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Muhammad Amin2020
A GUIDE
EDITION
TO
Canadian Handbook
Canadian Handbook
Determining Appropriate
of Practice
Fees for
forthe
Architects
Services of an Architect
|I
of Practice for Architects
2020 EDITION | VOLUME ONE
Architectural Institute of British Columbia
Alberta Association of Architects
Northwest Territories Association of Architects
Saskatchewan Association of Architects
Manitoba Association of Architects
Ontario Association of Architects
Ordre des architectes du Québec
Architects’ Association of New Brunswick /
Association des architectes du Nouveau-Brunswick
Nova Scotia Association of Architects
Architects Association of Prince Edward Island
Architects Licensing Board of Newfoundland and Labrador
RAIC.ORG | Royal Architectural Institute of Canada I
Canadian Handbook of Practice for Architects
Third Edition
English
Hardcopy: E-book:
Volume One: ISBN: 978-0-919424-81-4 Volume One: ISBN: 978-0-919424-83-8
Volume Two: ISBN: 978-0-919424-85-2 Volume Two: ISBN: 978-0-919424-87-6
French
Hardcopy: E-book:
Volume One: ISBN: 978-0-919424-82-1 Volume One: ISBN: 978-0-919424-84-5
Volume Two: ISBN: 978-0-919424-86-9 Volume Two: ISBN: 978-0-919424-88-3
© 2020 Royal Architectural Institute of Canada
This Handbook is subject to the Copyright Act, R.S.C. 1985, c. C-42. You may not reproduce this Handbook, in whole or
in part, by any means and in any format, for any purposes of commercial or non-commercial distribution, except as
described below, without prior written permission from the Royal Architectural Institute of Canada.
You may reproduce any part of this Handbook, by any means and in any format, and without charge or further permission,
for educational purposes only, provided that you:
a. Exercise due diligence in ensuring the accuracy of the reproduced materials;
b. Indicate the complete title of the reproduced material and identify the Royal Architectural Institute of Canada as the
source; and
c. Indicate that the reproduction is a copy of the version available at http://www.raic.org.
If you are a Canadian Architect or Licensed Architectural Technologist, you may, for purposes related to your practice of
architecture:
copy reproduce, and modify the sample resources such as checklists and templates provided in this Handbook, by any
means and in any format, and without charge, further permission, or attribution; and
reproduce any other part of this Handbook, by any means and in any format, and without charge or further permission,
provided that you:
a. Exercise due diligence in ensuring the accuracy of the reproduced materials;
b. Indicate the complete title of the reproduced material and identify the Royal Architectural Institute of Canada as
the source; and
c. Indicate that the reproduction is a copy of the version available at http://www.raic.org.
The Canadian Handbook of Practice for Architects is produced through a consensus building process involving many
practitioners in the Canadian architectural community. The Handbook describes procedures for general practice only and
is neither exhaustive nor complete. The application of these procedures may vary, such as variances from province to
province. The Handbook does not constitute legal or professional advice. The Handbook outlines recommended practices;
however, these recommendations are not to be interpreted as a standard of practice nor a standard of care in the provision
of professional services. Neither the Royal Architectural Institute of Canada, the Editorial Board, the editors nor provincial
and territorial associations of architecture take responsibility for the accuracy or completeness of any information or
its fitness for any particular purpose, nor accept any responsibility or liability for loss or damage which may be suffered
because of the use and interpretation of this Handbook.
Cover
The Dock Building, Vancouver, British Columbia
Michael Green Architecture
Photographer: Ema Peter Photography
2020 EDITION
Canadian Handbook of Practice for Architects
Introduction
The practice of architecture requires a wide range of professional skills. These include the knowledge and
skill to design buildings, a thorough understanding of sound and economical construction, proficiency in the
application of business and legal principles, and the ability to motivate, coordinate, and manage a complex
network of stakeholders. The architect must be designer, construction expert, manager, and leader. It is hoped
that this new Third Edition of the Canadian Handbook of Practice for Architects will contribute to improving the
practice of architecture and, consequently, help to improve the built environment and architecture in Canada.
The Canadian Handbook of Practice for Architects is the result of a great collaborative effort by the architectural
profession from every region of the country. This Third Edition of 2020 has been developed and published in
both official languages.
Objectives of the Canadian Handbook of Practice
The Handbook is mainly for practising architects and those who plan on becoming architects. In addition, it is
also meant for those non-architects who want to better understand the profession. With these users in mind,
the Handbook’s objectives are to:
provide an instructional resource book for architectural students and interns working in the architectural
profession;
establish a reference document to assist architects and others in Canada by providing concise and current
information.
The Handbook includes information and advice, in the form of summaries, lists, checklists, charts and sample
documents, as well as sources of additional reference material.
History
In March of 1974, the Ontario Association of Architects (OAA) initiated the production of a Canadian Handbook
of Practice for Architects, specifically tailored to Canadian architectural practice. J. Hugh Westren, the Editor
of the first edition, was commissioned in June 1974 to start work on a Handbook of national scope. The
first edition was published in 1976. In the early 1990s, some revisions were made to a few sections of the
Handbook. Many of these revisions were reprinted from information provided by The American Institute of
Architects.
In January of 1997, the National Practice Program — an alliance of the ten provincial associations of architects
and the Royal Architectural Institute of Canada — appointed a national Editorial Board to direct the creation
of a new, updated edition of the Canadian Handbook of Practice for Architects. The National Practice Program
approved a business plan for this venture in June of 1998 with the development costs being underwritten by
all provincial associations of architects. Editors were appointed, and the writing and editing of this new edition
commenced in the fall of 1998. The First Edition was published in 1999.
In April 2004 the provincial associations of architects assigned the copyright for the Canadian Handbook of
Practice for Architects and other documents of the architecture profession to the RAIC. In the spring of 2008,
the RAIC Board of Directors appointed an Editorial Board to direct the updating of the First Edition of the
Canadian Handbook of Practice for Architects. This Second Edition, primarily distributed in electronic format,
was published in the spring of 2009. This edition incorporated all of the four supplements issued since the
1999 edition; as well, references were updated, new information was incorporated, and advice was revised to
meet current standards of practice.
RAIC.ORG | Royal Architectural Institute of Canada III
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Canadian Handbook of Practice for Architects
In 2018, the RAIC and the provincial and territorial associations of architects commenced the project to create
the Third Edition of the Canadian Handbook of Practice for Architects. The RAIC launched open calls to select
architects to participate on the Editorial Board and to recruit subject matter experts to revise existing and
develop new content. The Third Edition adopted a new structure and format to better accommodate web-
based and electronic book format delivery. New chapters were added to address changes in the design-
construction industry landscape, emerging project delivery methods, and the needs of interns and emerging
practitioners.
Format
Part One: Theory and Background
The seven chapters of Part One present an overview of the architectural profession and the responsibilities,
scope and pathway of career development of the architect.
Part Two: The Context of Practice
Part Two includes five chapters that summarize the needs and perspectives of key stakeholders of the design-
construction industry.
Part Three: Management of the Architectural Practice
The 11 chapters of Part Three present an introduction to the business and professional environment in which
an architect works.
Part Four: The Design-Construction Program
Part Four includes two chapters that describe traditional and emerging methods for design-construction
program delivery and construction cost planning and control.
Part Five: Management of the Design Project
The five chapters of Part Five describe managing the design project from concept to post-construction.
Part Six: Phases of the Design Project
Part Six includes eight chapters that describe the scope and work involved in delivering architectural services
through the traditional seven phases of the design-construction program.
Improving the Handbook
Our profession and society are experiencing constant change. As a result, the Handbook will require constant
revision and improvement. Your suggestions about information that should be added, or existing material
that should be revised, are welcome. Suggestions and comments should be addressed to:
The Royal Architectural Institute of Canada
[email protected] and [email protected]
IV Royal Architectural Institute of Canada | RAIC.ORG
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Appreciation
I thank all of those who contributed to the Canadian Handbook of Practice for Architects Third Edition, as well
as those who laid the groundwork by contributing to the 1974, 1999 and 2009 editions. For this Third Edition,
dozens of subject matter experts reviewed content, authored new material, and engaged in discussions about
architectural practice that were both detailed and enlightening. Numerous volunteers reviewed content at
several stages to validate correct architectural practice and procedures, and helped make the Handbook more
accurate and relevant.
The members of the Editorial Board are to be singled out for special thanks for frequently rising to the
challenge of reviewing large volumes of content on short notice. The Steering Committee is acknowledged for
their guidance and support.
Many hands make light work. I thank Janine Alyson Young, English language editor, France Jodoin, French
language editor and translator, Vicky Coulombe-Joyce, Design TANDEM, graphic design and layout, Jacques
Berger and Pascale Bourassa, Code3, web site design, Kate Murphy, proof-reader, and the staff of the RAIC
Program Office for their work and support.
Donald Ardiel, OAA, MRAIC
Editor-in-Chief
June 2020
Canadian Handbook of Practice for Architects
RAIC.ORG | Royal Architectural Institute of Canada V
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Acknowledgements
The Royal Architectural Institute of Canada gratefully acknowledges all the individuals over the past four
decades who have contributed to the creation of the Canadian Handbook of Practice for Architects.
Editorial Board for this Third Edition
Donald Ardiel, B.Arch., MDE, OAA, MRAIC, PMP, Editor-in-Chief, RAIC Director, Practice Support/Director,
Syllabus; architect, project manager, educator, generalist.
Cathy Capes, OAA, LEED AP, is a senior architect and writer with the Toronto office of architects Tillmann Ruth
Robinson, a firm that has been integral to the development of public life and institutions in Ontario since 1908.
Bill Chomik, FRAIC, Hon FAIA, AAA, AIBC, OAA, SAA, RCA is a Senior Principal with the Calgary office of Kasian
Architecture, Interior Design and Planning. He serves as Vice-President of the firm’s Institutional Market Sector.
Currently an adjunct professor with the University of Calgary School of Architecture Planning and Landscape,
he holds previous roles as President of the RAIC, Chair of the Banff Sessions Committee, Juror for the Canadian
Architect Awards of Excellence, and Chair of the Calgary Urban Design Review Panel.
Sebastien Desparois, MIRAC, OAQ, MBA, PMP joined the Ordre des architectes du Québec in 2015, where he
heads the admission, inspection, continuing education and practice support services. In parallel, he acts as a
lecturer at the School of Architecture at the University of Montreal, where he teaches the professional practice
course to professional master’s students. As an architect, he has participated in numerous collective housing
projects in Quebec and abroad.
Larry Jones, FRAIC, AAPEI, practiced architecture in PEI since 1974 and operated his own firm since 1976.
Having retired from active participation in 2018 he continues to consult with Nineyards Studio as an emeritus
member of the firm. Larry has held various positions with the Architects Association of PEI including 2 terms
as president.
Yew-Thong Leong, OAA, FRAIC, Associate Professor, Faculty of Engineering and Architectural Sciences and
the Yeates School of Graduate Studies, Ryerson University; Managing Director of SSG Architecture Inc. and
SSG Beijing. Yew-Thong is the author of the blog “Working With Wright”. The blog journals the reconstruction
of Frank Lloyd Wright’s Banff Pavilion.
Brian Palmquist, Architect AIBC MRAIC BEP CP LEED AP practices, teaches and writes about design and
construction. In 2019 he published the second edition of “An Architect’s Guide to Construction—Enduring Ways
in the Age of Immediacy.” The book won two Reader Views Literary Awards in 2020—1st prize in Business; 2nd
prize in Education. He lives in Vancouver, BC.
John Romanov, OAA, AAA, MRAIC, AAIA, CET, LEED, The philosophy employed by Romanov Romanov Architects
Incorporated, and exemplified in John’s work is to identify the specific requirements of the client and to satisfy
these in the most meaningful and expeditious manner.
Kris Schlagintweit, B.Arch, NWTAA, was registrant #13 when the NWTAA came into being in 2001, and has
devoted her entire career to arctic and sub-arctic architecture, principally in the public sector.
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Editorial Board for the Second Edition (2009)
(as printed in the Second Edition)
D. Gregg Brown, FRAIC, MAIBC, REFP, LEED AP, is a principal of KMBR Architects Planners Inc., Vancouver,
British Columbia, a full service firm focused on sustainable community architecture.
Cathy Capes, MRAIC, OAA, LEED AP, is a project architect with Farrow Partnership Architects in Toronto,
Ontario, who create architecture that lifts the human spirit while advancing clients’ business goals.
Pierre Corriveau, MIRAC, OAQ, has been in practice since 1982 and today he is associated with Sylvie Girard
where he directs the firm, Corriveau et Girard. Their Montréal firm specializes in health care and institutional
projects. Pierre was a member of the Editorial Board for the first edition in 1999.
Louis Lessard, MRAIC, OAQ, launched his own practice in 1995. In 2007 the firm became Lessard & Côté
Architectes. In 2008-2009 Louis was the Vice-President of the Association des architectes en pratique privée
du Québec or AAPPQ, serves on committees at the Ordre des architectes du Québec (OAQ) and teaches at the
University of Montréal.
Rick Linley, FRAIC, MAA, M.Arch, PMP, LEED AP, is a principal and Chief Operating Officer with Smith Carter
Architects and Engineers Incorporated, based in Winnipeg, Manitoba.
Robert J. Ojolick, MRAIC, B.Sc., B.Arch., NSAA, MCIP, LPP, is president of R.J. Ojolick & Associates Ltd., Architects
and Planners, Sydney, Nova Scotia. Bob practices architecture and planning in eastern Nova Scotia and is a
past president of the Nova Scotia Association of Architects (1980 – 1982). Bob was a member of the Editorial
Board for the first edition in 1999.
Barbara Shipman, FRAIC, AAA is principal of Barbara Shipman Architect. The firm provides services ranging
from project business cases, programming and advocate architect roles during design and construction, to
facility design, construction and contract administration primarily for institutional projects.
Editorial Board for the First Edition (1999)
(as printed in the First Edition)
John Bobaljik, OAA, FRAIC
Pierre Corriveau, OAQ
Michal Kohler, FRAIC
Terry Mager, MAIBC, MRAIC
Robert Ojolick, NSAA, MRAIC
Paul-André Tétreault, OAQ, FRAIC
Andrew Wach, MAA
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Contributors to this Third Edition
Marie-Ange Adousso, M.Arch., OAQ, is a sole practitioner based in Saint-Jean-sur-Richelieu, Québec.
Luke Andritsos, OAA, AIA, RA (CA), NCARB, LEED AP BD+C, MRAIC is an architect licensed in Ontario and
California and a sole proprietor based in Toronto, Ontario.
Megan Beange, M.Arch, is the National BIM Lead for Public Services and Procurement Canada, and the
Program Coordinator of the BIM Lifecycle Management Graduate Certificate Program at Algonquin College, in
Ottawa, Ontario.
Kari Braaten, B.Com, CPHR, CCP, is a Human Resources Manager based in Calgary, Alberta.
Graeme Bristol, BA, B.Arch, MASA, LLM, MRAIC, Retired Architect AIBC is the founder and Executive Director
of the Centre for Architecture & Human Rights.
Marc Chadillon, B.Arch., M.P. Adm., OAQ, is a project leader for Public Services and Procurement Canada,
Quebec region, in Montreal, Quebec.
Raymong Chung B.Sc.,B.Arch.,M.Arch.,OAA,PMP,FMP,SFP, is a Professor, Architecture - Project and Facility
Management, Director of Project Services at Conestoga College and an instructor at Ryerson University.
Michael Chomik, B.Comm., is the Director of Marketing at GEC Architecture with offices in Calgary, Edmonton
and Toronto.
Claudia Cozzitorto, OAA, MRAIC, B.Arch., M.Arch, LEED AP, is the Director of Design Technologies at Diamond
Schmitt Architects, Toronto, Ontario.
Ivan Desroches, DIPL. ARCH., OAA, RAIC, OAAAS, A.Sc.T. is an Architectural Advisor at the House of Commons
in Ottawa, Ontario.
