Architects' overarching duties

Objective of chapter:

• To explore architects’ “overarching duties”, which derive from their professional status.

• Understanding and acceptance of the overarching duties owed by architects to their clients, the public, and the profession underpins the development of a strong compliance culture.

• This chapter outlines and discusses the following simplified suite of overarching duties that architects and architectural firms owe to their clients, the public and the profession:
  • Duty of care: Architects must exercise reasonable care and diligence in the performance of their duties.
  • Duty of competence: Architects are required to maintain adequate knowledge, skill, and training to perform their work to the relevant standard of care.
  • Duty of honesty and integrity: Architects must act truthfully, transparently, and ethically in all professional dealings.
  • Duty to comply with all applicable laws: Architects must adhere to all legal and regulatory requirements relevant to their work, including the NCC, planning laws, health and safety regulations, and environmental laws.
  • Duty of confidentiality: Architects must protect confidential information received from clients and other parties. Disclosure is only permissible with consent, or when required by law or necessary to prevent harm.
  • Duty to act impartially and avoid conflicts of interest: Architects must provide objective advice and avoid situations where personal or financial interests could compromise their professional judgement.
  • Duty to keep records and communicate effectively: Architects must maintain accurate and complete records of decisions, communications, and project developments. Clear, timely, and effective communication with clients, consultants, contractors, and authorities is essential to manage risk and maintain trust.
• These overarching duties reflect the core values and responsibilities of members of the architecture profession.

• The overarching duties owed by architects to their clients, the public, and the profession help architects navigate their complex responsibilities while serving clients, the public, and the broader profession with integrity and professionalism.
• By understanding and embracing the overarching duties, architects lay the foundation for a strong compliance culture that protects clients, users and the communities they serve from harm.
• Compliance with these overarching duties also reinforces confidence and trust in the profession and contributes to safe, high-quality built outcomes.

Small practice case study: Extension of a residential home

Scenario:

A small architectural firm comprising an architect director, another junior architect and a recent architectural graduate who was not yet registered was commissioned to design and oversee a rear extension to a suburban family home.

The junior architect was tasked with taking the lead for the project, but lacked experience in coordinating the development of the architectural design with structural design services provided by an engineer.

Once the junior architect had developed the design, the graduate was asked to draft technical drawings. These drawings were not thoroughly reviewed by the junior architect and were not reviewed at all by the architect director.

The builder for the project used the technical drawings prepared by the graduate. During construction, the builder identified a major design co-ordination error in the technical drawings that could have compromised the extension had it been built as drawn.

The error may have caused significant cost and time issues and meant that the design and technical drawings needed to be revised, which led to significant delays to the project deadlines.

Main aspects that could give rise to a breach of the duty of care:

• The design work, including the technical drawings, failed to meet the technical standards expected of a reasonably competent architect.
• The junior architect and graduate undertook design work beyond their competence.
• The junior architect and graduate were inadequately supervised.

Key initiatives to avoid a breach of the duty of care in this scenario:

• Skills assessment: Regularly assess staff skills and assign work accordingly.
• Scope assessment: Carefully review the scope of work before work commences and identify when coordination with other consultants may be needed.
• Training: Encourage staff to undertake CPD that is focused on building their technical competencies.
• Supervision protocols: Establish a protocol to ensure that appropriately experienced architects oversee the work of recent graduates and other junior architects, as well as other junior staff.
• Review procedures: Introduce a checklist and, where possible, a process for the review of all work before finalisation and issuance to the client.

Large practice case study: Multi-storey commercial development

Scenario:

A large architectural firm was engaged to design a 25-storey commercial office tower in a metropolitan CBD. The firm was initially appointed by the developer client under a full design contract. However, the appointment was later novated to the head contractor under a Design and Construct (D&C) procurement model.

Following novation, the head contractor directed the architectural firm to make certain modifications to the designs, including reducing ceiling heights and modifying the space available for mechanical plant.

The architectural firm was concerned about the implications of these modifications but did not escalate or document their concerns out of fear that this would strain their relationship with the contractor and risk future work. Instead, the architectural firm complied with these instructions by adjusting the design and issuing technical drawings without sufficient coordination with other relevant consultants, including structural, mechanical and fire engineers.

