Category 1 - General Practice

Question 1

What are the three codes that make up the Architect Practice Act?

Answer 1

1. Business and Professions Code - Chapter 3, Division 3.
2. Corporations Code.
3. California Code of Regulations - Title 16, Division 2

Question 2

Define an Architect as set forth in the Architects Practice Act.

Answer 2

An Architect is a person who is licensed by the California Architects Board to practice architecture in the State of California under the authority of the Architects Pracice Act.

Question 3

How does the Architects Practice Act define the Practice of Architecture?

Answer 3

Offering or performing, or being in responsible control of professional services which require the skills of an architect in the planning of site, and the design, in whole or in part, of buildings or groups of buildings and structures. This applies to all persons whether licensed or not, whether they are independent consultants, firm principals or employees.

Question 4

What is the purpose of the California Architects Board and what department is it a subdivision of?

Answer 4

Purpose - to regulate the practice of architecture to protect the health, safety, and welfare of the public. The California Architects Board (CAB) establishes the minimum professional qualifications and performance standards for admission to and practice of the profession of architecture. CAB is a division of the Department of Consumer Affairs.

Question 5

What is “responsible control” as defined by the Architects Practice Act

Answer 5

Responsible Control means the amount of control over the content of all architectural instruments of service during their preparation that is ordinarily exercised by architects applying the professional standard of care. An architect cannot stamp and sign documents not produced under his/her responsible control.

Question 6

Can an architect demonstrate responsible control even if a project drawing set is produced outside of his/her office?

Answer 6

Yes, as long as the architect is maintaining responsible control, drawings can be produced in another office or in another part of the world.

Question 7

What are the consequences for practicing without a license or holding one’s self out as an architect?

Answer 7

Misdemeanor punishable by a fine of not less than $100 or more than $5000 or by imprisonment in a county jail not exceeding 1 year, or both.

Question 8

Must a licensed architect stamp and sign documents? Why?

Answer 8

Yes. All persons preparing or being in responsible control of plans, specifications and instruments of service for others shall sign those documents and all contracts as well as affix a stamp as evidence of the person’s responsibility for those documents.

Question 9

Does a licensed architect need to stamp and sign documents for structures unlicensed individuals are allowed to design?

Answer 9

Yes. Even though an unlicensed individual can design certain structures, once licensed, an architect must sign and stamp all documents within his/her responsible control.
This requirement applies to all types of projects since it addresses a responsibility imposed on the architect, not on the project.

Question 10

What five items are required to be on an Architect’s stamp?

Answer 10

1. Name of Architect.
2. License Number
3. Renewal Date (not expiration date)
4. State of California
5. Licensed Architect

Question 11

Who has the responsibility of verifying a licensed individual has produced project plans and specifications?

Answer 11

It is the responsibility of the agency that issues the permit to determine that the person who signed and stamped the plans and specifications or who submitted the signed statement is licensed to prepare the plans and specifications.

Question 12

What are three liability factors an architect is not responsible for once project documents are sign and stamped?

Answer 12

1. Not responsible for unauthorized changes to plans, specs, reports or documents as long as approval was not unreasonably withheld.
2. No legal duty to observe the construction of fixed works.
3. Construction Observation is periodic observation to determine general compliance with plans, specs, etc., not to supervise construction, operations, site conditions, equipment or site safety.

Question 13

How does the Architects Handbook of Professional Practice define Standard of Care?

Answer 13

The architect is required to do what a reasonably prudent architect would do in the same community and in the same time frame, given the same or similar facts or circumstances.

Question 14

What does SCANT stand for?

Answer 14

S - Services (description of services to be performed).
C - Compensation (Basis of compensation).
A - Addresses (Name, address, license number of architect & name and address of client).
N - New Services (Additional services at hourly rate).
T - Termination (description of procedure for termination of contract).

Question 15

Under what conditions is a written contract not required?

Answer 15

1. Professional services rendered when the client will not pay compensation.
2. Arrangements as to the basis for compensation is similar to provided in the past for the same client.
3. If the client knowingly states in writing after full disclosure that a contract is not required.
4. Professional services rendered to a registered professional engineer.

