CSE cat 1 Flashcards
What are the three codes that
make up the Architects
Practice Act?
- Business and
Professions Code Chapter 3, Division 3. - Corporations Code.
- California Code of Regulations -Title 16, Division 2.
Define an Architect as set forth in the Architects Practice Act.
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 Practice Act.
How does the Practice Act
define the Architects Practice
of Architecture?
Offering or performing, or being in
responsible control of professional services
which require the skills of an architect in
the planning of sites, and the design, in
whole or in part, of buildings or groups of
buildings and structures.
This applies to al
l persons whether licensed
or not, whether they are independent
consultants, firm principals or employees.
What is the purpose of the California Architects Board and what department is it a subdivision of?
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.
What is in “responsible
control” as defined by the
Architects Practice Act?
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.
Can an architect demonstrate responsible control even if a project drawing set is produced outside of his/her office?
Yes, as long as the architect is
maintaining responsible control, drawings
can be produced in another office or in
another part of the world.
What are the consequences
for practicing without a
license or holding one’s self
out as an architect?
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.
Must a licensed architect
stamp and sign documents?
Why?
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.
Does a licensed architect need to stamp and sign documents for structures unlicensed individuals are allowed to design?
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 responsibil ity imposed on the architect , not on the project.
What five items are required
to be on an Architect’s
stamp?
1. Name of Architect 2. License Number 3. Renewal Date (not expiration date) 4. State of California 5. Licensed Architect
Who has the responsibility of
verifying a licensed individual
has produced project plans
and specifications
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.
What are three liability factors
an architect is not responsible
for once project documents
are signed and stamped?
- Not
responsible for unauthorized changes to
plans, specs, reports or documents as long as
approval was not unreasonably withheld. - No legal duty to observe the construction of
fixed works. - Construction Observation is periodic
observation to determine
general compliance
with plans, specs, etc., not to supervise
construction, operations, site conditions,
equipment or site safety
How does the Architects
Handbook of Professional
Practice define Standard of
Care?
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.
What does SCANT stand for?
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).
Under what conditions is a
written contract not required?
- Professional services rendered when the
client will not pay compensation. - Arrangement as to the basis for
compensation is similar to provided in the past
for the same client. - If the client knowingly states in writing after
full disclosure that a contract is not required. - Professional services rendered to a
registered pr
ofessional engineer
How is the practice of
architecture administered and
which agency regulates it?
The practice of architecture is administered in three ways: 1. Examination 2. Licensing 3. Enforcement The California Architects Board (CAB) is the regulating agency.
What types of structures can
drawings be prepared for by
an unlicensed individual?
- house/ Apts & garages up to 4plex 2story + basement max
- Barns
- Single family detached dwellings of wood
frame construction no more than 2 stories plus
basement in height. - Multiple dwelling units (no more than 4)
wood frame construction, 2 stories + basement
in height. - Garages or
similar of wood frame
construction, 2 stories + basement in height. - Wood frame agricultural and ranch buildings,
unless deemed unsafe by building official.
Name six violations that can
result in a license being
suspended or revoked.
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.
When does a license expire
and what are the guidelines
for renewal of an expired
license?
Licenses expire on the last day of the birth
month of the license holder in each odd
-
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
Can architects form a limited liability company (LLC)?
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.
According to the California
Code of Regulations, how
must the term “architect” be
used?
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.
What stipulations are placed
on a person who uses the
term “architect” in their
business name?
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.
Name three situations that
would be considered a
conflict of interest to an
architect.
- 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. - An architect shall not solicit or accept monetary
compensation for specifying materials or products. - An architect shall endeavor to secure faithful
performance for all parties to the construction
contract and shall not show partiality to any party.
What methods are available
for Architects to limit their
exposure to professional
liability?
- Efficient in-house organization & communication.
- Select projects carefully & work within the firm’s capacity.
- Carry the necessary types & amounts of insurance.
- Utilize a written contract.
- Documentation and approvals of key decisions.
- Provide Contract Administration Service
According to the Architects Practice Act, how are Architects who perform voluntary building inspection at the site of an emergency protected from liability exposure?