Some time after completion of the project, tenants reported significant HVAC performance issues. The building regulator eventually determined the issues were due to restricted plant space and insufficient duct clearances and required remedial works, resulting in major costs to the contractor and significant disruption for tenants.

Main aspects that could give rise to a breach of the duty of care:

• Failure to meet the standard of a reasonably competent architect by compromising spatial requirements for the mechanical plant.
• Inadequate coordination with other consultants.
• Lack of proper documentation and communication about risks arising from changes required by the head contractor.

Key initiatives to avoid a breach of the duty of care in this scenario:

• Leadership: Encourage project leaders to prioritise compliance and quality as project imperatives.
• Risk register: Establish a register that records all design risks, including mechanisms to control those risks (if any), and implications if the risks are not effectively managed.
• Roles and responsibilities: Implement a process to ensure that roles and responsibilities for project delivery are clear among all relevant project participants.
• Design coordination protocols: Establish a protocol to ensure that all relevant consultants are consulted about interfaces with design services.
• Training: Train staff to identify, raise and record concerns that could compromise compliance with professional standards obligations.
• Assurance: Establish mechanisms to assess and assure quality and compliance at key stages during a project.

Small practice case study: Renovation of a residential heritage home

Scenario:

A small architectural firm was engaged by a private client to renovate a Victorian-era heritage-listed terrace house. The brief was to modernise the interior, improve thermal performance, and add a rear extension and attic-level studio. The client was keen to preserve the historical facade while maximising usable space.

The lead architect, although experienced in residential work, had limited prior experience with regulatory requirements applicable to heritage-listed buildings. Relying on general residential design knowledge, the architect proceeded to prepare the design without engaging a heritage consultant or seeking early guidance from the local council about applicable planning requirements.

After some consideration, the local council rejected the application for planning approval submitted by the architectural firm. Among other things, the council found that the planning application failed to comply with applicable heritage requirements.

This delayed the project by over one year. During this time, costly amendments to the design and planning application were made to ensure compliance with the heritage requirements.

Main aspects that could give rise to a breach of the duty of competence:

• Lack of expertise in a specialist area and failure to recognise limits of own competence.
• Failure to research applicable laws and standards, including local planning controls and heritage overlays.
• Neglecting to seek specialist input or consult relevant authorities, resulting in non-compliant design work.

Key initiatives to avoid a breach of the duty of competence in this scenario:

• Skills assessment: Require architects to assess their familiarity with the regulatory and technical aspects of each new project type and identify knowledge gaps.
• Training: Encourage staff to undertake CPD in specialist areas in which work may be undertaken and, where appropriate, staff should obtain relevant training for the provision of specialist services.
• Client communication: Establish mechanisms to clearly communicate project risks and regulatory constraints to clients from the outset.
• Technical checklists: Establish checklists for specialist areas to ensure that the complexity associated with these areas is adequately accounted for in the design process.

Large practice case study: Design of childcare facilities

Scenario:

A large, well-established architectural firm with over 100 staff across multiple offices won a competitive bid to design 5 new childcare facilities in the outer suburbs for a private sector client.

The design of each facility had to be tailored to local demographic and physical conditions, as well as the National Quality Framework for the provision of childcare services and applicable land-use planning requirements. The client wanted all facilities to be completed within 24 months to meet urgent enrolment demands.

The architectural firm assigned a senior associate architect as project lead, who was supported by a design team. However, the design team did not include a specialist in childcare facilities or someone with knowledge of the National Quality Framework.

The design failed to fully account for requirements in the National Quality Framework regarding space and safety requirements, as well as accessibility for students with disabilities. These oversights were not detected until late in the design development phase, causing a costly redesign which damaged the firm's relationship with the client.

Main aspects that could give rise to a breach of the duty of competence:

• Lack of relevant sector-specific knowledge.
• Failure to recognise and address the limits of expertise.
• Inadequate stakeholder engagement to ensure that the client’s requirements were understood and adequately addressed.
• Failure to identify and comply with applicable law.