Toon Dreessen, B.Arch., OAA, FRAIC, is president of Architects DCA Inc. in Ottawa, ON, and a Past President
of the OAA.
Ted DuArte, Lic. Tech. OAA, MRAIC, is an Associate and Contract Administration Manager at WZMH Architects,
in Toronto, Ontario.
François Dufaux, Architecte, O.A.Q. B. Arch., M.U.P., Ph.D., Directeur de la Maîtrise professionnelle, en
sciences de l’architecture, en design urbain Professeur agrégé.
Jill Eagleson is the Leader of Project Risk Mitigation at DIALOG, a multi-disciplinary firm with offices throughout
Canada.
Graham Edgar, MArch, ARB, NSAA, RAIC, is the founder of Wild Salt Architecture on Nova Scotia’s South Shore.
Geneviève Gagnon, M.Arch., OAQ, is a practitioner specialized in technico-legal expertise with Bisson et
associés architectes, based in Quebec City, Quebec.
Cameron Gillies, AAA, MRAIC, LEED AP, is an Architect specializing in predesign with The City of Calgary’s
Facilities Division.
Kfir Gluzberg, B.A.S., M.Arch., M.A.A., OAA, is the founder and director of Kilogram Inc. practicing in Toronto,
Ontario.
Leic Godbout, B.Arch., OAQ, is a practitioner specialized in technico-legal expertise with Bisson et associés
architectes, based in Quebec City, Quebec.
Duncan Harvie, B. Arch, OAA, RAIC, RIBA is a principal at MBTW / W Architect Inc. in Toronto and a part time
Instructor at Centennial College.
Cliff Harvey, MSc(HQ), OAA, FRAIC is the Chief Planning Officer for Niagara Health, and is based in Toronto,
Ontario.
Melissa Higgs, M.Arch, AIBC, FRAIC, is a Principal at HCMA Architecture + Design with offices in Vancouver,
Victoria and Edmonton.
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Francois Hogue, architect, B.Arch., M.Sc., FRAIC, MOAQ (retired), sole practicing freelance consultant.
Allen Humphries, B.E.S., B.Arch., Diploma Computer Programing & Systems Administration, Architect
(retired), is the senior Practice Advisor at the Ontario Association of Architects, in Toronto, Ontario.
Ramzi Kawar, M.Arch., NSAA, MRAIC, is Manager, Building Design at Housing Nova Scotia.
Tang Lee, M.Arch., AAA, MRAIC, is a partner in Lee & de Ridder Architecture in Calgary and is Professor
Emeritus at the University of Calgary.
Jonathan Leong, B.Comm., Technical Consultant at Octane Systems Ltd.
David Lopes, MArch, MRAIC, MAAPEI is the principal of Coast Design located in Charlottetown, PE.
Rick MacEwen, OAA, NSAA, AANB, FRAIC, is a partner of Watson MacEwen Teramura Architects in Ottawa, Ontario.
Bernie McGarva is a lawyer/mediator/arbitrator and partner at Aird Berlis LLP, in Toronto, Ontario, practicing
in the field of construction law and commercial litigation.
Christie Mills, B.Comm., B.Arch., OAA, is the Registrar at the Ontario Association of Architects in Toronto,
Ontario.
Naomi Minja, M.Arch, Architect, AAA, FRAIC, is the Regional Manager Project Management - Public Services
and Procurement Canada Western Region in Edmonton, Alberta and former Executive Director of the Alberta
Association of Architects and former Director of Communications for DIALOG.
Rowley Mossip, MBA, AOCA, B.E.S (Arch), is Principal at Innovia Partners in Toronto, a management consultant
with a focus on architecture, engineering and related businesses.
Barbara Nicholson, B. Arch., AANB retired in 2019 as Associate Vice President for Capital Planning and
Property Development at the University of New Brunswick, Fredericton, NB.
Justin Perdue, M.Arch, OAA, MRAIC is a Principal at HDR Architecture Associates Inc., based in Toronto, Ontario.
Stephen Pope, OAA, FRAIC, Associate ASHRAE, is the Sustainability Consultant at CSV Architects Inc., in Ottawa,
providing design decision support in building science, and energy modelling for whole buildings and building
assemblies.
Bruce Raber, M.Arch, AAA Life Member, AIBC retired architect, practiced 40 years with a focus on Healthcare.
Gordon Richards, B.Arch., Architect AIBC, FRAIC, is a Senior Consultant with Jensen Hughes Consulting
Canada Ltd. in Vancouver, BC.
Jason Robbins, M.Arch., MAA, MRAIC, is the Principal of JC Robbins Architecture, an advocate architecture
practice based in Winnipeg, Manitoba.
Leonard Rodriques, B. Arch., M.Arch.A.S., M.C.P., AIBC, AAA, FRAIC, is a principal with Thinkspace Architecture
Planning Interior Design with offices in Surrey and Kelowna, BC, and Edmonton, Alberta, and a member of the
AAA Practice Advisory Committee.
Basima Roshan, B.com, CPA, MBA, is a management consultant with Innovia Partners, specializing in the AEC
sector, in Toronto, Ontario.
Andre Sherman, D. Arch. D., B. Arch., OAA is a sole practitioner Architect based in Toronto, Ontario.
Terrence Smith-Lamothe, M. Arch., MRAIC, NSAA is the Principal at Architech, Ltd. with an office in Halifax,
Nova Scotia.
Ariel Thomas is a lawyer in Toronto, Ontario, practicing copyright law.
Stephanie Helen Tremblay, M. Arch., OAQ, LEED BD+C AP, PMP, is a project manager for Public Services and
Procurement Canada and is based in Montréal, Québec.
Henry Tsang, B.Sc.Arch., M.Arch., Ph.D., OAQ, MRAIC, is an architect and assistant professor in the RAIC
Centre for Architecture at Athabasca University, based in Alberta.
Abhay Vaid, OAA, MRAIC, LEED AP, PMP is Director of V.A. Architect Inc. with office in Mississauga, Ontario.
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Original contributors for the First Edition (1999)
(as printed in the First Edition)
Douglas K. Allen, B.Arch., OAA, FRAIC, is a partner in Allen & Sherriff, Inc. with offices in Richmond Hill,
Ontario and Mississauga, Ontario.
Gordon Archibald is a lawyer and an associate at NelliganPower, in Ottawa, Ontario, practising in the area of
business law with special emphasis on the needs of technology companies.
John Bobaljik, B.Arch., OAA, FRAIC, is the Practice Advisor at the Ontario Association of Architects, in Toronto,
Ontario.
Paule Boutin, B.Arch., OAQ, is a sole practitioner based in Montréal, Québec.
Anthony Butler, B.Arch., OAA, FRAIC, is a sole practitioner based in Hamilton, Ontario.
Richard Coulombe, B.Arch., M.Sc., OAQ, MPMI, is an architect and project management professional in Scéno
Plus (experts in theatre and entertainment projects) in Montréal, Québec and also is a consultant in project
management.
John G. Davies, B.Arch., C.Arb., OAA, MRAIC, is President of John G. Davies, Architect, Incorporated, based in
Ottawa, Ontario.
Peter Dobbing, B.Arch., MRAIC, FCSC, RSW, is a retired architect and a Life Member of Construction
Specifications Canada, in Ottawa, Ontario.
Thomas Emodi, B.Arch., M.E.S., NSAA, RAIC, is principal of Thomas Emodi: Architect operating in Canada and
Australia, and a professor and the Dean of Faculty of Architecture at Dalhousie University in Halifax, Nova
Scotia.
Michael A. Ernest, MAIBC, is the Director of Professional Services of the Architectural Institute of British Columbia.
Martin Gerskup, B.Arch., OAA, MRAIC, is principal of the building science firm, Best Consultants, and sole
practitioner, Martin Gerskup Architect, based in Richmond Hill, Ontario.
Daniel B. Goodspeed, B.Arch., NSAA, MRAIC, is a partner in Kassner/Goodspeed Architects, based in Halifax,
Nova Scotia.
Charles Hazell, B.Arch., OAA, is a partner at Taylor/Hazell Architects Ltd. (1992), Architects and Restoration
Consultants, in Toronto, Ontario.
Lloyd A. Hilgers, B.A., M.Arch., MBA, OAA, MRAIC, is a partner in Murphy Hilgers Architects Inc. of Toronto,
Ontario.
Jon Hobbs, B.Arch., M.Pl., OAA, MRAIC, is currently the Advisor, Professional Services, for the National Practice
Program and the Committee of Canadian Architectural Councils, in Ottawa, Ontario.
François Hogue, B.Arch., M.Sc., is a staff architect with Desnoyers Mercure & associés based in Montréal,
Québec.
Allen N. Humphries, B.E.S., B.Arch., OAA, is an employee of Webb Zerafa Menkès Housden Partnership in
Toronto, Ontario and owner of Aleph 5, a consulting company.
Robert Lacoste, B.Arch., OAQ, MRAIC, is a partner in the firm Fichten Soiferman et Associés, architectes in
Montréal, Québec.
Rick Linley, M.Arch., MAA, MRAIC, PMP, is a principal and Quality System Manager with Smith Carter Architects
and Engineers Incorporated, in Winnipeg, Manitoba.
Terry Mager, MAIBC, MRAIC, is a director in Pacific Architectural Group Inc., in Vancouver, British Columbia.
Vivian Manasc, MBA, MRAIC, is principal of Manasc Isaac Architects and is Adjunct Assistant Professor of
Architecture at the University of Calgary.
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Dorothy Mazeau, OAA, MRAIC, is President of Allen Mazeau Associates, in Bolton, Ontario, a firm offering
development services, with a focus on community development.
Robert J. McCrea, B.Arch., OAA, FRAIC, is a sole practitioner based in Toronto, Ontario.
Peter McLaren, B.Arch., OAA, MRAIC, is a shareholder and associate principal of Dunlop Farrow Inc. Architects
and is based in the DFA Toronto office.
David Molyneux, D.Arch., RIBA, OAA, works as a development consultant with CB Richard Ellis and also
provides design-build services as David Molyneux Architect, in Toronto, Ontario.
John A. Neilson, MAIBC, FRAIC, is principal of John A. Neilson Architects Inc., Victoria, British Columbia and
Past President (1998-99) of the Architectural Institute of British Columbia.
David Northcote, B.E.S., B.Arch., OAA, MRAIC, is a senior associate in Reich + Petch Architects Inc. based in
Toronto, Ontario and a Vice President of Reich + Petch Design International with offices in Toronto, Ontario
and London, England.
Robert Northcott, B.Arch., NSAA, is a partner in Lydon Lynch Architects Limited based in Halifax, Nova Scotia.
Hershel B. Okun, B.Arch., OAA, MRAIC, is a sole practitioner and President of Okun Architect Inc., in Toronto,
Ontario.
Richard O’Reilly is a lawyer and a partner at NelliganPower, in Ottawa, Ontario, practising in the areas of
business law and commercial real estate.
Gilbert Paré, M.Arch., OAQ, is a sole practitioner in Montréal, Québec, specializing in architectural translation
and writing.
Stephen F. Pope, B.E.S., B.Arch., OAA, MRAIC, is a sole practitioner in Ottawa, Ontario.
Jak G.P. Redenbach, B.Sc., B.Arch., MAIBC, MRAIC, AIA (Associate), practises architecture in Vancouver, British
Columbia.
Roger Bruno Richard, B.A., B.Arch., M.Arch., OAQ, MRAIC, is Associate Professor and Director of the École
d’architecture at the Université de Montréal in Montréal, Québec.
N. Gerald Rolfsen, B.Arch., M.Arch., D.Arch., MAIBC, FRAIC, is a principal in the consulting firm, The APRA
Group Inc., in Vancouver, British Columbia.
Manfred Schulz, B.E.S., MBA, CMA, is the Chief Operating Officer for GBR Architects Limited in Winnipeg,
Manitoba.
J. Brian Sim, B.A. (Hons), B.Arch., MAIBC, FRAIC, HON. FAIA, HON. FCARM, is a principal of Tielker Sim &
Associates, Architecture, Planning and Interior Design in Vancouver, British Columbia.
Jean-Luc Vadeboncoeur, B.Arch., OAQ, is a project manager and head of design studio at Les architectes
Dupuis Dubuc et associés, in Montréal, Québec.
Grant Van Iderstine, B.Arch., MAA, MRAIC, is a principal with Smith Carter Architects and Engineers
Incorporated, a multi-disciplinary A/E firm based in Winnipeg, Manitoba.
John R. White, B.E.S., M.Arch., MAA, MRAIC, works as a senior architect with Public Works and Government
Services Canada providing in-house architectural services to Parks Canada, in Winnipeg, Manitoba.
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Sponsorship
The Canadian Handbook of Practice for Architects Third Edition was made possible with the financial support of:
Architectural Institute of British Columbia
Alberta Association of Architects
Northwest Territories Association of Architects
Saskatchewan Association of Architects
Manitoba Association of Architects
Ontario Association of Architects
Ordre des architectes du Québec
Architects’ Association of New Brunswick /
Association des architectes du Nouveau-Brunswick
Nova Scotia Association of Architects
Architects Association of Prince Edward Island
Architects Licensing Board of Newfoundland and Labrador
and
Royal Architectural Institute of Canada
XII Royal Architectural Institute of Canada | RAIC.ORG
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Canadian Handbook of Practice for Architects
Volume One –
Image and Photograph Credits
Cover
The Dock Building
Architects: MGA | MICHAEL GREEN ARCHITECTURE
Photo credits: Ema Peter
Page 1
Gilles Vigneault Performance Hall
Architects: Atelier TAG and Jodoin Lamarre Pratte architectes (consortium)
Photo credits: Adrien Williams
Page 100
Lake Kawagama Retreat
Architects: Shim-Sutcliffe Architects Inc.
Photo credits: Scott Norsworthy
Page 101
Polygon Gallery
Architects: Patkau Architects
Photo credits: Ema Peter
Page 219
Springdale Library
Architects: RDH Architects (RDHA)
Photo credits: Nic Lehoux
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Canadian Handbook of Practice for Architects
Volume One –
Index of Checklists
PART TWO
Chapter 2.2 – The Client
Appendix B – Guidelines and Checklists: Issuing Requests for Proposals (RFPs) 131
Chapter 2.3 – Consultants
Appendix C – Checklist: Coordinating Consultants 170
PART THREE
Chapter 3.1 – Starting and Organizing an Architectural Practice
Appendix B – Checklist: Issues to Consider for Partnership Agreements 235
Appendix C – Checklist: Issues to Consider for a Shareholders’ Agreement for
Architectural Corporations 238
Appendix D – Checklist: Issues to Consider when Preparing a Joint Venture Agreement 242
Chapter 3.2 – Succession Planning
Appendix B – Checklist: Consideration Upon Dissolution 255
Appendix C – Checklist: Items for Consideration in a Buy/Sell Agreement 257
Appendix D – Checklist: Items for Consideration in Succession Planning 260
Chapter 3.5 – Office Administration
Appendix A – Checklist: Information to Include in a Manual on Office Policies
and Procedures 306
Chapter 3.6 – Human Resources
Appendix A – Checklist: Issues for Consideration in an Employment Agreement 339
Chapter 3.8 – Risk and Professional Liability
Appendix C – Checklist: Contract Review 383
Appendix D – Checklist: Issues to Consider When Assembling the Consulting Design Team 387
Chapter 3.9 – Architectural Services and Fees
Appendix B – Checklist: Supplemental Architectural Services 403
Chapter 3.11 – Standard Templates for Architectural Practice
Appendix A – Employment Agreement 458
Appendix B – Financial Forms 463
Appendix C – Stamps 470
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List of abbreviations used in the
Design and Construction Industry
A4LE Association for Learning Environments AIAS American Institute of Architecture Students
AA Aluminum Association AIBC Architectural Institute of British Columbia
AAA Alberta Association of Architects AITC American Institute of Timber Construction
AAMA American Architectural Manufacturers ALBNL Architects Licensing Board of Newfoundland and
Association Labrador
AANB Architects’ Association of New Brunswick AMA Architectural Metals Association
AAPEI Architects Association of Prince Edward Island AMCA Air Movement and Control Association Inc.
