputes, insurance and negligence claims while maintaining
a high standard of conduct.
EN
IM
By paying attention to business planning, financial processes, good
management and effective communication, it will help you to protect your
EC
practice’s reputation and increase profitability and cashflow. Ultimately, it will

enable you to not only avoid professional pitfalls but to benefit from positive
working relationships.
SP
Richard Brindley is a chartered architect with many years’ experience in small

and large practices and was active in developing the profession while Director
of Practice and then Executive Director of Professional Services at the RIBA
from 2003 to 2015. Richard now runs anindependent consultancy company,
Richard Brindley
providing strategic management advice and project delivery support to
professional membership and construction industry bodies, as well as being a
university lecturer and course director for RIBA Part 3 courses.
RIBABooks.com
ISBN 978-1-85946-958-3
9 781859 469583
--`,,,,,,,``,`,`,,`,```,,````,,,-`-`,,`,,`,`,,`---

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Good Practice Guide

Good Practice Guide

With a focus on professional judgement, this book is a personal guide on how to

GPG-PaW_COVER_PRESS.indd 1-3 28/10/2021 17:13

Copyright RIBA Publishing

RIBA Publishing, 2022 Commissioning Editor: Alex White

Copyright RIBA Publishing

About the author V

2 Professionalism at work with clients 15

Professionalism at work with the law

5 Professionalism at work with projects 89

7 Professionalism at work with society 145

8 Professionalism at work with insurance 153

9 Professionalism at work with professional conduct 177

Copyright RIBA Publishing

Richard Brindley is a chartered independent consultancy company,

Copyright RIBA Publishing

• Simon Foxell RIBA, The • Alex White, commissioning

Copyright RIBA Publishing

Doing the right thing, not just doing things right

personal ethical values to uphold your professional integrity.

Professionalism is not difficult, nor is it expensive. But it is worth a lot

society and the environment.

• Doing work that is paid.

• Completing specific training and qualifications.

Copyright RIBA Publishing

Professionalism is demonstrated by more than just qualifications, knowledge

Each chapter of this guide focuses on a different set of professional issues,

To appreciate the importance and current drivers of professionalism for the

History of the professions and professionalism

From Greco-Roman to medieval times, there developed elaborate professional

The UK was at the forefront of the Industrial Revolution, with the

chartered professional bodies and professional codes, ethics and regulation

The invention of steam turbines, combustion engines, textile looms, steel

Figure 1.1: Office of architects Bodley and Garner, London, 1883

the general advancement of Civil Architecture, and for promoting and

which can be simply summarised as the ‘advancement of architecture’.2

Figure 1.2: RIBA headquarters, 66 Portland Place, London

The creation of professional codes, qualifications, standard terms for

Peculiarly, it is only the use of the title ‘architect’ that is statutorily

An infrastructure of status, privilege and protectionism gradually grew

Rise of consumerism to balance professionalism

against the laity’, when commenting on the methods used by professions to

The future of professionalism

Ownership of specialist expert knowledge was always at the centre of any

knowledge, being unable to compete with internet-based global knowledge

FURTHER READING: FUTURE OF PROFESSIONALISM FOR ARCHITECTS

A Theory of General Ethics: Human relationships, nature, and the built

The Future of the Professions by Richard Susskind and Daniel Susskind

professions edited by Simon Foxell (London: Building Futures, 2003)

Future of professions in the UK built environment

Analysing where professional skills are likely to contribute competitive

• The ability to identify opportunities and then to transform places

effectively. This role is only likely to grow.

been a key, if relatively unspoken, part of their value. It will come

• The ability to provide social value, whether in the form of

New expectations of professionalism

The relevance and definition of professionalism is now coalescing around