Key initiatives to avoid a breach of the duty of competence in this scenario:

• Skills assessment: Establish project teams based on relevant skills and experience, not just availability.
• Knowledge sharing: Develop mechanisms to encourage the internal sharing of knowledge and expertise, particularly in relation to specialist areas.
• Roles and responsibilities: Implement a process to ensure that roles and responsibilities for project delivery are clear among all relevant project participants.
• Training: Encourage sector-specific CPD training for staff working in relevant sectors and, where appropriate, staff should obtain training for the provision of relevant specialist services.
• Stakeholder engagement: Establish a framework to ensure effective engagement and collaboration with relevant stakeholders throughout the design process – particularly, the client and, where necessary and appropriate, regulatory bodies.

Small practice case study: Design for home extension

Scenario:

A small architectural firm was engaged to design a rear extension to a residential property.

The client, who was the home owner, had a clear vision of their requirements for the extension, but was unfamiliar with the applicable land-use planning requirements. The architect was intent on delivering this vision for the client.

To increase the likelihood of planning approval by the local council, the architect deliberately understated the extension’s actual height in the drawings submitted with the planning application and omitted key site details that would have shown its potential impact on a neighbour's daylight.

The deception was discovered after the neighbour raised concerns, leading to the refusal of the planning application by the local council.

Main aspects that could give rise to a breach of the duty of honesty and integrity:

• Deceptive conduct by submitting misleading documentation.
• Misrepresentation of material facts to gain an advantage.

Key initiatives to avoid a breach of the duty of honesty and integrity in this scenario:

• Client communication: Set realistic expectations with clients and provide honest assessments of options and outcomes.
• Training: Encourage ethics training as part of ongoing CPD.
• Review procedures: Implement a pre-submission integrity check for applications for regulatory approvals.

Large practice case study: Design of public library

Scenario:

A large architectural firm (Firm A) tendered for a high-profile public library project, which was part of the re-development of a busy urban precinct.

In order to strengthen their tender, Firm A included images of past completed work and listed key personnel with experience in public buildings.

One of the featured projects in Firm A’s tender had been designed by a different firm (Firm B). The staff member who was listed as lead for that project in Firm A’s tender had recently left Firm B to join Firm A. That staff member had not led the project while at Firm B and had only been indirectly involved in development of the design.

Firm B also submitted a tender for design of the public library and included the same featured project in their tender as well.

Through the tender process, both firms were questioned about the featured project by the client, leading to the disqualification of Firm A from the tender process.

Main aspects that could give rise to a breach of the duty of honesty and integrity:

• Misrepresentation by exaggerating project experience.

Key initiatives to avoid a breach of the duty of honesty and integrity in this scenario:

• Training: Ensure senior management lead by example and are trained in ethical decision-making.
• Tender protocols: Establish formal procedures to verify all claims made in tenders, including staff CVs and project credits.
• Credit policies: Develop clear internal guidelines for how past projects are credited and communicated to prospective clients.
• Transparency: Encourage open discussions within the firm about ethical dilemmas and reinforce the importance of professional integrity.

Small practice case study: Addition of second dwelling

Scenario:

A small architectural firm specialising in residential projects was engaged to design a second dwelling at the rear of a lot of land for the owner of the existing dwelling.

In preparing the design, the firm overlooked a recent amendment to the NCC regarding energy efficiency standards for residential buildings. As a consequence, the design for the second dwelling did not comply with these standards.

On this basis, the local council rejected the building permit application, causing delays and additional costs for the client.

Main aspects that could give rise to a breach of the duty to comply with all applicable laws:

• Failure to comply with the NCC.
• Failure to advise client about regulatory requirements.

Key compliance culture initiatives to avoid a breach of the duty to comply with all applicable laws in this scenario:

• Knowledge: Implement a structured process for monitoring or receiving updates about relevant regulatory changes.
• Training: Ensure staff receive timely training on NCC amendments.
• Review procedures: Establish a checklist for regulatory compliance in project workflows to ensure that all designs meet applicable technical requirements before submission for regulatory approval.
• Stakeholder engagement: Foster a culture of proactive engagement with regulatory bodies and industry forums to keep abreast of regulatory developments.

Large practice case study: Design of a new private hospital

Scenario:

A large architectural firm was engaged to design a new private hospital.