AAPPQ Association des architectes en pratique ANA Authorized Nominating Authority
privée du Québec ANSI American National Standards Institute
AAPT Association of Asphalt Paving Technologists APA American Plywood Association
ABET Accrediting Board for Engineering and APEC Asia-Pacific Economic Cooperation
Technology
APEGM Engineers Geoscientists Manitoba
ACE Architects’ Council of Europe
API American Petroleum Institute
ACEC Association of Consulting Engineering
Companies|Canada APPA The Association of Higher Education Facilities
Officers
ACEQ Association of Consulting Engineers of Quebec
APR Architectural Program Report
ACI American Concrete Institute
APTi The Association for Preservation Technology
ACP Average Collection Period International
ACPA American Concrete Pavement Association AQPI Association québécoise pour le patrimoine
ACPA American Concrete Pipe Association industriel
ACSA Association of Collegiate Schools of Architecture AR Augmented Reality
ADR Alternative Dispute Resolution ARB Architects Registration Board (UK)
A/E Architecture (or Architectural) and Engineering ARE Architect Registration Examination
AEC Architecture, Engineering and Construction ARI Air Conditioning and Refrigeration Institute
AECB Atomic Energy Control Board ASHRAE American Society of Heating, Refrigerating, and
AECOO Architecture, Engineering, Construction and Air Conditioning Engineers
Owner/Operator ASINEA Asociación de Instituciones de Enseñanza de la
AEC/FM Architecture, Engineering, Construction and Arquitectura de la República Mexicana
Facilities Management ASME American Society of Mechanical Engineers
AEE Association of Energy Engineers ASPE Accounting Standards for Private Enterprises
AFP Alternate Financing and Procurement ASPT Association of Asphalt Paving Technologists
AFP Alternative Funding Plan ASTM American Society for Testing and Materials
AGC Associated General Contractors of America AWCBC Association of Workers Compensation Boards of
AGMCA Architectural Glass and Metal Contractors Canada
Association AWCI Association of Wall and Ceiling Industries
AHA American Hardboard Association International
AHJ Authority/ies Having Jurisdiction AWI Architectural Woodworking Institute
AHRI Air Conditioning, Heating, and Refrigeration AWMAC Architectural Woodwork Manufacturers
Institute Association of Canada
AI Asbestos Institute AWPA American Wire Producers Association
AIA American Institute of Architects AWPA American Wood Protection Association
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AWS American Welding Society CCCA Certified Construction Contract Administrator
AWWA American Water Works Association (CSC)
BCA Building Condition Assessment CCDC Canadian Construction Documents Committee
BCIN Building Code Identification Number CCI Canadian Carpet Institute
BEEP Building Envelope Education Program CCMC Canadian Construction Materials Centre
BEFA Broadly Experienced Foreign Architect CCN Contemplated Change Notice
BIA Brick Industry Association CCPPP Canadian Council of Public-Private Partnerships
BIM Building Information Modeling or Model, also CCUSA Canadian Council of University Schools of
Building Information Management Architecture
BNQ Bureau de normalisation du Québec C&D Construction and Demolition
BOMA Building Owners and Managers Association CD Change Directive(s)
BOMI Building Owners and Managers Institute CDE Common Data Environment
BOT Build-Own-Transfer CDBI Canadian Design-Build Institute
BOOT Build-Own-Operate-Transfer CECA Canadian Electrical Contractors Association
BRE Building Research Establishment CELDF Community Environmental Legal Defense Fund
BREEAM Building Research Establishment Environmental CEM Certified Energy Manager
Assessment Method CERB Canadian Experience Record Book
bSC buildingSMART Canada CES Canadian Education Standard
BSI Building Stone Institute, now National Stone CExAC Committee for the Examination for Architects in
Institute Canada
BxP BIM Execution Plan CFBC Canadian Farm Building Code
CA Construction Act CFCs Chlorofluorocarbons
CA Contract Administrator/Contract Administration CFLA Canadian Federation of Library Associations
CAA Commonwealth Association of Architects CFM Certified Facility Manager
CAA Consulting Architects of Alberta CGA Canadian Gas Association
CABA Continental Automated Building Association CGL Commercial General Liability
CAC Cement Association of Canada CGSB Canadian General Standards Board
CACB Canadian Architectural Certification Board CHBA Canadian Home Builders’ Association
CAD Computer-Aided Design or Computer-Aided CHC Canadian Housing Code
Drawing CHOP Canadian Handbook of Practice for Architects
CADD Computer-Aided Design and Drafting CHRC Canadian Human Rights Commission
CAEAL Canadian Association for Environmental CHRP Certified Human Resources Professional
Analytical Laboratories Inc.
CICC Construction Industry Consultative Committee
CaGBC Canada Green Building Council
CIET Canadian Institute for Energy Training
CALA Canadian Architectural Licensing Authorities
CIQS Canadian Institute of Quantity Surveyors
CANASA Canadian Security Association
CISC Canadian Institute of Steel Construction
CanBIM Canada BIM Council
CITC Canadian Institute of Timber Construction
CASA Canadian Architecture Students Association
CLA Canadian Lumbermen’s Association
CASC Canadian Association of Science Centres
CLA Construction Lien Act
CAV Constant Air Volume
CLAS Calibration Laboratory Assessment Service/NRC
CBAC Clay Brick Association of Canada
CLSAB Canadian Lumber Standards Accreditation
CCA Canadian Construction Association Board
CCAC Canadian Council on Animal Care CM Construction Manager, Construction
CCAC Committee of Canadian Architectural Councils Management
CCBDA Canadian Copper and Brass Development CMA Canadian Museums Association
Association CMC Canada Masonry Centre
CCBFC Canadian Commission on Building and Fire Codes CMCA Canadian Masonry Contractors Association
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CMHC Canada Mortgage and Housing Corporation DND Department of National Defence
CMS Canadian Master Specification ECOSOC United Nations Economic and Social Council
CNSC Canadian Nuclear Safety Commission EEMAC Electrical Equipment Manufacturers Association
CO Change Order(s) of Canada
COFI Council of Forest Industries EFC Electro-Federation Canada
CPA Chartered Professional Accountant EI Employment Insurance
CPC Canadian Plumbing Code EIFS Exterior Insulation and Finish Systems
CPCA Canadian Paint and Coatings Association EIMA EIFS Industry Members Association
CPCA Canadian Portland Cement Association EMS Environmental Management Systems
CPCI Canadian Precast/Prestressed Concrete Institute EPA Environmental Protection Agency
CPD Continuing Professional Development EPN Enterprise Private Network
CPHC Certified Passive House Consultant ESA Environmental Site Assessment
CPHD Certified Passive House Designer EU European Union
CPI Canadian Plastics Institute ExAC Examination for Architects in Canada
CPIA Canadian Plastics Industry Association FHBRO Federal Heritage Buildings Review Office
CPM Critical Path Method FCA Facility Condition Assessment
CPMA Canadian Paint Manufacturers Association FCARM Federación de Colegios de Arquitectos de la
República Mexicana
CPMB Canadian Practice Manual for BIM
FCC Forintek Canada Corporation
CPP Canada Pension Plan
FCI Facility Condition Index
CPTED Crime Prevention Through Environmental
Design FF&E Furnishings, Fixtures and Equipment
CPU Central Processing Unit FGMA Flat Glass Manufacturers Association
CRA Canada Revenue Agency FIDIC International Federation of Consulting Engineers
CRCA Canadian Roofing Contractors’ Association FIRPAC Federal Industry Real Property Advisory Council
CRM Client Resource Management or Customer FMA Facilities Management Administrator (BOMI)
Relationship Management FMEC Factory Mutual Engineering Corporation
CRSCAD Centre for Rebuilding Sustainable Communities FPAA Federación Panamericana de Asociaciones de
after Disasters Arquitectos
CRSI Concrete Reinforcing Steel Institute FPS Forest Product Society
CSA Canadian Standards Association Group FRR Fire Resistance Rating
CSC Construction Specifications Canada GAAP Generally Accepted Accounting Principles
CSDMA Canadian Steel Door Manufacturers Association GANA Glass Association of North America
CSI Construction Specifications Institute GBCI Green Building Certification Inc.
CSLA Canadian Society of Landscape Architects GHG Greenhouse gases
CSR Corporate Social Responsibility GMP Guaranteed Maximum Price
CSSBI Canadian Sheet Steel Building Institute GRESB Global Real Estate Sustainability Benchmark
CTCA Ceramic Tile Contractors Association GST Goods and Services Tax
CTR Certified Technical Representative (CSC) HCFCs Hydrochlorofluorocarbons
CUSMA Canada-United-States-Mexico Agreement HFCs Hydrofluorocarbons
CWB Canadian Welding Bureau HI Hardwood Institute
CWC Canadian Wood Council HRAI Heating, Refrigerating and Air Conditioning
CWDMA Canadian Window and Door Manufacturing Institute of Canada
Association HRM Human Resources Management
DB Design-Build HST Harmonized Sales Tax
DBFM Design-Build-Finance-Maintain HVAC Heating, Ventilation and Air Conditioning
DBOOT Design-Build-Own-Operate-Transfer IAP Internship in Architecture Program
DCC Defence Construction Canada IAQ Indoor Air Quality
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IBC Institute for BIM in Canada MNECB Model National Energy Code for Buildings
ICBO International Conference of Building Officials MRA Mutual Recognition Agreement
ICOGRADA International Council of Graphic Design MSDS Material Safety Data Sheets
Associations MSS Manufacturers’ Standardization Society of Valve
ICOMOS International Council on Monuments and Sites and Fittings Industry
ICSID International Council of Societies of Industrial NAAB National Architectural Accrediting Board
Design NAAMM National Association of Architectural Metal
IDC Interior Designers of Canada Manufacturers
IDP Integrated Design Process NAFTA North American Free Trade Agreement
IDP Intern Development Program NBC National Building Code of Canada
IDT Integrated Design Team NCARB National Council of Architectural Registration
IEC International Electrotechnical Commission Boards (US)
IEEE Institute of Electrical and Electronics Engineers NCC National Capital Commission
IEQ Indoor Environmental Quality NCMA National Concrete Masonry Association
IFC Issued for Construction NDA Non-Disclosure Agreement
IFI International Federation of Interior Architects/ NEMA National Electrical Manufacturers Association
Designers NFC National Fire Code of Canada
IFMA International Facility Management Association NFCA National Floor Covering Association
IFRS International Financial Reporting Standards NFCSS National Fire Codes Subscription Service
INTA International Trademark Association NFPA National Fire Protection Association
IOC International Olympic Committee NGA National Glass Association
IPD Integrated Project Delivery NGO Non-Governmental Organization(s)
IPT Integrated Project Team NHLA National Hardwood Lumber Association
IRC Institute for Research in Construction NIST National Institute of Standards and Technology
IRC International Relations Committee (CALA) NLAA Newfoundland and Labrador Association of
ISO International Organization for Standardization Architects
ISOCARP International Society of City and Regional NLGA National Lumber Grades Authority
Planners NMS National Master Specification
IT Information Technology NPCA National Precast Concrete Association
ITS Intertek Testing Services NRC National Research Council of Canada
IWBI International WELL Building Institute NRCan Natural Resources Canada
JIA Japan Institute of Architects NRV Net Realizable Value
KPMG KPMG Performance Registrar Inc. NSAA Nova Scotia Association of Architects
LAN Local Area Network NWTAA Northwest Territories Association of Architects
LCA Life Cycle Assessment OAA Ontario Association of Architects
LCC Life Cycle Costing OAC Owner-Architect-Contractor
LEED Leadership in Energy and Environmental Design OAQ Ordre des architectes du Québec
LEED AP LEED Accredited Professional OFIA Ontario Forest Industries Association
LoA Letters of Assurance OGCA Ontario General Contractors Association
LOD Level of Development OS Output Specifications
LSGA Laminators Safety Glass Association P3 Public Private Partnership
MAA Manitoba Association of Architects PC Proposed Change
MASH Municipalities, School Boards, Academic, Health PCA Painting Contractors’ Association
& Social Service Sector PCI Precast/Prestressed Concrete Institute
MBWA Management by Walking Around PCN Proposed Change Notice
MCAC Mechanical Contractors Association of Canada PDF Portable Document Format
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PERT Program Evaluation and Review Technique SME Small and Medium-Sized Enterprises
PIT Project Implementation Team SMT Systems Maintenance Technician (BOMI)
PM Project Manager SOAR Strengths, Opportunities, Aspirations, Results
PMI Project Management Institute SOIQ Statement of Interest and Qualifications
PMSP Project Management Service Provider SWOT Strengths, Weaknesses, Opportunities, Threats
PMT Project Management Team TCAA Tile Contractors Association of America
PPE Personal Protective Equipment TCO Total Cost of Ownership
PSPC Public Services and Procurement Canada TIA Traffic Impact Assessment
PST Provincial Sales Tax TIAC Thermal Insulation Association of Canada
PWGSC Public Works and Government Services Canada TPIC Truss Plate Institute of Canada
PxP Project Execution Plan TQM Total Quality Management
QA Quality Assurance TTMAC Terrazzo, Tile and Marble Association of Canada
QBS Quality-Based Selection or Qualification-Based TUNS Technical University of Nova Scotia, now
Selection Dalhousie University
QC Quality Control UDS Uniform Drawing System
QMI Quality Management Institute, a division of CSA UIA Union internationale des Architectes/
QMS Quality Management Systems International Union of Architects
QPP Quebec Pension Plan UL Underwriters Laboratories (US)
QS Quantity Surveyor ULC Underwriters Laboratories of Canada
QST Québec Sales Tax UNCHS United Nations Centre for Human Settlements
QuARTS Qualification and Registration Tracking System UNECE United Nations Economic Commission for
Europe
QUASAR Quality Systems Assessment Registrar
UNESCO United Nations Educational, Scientific and
RAIA Royal Australian Institute of Architects, now The Cultural Organization
Australian Institute of Architects
UNIDO United Nations Industrial Development
RAIC Royal Architectural Institute of Canada Organization
RAM Random Access Memory USMCA US-Mexico-Canada Agreement
RFI Request for Information VAV Variable Air Volume
RFP Request for Proposal VOC Volatile Organic Compounds
RFQ Request for Quotation or Request for VPN Virtual Private Network
Qualifications
VR Virtual Reality
RFSO Request for Standing Offers
VSD Variable Speed Drive
RIBA Royal Institute of British Architects
WACCA Walls and Ceilings Contractors Association
RPA Real Property Administrator (BOMI)
WAN Wide Area Network
RSW Registered Specification Writer (CSC)
WBS Work Breakdown Structure
SAA Saskatchewan Association of Architects
WCLIB West Coast Lumber Inspection Bureau
SaaS Software-as-a-Service
WDMA Windows and Door Manufacturers Association
SBCCI Southern Building Code Congress International
WHMIS Workplace Hazardous Materials Information
SCC Standards Council of Canada System
SCUP Society for College and University Planning WHO World Health Organization
SDLC Software (or Systems) Development Life Cycle WHPS Warnock Hersey Professional Services
SFP Sustainability Facility Professional WIP Work-in-Progress
SGS SGS International Certification Services Canada WWPA Western Wood Products Association
Inc.