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).
Describe the five types of
insurance coverage a firm
owner should carry.
- Professional Liability (Errors & Omissions)
-protects against damages from claims against an
Architect for profoessional services rendered by
the Owner, contractor, and others. - General Liability
-protects against damages
from an Architect’s office
operations on a job site. - Workers Compensation
-protection for work
related injuries. - Automobile
- comprehensive liability policy. - Property
- protection from fire, theft, loss, etc
Which types of insurance are required by the State of California?
In the State of California, it is required for individuals to carry Automobile Liability Insurance and for businesses 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.
What measures can be taken
to cross check documents for
quality assurance?
- In-house team meetings with entire project
team including Consultants and Owner. - Use of checklists.
- Obtain written sign off/approvals by the
Owner at the end of each phase. - Develop library of details.
- Third party peer review (senior staff not
involved in the project may review). - Procedures for coordinating with
Consultants
Name five different types of
firm structures.
- Sole Proprietor
-owned & run by one individual,
no legal distinction between owner & business. - Partnership
-partners agree to share in job duties
as well as profits and losses of a business. - S Corporation
-allows income and expenses to
flow through individual busi
ness owner. - C Corporation
- separation of business and owner. - Joint Venture
-business agreement in which
parties agree to work together for a finite time
Which firm structure is the
most expensive? Which is the
least?
Generally
speaking, Corporations, both S and C
type are the most expensive firm structures to
create and maintain. State of California
Franchise Yax 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.
Name five areas of knowledge
essential for a Project
Manager.
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
What process should be
followed regarding
allocation
of personnel to project tasks?
- Establish the specific skills and level of
effort needed
for the project. - Identify people to work on the project.
- Balance the needs of the project with
those of the firm and its other projects.
Delegating tasks is an
important function of a Project
Manager. How can this be
accomplished?
- Identify team member most capable
of doing
task. - Give that person the responsibility and
authority he/she needs. - Establish the level of performance required.
- Define the completed activity or results.
- Define the suitable completion date.
- Agree on the level of effort and time
required. - Check progress.
Describe the three stages of project operations in relation to coordinating staff, tasks, communications and schedules.
- Startup
-team briefing, project
authorization, establish project files, identify
key project information (program, site, codes,
schedule, etc.) - Communications
-meetings, contact info &
date on all correspondence, take
notes, use
transmittals & fax cover letters, document key
decisions. - Closeout
-collect project info, finalize billing,
archive project files.
What are six
characteristics of
effective team building?
- Small enough to convene and communicate easily and frequently.
- Foster discussions that are interactive and open to all members.
- Mutual understanding of members’ roles & skills.
- Specific set of team goals are in place.
- Members have a sense of mutual accountability.
- Ability to measure progress against specific
goals.
What documents are
contained within a Business
Plan?
- Mission Statement
- purpose of the company. - Strategic Plan
- achieve goals of the company. - Marketing Strategy
- how to communicate plans & strategies. - Cash Flow Projections
- monthly, annually, 5 year. - Overhead Expenses
- fixed, office rent, salaries. - Profit Plan
- monthly, annually, 5 year
What programs do some firms
offer regarding employee
training and professional
development?
- IDP -Intern Development Program
- AIA continuing education program.
- Mentoring within the firm.
- In house programs.
- Outside seminars.
- Lunch & Learn.
- Office site visits.
What Financial Management
principles are important to
Project Management?
- Utilize computer software -QuickBooks.
- Accounts payable and receivable.
- Monthly financial statement.
- Profit and loss -monthly, annually.
- Payroll information by employee.
- Reimbursable expenses tracking.
- Architectural services tracking.
- Complete data from past projects to use for future projects.
Who are the five primary
members of a typical project
team?
- Project Manager -coordinates entire team,
keeps client informed of progress, produces
competent set of instruments. - Job Captain -coordinates working drawing set,
supervises drafters, reports to Project Manager. - Draftsman -produces drawings, responsible for
specific drawing task, interfaces with Job Captain. - Interior Designer -selects materials & finishes.