In an effort to meet extremely tight deadlines set by the client, the design team issued high-level design documentation for tender by builders before a full review of NCC compliance requirements had been completed.

During the subsequent review process by the firm, it was discovered that the design did not meet minimum standards in the NCC regarding fire egress. The errors were only discovered after the building tenders had closed.

Major re-design work was required to address the NCC non-compliance. In addition, the builders had to be asked to modify their tenders in light of the revised design. This increased costs for the client and eventually delayed the hospital’s opening by more than 6 months.

Main aspects that could give rise to a breach of the duty to comply with all applicable laws:

• Failure to comply with the NCC.
• Failure to advise client and other relevant stakeholders about applicable regulatory requirements.

Key compliance culture initiatives to avoid a breach of the duty to comply with all applicable laws in this scenario:

• Compliance reviews: Establish a team comprising trained compliance specialists responsible for verifying adherence to all applicable laws before finalising designs. If the expertise is not available in-house, a process to engage external consultants should be established.
• Transparency: Promote a culture of accountability where architects are encouraged to identify and disclose potential compliance risks early in the design process.
• Accountability: Implement a system to record roles and responsibilities for projects, including compliance responsibility.

Small practice case study: New home design for high-profile client

Scenario:

A sole practitioner was engaged to prepare the design of a new home for a high-profile client.

The sole practitioner had recently taken on an architectural graduate who was assisting with the project. The graduate had seen the client on television and was very excited to be working on a project involving such a famous person.

Without informing the owner of the firm, the graduate posted images of the concept design on social media and mentioned the client’s name without consent.

Shortly afterwards, the owner of the firm discovered what had happened. He immediately apologised to the client about the disclosure and told the client that steps had been taken to ensure that it would not happen again. However, the client, who valued privacy, was alarmed by the news and immediately terminated the design contract.

Main aspects that could give rise to a breach of the duty of confidentiality:

• Unauthorised disclosure of client information.

Key compliance culture initiatives to avoid a breach of the duty of confidentiality in this scenario:

• Policies: Implement clear policies about confidentiality, ensuring all staff understand the importance of safeguarding client information.
• Training: Regular attendance at CPD sessions on professional ethics and confidentiality obligations and ensure that all staff (including non-architects) are aware of confidentiality obligations.

Large practice case study: Design of a multi-storey commercial building

Scenario:

A large architectural firm was engaged to design a multi-storey commercial building for a corporate client.

A junior architect stored project files on a personal cloud storage account for convenience to enable work to be done over the weekend.

The personal account was later compromised in a data breach, exposing sensitive client information and proprietary design concepts and work. The junior architect was notified by email about the data breach from the cloud service provider but did not tell anyone at the firm.

Main aspects that could give rise to a breach of the duty of confidentiality:

• Inadequate security measures for storing confidential client data.
• Failure to enforce data protection protocols.

Key compliance culture initiatives to avoid a breach of the duty of confidentiality in this scenario:

• Policies: Establish confidentiality policy and conduct audits to ensure compliance.
• Security systems: Implement firm-wide secure storage solutions with restricted access to and use of client information and data.
• Training: Require confidentiality and cybersecurity CPD training for all employees.
• Incident reporting protocol: Introduce a protocol to report any disclosures of confidential information.

Small practice case study: Design of residential home

Scenario:

A small architectural firm was engaged to design a custom home for a client. The firm’s architect director was the lead for the project.

The architect had a close, personal connection with a builder (the “preferred builder”). The architect often recommended the preferred builder to clients and the preferred builder did the same for the architect.

The client wanted the project done quickly and asked the architect to recommend a builder who was able to get the work done within the required time-frame. The architect knew that the preferred builder was between projects so recommended the preferred builder to the client, stating that the builder would be best placed to meet the client’s timeframe. The architect did not consider or put forward any other builders and did not disclose the relationship with the preferred builder to the client.

The preferred builder was awarded the project. Even though the preferred builder completed the project within the client’s timeframe, there were some defects in the home that required repairs. The client was dismayed when they later discovered the architect’s personal connection to the builder.

Main aspects that could give rise to a breach of the duty to act impartially and avoid conflict of interest:

• Failure to disclose a personal connection with the builder.
• Impartiality and professional judgment compromised due to conflicted interests.