Question 16

How is the practice of architecture administered and which agency regulates it?

Answer 16

The practice of architecture is administered in three ways:
1. Examination
2. Licensing
3. Enforcement
The California Architects Board (CAB) is the regulating agency.

Question 17

What types of structure can drawings be prepared for by an unlicensed architect?

Answer 17

1. Single family detached dwellings of wood frame construction no more that 2 stories + basement in height.
2. Multiple dwelling units (no more than 4) wood frame construction, 2 stories + basement in height.
3. Garages or similar of wood frame construction, 2 stories + basement in height.
4. Wood frame agricultural and ranch buildings, unless deemed unsafe by building official.

Question 18

Name six violations that can result in a license being suspended or revoked?

Answer 18

1. Violation of the Architects Practice Act.
2. Fraud in obtaining a license.
3. Impersonating an architect.
4. Negligence or willful misconduct.
5. Incompetency or recklessness.
6. Disciplinary action taken by another public agency.

Question 19

When does a license expire and what are the guidelines for renewal of an expired license?

Answer 19

Licenses expire on the last day of the birth month of the license holder in each numbered year, following the issuance or renewal of the license.
A license which has expired may be renewed anytime within five years after its expiration. A license which is not renewed within five years after its expiration may not be renewed, restored or reissued.

Question 20

Can architects form a limited liability company (LLC)?

Answer 20

No. According to the Corporations Code, a domestic or foreign limited liability company is not permitted to render professional services, which means that architects cannot legally form a limited liability company.

Question 21

According to the California Code of Regulations, how must the term “architect” be used?

Answer 21

It is considered unlawful for any person to use a business name that includes as part of its title or description of services the term “architect”, “architecture”, or “architectural”, or any abbreviations or confusingly similar variations thereof, unless that person is a business entity where an architect is owner, employee, or in management control of the professional services provided.

Question 22

What stipulations are placed on a person who uses the term “architect” in their business name?

Answer 22

If a person uses a business name that includes as part of its title or description of services the term “architect”, “architecture” or “architectural”, or any abbreviations or confusingly similar variations thereof, all professional services offered and provided by that person are to be offered and provided by or under the responsible control of an architect.

Question 23

Name three situations that would be considered a conflict of interest to an architect.

Answer 23

1. An architect shall not accept compensation for services from more than one party on a project unless the circumstances are fully disclosed to and agreed to by all parties.
2. An architect shall not solicit or accept monetary compensation for specifying materials or products.
3. An architect shall endeavor to secure faithful performance for all parties to the construction contract and shall not show partiality to any party.

Question 24

What methods are available for Architects to limit their exposure to professional liability?

Answer 24

1. Efficient in-house organization & communication.
2. Select projects carefully & work within the firm’s capacity.
3. Carry the necessary types & amounts of insurance.
4. Utilize a written contract.
5. Documentation and approvals of key decisions.
6. Provide Contract Administration Services.

Question 25

According to the Architects Practice Act, how are Architects who perform voluntary building inspection at the site of an emergency protected from liability exposure?

Answer 25

Architects who perform voluntary building inspection at the site of an emergency at the request of a local official shall not be liable in negligence for any damage caused by good faith but negligent inspection (only within 30 days of emergency).

Question 26

Describe the five types of insurance coverage a firm owner should carry.

Answer 26

1. Professional Liability (Errors & Omissions) - protects against damages from claims against an Architect for professional services rendered by the Owner, contractor, and others.
2. General Liability - protects against damages from an Architect’s office operations on a job site.
3. Workers Compensation - protection for work related injuries.
4. Automobile - comprehensive liability policy.
5. Property - protection from fire, theft, loss, etc.

Question 27

Which types of insurance are required by the State of California?

Answer 27

In the State of California, it is required by individuals to carry Automobile Liability Insurance and for business to carry Workers Compensation if you have employees. The other insurances are recommended as far as good business practices are concerned, but are not required by law.

Question 28

What measures can be taken to cross check documents for quality assurance?