SI Supplemental Instructions/Site Instructions
SMA Systems Maintenance Administrator (BOMI)
SMACNA Sheet Metal and Air Conditioning Contractors’
National Association
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PART ONE
Chapter 1.1 – The Role of the Architect
Theory and Background
CHAPTER 1.1
The Role of the Architect 2
CHAPTER 1.2
The Architect as a
Professional 15
CHAPTER 1.3
Professional Conduct
and Ethics 23
CHAPTER 1.4
Mentorship and Career
Transitions 35
CHAPTER 1.5
Admission to the Profession 47
CHAPTER 1.6
The Organization of the
Profession in Canada 61
CHAPTER 1.7
International Architectural
Organizations 94
PART ONE Theory and Background
1 Royal Architectural
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Canadian Handbook of Practice for Architects
Chapter 1.1 – The Role of the Architect
Chapter 1.1
The Role of the Architect
Contents
The Architect in Society 3
The Evolving Role of the Architect 3
Challenges and Opportunities for Architects in the 21st Century 3
Strategic Planning and Facility Programming at Pre-Design Stages 5
Inclusive Design 5
Sustainable Development 5
Revitalizing Existing Buildings 6
Urban Design and Renewal 7
New Forms of Project Delivery 7
New Technologies and Communication Tools 7
Globalized Practice 8
Types of Practice or Professional Activity 8
Professional Responsibility 9
Architects in Private Practice 9
Architects Employed in a Corporation other than an Architectural Practice
(Private Sector) 9
Architects in Government and Institutions (Public Sector) 10
Federal 11
Provincial/Territorial 11
Municipal 11
Architects in Education and Research 11
Architects in Construction and Development 12
Architects in Non-Governmental Organizations 12
PART ONE Theory and Background
Architects in Formal Design Review Panels 13
Architects as Independent Expert Witness 13
Other Roles for Architects 13
References 14
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Canadian Handbook of Practice for Architects
Chapter 1.1 – The Role of the Architect
The Architect in Society
The role of the architect has evolved over centuries to cover an expanding array of tasks and responsibilities.
Today the core role of the architect is usually that of the primary professional design service provider,
coordinating the various stakeholders during the planning, design, and construction process of buildings.
Technological and sociological changes, as well as increasing globalization, continue to affect the way
architecture is practised. Architects continue to shape our built environment, as their training, experience, and
regulated status allow them to design buildings of all types. Their work has a major impact on human activity
and the planet; hence, they have a tremendous responsibility towards fellow citizens and the environment.
Architects add value to the built environment; their primary contribution and impact are its design, as well as
their ability to coordinate and oversee projects to completion within schedules and budgets.
The Evolving Role of the Architect
Challenges and Opportunities for Architects in the 21st Century
Traditionally, an architect was considered to be a professional with general knowledge of the many disciplines
involved in the design, construction, maintenance and alteration of buildings. Over time, technological
advancement, population redistribution, and the growth of cities have both physically changed the built
environment and changed expectations for the built environment. Architects’ responsibilities have also
changed as more and different disciplines introduced into the design-construction-operation supply chain are
required. The architect’s role in society has evolved with these changes and continues to evolve.
Today, an architect must have the skills necessary to synthesize, integrate and coordinate various parts of
a project into a composite whole. This is not only to satisfy functional and safety requirements, but also
to contribute to an orderly, visually pleasing, and sustainable environment. As architects are increasingly
being asked more specific questions with regards to specific subjects, there is a growing trend to specialize
to meet complex issues, requirements or contexts. Areas of specialization may include aspects of planning
and programming, building regulations, design, production, management, sustainability, site supervision or
construction. The individual architect may thus become an expert in a specific building type, or accredited
or certified in specialties such as building code, building envelope, project management, sustainable design,
or heritage conservation. However, maintaining a general expertise in all aspects of the profession remains
a foundation of keeping architecture healthy and enhances the credibility of the profession in the eyes of
the public. The architect also maintains an ethical responsibility for passing along their knowledge and skills,
through teaching, mentoring, and hiring and training the next generation of architects.
The practice of architecture is interrelated with many other design disciplines, including various types
of engineering, landscape design, sociological and planning studies, and public art. In the complex task of
coordinating the many specialists involved in a project, the architect develops a unique role and set of skills. A
holistic view of the built environment has enabled architects to undertake a variety of strategic roles in society.
These roles include acting as facilitators, collaborators, and communicators in addressing the needs of an
increasing number of stakeholders, voicing their views and desires on how the built environment should be
shaped and the impact it has at local and global scales.
The growth of existing areas of architectural practice and new frontiers provide exciting opportunities for
PART ONE Theory and Background
architects, including:
strategic planning and facility programming at pre-design stages;
inclusive design;
sustainable design;
existing buildings (maintenance, life and fire safety upgrades, reuse, repurposing, heritage conservation);
urban design and renewal;
new forms of project delivery, such as integrated design processes;
new technologies and communication tools;
globalized practice.
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Chapter 1.1 – The Role of the Architect
People Involved in the Built Environment
The volume of work has increased in the built environment, yet architects take a smaller overall share.
1750 ARCHITECTS
Architects have
dominant scope in
the built environment.
LANDSCAPE
CIVIL DESIGNERS
1800 ENGINEERS
Invention of bridges
and canals, and ARCHITECTS
the birth of our
landscape tradition.
LANDSCAPE
CIVIL DESIGNERS
1875 ENGINEERS
Railway stations and ARCHITECTS
metal structures, the
Great Exhibition of 1851
and Crystal Palace.
STRUCTURAL
ENGINEERS
LANDSCAPE
DESIGNERS
CIVIL
ENGINEERS
1900 ARCHITECTS
Birth of central heating
and air conditioning.
Planning formalised TOWN
PLANNERS
as a profession.
STRUCTURAL
ENGINEERS
SERVICES
ENGINEERS
BUILDING
COMPONENT PROJECT
DESIGNERS MANAGERS
QUANTITY ARCHITECTS
SURVEYORS
PART ONE Theory and Background
TOWN
2000 LANDSCAPE
DESIGNERS
PLANNERS
The era of the
project manager
and sub-contractor. SERVICES
ENGINEERS
CIVIL
ENGINEERS
STRUCTURAL
ENGINEERS
FIGURE 1 Adapted from “People Involved in the Built Environment” from “The Farrell Review”, commissioned by Britain’s Department of
Culture, Media and Sport. Adapted with permission.
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Chapter 1.1 – The Role of the Architect
Strategic Planning and Facility Programming at Pre-Design Stages
Institutional and infrastructure projects are becoming larger and more complex due to the number of
stakeholders involved, and their duration now often extends for several years with phased implementation
and construction. The architect can assist with the general planning of such undertakings and/or the detailed
programming of a facility.
Inclusive Design
The Inclusive Design Research Centre defines inclusive design as:
“design that considers the full range of human diversity with respect to ability, language,
culture, gender, age and other forms of human difference.”
Inclusive Design Research Centre - OCAD University
Historically, accessibility has been limited to accommodating persons with disabilities. Inclusive design extends
the concept of accessibility to address everyone’s needs with respect to equity, functionality, safety, gender,
culture and religion. The architect should be an ambassador for inclusive design so that the specific needs,
values and concerns of a diverse society are reflected and integrated in its buildings. Inclusive design embraces
the reality that people who use buildings come from a variety of cultural backgrounds, are dimensionally
different, and present a wide range of physical and sensory abilities. Recognition of such diversity will result in
building designs accommodating the widest range of inclusion.
Emerging trends in inclusive design include recognizing that wheelchairs and other mobility devices are as
diverse as the people who use them and that they require more space than is usually specified in codes and
standards; buildings can be designed to better accommodate persons with vision loss, as well as those with
hidden disabilities such as strength or stamina limitations; and an equivalent level of life safety should be
available to everyone in a building in an emergency situation.
Sustainable Development
Buildings are society’s response to population growth, urbanization and the economics of land use development
in addition to the age-old function of meeting humans’ basic need for shelter. The conventional construction
and operation of buildings produce greenhouse gas emissions. Buildings are contributors to climate change.
Because of that contribution, architects have an opportunity as well as a responsibility to adjust their practice
so that the buildings they design do not, for example:
contribute to the heat island effect and the attendant heat stress illnesses in urban populations;
destroy habitat for local flora and fauna;
increase peak storm water flows and contribute to urban flooding;
unnecessarily deplete natural resources, including potable water;
become quickly unlivable in power outages, summer or winter.
There are multiple views about what classifies as sustainable development. With interest in this area increasing
PART ONE Theory and Background
at an exponential rate, and with multiple certifications for “green” building available to the building owner, a
shared working definition is important to promote communication and understanding. The United Nations
defines sustainable development:
“Sustainable development has been defined as development that meets the needs of the
present without compromising the ability of future generations to meet their own needs.”
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Chapter 1.1 – The Role of the Architect
Building enclosures and mechanical and electrical systems have unusually long service lives compared to
other material goods. This means that the ability to mitigate poor performance of an existing building arises
infrequently and may only be present every second human generation. This “lock-in” of wasteful performance
and resulting greenhouse gas emissions or other environmental disruption may give cause for clients or the
general public to demand better building performance than conventional methods provide.
The attention of the architect’s client to these matters is the key to the architect’s ability to implement climate
change adaptation or mitigation measures. Many adaptation or mitigation measures are “no regrets” actions
that do not involve a construction premium and therefore can be incorporated into design practice in a way
that does not require the client’s direct attention. However, there are many other conditions in the interlinked
systems of land use planning, transportation planning and access, development finance, and property
development that require discussion with the client in the pre-design stages of a project.
It has long been known that the annual energy expended (and emissions generated) by commuters going
to and from an office building can be larger than the annual energy consumption of the building itself.
Conventional measures to mitigate an unfavourable location are not commonly considered because the
building site is a given in the client brief. This default requires a different approach. For example, extra
attention to microclimate design may push a project away from generic solutions, but in the process identify
and develop latent conditions on an unfavourable site to produce a unique and valuable experience. Matching
or adding facility program elements to difficult site conditions is one technique to generate added value for a
site. Understanding the potential of a site from a sustainability perspective may also support more effective
design solutions from other perspectives, including financing and insurance costs.
Sustainable and regenerative design presents opportunities for innovation and collaborative solutions in
both design processes and outcomes. It is difficult to deny that in the years to come a foundational aspect
of architectural design success will be the design response to driving factors in both the micro and macro
environments.
Revitalizing Existing Buildings
For many architects, working with existing buildings comprises a significant volume of the work, ranging from
minor renovations to complete makeovers, either maintaining existing occupancies or converting to new uses.
These projects may extend beyond simple renovations to completely revitalize the existing building’s aesthetic
and performance. Existing buildings in this context include all existing buildings, even those considered
heritage (over 40 years old) but not designated as such. An existing building may not be designated, but may
still be architecturally and culturally significant, necessitating care in how change is effected on the building.
This presents a challenge of making function follow form, and must also consider the impact to the building
design, building structure, envelope, environment and fit with the local community. With the growing need
to make buildings more energy efficient and sustainable (to reduce greenhouse gases (GHGs) and capitalize
on existing infrastructure and embodied energy), understanding the existing building’s technologies, past
uses, and performance will inform how the building may be renovated to achieve the best balance between
performance, durability, sustainability goals and satisfaction of local community interests.
An architect may undertake all aspects of the project within his or her practice, but often other specialists
PART ONE Theory and Background
beyond the core disciplines of structural, mechanical and electrical will be needed to provide additional depth,
and may include: cultural experts, heritage professionals, and building historians, as well as professionals
with expertise in building envelope, building materials, sustainability, environment, energy modeling, building
controls, building commissioning, fire protection, etc.
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Chapter 1.1 – The Role of the Architect
Urban Design and Renewal
Architects are often engaged to complete master planning studies and intensification studies, as well as other
investigations into the development and/or renewal potential of properties both urban and rural. Contributing
their knowledge of architectural design and implementation, and the unique spatial requirements of specific
building forms and typologies, an architect’s involvement in urban design lends credibility to the physical
suitability and practical feasibility of new built fabric. Architects are also trained to consider context and
frontage relationships with surrounding streets, and public space resources. Furthermore, architects can
provide specific advice and expertise pertaining to the renewal potential of existing buildings and structures
within a larger urban framework. Being familiar with coordinating the inputs of a range of sub-consultant
disciplines, architects are of great value as leaders of complex, multi-disciplinary design teams often engaged
to provide urban design studies. And lastly, as they are often asked to interpret urban design guidelines in the
detailed design of individual works of architecture, architects can contribute meaningfully to the authorship of
urban design guidelines and other documents that seek to influence the design of our cities.
New Forms of Project Delivery
Clients and governments are constantly seeking new or varied forms of project delivery that may result in
alternate forms of financing and more efficient building design and construction methods. In the face of global
warming and in order to reduce energy consumption, a much higher level of building energy performance is
required. This has resulted in new and evolving methods of project delivery.
New forms of project delivery result in changes to the architect’s professional relationship with clients, users
and others in the construction industry. Project delivery methods such as design-build and public-private
partnerships (P3s) result in the architect being engaged by a builder or a financial entity and not directly by
the owner or users of the building. Other project delivery methods such as integrated project delivery can
demand greater cost efficiency, and shorter timeframes for document production. This leads to the potential
for increased risk and liability for the architect, therefore challenging the architect and project stakeholders
to balance the risks and rewards of the changing project delivery landscape. Project delivery is evolving and
architects must adapt, taking into consideration their liability in delivering services while always considering
the public interest.
On the other hand, architects can play a key role in integrated design processes by skillfully addressing
the various needs and objectives of multiple stakeholders, including multi-party client groups, the other
professionals and experts on the design team, and the larger community. The integrated project delivery
method results in changed relationships between the architect and other project stakeholders, including
the owner, builder and design team. It may prompt the architect to adopt a new business model. These
varied project delivery methods therefore present challenges for the practice of architecture, but also offer
opportunities, including new roles such as integrators, compliance architect, or advocate architect.
See also Chapter 4.1 – Types of Design-Construction Program Delivery.
PART ONE Theory and Background
New Technologies, Communication Tools, and Processes
BIM, automation and advanced visualization are some of the technological innovations that have continued
to transform architectural practice. The acronym BIM refers to both building information management
and building information modeling, depending on the context and the focus of the author of a particular
publication. Modeling and simulation software programs to assist architects in the analysis of lighting or
thermal resistance, in the creation of three-dimensional images, or in the preparation of more accurate cost
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estimates have become widespread. Some of them are even accessible to anyone now, therefore increasing
both the client’s requirements and expectations. Some firms who do not have access to these new technologies
may outsource parts of their work. The historical role of the architect to gather, process and synthesize
information, and to use presentation techniques to communicate a solution, is more and more influenced by
the choice of new format options.
BIM is becoming more widespread as a tool for integrated building design and as a communication tool for
coordination with consultants, constructors, and component fabricators. Some public sector organizations
now require that projects be delivered using BIM.
BIM requires not only changes in a firm’s technology, but, more importantly, changes in business, operational,
and project processes. The integration of design processes across the design-construction-operation supply
chain requires rethinking contractual relationships, organizational culture, and a redistribution of effort within
a firm.
See Chapter 5.6 – Building Information Managing for a discussion of these topics.
Globalized Practice
Architectural practices vary in size from sole practitioners to large corporations. The range of projects
undertaken by practices also varies greatly. The profession includes firms with multiple offices, country-wide
and internationally. Projects may be executed through multinational resource pools, or through joint-venture
arrangements.
Smaller firms may form joint ventures to combine specific strengths in order to bid on larger contracts or
projects requiring specific expertise. Such collaboration may be established for a sole project or put in place
over longer periods on a variety of endeavours. This globalization presents new challenges to architects to
adapt to different practices, cultures, political environments, regulations, building construction standards,
workers’ safety codes and new markets, as well as to cope with increased competition in the Canadian market
from both local and international firms.
Types of Practice or Professional Activity
Architects work in a variety of professional contexts. These include:
private practice;
corporations (private sector);
government and institutions (public sector);
education and research;
construction and development;
non-governmental organizations;
PART ONE Theory and Background
formal design review panels;
independent expert witness.
Architects may also work in a combination of these situations providing that the architect is not in a conflict
of interest.
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Professional Responsibility
The architect’s responsibility extends beyond the client to fellow professionals, the profession, and society
in general. The amount of responsibility an architect is prepared to accept will determine how they practise
architecture. The employed or salaried architect has reduced direct responsibility to his employer’s client,
whereas the sole practitioner carries the entire responsibility. Architects in partnership share this responsibility.
