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Part 3 exam > Practice and Management > Flashcards

Practice and Management Flashcards

1
Q

You are developing a new practice brochure - what should it include?

A 
a - Practice's Mission Statement 
b - Practice structure 
c - C.V.s of key personnel 
d - Approach - management quality assurance 
e - Equal opportunity policy 
f - Health and safety policy 
g - Office environmental policy 
h - Approach - design 
i - Consultation 
j - Key experience 
k - Other experience
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2
Q

You are obtaining competitive quotations for PI insurance - what information will the companies require in order to calculate your premium?

A

a - Name and full address of business
b - Name of directors, partners etc and their ages and qualifications
c - Number of employees
d - Gross fees for previous financial year
e - Details of overseas contracts
f - List of five largest contracts
g - Percentage split of work - type and sector
h - Claims history
i - Indemnity limit and excess

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3
Q

Under the EC Working time Directive 93/104 what are the rules on working hours?

A

a - an absolute limit of 48 hours per week, average over a four month period
b - Member States can opt out by ensuring that workers only work extra hours on a genuinely voluntary basis

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4
Q

List 2 mandatory and 2 optional insurance policies required by an architectural practice

A

Mandatory - Professional Indemnity Insurance PII
- Employers Liability Insurance EL

Optional - Health
- Key man

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5
Q

What information would you expect to include when preparing a business plan?

A 
a - Details of your business
b - Market research 
c - Marketing 
d - Personnel
e - Financial details 
f - Cashflow
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6
Q

One of your employees has been seriously injured during work and is now a hospital in-patient. You have spoken to the enforcing authority on the phone but what else must you do?

A

a - Make a written record of the accident

b - Send a written report within 7 days

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7
Q

How does the Copyright, Designs and Patent Act 1998 (CDPA 1998) protect architects and their work?

A

The Copyright, Designs and Patents Act 1988 gives the author or creator the exclusive right to copy, adapt, communicate, lend or sell copies of the work, although this right can be sold or transferred.

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8
Q

Your practice has employed a fifth member of staff; what written employment policy must you now have and which other policies do you consider desirable?

A

Mandatory
- Health and safety

Optional

  • Maternity / paternity / adoption
  • Working time and time off
  • Equality and diversity
  • Pay
  • Bullying and Harassment
  • Rewards, benefits and expenses
  • Discipline/ dismissal and grievance
  • Redundancy
  • Measures to improve performance or manage change
  • Use of company facilities
  • Training and development
  • Patents and copyrights
  • Confidential Information
  • Whistleblowing
  • Smoking drugs and alcohol
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9
Q

You have been asked to quote for a project in competition with other architects - what sources of information would you look to in order to establish a competitive but nevertheless realistic fee?

A
  • published data eg Mirza and Nacey
  • Office data and records of similar projects
  • RIBA indicative fee scale
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10
Q

Your practice has attracted a number of new projects. At what stage are you legally required to register for VAT and to whom?

A

You must register your business for VAT with HM Revenue and Customs (HMRC) if its VAT taxable turnover is more than £85,000. Your VAT taxable turnover is the total of everything sold that is not VAT exempt.

When you register, you’ll be sent a VAT registration certificate. This confirms:
o - your VAT number
o - when to submit your first VAT Return and payment
o - your ‘effective date of registration’ - this depends on the date you went over the threshold, or is the date you asked to register if it was voluntary

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11
Q

Your practice is looking for ways to diversify, list three areas in which you believe the practice could offer additional services

A 
o - Project management 
o - CDM co-ordinator 
o - DDA Consultant 
o - BREAM Consultant 
o - Design Services e.g. websites, set design etc etc
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12
Q

What are the different legal forms of architectural practice? Give brief advantages of each

A

Partnership - limited freedom, privacy, acting together but independently as professionals, partnership ethos

Limited Liability Partnership LLP - similar ethos and structure by limited liability

Limited company - Limited liability, international recognition, management and ownership may be separate

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13
Q

What insurances are requried in architectural practice?

A

PII, Public liability, building and contents, key man (bonus point)

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14
Q

Give five requirements for a chartered practice

A

RIBA chartered practice scheme:

  • at least one of your full-time principals (Director or Partner) must be a RIBA Chartered Member
  • at least one in eight of all staff must be a RIBA Chartered Member and all of your architectural work must be supervised by a RIBA Chartered Member
  • your practice must commit to operating policies regarding best practice in: Employment; Equality, Diversity and Inclusion; Health and Safety; Environmental Management; and Quality Management
  • pay annual fee
  • practice and all its employees must conduct themselves in accordance with the Code of Practice for Chartered Practices
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15
Q

Who would you select to form a professional team for the conversion of a historic country house into a hotel?