Answer 28

1. In-house team meetings with entire project team including Consultants and Owner.
2. Use of checklists.
3. Obtain written sign off/approvals by the Owner at the end of each phase.
4. Develop library of details.
5. Third party peer review (senior staff not involved in the project may review).
6. Procedures for coordinating with Consultants.

Question 29

Name five different types of firm structures.

Answer 29

1. Sole Proprietor - owned & run by one individual, no legal distinction between owner & business.
2. Partnership - partners agree to share in job duties as well as profits and losses of a business.
3. S Corporation - allows income and expenses to flow through individual business owner.
4. C Corporation - separation of business and owner.
5. Joint Venture - business agreement in which parties agree to work together for a finite time.

Question 30

Which firm structure is the most expensive? Which is the least?

Answer 30

Generally speaking, Corporations, both S and C type are the most expensive firm structures to create and maintain. State of California Franchise Tax Board requires minimum $800 annually for being a corporation, plus accountant fees are higher due to filing corporate tax returns being more labor intensive. Least expensive - Sole Proprietor. Most common for solo practitioners.

Question 31

Name five areas of knowledge essential for a Project Manager.

Answer 31

1. Ability to Identify Client Expectations and preferred method of communication.
2. Ability to get things done, take on challenges and accomplish objectives.
3. Ability to take charge and provide guidance and direction for project team.
4. Ability to manage client relationships.
5. Ability to carry out the project within the scope of services, schedule and budget.

Question 32

What process should be followed regarding allocation of personnel to project tasks?

Answer 32

1. Establish the specific skills and level of effort needed for the project.
2. Identify people to work on the project.
3. Balance the needs of the project with those of the firm and its other projects.

Question 33

Delegating tasks is an important function of a Project Manager. How can this be accomplished?

Answer 33

1. Identify team member most capable of doing task.
2. Give that person the responsibility and authority he/she needs.
3. Establish the level of performance required.
4. Define the completed activity or results.
5. Define the suitable completion date.
6. Agree on the level of effort and time required.
7. Check progress.

Question 34

Describe the three stages of project operations in relation to coordinating staff, tasks, communications and schedules.

Answer 34

1. Startup - team briefing, project authorization, establish project files, identify key project information (program, site, codes, schedule, etc.)
2. Communications - meetings, contact info & date on all correspondence, take notes, use transmittals & fax cover letters, document key decisions.
3. Closeout - collect project info, finalize billing, archive project files.

Question 35

What are six characteristics of effective team building?

Answer 35

1. Small enough to convene and communicate easily and frequently.
2. Foster discussions that are interactive and open to all members.
3. Mutual understanding of members’ roles & skills.
4. Specific set of team goals are in place.
5. Members have a sense of mutual accountability.
6. Ability to measure progress against specific goals.

Question 36

What documents are contained within a Business Plan?

Answer 36

1. Mission Statement - purpose of the company.
2. Strategic Plan - achieve goals of the company.
3. Marketing Strategy - how to communicate plans & strategies.
4. Cash Flow Projections - monthly, annually, 5 year.
5. Overhead Expenses - fixed, office rent, salaries.
6. Profit Plan - monthly, annually, 5 year

Question 37

What programs do some firms offer regarding employee training and professional development?

Answer 37

1. IDP - Intern Development Program
2. AIA continuing education program.
3. Mentoring within the firm.
4. In house programs.
5. Outside seminars.
6. Lunch & Learn.
7. Office site visits.

Question 38

What Financial Management principles are important to Project Management?

Answer 38

1. Utilize computer software - QuickBooks.
2. Accounts payable and receivable.
3. Monthly financial statement.
4. Profit and loss - monthly, annually.
5. Payroll information by employee.
6. Reimbursable expenses tracking.
7. Architectural services tracking.
8. Complete data from past projects to use for future projects.

Question 39

Who are the five primary members of a typical project team?

Answer 39

1. Project Manager - coordinates entire team, keeps client informed of progress, produces competent set of instruments.
2. Job Captain - coordinates working drawing set, supervises drafters, reports to Project Manager.
3. Draftsman - produces drawings, responsible for specific drawing task, interfaces with Job Captain.
4. Interior Designer - selects materials & finishes.
5. Specification Writer - compiles spec book.