The architect’s responsibility varies depending on their role(s).
See also Chapter 1.3 – Professional Conduct and Ethics for more information on professional obligations and
responsibilities.
Architects in Private Practice
“Architectural practice is the setting where ethos and circumstances lock horns, where individual
and professional goals combine with budgets, deadlines, skills, organization, power, context and
regulations.”
Cuff
Architects employed by a private practice may be:
employed (salaried) architects working for other professionals;
independent contractors providing services to other architects;
specialist consultants in various fields, such as project management, building code, building envelope,
sustainable design, conservation, and specifications.
Self-employed architects may be:
sole proprietors;
in partnership with other architects or engineers;
directors or shareholders of an architectural corporation.
Self-employed architects in private practice must maintain expertise in two distinct areas:
the performance of architectural services;
the operation and management of a practice, including staff.
See also Chapter 3.1 – Starting and Organizing of an Architectural Practice.
The architect in private practice accepts liability for the architectural commissions which the architect
undertakes.
See also Chapter 3.6 – Human Resources for a discussion of employees and independent contractors in the
design professions.
Architects Employed in a Corporation other than an Architectural Practice
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(Private Sector)
Many corporations that do not practise architecture employ architects as members of their staff. For example,
many large corporations employ architects in their real estate, design, construction, and facilities management
divisions. The architect working for a corporation must nevertheless comply with the provincial or territorial
requirements for practice and the use of the professional seal. Some of these architects may provide a full
range of professional services for their employer, the corporation. Alternatively, they may simply manage
the design and construction by selecting architects and consultants, and by coordinating the provision of
architectural services as a representative of the corporation.
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Frequently, corporate architects provide services in:
site selection;
project planning;
programming;
consultant selection;
contract negotiations;
construction contract administration;
facilities management and maintenance.
Architects in Government and Institutions
(Public Sector)
The architect can also serve society as a civil servant, that is, as an employee of the government, either at
the federal, provincial/territorial or municipal level, or for a public institution. Public sector employees are
not generally required to purchase a professional insurance, but they are nonetheless fully accountable and
personally liable for their work.
Often, universities and hospitals require in-house expertise for the management and expansion of their
buildings and physical assets. Architects in government and institutions can exert influence and develop
policies related to the built environment. Opportunities within the public sector may include positions at a
technical, managerial or policy level. All levels of government construct and fund building projects as well as
regulate the built environment.
Architects can play a variety of roles within government. Architects in these roles may require an advanced
skill set in stakeholder management and engagement, negotiation, and interpersonal relationship building.
Communication skills become paramount when dealing with a wide range of stakeholders, such as the general
public, government officials, other architects, developers’ contractors, other branches within their department,
civil servants in other departments or jurisdictions, deputy ministers, Treasury Board representatives,
politicians and the media.
Because many decisions regarding the built environment are made in the political arena, some architects
choose to run for office for:
various levels of government;
school boards;
professional or business associations.
Architects employed in government and institutions may be required to maintain “professional” registration
with a provincial or territorial association of architects. In addition to working in a different context, the
lapse or absence of a professional license can create a distance between the government “professional” and
PART ONE Theory and Background
fellow architects and can lead to a lack of currency and knowledge of the profession. Conversely, the lack of
familiarity with government operations from architects in private practice may lead to misunderstandings
when delivering services in this context.
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Federal
At the federal level, architects work as:
employees of Public Services and Procurement Canada (PSPC), Department of National Defence (DND),
Defence Construction Canada (DCC), and several other federal government departments;
conservation architects within the Federal Heritage Building Review Office (FHBRO) and Parks Canada
Agency, the guardians of national historic sites and buildings;
researchers within federal government agencies such as the Canada Mortgage and Housing Corporation
(CMHC) and the Institute for Research in Construction (IRC) of the National Research Council (NRC);
technical representatives and policy developers or other officials related to the built environment and
building codes.
Provincial/Territorial
At the provincial/territorial level, architects work as:
employees of various provincial/territorial government ministries, crown corporations, and agencies
related to the built environment (for example, education, public works and government services, housing,
planning, tourism, health, building codes and regulations, culture and heritage);
researchers and technicians;
policy developers for the provincial/territorial government.
Municipal
At the municipal level, architects may work as:
building inspectors and plans examiners;
administrators and designers within municipal departments of planning and development, specializing in
areas such as land-use planning and zoning, urban design, and heritage conservation.
Architects in Education and Research
Architects may pursue a career in academia as faculty members at the university schools of architecture, the
community college schools of design and construction, or as researchers in a variety of settings. The university
schools of architecture in Canada have faculty on a full-time, visiting or adjunct (part-time) basis. See also
“List: Canadian University Schools of Architecture with Accredited Programs” in Chapter 1.5 – Admission to the
Profession.
Some architects who teach also undertake research. Many architects also teach at the various community
PART ONE Theory and Background
colleges, technical institutions, and cégeps (collèges d’enseignement général et professionnel in Québec),
which train architectural technicians, technologists, and other students who study design and the construction
industry. Practising architects may also be invited as mentors, tutors and/or jurors by architectural schools to
comment and help students with their projects (critiques).
Architects may be involved in both pure and applied research. Opportunities exist in various government
agencies and universities, and with manufacturers of building products and certain specialized institutes of
research.
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Architects in Construction and Development
Increasingly, those with architectural training are selecting careers directly in the construction industry or in
real estate development. As designers, planners and managers, they can contribute significant skills to this
sector of the economy. Typical careers include:
developer;
construction manager;
contractor;
design-builder;
real estate agent.
Many developers have their own in-house staff to plan and coordinate consultants in the provision of design
services for projects, and many building contractors are involved in design-build work, employing architects
directly. The following skill sets can be especially marketable to builders and developers:
marketing;
economic feasibility studies;
conceptual problem-solving;
design;
building code compliance;
construction planning;
estimating and review of project budgets;
construction contract administration.
Architects sometimes lead the development and building process; in fact, the number of architect-led design-
build firms, particularly in the United States, is growing.
Architects must confirm with the provincial or territorial associations of architects that their services and roles
within a design-build firm comply with provincial or territorial regulations.
Architects in Non-Governmental Organizations
Architects may work for non-governmental organizations (NGO) involved in emergency relief, cooperation
and development (ex.: Architecture Sans Frontières), as well as advocacy groups related to, among others,
professional practice (ex.: Royal Architectural Institute of Canada (RAIC), provincial or territorial associations of
architects), sustainable design (ex.: Green Building Council, BREEAM, Passive House), or heritage conservation
(ex.: ICOMOS, APTi, National Trust for Canada, Ontario Heritage Trust, Heritage Toronto, Action patrimoine,
Héritage Montréal, Association québécoise pour le patrimoine industriel (AQPI), etc.).
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Architects involved in these organizations may develop new regulations, policies, frameworks, best practices,
or new design guidelines coming from various sources (health, environmental sensitivities, legal, research),
as well as training courses, public awareness programs and site visits. These activities provide opportunities
for sharing knowledge and experience, shaping the profession, networking, and having a positive impact in
society.
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Architects in Formal Design Review Panels
Architects may be involved in a formal role in various public design review panels or advisory committees on
city planning and heritage conservation. Similarly, architects may be invited to act as jurors for architectural
competitions or awards (ex.: Governor General’s Medals in Architecture, Canadian Architect Awards of
Excellence, award programs led by provincial or territorial associations of architects).
Architects as Independent Expert Witness
Architects may also function in a capacity of expert witness in situations where building or project failure
has resulted in mediation, arbitration or litigation. The increasing complexity of building technologies, rising
expectations on the part of many stakeholders in the design/construction/operation industries, and growing
attitudes toward risk aversion and transfer have resulted in opportunities for architects with specialized skills
to provide clarity in dispute resolution processes.
See also Chapter 3.10 – Other Services Provided by an Architect, Appendix A – Architect as Expert Witness for a
detailed description of this scope of practice.
Other Roles for Architects
An architectural education is often valuable for other fields of endeavour. Architects look beyond architecture
for careers related to design, planning, and construction, and as specialist consultants. New career opportunities
are also available to architects willing to pursue studies in related professions and become specialists with a
multi-discipline background. Some examples include:
architect/engineer;
architect/planner/urban designer;
architect/lawyer;
architect/business administrator;
architect/facilities planner;
computational designer;
data specialist;
digital practice information manager;
BIM model manager;
integration manager;
sustainability consultant;
energy modeler;
PART ONE Theory and Background
client representative or project manager;
designer of virtual environments for computers;
mediator/arbitrator;
forensic investigator.
Refer to the RAIC website’s Becoming an Architect for a list of some of the non-traditional jobs for architects
(https://raic.org/raic/becoming-architect).
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References
Cuff, Dana. Architecture: The Story of Practice. Boston, MA: Massachusetts Institute of Technology Press, 1991.
Lewis, Roger K. Architect? A Candid Guide to the Profession. Revised Edition, Cambridge, MA: Massachusetts
Institute of Technology Press, 1998.
“Livre blanc pour une politique québécoise de l’architecture.” Ordre des architectes du Québec, March 2019,
www.oaq.com/fileadmin/Fichiers/Publications_OAQ/Memoires_Prises_position/LIV-PQA-20180410.pdf.
“Référentiel de compétences lié à l’exercice de la profession d’architecte au Québec.” Ordre des architectes du
Québec 2017, https://www.oaq.com/fileadmin/user_upload/OAQ_RCOMP_2018_VFINALE.pdf, accessed April
20, 2020.
“What Is Inclusive Design.” Inclusive Design Research Centre – OCAD University, https://idrc.ocadu.ca/about-
the-idrc/49-resources/online-resources/articles-and-papers/443-whatisinclusivedesign, accessed April 20,
2020.
Royal Institute of British Architects. Guide to Using the RIBA Plan of Work 2013, London: RIBA Publishing, 2013.
“Toolkit for Building Projects: From Concept to Construction.” Northwest Territories Association of Architects,
2014, http://nwtaa.ca/files/docs/nwtaa-toolkit-for-building-projects-web.pdf, accessed September 11, 2020.
Farrell, Terry. “The Farrell Review of Architecture and the Built Environment.” The Farrell Review, 2017, www.
farrellreview.co.uk/download, accessed April 15, 2020.
PART ONE Theory and Background
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Chapter 1.2
The Architect as a Professional
Contents
Definitions 16
Introduction 16
The Practice of Architecture 17
Provincial and Territorial Architects Act & Self-Regulation 17
Professionalism 18
Advocacy 18
Principles of Professionalism 18
Expertise 18
Autonomy 19
Commitment to Public Good 19
Accountability 19
Professional Liability Insurance 19
Architecture as a Profession 20
Architecture and Engineering 20
The Architect’s Seal 21
Copyright 21
Building Inscriptions 21
Non-Professionals and the Built Environment 21
References 22
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Definitions
Advocacy: The act or process of supporting a cause or proposal.
Architect: A person or entity registered, licensed or otherwise authorized exclusively to use the title “architect”
and to practice architecture in a province or territory.
Competency: The ability to do something successfully or efficiently.
Copyright: The exclusive legal right to reproduce, publish, sell or distribute the matter and form of something
(such as a literary, musical or artistic work).
Intellectual Property: Property (such as an idea, invention or process) that derives from the work of the
mind or intellect.
Practice of Architecture: From the UIA Accord on Recommended International Standards of Professionalism
in Architectural Practice: The practice of architecture consists of the provision of professional services in
connection with town planning as well as the design, construction, enlargement, conservation, restoration
or alteration of a building or group of buildings. These professional services include but are not limited to:
planning and land-use planning; urban design; provision of preliminary studies, designs, models, drawings,
specifications, and technical documentation; coordination of technical documentation prepared by others
(consulting engineers, urban planners, landscape architects and other specialist consultants) as appropriate
and without limitation; construction economics; contract administration; monitoring of construction (referred
to as supervision in some countries); project management.
Refer to each provincial or territorial architects act for a legal definition.
Profession: A vocation or calling, especially one that involves some branch of advanced learning or science.
Public Good or Public Interest: The benefit or advantage of the community as a whole.
Introduction
“Membership in any profession, whether law, medicine, teaching, journalism, accounting, or
architecture, entails not only the mastery of a body of knowledge and skills but at its best the
honoring of a social contract to advance basic human values.”
Boyer and Mitgang
The dedication to advancing the human condition and upholding the public trust distinguishes professions
from other occupations.
PART ONE Theory and Background
Most professions in Canada, including architecture, are self-governing and self-regulating. The provinces and
the Northwest Territories, through enabling legislation (the provincial and territorial architects acts), have
established associations which regulate admission to the profession in exchange for safeguarding the public.
The provincial and territorial associations of architects are mandated to maintain high standards of practice
and ethics among their members.
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The Practice of Architecture
The International Union of Architects (Union internationale des Architectes (UIA)) is the international non-
governmental organization that represents the world’s architects. Founded in Lausanne, Switzerland, in 1948,
the UIA defines architectural practice thus:
“The practice of architecture consists of the provision of professional services in connection with
town planning and the design, construction, enlargement, conservation, restoration, or alteration
of a building or group of buildings. These professional services include, but are not limited to,
planning and land-use planning, urban design, provision of preliminary studies, designs, models,
drawings, specifications and technical documentation, coordination of technical documentation
prepared by others (consulting engineers, urban planners, landscape architects and other
specialist consultants) as appropriate and without limitation, construction economics, contract
administration, monitoring of construction (referred to as ‘supervision’ in some countries), and
project management.”
UIA Accord on Recommended International Standards of Professionalism in Architectural Practice
From the Quebec National Assembly’s (Assemblée nationale du Québec) Bill 401: An Act mainly to improve
the quality of buildings, the regulation of divided co-ownership and the operation of the Régie du logement:
“15. The practice of architecture consists of engaging in analysis, design and advisory activities
applied to the construction, enlargement or alteration of a building with regard to its siting,
envelope and interior layout as well as the materials and methods used, in order to ensure that
the building is durable, functional and harmonious.
The practice of architecture also consists in coordinating the work of persons who, in relation to
architectural work, participate in the construction, enlargement or alteration of a building.
The practice of architecture includes respect for the environment and life, the protection of
property, heritage preservation and economic efficiency to the extent that they are related to
the architect’s professional activities.”
Provincial and Territorial Architects Acts & Self-Regulation
The practice of architecture refers to the professional services associated with design, alteration and
management of construction of a building or group of buildings. The Attorney General of Canada has
mandated provincial and territorial associations of architects to determine and regulate the conduct of
their members in their practice. The provincial and territorial architects acts are government statutes which
establish the authority of each individual self-regulating professional association. They define the scope of
practice for which architects in that jurisdiction are responsible and mandate the legal responsibilities, terms
and standards associated with their professional designation. The authority granted by the architects acts
allows each self-regulating architectural association to determine subsequent regulations that govern the
behaviour and practice of their members. This can include bylaws, codes of ethics, codes of conduct, rules,
PART ONE Theory and Background
regulations, policies and protocols. It is the responsibility of professional members to uphold the standards
set by their regulating bodies and, as members, they are empowered to contribute their voice by joining
councils, surveys or committees in self-governance.
See also Chapter 1.6 – The Organization of the Profession in Canada.
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Professionalism
In the Western tradition, the professions were the scholarly endeavours and practices of theology, law, and
medicine, historically called the “learned” professions. They had certain principles and characteristics distinct
from other vocations.
The term professional is derived from the Latin profiteri, meaning “to declare publicly.” The notion of declaring
our skill publicly reinforces our dedication to the public good. Unfortunately, the expression “profession”
or “professional” is often misused and overused in an attempt to capitalize on the influence and prestige
associated with the original status enjoyed by scholarly professions. Today, the expression does not necessarily
represent an adherence to the principles of professionalism. It is the responsibility of professionals and their
regulating bodies to uphold the significance of their respective professions.
