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PROFESSIONAL RESPONSIBILITIES AND CONDUCT



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PROFESSIONAL RESPONSIBILITIES AND CONDUCT


    1. Apply California’s Architects Practice Act to the provision of architectural services

      • Purpose of the Practice Act

        1. Protection of the public health, safety and welfare

        2. Defining the practice of architecture

          1. “The practice of architecture… is defined as 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”

          2. Professional services

            1. Investigation, evaluation, consultation, and advice

            2. Planning, schematic and preliminary studies, designs, working drawings, and specifications

            3. Coordination of the work of technical and special consultants

            4. Compliance with generally applicable codes and regulations, and assistance in the governmental review process

            5. Technical assistance in the preparation of bid docs and agreements between clients and contractors

            6. Contract Administration

            7. Construction Observation

        3. Establishes California Architect’s Board

          1. Board to “delineate the minimum professional qualifications and performance standards for admission to and practice of architecture”

          2. Establish “a fair and uniform enforcement policy to deter and prosecute violations… for the protection of the consumer”

      • Administration of Practice Act

        1. Licensing

          1. No license needed for:

            1. multiple dwelling units (no more than 4) wood frame construction, no more than 2 stories + basement in height

            2. single family detached dwellings of woodframe construction no more than 2 stories + basement in height

            3. Garages or other similar structures of woodframe construction not more than 2 stories + basement in height

            4. Agricultural and ranch buildings of woodframe construction, unless the local building official deems it an undue risk to public health, safety, or welfare.

          2. Requirements

            1. Demonstrate a basic level of competence in the professional services above in examinations (ARE, CSE)

        2. Enforcement

          1. Causes for disciplinary action

            1. Conviction of crimes substantially related to duties of an architect

            2. Practicing in violation of the provisions of the Practice Act

            3. Fraud/misrepresentation in obtaining a license

            4. Impersonating an architect

            5. Aiding an unlawful practice

            6. Signing other’s plans not in responsible control, or letting others to use name to evade provisions of Practice Act

            7. Fraud in practice of architecture

            8. Negligence or Willful Misconduct

            9. Incompetency or Recklessness

            10. Disciplinary action taken by another public agency

            11. Report of settlement for fraud, deceit, negligence, incompetency, or recklessness in excess of $5K (sent w/in 30 days)

            12. Malpractice settlement in excess of $5K

          2. Citations

            1. Issued whenever order of abatement is issued or fine levied

            2. Class ‘A’ – when commited class ‘B’ violation and has two or more prior class ‘B’ violations

            3. Class ‘B’ – when violate a statute or regulation relating to practice which has caused physical damage to a structure or building or monetary damage to a client or member of the public, or commited a class ‘C’ violation with two or more priors

            4. Class ‘C’ – when violate a statute or regulation which hasn’t caused the death or bodily injury to another person or caused physical damage to a structure or building or monetary damage to a client or member of the public



        • Content of the Practice Act

          1. Contract requirements

            1. MUST HAVE a signed contract before starting work (unless client knowingly states in writing that work may be commenced before the contract is executed)

            2. Necessary Elements of a contract*

              1. Description of services to be provided by arch to client

              2. Basis of compensation & method of payment

              3. Info: Name, address, lic. # of Arch and name & address of client

              4. Additional services – procedures

              5. Termination of contract – procedures

            3. *Exceptions to necessary elements

              1. Unpaid work

              2. Basis of compensation and manner of providing services is implied by fact that services are of the same general kind as previously rendered and received payment

              3. Client knowingly states in writing after full disclosure of Practice Act that a writing conforming to PA is not required

              4. Services rendered to a professional engineer or land surveyor

          2. Signing & sealing of documents

            1. All persons in responsible control shall sign all plans, specs, and instruments of service, and if licensed, stamp them as evidence of their responsibility for the documents. Does not apply to employees of licensed persons while acting in the course of their employment

            2. Stamp design

              1. Must have name, license number, “licensed architect”, “State of California”, and renewal date

              2. Must be a design authorized by the board

              3. Preparation of plans without a license is a misdemeanor

          3. Responsible control

            1. Section 5535.1The phrase “responsible control” means that amount of control over the content of technical submissions during their preparation that is ordinarily exercised by architects applying the required professional standard of care.