Question 40

What is the primary role of the Project Manager?

Answer 40

The Project Manager serves as the central figure and person in the architecture firm who is responsible for the project. Their primary role is to communicate both with the project team (including in-house and consultants) as well as the Client regarding information on progress of the work, schedule, design and budget issues.

Question 41

You are designing a performing arts center on a sloping site. What four consultants should be brought on board for this project type?

Answer 41

1. Acoustical Engineer - to evaluate specific acoustical needs of the auditorium.
2. Structural Engineer - to design the most appropriate structural and foundation systems.
3. Geotechnical Engineer - to determine what soils are present for foundation design.
4. Site surveyor - to determine topography elevations and site dimensions.

Question 42

An Owner has a site with a historical building and gardens located adjacent to the property. Name three consultants who may be needed to evaluate this project.

Answer 42

1. Historic Preservation Consultant - to evaluate any requirements of the California Historic Building Code.
2. Landscape Designer - to determine which landscape would best compliment the existing historical garden.
3. Biologist - to determine if the proposed project would adversely affect the existing gardens and wildlife on site.

Question 43

What factors should be considered when selecting consultants?

Answer 43

1. Complimentary skills
2. Experience in project type
3. Prior relationships
4. References
5. Client preference
6. Ability to meet schedule/deadlines

Question 44

According to AIA 201, name three services, other than architectural services, that are part of the Scope of Architect’s Basic Services.

Answer 44

Structural, Mechanical, and Electrical engineering services are part of the Scope of the Architect’s Basic Services.

Question 45

What responsibilities does a Consultant have in relationship with the Architect? How is their relationship defined?

Answer 45

According to AIA C401 - Standard Form of Agreement Between Architect and Consultant, the Consultant shall assume toward the Architect all obligations and responsibilities that the Architect assumes toward the Owner.
The Consultant is defined as an independent contractor to the Architect.

Question 46

If an Architect hires a team of Consultants, does the Architect maintain sole professional credit for the project? How are marketing and promotion expenses paid for?

Answer 46

No, the Architect and Consultant agree to share professional credit for the project as well as share costs and expenses incurred in marketing, promotion and display of the project, if applicable.

Question 47

What are typical responsibilities assumed by the Consultant on a project?

Answer 47

1. Consultant to uphold Standard of Care, similar to what is required of Architect.
2. Recommend to the Architect investigations, surveys, tests, and reports required for the project.
3. Coordinate services with Architect.
4. Provide copies of drawings, reports, specs, etc. to the Architect & other consultants.
5. Submit a schedule for performance of services for Architect’s approval.

Question 48

What is a Consultant NOT responsible for?

Answer 48

The Consultant shall NOT be responsible for acts or omissions of the Architect or others. The Consultant shall provide prompt written notice to the Architect if the Consultant becomes aware of any errors, omissions or inconsistencies in the services or information provided to the Architect or other consultants.

Question 49

Name four types of insurance required for the Consultant to maintain, according to the Architect/Consultant Agreement.

Answer 49

1. General Liability
2. Automobile Liability
3. Workers Compensation
4. Professional Liability

Question 50

Describe the Scope of the Consultant’s Services.

Answer 50

1. Provide the Architect with the same professional services as the Architect provides to the Owner.
2. License required in the jurisdiction where the project is located.
3. Upon request, furnish interpretations of Contract Documents prepared by the Consultant.
4. Render written recommendations on claims and disputes between Owner and Contractor.
5. Assist Architect in rejecting non-conforming work.

Question 51

Name four responsibilities of the Architect in regards to Consultants.

Answer 51

1. Provide information in a timely manner, including Owner’s program.
2. Designate an authorized representative to act on the Architect’s behalf.
3. Confer with Consultant before issuing interpretations or clarifications of documents prepared by Consultant.
4. Advise Consultant of the identity of other consulting participants.

Question 52

What documents must the Architect provide to the Consultant?