- Specification Writer- compiles spec book.
What is the primary role of the
Project Manager?
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.
You are designing a performing arts center on a sloping site. What four consultants should be brought on board for this project type?
- Acoustical Engineer -to evaluate specific
acoustical needs of the auditorium. - Structural Engineer-to design the most
appropriate structural and foundation
systems. - Geotechnical Engineer -to determine what
soils are present for foundation design. - Site Surveyor -to determine topography
elevations and site dimensions.
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.
- Historic Preservation Consultant -to
evaluate any requirements of the
California Historic Building Code. - Landscape Designer -to determine
which landscape would best complement the existing
historical garden. - Biologist -to determine if the proposed
project would adversely affect the
existing gardens and wildlife on site.
What factors should be
considered when selecting
consultants?
- Complimentary skills
- Experience in project type
- Prior relationships
- References
- Client preference
- Ability to meet schedule/deadlines
According to AIA 201, name three services, other than architectural services, that are part of the Scope of Architect's Basic Services.
Structural, Mechanical, and Electrical
engineering services are part of the Scope
of the Architect’s Basic Services.
What responsibilities does a Consultant have in relationship with the Architect? How is their relationship defined?
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.
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?
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.
What are typical
responsibilities assumed by
the Consultant on a project?
- Consultant to uphold Standard of Care,
similar to what is required of Architect. - Recommend to the Architect investigations,
surveys, tests, and reports required for the
project. - Coordinate services with Architect.
- Provide copies of drawings, reports, specs,
etc. to the Architect & other consultants. - Submit a schedule for performance of
services for Architect’s approval.
What is a Consultant NOT
responsible for?
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.
Name four types of insurance required for the Consultant to maintain, according to the Architect/Consultant Agreement.
- General Liability
- Automobile Liability
- Workers Compensation
- Professional Liability
Describe the Scope of the
Consultant’s Services.
- Provide the Architect with the same
professional services as the Architect provides to
the Owner. - License required in the jurisdiction where the
project is located. - Upon request, furnish interpretations of
Contract Documents prepared by the Consultant. - Render written recommendations on claims
and disputes between Owner and Contractor - Assist Architect in rejecting non-conforming work.
Name four responsibilities of
the Architect in regards to
Consultants.
- Provide information in a timely manner, including Owner’s program.
- Designate an authorized representative
to act on the Architect’s behalf. - Confer with Consultant before issuing
interpretations or clarifications of
documents prepared by Consultant. - Advise Consultant of the identity of other consulting participants.
What documents must the
Architect provide to the
Consultant?
- Detailed layouts showing location of connections.
- Tabulations of sizes, loads, etc. on equipment
designed or furnished by others. - Estimates of Cost of Work submitted to Owner.
- Contract Documents, Change Orders, bidding
documents, negotiated proposals, and related
documents. - Information from surveys, tests, and reports of
other consultants if requested by Consultant,
Architect shall request Owner to provide.
What does AIA C401 require
regarding accuracy of
services performed by the
Consultant?
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.
What is the Consultant’s
responsibility towards Cost of
Work estimations?
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.
What must a Consultant do if
the estimate for the Cost of
the Work exceeds the Owner’s
budget?
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.
Does a Consultant maintain
copyrights and licenses over
their portion of the work?
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.
What does AIA B102 define?
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.
Which document provides the
Architect’s scope of services?
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.
Is AIA B201 a standalone
document?
No, it must be incorporated into an
Owner-Architect Agreement, such as AIA
B102
Who is the Initial Decision
Maker and what do they do?
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 a dispute.
What is the next step if the Initial Decision Maker is unable to settle a conflict between the Owner and Contractor?
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.
What site conditions would a
Civil Engineer be concerned
with?
A Civil Engineer’s main focus is generally on any
site issues outside of the building footprint,
though they are concerned in the beginning of
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
What form of communication
should an Architect engage in
with the Owner in order to
maintain project momentum?
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.
Why is it important for the
members of the design team
to review documents after a
third party peer review?
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.