          4. Indemnification

            1. Not responsible for damage caused by unauthorized changes to signed and stamped documents (as long as authorization was not unreasonably withheld)

            2. Signing and stamping of documents does not impose a legal duty to observe the construction of fixed works

            3. Construction Observation means periodic observation of completed work to determine general compliance with the plans, specifications, reports, or other contract documents, not superintendence of construction processes, site conditions, operations, equipment, personnel, or safety

            4. 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)

          5. Professional Conduct

            1. Competence

              1. Perform services only when qualified by education, training, and experience in the specific technical areas involved

              2. Act with reasonable care and competence, applying the technical knowledge and skill which is ordinarily applied by architects of good standing practicing in this state under similar circumstances and conditions

            2. Willful misconduct

              1. Shall have knowledge of all applicable building laws, codes, and regulations

              2. Shall not knowingly design a project in violation of such laws, codes, and regulations

            3. Conflict of Interest

              1. Don’t accept compensation for services from more than one party unless circumstances fully disclosed and agreed to by all parties

              2. Fully disclose any business or financial interest substantial enough to influence judgement in performance of services. If client objects, terminate such interest or give up the project

              3. Don’t solicit or accept payments, rebates, refunds, or commissions from material or equipment suppliers in return for specifying products to a client

              4. Do not engage in a business or activity outside capacity as an officer, employee, appointee, or agent of a governmental agency knowing that the activity may later be subject to the control, inspection, review, audit, or enforcement by you

            4. Full Disclosure

              1. Accurately represent qualifications and scope of responsibility to client in connection with projects or services for which claiming credit

              2. Accurately represent education, training, and experience in applying for license

            5. Copyright infringement

              1. Do not infringe upon copyrights of other architects or design professionals




      1. Represent professional capabilities and experience to clients

        • accurately presenting professional capabilities & experience to clients

          1. Don’t use extreme words to overstate abilities (best architect, perfect jobs, etc.)

          2. Maintain current resumes and qualifications (don’t include former staff who may have been experts in an area)

          3. Only undertake to perform professional services when qualified by education, training, and experience in specific technical areas involved

          4. Act with reasonable care and competence (Standard of care)

        • Communication tools and methods

          1. Marketing materials

            1. Don’t promise too much

          2. Resumes

            1. Maintain current

            2. Always provide an accurate description of actual involvement in past projects

          3. Media presentations

            1. Respect copyrights

            2. Obtain consent to photograph owner’s building and use in marketing literature (make sure doesn’t violate confidentiality)

        • Adapting presentations to clients specific needs

          1. Cultural considerations

          2. Client history

      2. Apply requirements of business law to the practice of architecture

        • General Liability issues

          1. Individual (professional) liability

            1. Negligence

              1. Duty – architect must owe a legal duty to the claimant

              2. Breach – architect failed to perform that duty

              3. Cause – architect’s breach is the proximate cause of the harm

              4. Damage – there must be actual harm or damage as a result of the breach

            2. Third party – architects are liable to non-contractual third parties

          2. Corporate Liability

        • Local regulations controlling business operations

          1. Business license

            1. To register as a LLP, file a registration with the name of the partnership, address, name and address of agent of service, brief statement of the business, that the partnership is registering, and pay a fee.

          2. Fictitious names

            1. If name is used along with “architect”, must contain name as licensed and fact that are a licensed architect

          3. Fees and assessments



          4. Types of legal business entities

            1. Professional Corporation – Corporations Code

            2. Limited Liability Partnership – Each shareholder, director, and officer must be a licensed architect

            3. Individual architect

            4. Normal corporation




        • State & federal laws pertaining to employer/employee relations

          1. OSHA

          2. FLSA (Fair Labor Standards Act)



      1. Apply knowledge of construction law to the practice of architecture

        • Elements of California construction laws

          1. Mechanics Lien laws

            1. Process

              1. Subcontractor: File 20-day Preliminary Notice with county recorder, then within 30 days of Notice of Completion must file Claim of Lien. Then within 90 days a foreclosure action can be taken

              2. Sub on public project: Serve Stop Notice within 30 days of Notice of completion, then file an action on the stop notice within 90 days of notice.