A
  • QS
  • Structural engineer
  • M+E engineers
  • Historic building advisor
  • Planning consultant
  • Interior designer
  • CDM co-ordinator
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16
Q

List 5 key requirements for an employment contract

A
  • In writing
  • Parties to the contract
  • Remuneration
  • Annual leave entitlement
  • Copyright and ownership of work
  • Termination
17
Q

When should the Architect inform the Client that they have been involved with additional work which will incurred extra fees?

A

The Architect has a ‘duty to inform’ in their appointment with the client and is therefore required to inform the client as soon as they themselves are aware of any even that means the scope of work and therefore the fee has changed. This can then be issued as a variation to the contract.

18
Q

There are three situations under the RIBA Domestic Professional Services Contract where an architect may disclose confidential information. Can you name one?

A

2.4 The client shall not disclose Confidential information unless:

o 2.4.1 Disclosure is necessary to take professional advice in relation to the Contract or services

o 2.4.2 It is already in the public domain other than due to wrongful use or disclosure by the Client

o 2.4.3 Disclosure is required by law or because of disputes arising out of or in connection with the contract

19
Q

If the Architect wishes to sub-contract performance of any part of their Services to a domestic client, what must the Architect first obtain from the Client? What must the Client do in response?

A

The architect must notify the client of their intention and obtain written agreement from the client and perhaps even amend the terms of their original appointment contract. The sub-contractor should be employed with a back to back agreement to apportion liability for work carried out.

20
Q

Give an example of a milestone in a project and explain how it may be used

A

Key milestones can be set out in both an Appointment and a Building contract to measure the progress of works according to a timeline and to structure an invoicing schedule. For example, key milestones could be the issuing of Interim or Stage reports or the completion of set portions of work.

21
Q

What are the key differences between Private Limited Liability Company (Ltd) and Limited Liability Partnership (LLP).

A

Private Limited Liability Company (Ltd)

  • Ownership by members (shareholders)
  • Profit share by members-Can be publicly traded
  • Taxed as corporation

Limited Liability Partnership (LLP).

  • Ownership by partners as agreed in deed
  • Profit shared by partners
  • Cannot be publicly traded
  • Taxed as partnership
22
Q

1) QA: What type of architectural practice is required to have a Quality Management System (QMS) in place and when should its QMS be externally certified?
2) When would you be allowed to prepare a simple Project Quality plan (PQP) for each project:
3) What is the universal quality assurance standard:

A

1) RIBA Chartered practices require QMS. Larger practices require QMS.
2) Early on
3) BS ISO 9001

23
Q

1) A client asks you to work speculatively on designing a building for a competitive bid. What would be your response?
2) Would you be breaking any Code of Conduct if you agreed to work speculatively?

A

1) A practice should not carry out services for free
2) Yes. This doesn’t comply with integrity and respect for the work of other architects because you are promoting free work and poor management of practice’s business

24
Q

What are the architect’s duties under the Modern Slavery Act 2015?

A

Fair pay, equality and conditions of work. RIBA Code of Professional Conduct requires members to comply with the Act.

25
Q

When should the Architect inform the Client that they have been involved with additional work which will incurred extra fees?

A

The Architect should inform the client before doing the additional work if it will incur extra fees. It is fair to assume that the client will not necessarily be aware as the work required when asking for something. It is important the architect is honest and clear with the client when it comes to negotiating the Scope of Service, as well as additional works. The appointment should outline any cost charges for extra fees.

26
Q

There are three situations under the RIBA Domestic Professional Services Contract where an architect may disclose confidential information. Can you name one?

A

2.4 The Client shall not disclose Confidential Information unless:
2.4.1 disclosure is necessary to take professional advice in relation to the Contract or
the Services
2.4.2 it is already in the public domain other than due to wrongful use or disclosure by
the Client
2.4.3 disclosure is required by law or because of disputes arising out of or in connection with the contract

27
Q

If the Architect wishes to subcontract the performance of any part of their Services to a domestic client, what must the Architect first obtain from the Client? What must the Client do in response?

A

The Architect must first attain written approval/agreement from the client that the part of the Services can be subcontracted. The client may wish to appoint a specific sub-contractor.

28
Q

Name the various forms of company structure

A

Sole Trader

Co-operative
Collective
Employee Owned Partnership

Limited Liability Partnership
Limited Company – Incorporation

Certified B-Corp

29
Q

Sole trader – points of consideration?

A

Easy to set up. Free to run practice as you wish

Finance: Self. It’s impossible to value a start up
All profit is owned by the business owner but so are the risks

Satisfy external agencies e.g. HMRC. VAT registered if t/o pa over £85,000.
https://www.gov.uk/vat-registration/when-to-register

Have no support or back-up? If not sharing space.