Key compliance culture initiatives to avoid a breach of the duty to act impartially and avoid conflict of interest in this scenario:

• Policies: Establish a policy requiring disclosure to clients and other relevant stakeholders of any personal or financial interest in proposed contractors or consultants.
• Procurement process: Implement a transparent process for selection of contractors or consultants, ensuring recommendations are based on objective criteria rather than personal relationships.
• Training: Encourage ongoing CPD training focused on ethical decision-making and transparency.

Large practice case study: Design for a mixed-use development

Scenario:

A large architectural firm was engaged to design a major mixed-use development which combined retail, housing, and public spaces.

The lead architect played a central role in the project, including advising the client on the procurement process to engage the builder.

Unbeknownst to the client, the lead architect was also a director and shareholder of a building company that submitted a tender for the project and was eventually awarded the building contract. However, the lead architect failed to disclose this financial interest to the client.

During the project, design changes were made by the architect at the request of the builder to cut costs at the expense of long-term building quality.

The conflict of interest was eventually exposed. The architectural firm was sacked from the project.

Main aspects that could give rise to a breach of the duty to act impartially and avoid conflict of interest:

• Failure to disclose a financial interest in a party involved in the project.
• Failure to act impartially by agreeing to design changes that were not clearly in the client’s best interest.

Key compliance culture initiatives to avoid a breach of the duty to act impartially and avoid conflict of interest in this scenario:

• Policy: Establish a clear policy on accepting directorships, shares, gifts or benefits from project stakeholders.
• Conflict of interest register: Require all senior staff to complete a conflict declaration at project inception, which should be independently reviewed.
• Governance: Develop a governance framework for projects to ensure ethical decision-making.
• Transparency: Promote a culture where disclosure of conflicts of interest is standard practice.

Small practice case study: Home renovation

Scenario:

A small architectural firm undertook the design of a substantial renovation and extension to a residential property.

During the course of the project, the architect and client verbally agreed to several design changes that added cost and time to the project. These changes were not formally documented. No updated drawings, cost estimates, or schedule adjustments were issued by the architect to the client to reflect the changes.

When a dispute later arose between the architect and the client about the final invoice and project delays, the client claimed they were never informed about the full implications of the design changes by the architect.

Main aspects that could give rise to a breach of the duty to keep records and communicate effectively:

• Failure to document agreements.
• Lack of clear communication regarding project changes.

Key compliance culture initiatives to avoid a breach of the duty to keep records and communicate effectively:

• Contracts: Use a standardised client-architect agreement to ensure that all key aspects of the arrangements between architect and client are documented.
• Records: Maintain detailed project records, including meeting minutes, design approvals and changes to project schedules and cost estimates.
• Client communication: Ensure regular client updates through structured reports, ensuring transparency in project progress and decisions.

Large practice case study: Design of a major transport hub

Scenario:

A large architectural firm was engaged for the design of a major public transport hub involving multiple government bodies and other stakeholder groups.

Throughout the design process, the lead architect failed to keep consistent records of stakeholder meetings and approvals.

Key decisions and changes were communicated informally, and several email threads with critical client directions about the design were lost due to poor record-keeping and version control.

Mid-way through construction, a dispute emerged between the architect and contractor about whether a specific design element had been approved. The lead architect could not establish a clear paper trail to clarify whether approval had occurred.

Main aspects that could give rise to a breach of a duty to keep records and communicate effectively:

• Poor documentation of decisions, approvals, and meeting outcomes.
• Inadequate communication protocols for a complex, multi-party project.
• Lack of a traceable records and inadequate version control.

Key compliance culture initiatives to avoid a breach of the duty to keep records and communicate effectively:

• Systems: Establish a project-wide record-keeping system to ensure that all project decisions are documented and accessible.
• Roles and responsibilities: Implement a process to ensure that roles and responsibilities for project delivery are clear among all relevant project participants.
• Meeting protocols: Require all stakeholder meetings to be minuted, circulated, and approved within set timeframes.
• Stakeholder communication: Foster a culture of proactive communication, ensuring all stakeholders receive timely updates on project developments.