              3. Prime Contractor: Within 10 days of completion, file Notice of Completion. Within 60 days of that, file Claim of Lien. Within 90 days of that file a Lien Foreclosure Action

            2. Design-professional lien

              1. Record before construction begins

              2. Used to protect d.p. in case project isn’t built and owed money

              3. Must record a notice of lien within 90 days after having reason to believe the landowner is not going to build the project

              4. Expires if project construction commences or 90 days passes without a suit filed to enforce the lien

            3. No liens allowed on public property, but Stop Notice (stop on funds) can be use

        • California public work bidding and construction requirements

          1. Must be public bid construction contract

          2. Design services qualifications based

          3. Construction licenses

            1. A license – General Engineering Contractor

            2. B license – General Building Contractor

            3. C license – Specialty Contractor

      2. Assess professional liability issues related to the conduct of an architectural practice

        • Varieties of Professional liability insurance available

        • Special insurance requirements applied to different business models

          1. Joint Ventures

          2. Design/Build

          3. Architect/CM

        • Methods of limiting liability

          1. Avoid terms like “warranty”, “guarantee”, “certify”

          2. Insurance

            1. Claims made: Policy covers for claims made during period of coverage

            2. Prior acts: Covers claims from a point in the past up to the present

            3. Project Professional Liability – Project based, often furnished by the owner as part of the contract

          3. Quality control

        • Statute of limitations and standard of care

          1. Clock begins on statute of limitations when injury or defect occurs – statute of limitations is the time period in which claims can be made relating to defects or errors and omissions

      3. Participate in professional development activities

        • Professional associations and resources

          1. AIA

          2. USGBC

          3. Handbooks

          4. Peers

        • Professional development opportunities

          1. Independent study

          2. Seminars

          3. Lunch n’ learns

        • Intern Development Programs

        • Community service

          1. Public service (sitting on review boards, planning commissions)

          2. Pro-bono projects & charity work

          3. Policy-Making

          4. Lobbying
      4. DELIVERY OF ARCHITECTURAL SERVICES


    1. RESEARCH, PROGRAMMING, AND ANALYSIS

      1. Gather and analyze information relevant to the preparation of an architectural program

        • Research and evaluation techniques

          1. Meet with owner and users

          2. Comparative analysis

          3. Observe current facility

        • Building types, spatial requirements, and adjacency criteria for user activities

          1. Bubble diagrams, matrixes, comparative analysis, restrictions, budget, schedule

        • Performance requirements

          1. A measure of what must be achieved and a test to determine it (Statement/Measure/Test)

        • Codes and regulations as they influence program

          1. Clearances

          2. Occupancy classifications

          3. Type of construction

          4. Fire & Life safety

          5. Health requirements

        • How to prepare a program report

      2. Assess individual user needs relative to human activities, comfort, and health

        • Human factors

          1. Behavior patterns, objectives, organization (hierarchy), demographics, social forces, attitudes, customs, security, safety, control, convenience

          2. Ergonomics

        • Comfort factors

          1. Light levels – climate/region, task, glare, etc

          2. Temperature – activity level

          3. Humidity

          4. Acoustics – activity type, variety of uses

        • Health issues

          1. Mold

          2. VOC off-gassing

          3. “Sick building syndrome”