To be worthy of the term, all professionals must conduct both their personal and business lives according to
certain fundamental principles.
Advocacy
Professional designation has a place in the public context, which is defined by the governmental mandate
to create an architects act. The architect’s role as a professional is in educating the public and advocating for
the elements in society that are affected by the specialized knowledge and skill that the architect possesses.
Architects are well-equipped to serve local communities by contributing to public policy, serving on local
councils, or participating in peer review such as municipal design review panels. In their professional capacity,
architects often advocate for their contribution in defining public spaces, environmental policy, and generally
preserving the public interest where it is affected by components that may fall under the scope of practice
defined by the provincial or territorial act regulating architectural practice and the profession at large. In this
public-facing capacity, architects maintain the dignity of the profession by adhering to the regulations for
conduct laid out by their local associations.
Principles of Professionalism
All professionals are required to adhere to the following four principles:
expertise;
autonomy;
commitment to public good;
accountability.
Expertise
Professionals possess a comprehensive body of knowledge, skills and theory developed through education
and experience. The process of professional education, experience and examination is structured to assure
the public that professionals engaged to perform professional services have acquired the expertise to perform
PART ONE Theory and Background
them to acceptable standards.
To achieve proficiency, professionals undergo intensive preparation, gaining specialized knowledge in an
academic setting. Education in an academic setting is usually followed by a period of training in practice.
Alternatively, education and training may be concurrent, as in university-based co-operative learning programs
or the RAIC Syllabus Program. Because acute judgement is such an essential skill in the provision of services,
professionals are required to be proficient, adept, skilled and expert.
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While in practice, professionals continue their personal scholarship, their quest for knowledge, and their growth
by experience. The combination of continuous education and experience in practice provide the professional
with a body of tacit and explicit knowledge on which to draw. In parallel, knowledge-sharing becomes intrinsic
to the profession and is expressed through mentorship and supervision.
See also Chapter 1.4 – Mentorship and Career Transitions.
Autonomy
Professional practitioners provide expert advice, independent of self-interest.
Uncompromised professional judgement should take precedence over any other motive. Professionals are
at liberty to exercise discretion, and clients value their judgement and authority. They act independently and
accept responsibility for their actions.
Professionals must also embrace the spirit and the letter of the laws governing their professional affairs, and
thoroughly consider the broader societal and environmental impacts of their professional activities.
Commitment to Public Good
Professionals bring a high level of dedication to their work. Members of professions are mandated primarily
to serve societal needs in a competent and professional manner, and to exercise unprejudiced and impartial
judgement on their behalf. In benefitting societal needs, architects are committed to upholding their
professional integrity. The commitment is inherent in the dedication required of the architect to become a
licensed professional. In practice, architects’ commitment to continuing education to maintain their currency
and their contribution to the profession contributes to contemporary societal needs.
Accountability
Professionals are aware of their responsibility to provide independent and, if necessary, critical advice to their
clients and of the effects of their work on society and the environment. Professionals undertake to perform
professional services only when they, together with those whom they may manage or consult, are qualified by
education, training or experience in the services offered.
Professionals accept personal responsibility and liability for the consequences of their professional behaviour.
Furthermore, professionals are expected to protect not only the primary interest of their clients but also
the interest of the public good. Professionals must provide and exercise the standard of care typical of their
profession, but they are not required to have an extraordinary degree of skill.
Professional Liability Insurance
The provincial and territorial associations vary in their requirements for professional liability insurance. In
PART ONE Theory and Background
most jurisdictions in Canada, professional liability insurance is mandatory. Professional liability insurance will
protect the public by providing financial compensation as a result of an error, omission or negligence in the
provision of professional services.
Under some provincial and territorial statutes of limitations there is a limitation period for bringing an action
related to professional services; however, in certain jurisdictions the risk can endure for a lifetime. Architects
should discuss their insurance requirements with their insurer.
See also Chapter 3.8 – Risk Management and Professional Liability, Appendix E – Comparison of Statutes of
Limitations in Each Province and Territory.
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Architecture as a Profession
Architecture, which has been described as a social art (and also an artful science), is the sole profession whose
members are qualified to design and to provide advice, including technical and aesthetic judgement on the built
environment. Architects provide services and solutions with technical competence and aesthetic sensitivity
suitable to the physical, social, cultural and economic environment, thereby inspiring the community and its
citizens. In matters of public health and safety, architects are obliged to serve the public interest and respond
to the public need. The concepts of health and safety are expanding to encompass the sustainability of the
global environment and accessibility for all persons.
The four generic principles of professionalism previously outlined in this chapter apply to architecture. But
what distinguishes architecture from other professions? In the broadest of terms, architecture is the profession
which endeavours to identify the public need, and to serve the public interest, in matters relating to the built
environment. In this context, architecture is environmental design; in fact, any manipulation of the physical
environment is of potential interest to architects. Other disciplines, such as interior design and landscape
architecture, share in specific aspects of the design of the built environment.
The practice of architecture is usually broader than the regulations governing the profession. However,
legislation formalizes a specific relationship between the profession and society by setting certain regulations
which limit and define membership and practice. An architect’s proficiency may extend well beyond the
requirements of registration/licensure — particularly after extensive experience. For example, although
a statute or regulation may not define “urban design” or single-family house design as architecture, most
architects would agree that it is, to a significant degree, an architectural endeavour. Not including urban
design in its legislation demonstrates a jurisdiction’s decision to regulate only a certain portion of architecture
which it deems to be the “profession of architecture” under its legislative authority.
Architecture and Engineering
Almost all architects work closely with professional engineers, structural, mechanical, electrical, and civil, who
are members of the design team.
Professional engineering adheres to the principles of professionalism and is regulated in a manner similar to
architecture. In Canada, most jurisdictions have legislation to identify which professional services or building
types fall under the authority of architecture or engineering.
The differences between the professions of architecture and engineering can be summarized as follows:
the educational background required for architecture is more diverse than it is for engineering;
the experience requirement is more wide-ranging for architects and more specific for engineers;
the architect is expected to understand, assemble and coordinate all the building disciplines, whereas the
engineer usually specializes in one discipline;
the architect is involved in the design and construction of many buildings and environments for human
PART ONE Theory and Background
habitation and occupancy, but architects are often not involved in other structures which require only
engineers by building code, such as warehouses and bridges, or smaller buildings, such as single-family
residences, that do not require the involvement of a licensed professional;
the architect is involved not only in the building design but is also concerned about the impact of a building
or buildings on the character of a community;
architects have traditionally filled the role of the prime professional responsible for managing and
coordinating a project.
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Chapter 1.2 – The Architect as a Professional
The Architect’s Seal
An important symbol and tool of the architectural profession is the architect’s seal. An architect’s seal is a
professional seal and not a business seal. The seal must be applied to certain documents prepared by the
architect who is licensed to practise. Issued by the provincial or territorial association, the seal assures the
public and authorities having jurisdiction that they may rely on document preparation, prepared under an
architect’s supervision, direction and control, with confidence. Affixing the seal to documents indicates that
they were prepared under the supervision, direction and control of a licensed architect. For information on the
proper application of the professional seal, refer to the provincial or territorial associations’ practice bulletins.
See also Chapter 1.6 – The Organization of the Profession in Canada, Appendix E – Charts: Comparison of Practice
Requirements of Each Provincial and Territorial Association.
Copyright
All artistic works — including music, photography, paintings, drawings, artistic crafts and architectural designs
— are intellectual property belonging to their creator. In Canada, a copyright does not have to be registered. It
rests automatically with the author, and so does the responsibility to demonstrate any ownership of copyright
by the author. The Copyright Act protects the architect’s designs and drawings from unauthorized use or copying.
The ownership of the copyright rests with the architect unless the architect assigns it in writing to someone
else. Architects are advised to retain ownership of the copyright in all instances. Copyright protection is also
provided in the standard forms of agreement. RAIC Document Six – Canadian Standard Form of Contract for
Architect’s Services states that the architect retains the copyright for their work and grants the client a licence to
use the “instrument of service,” i.e., the drawings and specifications, for the purposes of “constructing, using,
maintaining, altering, and adding to the project.”
See also Chapter 6.4 – Construction Documents, Appendix A – Copyright and Architects.
Building Inscriptions
The architect may be permitted to arrange for the installation of a permanent inscription on a building, which
may identify the construction date, owner, architect and builder. Traditionally, a cornerstone was used;
however, today, other suitable signs or inscriptions are provided on the permanent fabric of the building. In
some localities, building inscriptions may be required for specific projects. Building inscriptions provide an
opportunity to foster public discourse on architecture, and to provide recognition of both the contribution of
the professional and the profession.
Non-Professionals and the Built Environment
It is important, especially for the public and for clients, to understand that there are many other disciplines
that provide services for design and construction and that these individuals are not regulated professionals.
Architects and engineers are regulated by provincial and territorial statute, which provides both title protection
PART ONE Theory and Background
and a scope of practice. Other non-professionals may provide services under a limited scope of practice
and they may not have the same accountability as professionals. Some of these non-professionals include
architectural technicians and technologists, cost consultants, construction managers and designers. In some
provinces, allied professionals such as interior designers and architectural technologists have a designated
scope of practice and are regulated under the respective architects act.
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References
American Institute of Architects (AIA). The Architect’s Handbook of Professional Practice, 15th Edition, Chapter 1 –
Professional Life. Hoboken, New Jersey: Wiley, 2013.
“Bill 401: An Act mainly to improve the quality of buildings, the regulation of divided co-ownership and the
operation of the Régie du logement.” Assemblée nationale du Québec, 2018, http://www.assnat.qc.ca/en/
travaux-parlementaires/projets-loi/projet-loi-401-41-1.html, accessed 2019-08-12.
Belfall, Donald. Professions in Transition. Toronto: Canadian Society of Association Executives, 2008.
Boyer, Ernest L. and Mitgang, Lee D. Building Community: a new future for architecture education and practice: a
special report. Ewing, NJ: California Princeton Fulfillment Services, 1996.
“Copyright Act.” Government of Canada, current to March 19, 2020, https://laws-lois.justice.gc.ca/eng/
acts/C-42/Index.html, accessed 2019-08-12.
“UIA Accord on Recommended International Standards of Professionalism in Architectural Practice.” Amended
August 2014 at XXVI General Assembly, Durban, International Union of Architects (UIA), https://www.bak.de/w/
files/bak/02architekten/05internationales/1454321930v4bbw8wd2dq42ph7.pdf, accessed April 19, 2020.
“Référentiel de compétences lié à l’exercice de la profession d’architecte au Québec.” Ordre des architectes
du Québec (OAQ), https://www.oaq.com/wp-content/uploads/2020/02/Referentiel_competences_2018.pdf,
2018, accessed April 17, 2020.
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Chapter 1.3 – Professional Conduct and Ethics
Chapter 1.3
Professional Conduct and Ethics
Contents
Definitions 24
Introduction 24
Foundations 24
Ethical Principles and Regulations 25
Governance 26
The Role of the Provincial and Territorial Associations of Architects 26
Regulations & Bylaws 27
Regulating Professional Conduct 27
Emerging Trends 28
Social Responsibility 28
Social Clauses 28
Environmental Rights 28
Human Rights 29
Oaths and Declarations 29
Summary of Code of Ethics and Professional Conduct of the AIBC and SAA 30
Competence 30
Conflict of Interest 30
Full Disclosure 31
Compliance with Laws 31
Professional Conduct 32
References and Readings 33
International Documents 33
Appendix A – Codes of Ethics and Conduct – Provincial and Territorial Associations
PART ONE Theory and Background
of Architects 34
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Definitions
Code: A set of rules, or systematic collection of statutes or body of laws arranged to avoid inconsistency and
overlap; standard of moral behaviour.
Complaint: Formal written accusation or statement of grievance.
Discipline: Order maintained among members of a profession; control exercised over members of an
organization; chastisement.
Ethics: Moral principles upon which rules of conduct are based.
Introduction
Architectural practice is a profession as well as a business. What distinguishes professional practice from a
business is the higher standard of responsibility to the public, meeting standards of professionalism, integrity
and competence, and abiding by codes of conduct and ethics. Like other legislated professions, architecture
has duties to many stakeholders in the built environment, including the environment itself. Understanding
these professional responsibilities, why they exist and how they guide the actions of professionals is the
domain of ethics – regulations which govern professional actions in the field (codes of conduct) and the
principles which guide actions (codes of ethics).
This chapter will briefly outline the foundations of professional ethics, its basic principles and regulations, and
their governance in Canada.
Foundations
The Hippocratic oath is a first iteration of establishing professional ethics. While the oath was created for
medical practitioners, there are general principles which continue to influence current professional codes of
ethics and conduct.
The oath’s first principle sets basic rules of conduct for those applying their professional knowledge. Second,
the oath implies a core concept that this kind of special knowledge requires a code of conduct concerning the
appropriate use of the body of knowledge in the public realm. Third, it also implies a distinction between such
“professionals” and the lay public, and that the distinction relates directly to the body of knowledge and its use.
The oath contains a code of conduct covering three important points which continue to be a significant part
of modern professions:
do no harm;
maintain patient/client confidentiality;
PART ONE Theory and Background
pass this knowledge on to the next generation.
Variations on these three elements continue to form the basis for the codes of ethics and conduct for many
professionals, including the architectural profession. It also provides an outline of the responsibilities of
professionals. Architects have responsibilities to the public and to the environment (similar to “do no harm”),
to clients (integrity, confidentiality and impartiality), to fellow professionals, and to the next generation through
internship, mentoring, and the transfer of the body of knowledge. In this way they also meet their professional
duty to ensure the continuation of the profession. These and other responsibilities are outlined in codes of
ethics and codes of conduct published by the regulating associations of architects.
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Ethical Principles and Regulations
The taking of an oath is a promise both to one’s fellow professionals and to the public the professional serves.
In many jurisdictions to this day, architects must take a public oath or declaration (see Appendix A). It is
a promise to uphold the profession’s standards of conduct through adherence to an architects act and its
regulations and bylaws.
The rules of conduct are found in the various acts, regulations, bylaws and practice notes of the provincial or
territorial associations of architects. Ideally, the jurisdictional authorities consolidate rules about competence
and ethical conduct into a discrete publication (listed in Appendix D). A separate document has several
advantages:
it can be readily referenced and understood;
architects do not have to search for conduct rules among all other bylaws, articles of the architects act,
and council rulings;
it provides the context conducive to a full understanding of individual rules.
At the international level (see Appendix C), the International Union of Architects or Union Internationale des
Architectes (UIA), through its Professional Practice Commission, has developed recommended guidelines for
the UIA Accord on Recommended International Standards of Professionalism in Architectural Practice — Policy
on Ethics and Conduct, intended as a model code for the UIA member sections. Briefly, it outlines general
principles and four obligations, and then describes how these principles and obligations are applied (conduct).
The four obligations are:
general obligations (requirements to achieve and maintain competency);
obligations to the public (requirements to ensure that professional affairs respect social standards and
the environment);
obligations to the client (requirements to ensure proper professional service and judgement);
obligations to the profession (requirements to uphold and respect the dignity of the profession).
The code of ethics of the Ordre des architectes du Québec (OAQ) bears some similarity to the UIA document.
The National Council of Architectural Registration Boards (NCARB) – the U.S. organization that sets standards,
including standards of professional conduct for architects – has developed Model Rules of Conduct and has
encouraged its adoption by its state Member Boards. In this document there are seven guiding principles
and five rules: competence, conflict of interest, full disclosure, compliance with laws, and signing and sealing
documents.
The American Institute of Architects (AIA), in their Code of Ethics and Professional Conduct, makes the distinction
between principles and conduct by establishing three different levels: canons (broad principles), ethical
standards (specific goals), and rules of conduct (rules arising from the canons and ethical Standards).
The Architectural Institute of British Columbia (AIBC) has developed its own Code of Ethics and Professional
PART ONE Theory and Background
Conduct, based on the NCARB model. The Saskatchewan Association of Architects (SAA) has adopted a similar
code to that of the AIBC in its Bylaw No. 15. Its five subject areas are:
competence;
conflict of interest;
full disclosure;
compliance with laws;
professional conduct.