Answer 52

1. Detailed layouts showing location of connections.
2. Tabulations of sizes, loads, etc. on equipment designed or furnished by others.
3. Estimates of Cost of Work submitted to Owner.
4. Contract Documents, Change Orders, bidding documents, negotiated proposals, and related documents.
5. Information from surveys, tests, and reports of other consultants if requested by Consultant, Architect shall request Owner to provide.

Question 53

What does AIA C401 require regarding accuracy of services performed by the Consultant?

Answer 53

The Architect shall be entitled to rely on the accuracy and completeness of services and information furnished by the Consultant. The Architect shall provide written notice to the Consultant if the Architect becomes aware of any errors, omissions, or inconsistencies in such services or information.

Question 54

What is the Consultant’s responsibility toward Cost of Work estimations?

Answer 54

After all project requirements have been identified, the Consultant shall prepare and submit to the Architect an estimate of the Cost of the Work for the portion of the project the Consultant has responsibility for. The Consultant shall update their estimate as required by the Prime Agreement between Architect and Owner.

Question 55

What must a Consultant do if the estimate for the Cost of the Work exceeds the Owner’s budget?

Answer 55

If at any time the estimate for the Cost of the Work exceeds the Owner’s budget, the Consultant shall make appropriate recommendations to the Architect to adjust the project’s size, quality or budget related to the Consultant’s portion.
Additionally, the Consultant shall cooperate with the Architect and the Architect’s other consultants in redesigning their portion to comply with the budget for the Cost of the Work.

Question 56

Does a Consultant maintain copyrights and licenses over their portion of the work?

Answer 56

Yes. The Consultant grants the Architect a license to use the Consultant’s Instruments of Service in the same manner the Architect has granted a license to the Owner in the Prime Agreement.
The Architect and Consultant shall not make changes in each other’s Instruments of Service without written permission of the other party.

Question 57

What does AIA B102 define?

Answer 57

AIA B102 is the Standard Form of Agreement Between Owner and Architect without a Predefined Scope of Architect’s Services. This document provides agreement terms only and does not include a scope of the Architect’s services. This must be inserted into Article 1 or attached as an exhibit. B102 also contains provisions for mediation and arbitration of claims and disputes.

Question 58

Which document provides the Architect’s scope of services?

Answer 58

AIA B201 - Standard Form of Architect’s Services: Design and Construction Contract.

This is based on the five traditional phases: Schematic Design, Design Development, Construction Documents, Bidding or Negotiation and Construction Administration.

Question 59

Is AIA B201 a standalone document?

Answer 59

No, it must be incorporated into an Owner-Architect Agreement, such as AIA B102.

Question 60

Who is the Initial Decision Maker and what do they do?

Answer 60

The Initial Decision Maker is the person identified to render initial decisions on claims and, unless the Owner and Contractor choose otherwise, is filled by the Architect. The Architect shall endeavor to fairly and impartially try to resolve the dispute.

Question 61

What is the next step if the Initial Decision Maker is unable to settle a conflict between the Owner and Contractor?

Answer 61

If the Architect is unable to resolve a conflict between the Owner and Contractor, or if doing so would be a conflict of interest to the Architect, the next step would be a formal process of Mediation administered by the American Arbitration Association.

Question 62

What site conditions would a Civil Engineer be concerned with?

Answer 62

A Civil Engineer’s main focus is generally on any site issues outside of the building footprint, though they are concerned in the beginning with exact building placement. Site conditions such as topography, infrastructure, retaining walls, etc. are items a Civil Engineer would be concerned with and would help the Architect to navigate as far as the best design and placement of the building in regards to existing conditions.

Question 63

What form of communication should an Architect engage in with the Owner in order to maintain project momentum?

Answer 63

All major decisions, design oriented or otherwise, should be documented in writing and maintained in a project binder/folder for future reference. During meetings with the Owner it is important for the Architect to record the minutes of that meeting and to follow up phone conversations with e-mails to verify information discussed.

Question 64

Why is it important for the members of the design team to review documents after a third party peer review?

Answer 64

Third party peer review (senior staff not involved in the project) is a valuable method for quality assurance because others may be able to identify technical issues that may have been missed during document development. However, these third party individuals may not pick up program errors so it is important that the project team also cross checks the documents as well as have the Owner review for accuracy.