          4. Psychological effects (disorientation, glare, daylight deprevation)

      3. Assess the inter-relationships of the natural and built environments

        • Topographical conditions

          1. Registered surveyor or engineer must survey

          2. Affects buildable area of site, cost of construction

        • Hydrological and geological conditions

          1. Soils report

            1. Bearing capacity, depth to bedrock, water table, expansive nature, soil type, moisture content

            2. affects the foundation and structural system, drainage, and building form

        • Climatic conditions

          1. Wind

            1. affects structural requirements, building orientation, types of spaces

          2. Solar Orientation

            1. Affects daylighting strategies, mechanical design

          3. Temperature and Humidity

            1. Affects ventilation requirements, building envelope, mechanical systems

          4. Precipitation

            1. Affects roof slope, drainage strategies

        • Flora and Fauna – affect location and size of buildable area

          1. Wildlife corridors

          2. Wetlands

          3. Endangered species

          4. Lakes and streambeds (Dept. of Fish and Game)

        • Existing built environment

          1. Buildings – determine architectural context, access to light/views, urban context

          2. Infrastructure – affects energy design, sustainability strategies

          3. Archaeological sites – affect buildable area and location on site

        • Sustainability

          1. Green design

            1. Reduce exposure to noxious chemicals

            2. Conserve non-renewable energy and scarce materials

            3. Minimize life-cycle ecological impact of energy and materials

            4. Protect and restore local air, water, soils, flora and fauna

            5. Support pedestrians, bicyclists, mass-transit, and other alternatives to fossil fuels

          2. Financial benefits

            1. Energy savings

            2. Last longer

            3. Higher quality

            4. Greater occupant satisfaction and productivity

            5. Rebate incentives

            6. Pays for itself in just a few years

          3. Green Oganizations

            1. USGBC

          4. Community benefits

            1. Increased sensitivity to resource use

            2. Sensitivity to pedestrian and mass transit opportunities

            3. Local materials equals local economic investment

        • Natural and man-made hazardous conditions: Evaluate property history and government records, do an on-site investigation

          1. Seismic Activity – affects structural system, location on site

          2. Fire – affects exterior building materials, landscaping strategies

          3. Hazardous Materials –

      4. Determine which laws, codes, regulations, and standards apply

        • Local codes, regulations, and standards

          1. San Francisco Bay Conservation and Development Commission

          2. Tahoe Regional Planning Agency

          3. The Reclamation Board (central valley)

        • California codes, regulations, and standards (CBC 101.17)

          1. Title 24

            1. CBC

            2. CHBC





            3. Ca Energy Code

              1. Mandatory Measures

              2. Compliance Approaches

                • Prescriptive – meet various specific requirements for each building component

                • Performance – …”use no more source energy from depletable sources than the energy budget, calculated according to section 141”

          2. Agencies with codes

  • AGR (Dept. of Food & Agriculture) – Dairies & Meat Inspection facilities – (enforced by Dept. of food and agriculture)

  • BOC (Board of Corrections) – Local detention facilities (enforced by Board of Corrections)

  • BSC (Ca Bldg Standards Commission) – State buildings, incl. UC and Cal State, where no state agency has authority to adopt building standards (enforced by BSC)

  • CA (Consumer Affairs) – usually enforced by local jurisdiction

      • Board of Barber examiners – Barber Shops

      • Board of Cosmetology – Schools of Cosmetology and Electrology

      • Medical Board of Ca. Accupuncture Committee – Accupuncture offices

      • Board of Pharmacy – Pharmacies

      • Board of Examiners in Vet. Medicine – Vet facilities

      • Structural Pest control Board – Structural Pest Control (enforced by SPCB)

  • CEC (Ca Energy Commission) – ALL occupancies (enforced by local jurisdiction)

  • DHS (Dept of Health Services) – organized camps; lab animal quarters; public swimming pools; radiation protection; commissaries serving mobile food prep. Vehicles; wild animal quarantine

  • DWR (Dept of Water Resources) – single family residences w/ grey water landscape irrigation (enforced by local jurisdiction)

  • HCD (Dept of Housing & Community Dev.) – Hotels, motels, lodging houses, apartment houses, dwellings, dormitories, condominiums, shelters for homeless persons, congregate residences, employee housing, factory-built housing, etc. (enforced by local jurisdiction)

  • HCD /AC (Dept of Housing & Community Dev., Access Compliance) - Hotels, motels, lodging houses, apartment houses, dwellings, dormitories, condominiums, shelters for homeless persons, congregate residences, employee housing, factory-built housing, etc. (enforced by local jurisdiction or HCD)

  • DSA /AC (Division of the State Architect, Access Compliance) -

  • DSA /SS (Division of the State Architect, Structural Safety) -

  • OSHPD (Office of Statewide Health Planning and Development) – Hospitals (enforced by OSHPD, who enforces DSA access and SFM for hospitals)