Not easy to be free of potential liabilities

Not easy to ‘retire’

30
Q

what are the advantages and disadvantages of trading as a sole trader?

A

Advantages

  • Autonomy
  • Few formalities in setting up
  • Immediate decision due to lack of formal structure and other parties
  • Belongs to one individual – all profits

Disadvantages

  • High risk
  • All the debts
  • Sources of funding may be difficult to obtain
  • Changes in practice and not part of a group or network
31
Q

Partnership – what are the key considerations?

A
  • All partners share: risk, responsibility and p & l
  • Each partner has unlimited liability – ‘joint and several’, The retiring partner is liable after retirement and on death the estate is liable for debts and/or obligations
  • Criminal actions by partners may be individual and not the partnership unless others have knowledge of the act
  • New partner is not necessarily liable for prior debts etc.
  • All correspondence (letters, orders invoices, cards etc) must contain the partnership name and names of partners
32
Q

What are the advantages and disadvantages of trading as a partnership?

A

Advantages
• Few formalities to setting up and trading
• The financial resources of more than one
• Responsibility can be shared.
• Opportunities of expansion due to the availability of collective resources
• Opportunities for pooling of equipment,
• accommodation and so on.
• Employees share profits by bonuses.

Disadvantages
• Unlimited liability.
• One troublesome partner could make it difficult for the other partners
• Formed by intent and from behaviour between parties even when no formal deed of partnership exists.

33
Q

Define ‘Joint and several liability’ in a partnership

A
  • Joint and several liability with other partners
  • Each partner responsible for all business liabilities A party may recover all the damages from any of the defendants regardless of their individual share of the liability.
  • Joint and several liability is most relevant in tort.
  • Under common law (the Civil Liability Contribution Act 1978) all parties can be jointly and severally liable for the loss or damage that flows from the breach.
  • This means that the client can pursue the parties either jointly, or individually (severally) for the full amount of the loss. If the client decides to pursue one of the parties for the full amount, then that party may in turn pursue the other parties that contributed to the breach to recover their share of the amount claimed.
  • This can leave consultants and contractors open to very large claims making them jointly and severally liable with parties that they did not themselves appoint, and whose performance they have little influence over.
  • The Latham report proposed that joint and several liability should be replaced by ‘proportionate liability’. However, this was rejected by the Secretary of State for Trade and Industry Peter Mandelson. His position was endorsed by the British Property Federation (a body that represents the interests of construction clients).
  • The amount that can be recovered from one party can be limited by a net contribution clause.
34
Q

Limited Liability Partnership - what are the key characteristics?

A

Limited Liability Partnerships Act 2000

  • LLP combines the organisational flexibility of a partnership with limited liability for its members.
  • Taxed as a partnership, not a company. Individuals taxed on share of profits.
  • Possible because:
    + LLP is a legal ‘person’ separate from its members
    + Contracts made with LLP, not partner as principal on behalf of other partners
    + Comprises ‘members’ who have limited liability
    + No memorandum of agreement or articles of association

Summary
- LLPs are very similar to Ltd. except for key differences:
+ Legal, separate entity from individual partners
+ Liability of each partner in proportion to shareholding and investment

35
Q

What is the Limited Liability Partnerships Act 2000?

A

The Limited Liability Partnerships Act 2000 is an Act of the Parliament of the United Kingdom which introduced the concept of the limited liability partnership into English and Scots law.

36
Q

Limited Company – Incorporation

Give your understanding of a limited company

A
  • Registered at Companies House
  • Public disclosure of Accounts
  • New legislation – Companies Act 2006
  • Single or many director(s) – Director an Employee
  • Company Secretary is no longer required
  • Just one shareholder required – 100% - related to the concept of dividend
  • Company is single legal entity i.e. a ‘person’
  • Company is responsible for actions, not individuals
  • Liabilities can be ‘unlimited’ - no limit to exposure to risk or ‘limited’
  • Liable for accounts, tax, National Insurance and (possibly) VAT
  • Relatively easy to enter and leave
37
Q

What are the key differences between a LTD and LLP?

A

LTD - Limited company

  • Can be set up by a sole trader.
  • One director.
  • Owned by shareholders.
  • Limited liability
  • Corporation tax on profits.
  • Directors and employees - PAYE

LLP - Limited Liability Partnership

  • LLP must involve more than one partner.
  • Members own the business
  • ‘Limited liability’ members’ liabilities are limited to money invested
  • Taxed as a partnership, not a company. Partners are taxed as individuals based on their share of the partnership profits.
  • Employees – PAYE
38
Q

Define vicarious liability

A

Vicarious liability refers to a situation where someone is held responsible for the actions or omissions of another person. In a workplace context, an employer can be liable for the acts or omissions of its employees, provided it can be shown that they took place in the course of their employment.

Part 3 exam (9 decks)

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