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It should be noted that while the principles of professional duty to the public remain unchanged, codes of
conduct in architectural practice evolve and adjust to changing societal standards and expectations. For
example, in the past, professional conduct by architects included conditions that tightly regulated a practice’s
business model, such as preventing engagement in construction management or construction. In most
jurisdictions, and subject to certain provisions, these actions are now considered acceptable business practices
for an architectural firm.
Those provinces or territories with societal, legislative or cultural changes and those with high rates of growth
have tended to periodically update their rules, sometimes comprehensively, so that conduct requirements
remain clear to an expanding and increasingly diverse membership. It is important for the practising
professional to remain current with any changes and developments in the code of conduct in their jurisdiction.
Governance
In Canada the provincial or territorial legislatures permit the profession to be self-governing. As such, the
creation and administration of bylaws, codes of ethics and professional conduct are undertaken by the
provincial or territorial associations of architecture. The associations are responsible for maintaining the
ethical standards and for monitoring practising professionals for adherence to the standards.
The Role of the Provincial and Territorial Associations of Architects
The criteria for acceptable behaviour of an architect are set out in the architects acts and the subsidiary
bylaws and regulations developed by each provincial or territorial association. When an individual becomes
registered or licensed as an architect, they assume professional rights and obligations.
The provincial or territorial architects act (or the Professional Code in Québec) authorizes a provincial or
territorial association of architects to regulate its members and the practice of architecture by empowering
the association to:
set eligibility criteria for becoming an architect (see Chapter 1.5 – Admission to the Profession for details on
these criteria);
set conduct regulations for architects;
require architects to maintain currency through participation in continuing education programs;
investigate and adjudicate allegations of an architect’s professional misconduct;
administer disciplinary action should an architect be judged to have engaged in professional misconduct.
Each of the provincial and territorial architects acts differs in reflecting the unique customs and history of the
architectural profession in that jurisdiction. However, the acts and regulations are similar regarding architects’
rights, obligations and disciplinary procedures. An architect who does not comply with a conduct requirement
(sometimes called “professional misconduct”) may be reprimanded or fined, or have their licence temporarily
PART ONE Theory and Background
suspended or permanently revoked.
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Regulations & Bylaws
The existing bylaws or regulations in each province or territory can be broadly sub-divided as follows:
a) Ethical regulations or codes of ethics (those rules that assist in maintaining the public trust in the
integrity of the profession)
Examples include rules requiring behaviour that exemplifies traits such as honesty, integrity, impartiality
and respect for the law. Some of these traits would be familiar characteristics of virtue ethics. Ethical
principles are fundamental to all the rules and regulations. For example, honesty is implicit in the
requirement that an architect shall not knowingly make a false representation.
b) Regulations regarding competency (those rules that ensure the proper provision of architectural
services to the public)
Examples include rules about the standards of care that characterize an architect’s advice or service,
rules about the architect’s supervision of staff, and rules about the application of an architect’s seal.
c) Administrative rules and regulations (those rules that assist in the efficient operation of the
provincial or territorial association)
Examples include:
rules about the timely payment by an architect of annual membership fees;
procedures for election to the association’s council;
procedures for changing a bylaw or regulation;
rules that require an architect who is aware of an apparent violation of the architects act to report it
to the association.
Many rules of conduct stem from moral customs. They regulate the way an architect relates to others.
For example:
rules against offering or receiving bribes;
rules against violating laws and building regulations;
rules that require impartial professional judgement regardless of an architect’s personal interests.
Regulating Professional Conduct
The provincial and territorial associations of architects have established procedures for addressing complaints
and administering disciplinary procedures in the event that an architect is suspected of professional
misconduct. Following a rigorous complaints review process, should a complaint be found to be valid, the
matter is typically referred to a disciplinary committee.
In some provincial and territorial associations, a disciplinary committee may convene a hearing concerning
conduct of the referred member. The disciplinary committee is also responsible for administering disciplinary
action should an architect be found in contravention of the architects act, its regulations or bylaws. Disciplinary
hearings are quasi-judicial proceedings and therefore follow due process of law. The association and the
PART ONE Theory and Background
architect accused of professional misconduct may be represented by legal counsel.
Typically, the findings of a disciplinary committee and subsequent disciplinary actions are published and
distributed to the membership at large. Such publication has the following benefits:
it reinforces the prevailing ethical standard;
it demonstrates to society that the profession is exercising its mandate;
it provides a deterrent against unprofessional conduct by other architects;
it delivers continuing education to architects to refresh their knowledge on matters of conduct.
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Architects should be aware of the common lapses of professional conduct in their province or territory. One
of the most common contraventions of professional conduct has been the failure to comply with annual
continuing professional development requirements. The requirement to maintain currency in the body
of knowledge of architectural practice is part of the oath (see Appendix E) and is core to the competence
architects profess to the public.
Emerging Trends
As noted above, codes of conduct and the responsibilities to the public can evolve and adjust to changing
societal standards and expectations. It is incumbent on the provincial and territorial jurisdictional authorities
and on practising professionals to be prepared for change.
Social Responsibility
A broad trend is emerging towards corporate social responsibility (CSR) over the last 50 years. While CSR is
largely voluntary, there are growing expectations on the part of citizens’ groups and consumers for corporations
to act beyond the bottom line into a larger arena of ethical action. Professions have greater obligations to the
public good than do the voluntary actions of corporations. The public’s expectations are moving toward social
justice, equity and human rights.
There are three emerging ethical issues which will have an impact on the practice of architecture. They are not
actually new but are growing in the potential to expose an architect to increased responsibilities to the public.
Social Clauses
Procurement contracts and, more recently, construction contracts may now include “social clauses.” This
is growing rapidly in the public sector. These clauses are often focused on labour, support for local social
enterprises, and access issues (refer to, for example, “Social Procurement: State of Practice,” City of Vancouver,
or “Public Procurement for Social Progress: A Social Platform Guide to the EU Public Procurement Directive”).
They may also consider the supply chain of materials. “Overall, the goal is to encourage fair competition and
provide better value for money, focusing on quality criteria, as well as the innovative nature of the offers”
(from “Best practices in the field of social clauses in public procurements in Europe”). Refer also to “A Guide to
Social Procurement” (Buy Social Canada, 2018).
Environmental Rights
In recent years it has been argued that the architect has an ethical role to play in the fight against climate
change. In early 2018, the AIA adopted new rules and ethical standards that make sustainable design an
imperative for its members, who must “make reasonable efforts to advise their clients and employers of their
obligations to the environment.” The AIA’s National Code of Ethics also expanded on what architects’ goals
should be in terms of energy conservation, water use, building materials and the ecosystem. Many municipal
jurisdictions are now passing regulations concerning the rights of the environment while at the same time
issuing RFP with inappropriate risk transfer and egregious contractual conditions, making it increasingly
difficult for the architect to provide the services needed to meet environmental protection objectives. The
PART ONE Theory and Background
Community Environmental Legal Defense Fund (CELDF) is one of several organizations assisting municipalities
in drafting regulations concerning the rights of nature. This also relates to what is called Wild Law. Refer also
to David Boyd’s Rights of Nature and The Environmental Rights Revolution: A Global Study of Constitutions, Human
Rights, and the Environment.
Controversy exists over the validity of claims for environmental rights within the context of a building
project as they have conventionally been external to the contractual relationships between a municipality
and a building owner, and between that owner and his or her architect. The introduction of environmental
protection through municipal bylaws or building program requirements is essential to the incorporation of a
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broader understanding of the value of environmental protection in the project. Notwithstanding a potential for
influence, architects have no control over their clients’ objectives, program, and attitudes towards sustainable/
regenerative design. The “reasonable efforts” to inform a client of the benefits or necessities of incorporating
elements of environmental protection into a project must take place before the final project scope is fixed.
This then raises the question, what events or behaviour would constitute professional misconduct should an
architect be unsuccessful at encouraging a client to adopt higher building performance standards towards
sustainable or regenerative design?
Human Rights
There are growing conflicts between local populations and the development sector concerning cultural rights,
rights of access, housing rights, and, in international work, the rights of construction workers and their families
(Human Rights Watch continues to compile reports of abuses, all of which implicate design professionals). It is
noteworthy that, in Canada, the Canadian Human Rights Act and provincial or territorial human rights codes
prevail over the basic requirements of building codes. (Refer also to a similar case in New York City with the
United States v Avalon Chrystie, SLCE Architects, et al.)
Oaths and Declarations
An example of an oath taken by incoming members of the AIBC:
“Solemnly do I declare that having read and understood the Architects Act and the Bylaws and
Code of Ethics and Professional Conduct of the Architectural Institute of British Columbia, and
having passed the examinations, I am eligible for membership. Further do I announce that I
will uphold professional aims, uphold the art, and the science of architecture, and I will thereby
improve the environment. I also accept with obligation the need to further my education as an
architect. I promise now that my professional conduct as it concerns the community, my work,
and my fellow architects will be governed by the ethics and the tradition of this honourable and
learned profession, in the public interest.”
(AIBC Bylaws 9.0)
An example of a declaration (this is signed by incoming members of the NSAA):
“I am the person making application for a licence to practice architecture.
The photograph submitted with this application is an unaltered photograph of me taken within
the last six months before the application was made.
I hereby authorize the Nova Scotia Association of Architects to make such inquiries about me as
it considers appropriate in connection with this application for a licence and consent to any third
party releasing information to the Association in connection with this application.
I further authorize the Association to disclose information about me, including, for example,
copies of this form and documents submitted in this application process to other regulatory
authorities and architectural registration boards.
PART ONE Theory and Background
I have read, understood, and will abide by the provisions of: a. the Architects Act; b. Regulations
under the Architects Act; c. Bylaws of the Association; d. NSAA Code of Ethics and Professional
Conduct; e. Provincial Building Code of Nova Scotia; and f. Builder’s Lien Act.
I understand that in order to have my licence renewed, I must meet the Continuing Education
requirements approved by the Nova Scotia Association of Architects.
I understand that I have not satisfied the requirements for a licence if, in connection with this
application or any past application, I have made a false or misleading representation, either
because of what I have stated or what I have omitted.
I understand that if I have made a false or misleading representation my licence may be revoked.
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I understand that I must maintain Professional Liability Insurance, as per section 10 of the
Regulations pursuant to the Nova Scotia Architects Act, up to and including the warranty period
following completion of all projects.
I understand that this Professional Liability Insurance must cover all work on projects in Nova
Scotia during this time.
The answers I have given and the information I have provided is true, complete and without
intent to mislead.
I have read, understood and signed this application.
I will immediately notify the Association of any changes to any of the information contained in
this application.
I make this declaration conscientiously believing it to be true, and knowing that it is of the same
force and effect as if made under oath and by virtue of the Canada Evidence Act.”
Summary of Code of Ethics and Professional Conduct of the AIBC and SAA
The following is a summary of the Code of Ethics and Professional Conduct from the AIBC (Architectural
Institute of British Columbia) and the SAA (Saskatchewan Association of Architects) which is based on the
model developed by NCARB (National Council of Architectural Registration Boards).
Competence
Regulations governing competence are based on the assumption that the end result of an architect’s services
– a building – shall be fit, in all applicable regards, for its intended purposes. These rules state that:
architects must provide reasonable care, competence, knowledge, skill and judgement to clients and the
public;
architects’ consultants must be similarly competent;
architects must not undertake to provide services beyond their personal competence.
The test of competence is if another architect, being reasonable and prudent, would have provided similar
services at the same time and place. When a provincial or territorial association receives a complaint of
incompetence against one of its members, it may respond through an evaluation of the architect’s services
by his or her peers. If they find incompetence, then the architect could be subject to penalties imposed by the
association. The aim is to protect the public from further incompetence by ensuring that the architect either
raises his or her skills and services to prevailing professional standards or, failing this, stops practising.
Conflict of Interest
Architects must avoid actions and situations in which their personal interests conflict, or appear to conflict,
with professional obligations to the public, the client and others. Rules about conflict of interest include the
following statements.
An architect shall be compensated by only one party on a project, except when the other interested parties
PART ONE Theory and Background
agree in writing to another arrangement.
An architect with a personal association or interest in a project shall disclose this in writing to the client or
employer. If the client has objections, then the architect must either terminate the association or interest
or offer to give up the commission or employment.
An architect shall not solicit or accept compensation or benefits from suppliers in return for specifying or
endorsing their products, except as permitted.
An architect acting as an interpreter of construction contract documents and reviewing construction for
conformance with the contract documents shall render decisions impartially.
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An architect may be a project’s owner. An architect may also be the constructor of a project of the architect’s
own design. In such cases, the architect shall:
disclose any interest in writing to the other contracting parties and the authority having jurisdiction;
receive their written acknowledgement;
provide professional services as if disinterested.
An architect who is a juror or advisor to an approved competition shall not subsequently provide services
to the winner or, if there is no winner, receive any commission deriving from the competition.
Each architect should refer to their respective architects act for the full definition of conflict of interest.
Full Disclosure
This principle refers to an architect’s obligation to accurately represent the full truth. For example:
An architect shall disclose all related personal or business interests when making a public statement on
an architectural issue.
An architect shall accurately represent to the public, prospective or existing client or employer the
qualifications and scope of responsibilities in connection with work for which the architect is claiming
credit.
If an architect becomes aware that the employer or client is acting against professional advice and violating
applicable building regulations, the architect shall:
refuse to consent;
report the action to the authority having jurisdiction;
terminate services on the project.
An architect shall not knowingly make or assist others to make a false or misleading statement or omission
of material fact about education, training, experience or character when applying for or renewing
registration as an architect.
An architect who knows of an apparent violation of the architects act, bylaws, or council rulings shall
report such knowledge to the association.
An architect who has a financial interest in a building product or device which the architect proposes to
specify for a project shall disclose this to the client, receive the client’s written approval, and include a copy
of the client’s approval in the construction documents.
Compliance with Laws
An architect must respect and comply with laws and regulations. For example:
In the practice of architecture, an architect shall not knowingly violate any law or regulation.
An architect shall neither offer nor make payment or gift to a public official (elected or appointed) with the
intent of influencing the official’s judgement in connection with a prospective or existing project.
PART ONE Theory and Background
An architect shall comply with the relevant architects act and its bylaws and council rulings.
In the practice of architecture, an architect shall take into account all applicable federal, provincial or
territorial, and municipal building bylaws and regulations. The architect may rely on the advice of other
professionals and qualified persons as to the intent and meaning of such regulations.
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Professional Conduct
This section includes rules based on principles that are not covered in the preceding sections, as well as rules
that may not be conduct requirements in every province or territory. Examples of such conduct requirements
include:
the supervision of an architectural office by an architect;
the use of the architect’s seal;
the prohibition of the following acts:
offering gifts other than of nominal value to a prospective client;
committing fraud or having wanton disregard for the rights of others;
performing any act that would reflect unfavourably on the profession;
falsely or maliciously injuring another architect’s reputation or business prospects;
attempting to supplant another architect after the other has been retained or is in the process of being
retained;
accepting the same commission as another architect before the other has been dismissed;
the requirement to:
comply with competition rules approved by the council of the provincial or territorial association;
promptly distribute monies received for others;
comply with the provincial or territorial association’s performance standards together with appropriate
fees for services.
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References and Readings
Boyle, David. The Rights of Nature: A Legal Revolution That Could Save the World. ECW Press, 2017.
Boyle, David. The Environmental Rights Revolution: A Global Study of Constitutions, Human Rights, and the
Environment. UBC Press, 2011.
“A Guide to Social Procurement.” Buy Social Canada. 2018, https://ccednet-rcdec.ca/sites/ccednet-rcdec.ca/
files/buy_social_canada_social_procurement_guide.pdf, accessed March 17, 2020.
Fisher, Thomas. The Architecture of Ethics. Routledge, 2019.