  • SFM (Office of the State Fire Marshal) -

  • SHB (State Historical Building Code Advisory Board) – Historical buildings

  • SL (State Librarian) – State libraries (enforced by State Librarian)

          1. Essential services

            1. Building Types

              1. Fire Station

              2. Police Station

              3. Emergency Operations Center

              4. Ca Highway Patrol Office

              5. Sheriff’s Office

              6. Emergency Communication Dispatch Center




            1. Requirements for Essential Services bldgs

              1. Construction Observation/Administration Required

              2. Periodic Review of Construction by Arch, Civil, or structural in general responsible charge (make a report)

              3. Continuous inspection by qualified inspector (can be architect of record)

              4. Structural design factor 1.5

              5. Soils/geological report required

              6. “Shall be designed…minimize fire hazards and resist… earthquakes, gravity & winds”

              7. To be carefully reviewed by approval agency and carefully and completely inspected during construction

              8. Communications, Main transformers, switching equipment, emergency backup generators, etc. must be adequately strapped and restrained to stay in service after an emergency

          1. Laws and Acts

            1. CEQA

            2. California Coastal Commission

            3. Fish & Game (lakes and streambeds)

            4. CCR Title 24

            5. California Code of Regulations (CCR)

        • Federal codes, regulations, and standards

          1. There is no federal building code

          2. Federal government regulates building of its own facilities (federal land, military installations, etc.)

          3. Federal can preempt states if required (EPA, OSHA)

          4. Can require standards for federal aid, assistance, and insurance

          5. Agencies/Acts

            1. US Fish and Wildlife

            2. US Army Corp of Engineers (any project involving locating structures, excavating, or discharging dredged or fill material into United States waters)

            3. EPA/NEPA

            4. ADA/ANSI 117

            5. Code of Federal Regulations (CFR)

            6. Endangered Species Act

            7. Wetlands and Clean Water Act

            8. Wild and Scenic Rivers

            9. Clean Air Act

            10. OSHA – Occupational Safety and Health Act

        • Community standards (HOAs)

      1. Assess and apply specific provisions of relevant laws, codes, regulations, and standards

        • Local requirements, review and approval processes

          1. Requirements

            1. General Plan – City’s comprehensive declaration of purposes, policies, and programs for development of a city (maps, diagrams and text) to set forth objectives, principles, and standards

            2. Specific Plan – Strategies and policies for a more narrowly defined particular geographic area within a city

            3. Building regulations -

            4. Zoning ordinance – type/density of land use

            5. Conditional Use Permit – allows case-by-case exception to the allowed use of a property

          2. Review and approval

            1. Plan check – generally will check for code compliance to fire and life safety requirements, accessibility, and other local regulations

            2. Design review

            3. Environmental Review (see below)



        • State requirements, review and approval processes

          1. Environmental review

            1. Goal: Protection of land, water, air, and life (also efficiency, national security, preservation of aesthetics and recreation, community stability, and sustainability)

            2. CEQA

              1. Planning

                • Project proposal prepared

                  1. Lead agent identified – usually local planning

                  2. May hold “scooping” meetings to determine requirements

                • Application

                  1. File permit application forms with supporting docs

                  2. Agency determines completeness w/in 30 days

                  3. Accepted as complete (1 year to prepare and certify an EIR, 180 days for negative declaration, 60 days to determine if exempt)

                • Review

                  1. Determine whether exempt or non-exempt

                  2. Initial Study – determine whether negative declaration or negative declaration with mitigating measures will be issued – if not, proceed with EIR

                  3. Environmental Impact Report (EIR)

                  4. Notice of Preparation sent to responsible agencies

                  5. Draft EIR prepared with recommendations from responsible agencies

                  6. Lead agency files Notice of Completion of the EIR and gives public notice of the availability of the draft EIR

                  7. Public review period

                  8. Lead agency prepares Final EIR including responses to comments on draft EIR

          2. Findings are made on feasibility and avoiding significant environmental impacts, and decision is made

        • Federal requirements, review and approval processes

          1. On federal projects (federal land, and certain resources such as air, water quality, wildlife, and navigable waters) – environmental review goes through NEPA

          2. NEPA process similar to CEQA, only not mandatory, only required to consider the recommendations





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