Fisher, Thomas. Ethics for Architects: 50 Dilemmas of Professional Practice. Princeton Architectural Press, 2010.
Fox, Warwick. Ethics and the Built Environment. Routledge, 2000.
Foxell, Simon. Professionalism for the Built Environment. Routledge, 2018.
Iliescu, Sanda (ed.). The Hand and the Soul: Aesthetics and Ethics in Architecture and Art. University of Virginia
Press, 2009.
Morgan, Diane. Kant for Architects. Routledge, 2018.
Owen, Graham (ed.). Architecture, Ethics and Globalization. Routledge, 2009.
Ray, Nicholas. Architecture and its Ethical Dilemmas. Routledge, 2005.
Spector, Tom. The Ethical Architect: The dilemma of contemporary practice. Princeton Architectural Press, 2001.
Taylor, William M., and Michael P. Levine. Prospects for an Ethics of Architecture. Routledge, 2011.
Wasserman, Barry, Patrick Sullivan, and Gregory Palmero. Ethics and the Practice of Architecture. John Wiley and
Sons, 2000.
International Documents
American Institute of Architects (AIA). 2018 Code of Ethics and Professional Conduct. http://content.aia.org/sites/
default/files/2018-09/2018_Code_of_Ethics_0.pdf, accessed April 21, 2020.
“UIA Accord on Recommended International Standards of Professionalism in Architectural Practice, Amended
August 2014 at the XXVI General Assembly (Durban, South Africa).” International Union of Architects (UIA),
http://www.cialp.org/documentos/1454321930V4bBW8wd2Dq42PH7.pdf, accessed April 21, 2020.
“Guidelines for the UIA Accord Policy on Ethics and Conduct. Amended by the UIA Council held in Beirut,
Lebanon, January 2011.” International Union of Architects (UIA), 2011, https://www.united-architects.org/
assets/files/media-files/UIA%20Code%20of%20Ethics-Accord_0.pdf, accessed April 21, 2020.
PART ONE Theory and Background
“Model Rules of Conduct 2018-2019.” National Council of Architectural Registration Boards (NCARB), July 2018,
https://www.ncarb.org/sites/default/files/Rules_of_Conduct.pdf, accessed April 21, 2020.
“United States of America v CVP1, LLC, Downtown Manhattan Residential, LLC, Chrystie Venture Partners, LLC,
Avalon Bay Communities, Inc. and SLCE Architects LLP.” Unites States District Court Southern District of New
York, 1:08-cv-07194-SHS-KNF Document 52 Filed 10/15/10 Page 1 of 38, https://www.justice.gov/sites/default/
files/crt/legacy/2010/12/14/cvpsettle.pdf, accessed April 21, 2020.
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Chapter 1.3 – Professional Conduct and Ethics
Appendix A –
Codes of Ethics and Conduct – Provincial and Territorial
Associations of Architects
These are the current editions of the codes at the time of publication. These should be regularly checked for
any updates and for practice bulletins:
“Code of Ethics and Professional Conduct.” Architectural Institute of British Columbia, 17 APR 2015 edition, https://
aibc.ca/wp-content/uploads/files/2019/10/2015-04-17-Code-of-Ethics-April-17-2015-Edition-FINAL.pdf,accessed
April 21, 2020.
“Code of Ethics (under Architects Act General Regulation Alberta Regulation 200/2009 With amendments up to and
including Alberta Regulation 219/2010).” Alberta Association of Architects, https://www.aaa.ab.ca/getattachment/
The-Association/Who-We-Are/AAA-Ethics-and-Legislation/AAA-CodeofEthics.pdf?lang=en-US, accessed April 21,
2020.
“Bylaw No. 15, Code of Ethics and Professional Conduct. SSA Bylaws, October 11, 2018.” Saskatchewan Associa-
tion of Architects, https://saskarchitects.com/wp-content/uploads/2019/03/SAA_Bylaws_at_October_11_2018.pdf,
accessed April 21, 2020.
“General By-law, 01 January 2017. Article Fifteen, Professional Ethics and Conduct.” Manitoba Association of Archi-
tects, https://www.mbarchitects.org/regulatory_documents.php, accessed September 11, 2020.
“Code of Ethics.” Manitoba Association of Architects, https://www.mbarchitects.org/docs/MAA-Code-of-Ethics_rev1.
pdf, accessed April 21, 2020.
“Professional Misconduct in Regulation 27 under the Architects Act, R.S.O. 1990, current edition 01 JAN 2018.”
Ontario Association of Architects, https://www.ontario.ca/laws/regulation/900027?search=regulation+27, accessed
April 21, 2020.
“Code of Ethics.” Ontario Association of Architects, December 2014, https://oaa.on.ca/protecting-the-public/code-of-
ethics, accessed September 11, 2020.
“Code of ethics of architects, 01 JAN 2019.” Ordre des architectes du Québec, http://legisquebec.gouv.qc.ca/en/pdf/
cr/A-21,%20R.%205.1.pdf, accessed April 21, 2020.
“General By-Laws, January 2011 Sections 14 (‘Code of Ethics and Professional Conduct’) and 15 (‘The Profession-
al Relationship’).” Architects’ Association of New Brunswick, https://www.aanb.org/uploads/bylaw/39/file/transla-
tions/77/2._General_By-Laws.pdf, accessed September 11, 2020.
“Section 16 (‘The Professional Relationship’).” Architects’ Association of New Brunswick, https://www.aanb.org/up-
loads/bylaw/39/file/translations/77/2._General_By-Laws.pdf, accessed September 11, 2020.
“Guideline to AANB General By-Law No. 14 Code of Ethics and Professional Conduct.” Architects’ Association of
New Brunswick, https://www.aanb.org/uploads/bylaw/42/file/translations/83/Code_of_ethics_and_Professional_
Conduct.pdf, September 11, 2020.
“Canons of Ethics, 26 MAY 2015.” Nova Scotia Association of Architects, https://nsaa.ns.ca/files/documents/files/
NSAA%20Canons%20of%20Ethics%202015%20-%20May%2C%202015.pdf, accessed April 21, 2020.
“Code of Ethics.” Architects Association of Prince Edward Island, https://aapei.com/wp-content/uploads/2015/01/
PART ONE Theory and Background
AAPEI-CODE-OF-ETHICS.pdf, accessed April 21, 2020.
“Section 14 (‘Standards of Practice’) of General By-laws (as amended June 18th, 2010) Reaffirmed on June 22nd,
2018.” Architects Association of Prince Edward Island, https://aapei.com/wp-content/uploads/2019/03/BY-LAWS.
ORG-as-of-June-2010-reaffirmed-June-2018.pdf, accessed April 21, 2020.
“Code of Ethics (18 OCT 2010) of the Architects Licensing Board of Newfoundland and Labrador.” Architects Licens-
ing Board of Newfoundland and Labrador, https://www.albnl.com/documents/regulatory-requirements/code-of-
ethics/, accessed April 21, 2020.
“Code of Ethics, Schedule 1 of NWTAA Bylaws, April 2015.” Northwest Territories Association of Architects, http://
nwtaa.ca/files/regs/nwtaa-bylaws-rev-2015-04-11.pdf, accessed September 11, 2020.
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Chapter 1.4 – Mentorship and Career Transitions
Chapter 1.4
Mentorship and Career Transitions
Contents
Introduction 36
Career Transitions Within the Practice of Architecture 36
Student Associate 37
Internship 37
Emerging Practitioner 38
Mature Practitioner 38
Proprietor/Partner/Director 39
Architect, Retired 40
Transitions Inside and Outside of Practice 40
Succession Planning 40
Career Transitions Outside the Practice of Architecture 41
Mentorship and Supervision (or Management) 41
Role Descriptions 41
Supervisor 42
Mentor 42
Coach 42
Supervision/Management 42
Best Practices 43
Mentorship for Licensure 44
Mentorship for Practising Professionals 44
References 46
PART ONE Theory and Background
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Chapter 1.4 – Mentorship and Career Transitions
Introduction
A relevant architectural profession and a sustainable and flourishing practice allow practitioners to travel a
pathway that, though it may be different for each individual, accommodates transition throughout their pro-
fessional lives. This chapter discusses the growth and changing roles of the professional as they move through
the different phases of their architectural career, and the role that a mentoring relationship has in supporting
those transitions. Architects have a professional and ethical responsibility to pass along their body of knowl-
edge to the next generation. By mentoring, architects can support those entering the profession. As architects
become capable practitioners, they grow into the role of proprietors, or retire from practice.
Career Transitions Within the Practice of Architecture
Career transitions refers to the milestones typical of an architect’s career in practice. The common transitions
are student to intern, through to the emerging and then mature practitioner. Some architects may become
a proprietor with firm ownership responsibilities. Ultimately an architect will transition to retirement and the
role of non-practising architect. Not all possible pathways can be explored in this chapter. Architects may tran-
sition from the role of private-sector practising architect to public-sector project manager or other variation
in a career pathway.
As architecture is a lifelong commitment and the architect is always learning, evolving and improving their
skills, these categories are not always linear and cannot capture all the nuances and overlap of an individual’s
career. For example, a student will not always be young, and some hit their stride as mature practitioners at
a very young age. Alternatively, some mature practitioners do not take up the mantle of ownership or do so
quite late in their careers.
It is also important to appreciate that there is no one correct course to or through the pathway of a life in ar-
chitectural practice. Each individual has a different and personal definition of success. The correct career path
is the one that leads them to that vision.
• Enhancing
• Mentor to interns,
performance
emerging practitioners,
• Managing projects and proprietors
• Managing • Quality management
consultants and co-ordination
• Ethics and • Ethics and
professionalism professionalism
Emerging Mature
Practitioner Practitioner
Student Intern Retired
Associate Architect Architect
• Office practices • Being mentored
Proprietor • Mentor to interns,
PART ONE Theory and Background
• Office culture • Improve skills (optional emerging practitioners,
• Responsibility • Building confidence
career path) and proprietors
• Supporting the
• Technical knowledge • Building knowledge profession through
• Networks and
consultation and
• Success in ExAC relationship building
volunteer activities
• Client management
• Financial management
• Office systems
• Human resource
management
FIGURE 1 Traditional pathway through architectural practice
• Marketing and sales
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Chapter 1.4 – Mentorship and Career Transitions
Student Associate
“The mind is not a vessel to be filled but a fire to be ignited.”
Plutarch
In many jurisdictions, a student may be recognized by their provincial or territorial association of architects
as an affiliate, associate or student member. The student must either be studying architecture at a Canadian
school of architecture accredited by the Canadian Architectural Certification Board (CACB) or an American
school of architecture accredited by the National Architectural Accrediting Board (NAAB), or be enrolled in the
Royal Architectural Institute of Canada’s (RAIC) Syllabus Program.
Students enjoy the benefits of becoming engaged in the profession, with opportunities to volunteer in their
architectural association’s programs and build strong professional networks, and often enjoy reduced rates
to conferences and events sponsored by the association. Students and RAIC Syllabus students may also able
to log experience towards their internship experience requirements. Please refer to local licensing authorities
for specific conditions and further information.
Internship
“The internship is a chance to develop the relationship between theory and practice, for each
should inform the other.”
Sgroi & Ryniker, 2002
Note: The term “intern architect” is not universally recognized as an official designation in the acts regulating
architectural practice across Canada nor permitted in some jurisdictions. Individuals must refer to the
regulation in their jurisdiction for the proper term. In the Canadian Handbook of Practice for Architects, the
term “intern” is used to denote an individual at the beginning of their pathway toward professional licensure.
An intern is an individual who has graduated with a professional degree or professional diploma in architecture,
is an intern member of their provincial or territorial association, and is gathering practice experience under
the supervision of an architect licensed to practice in Canada. Internship is a very important stage in one’s
career. It exposes the person to the rigours and demands of the profession. It is a time when knowledge about
the practice of architecture is transferred and also a time for assessing whether they want to pursue a career
in architectural practice.
An intern acquiring practice experience will qualify to undertake the Examination for Architects in Canada
(ExAC) after the required number of hours have been reviewed and approved. As a part of the three E process
to achieve architectural licensure (education, experience, and examination), this examination tests whether
the intern has attained the minimum standards of competency required to practise architecture. Passing the
examination demonstrates that the intern understands their responsibility towards protecting the interests
of the public and supporting the profession and has the capability to deliver architectural services with the
standard of care expected of a professional architect.
PART ONE Theory and Background
Depending on the jurisdiction, a pre-licensure admissions course and/or interview before a panel of architects
may also be mandatory to become a registered architect on the path to architectural licensure.
To be eligible to register for the Internship in Architecture Program (IAP) an individual must have graduated
with a professional architectural degree or professional diploma from a CACB or NAAB accredited post-
secondary institution or have completed the RAIC Syllabus Program. International graduates must demonstrate
compliance of their education credentials through the CACB certification process, and those who graduated
from an approved Canberra Accord signatory country may receive substantial equivalency status. At the
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Chapter 1.4 – Mentorship and Career Transitions
internship stage, it may be required that the intern recruit a mentor to advise, support skills development,
offer counselling in leadership, and help build confidence.
For the intern, a professional relationship with a supervising architect becomes an important element to their
journey for licensing.
“The supervising architect is the Architect within the architectural practice or place of
employment who personally supervises and directs the Intern on a daily basis … to assess
the quality of work performed and regularly certify the Intern’s documented architectural
experience prior to submission of each section of the CERB”.
Internship in Architecture Program, p. 7
For further information, please refer to the Internship in Architecture Program guidelines published by the
Canadian Architectural Licensing Authorities or your local jurisdiction.
Emerging Practitioner
An emerging practitioner can be defined as one that is newly licensed or to whom registration has recently
been issued by a licensing authority.
When starting on a career path, it is important for a newly licensed architect to consider their long-term
career goals, specialization in project types or practice focus, and the type of work environment ideally suited
to the architect’s capabilities, work habits and temperament. Early projects in one’s career may become an
individual’s specialty later as their experience and reputation grow. The choice of whether to specialize early in
a typology or seek diversity in project types and delivery methods is the choice of specialization over a career
as a generalist. Neither career path is fixed and both have their benefits and drawbacks. Those benefits and
drawbacks are often a reflection of the individual’s capacity to proactively respond to the cyclical swings in
the economy. The scope of architectural practice requires the architect to possess a vast body of knowledge
that covers many different areas. Therefore, architects are generalists by training and will find most skills are
readily translatable to new challenges. With desire, proper planning and mentorship, an architect may succeed
in transitioning fluidly between project types by gaining the trust of various client groups and employers.
Another important consideration is whether the architect wishes to have their own practice or work for already
established firms. It is important to note that this ambition can arise either early or later in a career as the
right combination of life events, potential clients and resources emerges. This topic is discussed further in the
section “Proprietor/Partner/Director”.
A practitioner may decide to change their jurisdiction of practice. Careful research of reciprocity agreements
and licensing requirements must be undertaken prior to deciding. Reciprocity agreements for both certification
and licensure exist within Canada and between Canadian and international regulatory associations. Examples
include the ACE-CALA Agreements between Canada and Europe and Mutual Recognition Arrangement (MRA)
between the United States and Canada. From Canadian Architect: “The Canadian Architectural Licensing
Authorities (CALA) and the Architects’ Council of Europe (ACE) have confirmed the ACE-CALA Mutual Recognition
PART ONE Theory and Background
Agreement for the Practice of Architecture among member states in the European Union and Canada.” (See
references to agreements in chapter references.)
Mature Practitioner
As the architect gains experience and matures in their role, progressing from emerging to mature practitioner,
they develop a greater self-awareness of their strengths, weaknesses, and preferences. Perhaps they have
joined the leadership of a firm or have become specialized in a certain role, such as designer, building science
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Chapter 1.4 – Mentorship and Career Transitions
and envelope expert, contract administrator, or production lead for construction documents. Others may
decide to venture into a sole proprietorship or partnership in a small firm.
With acquired experience, they will find that they are able to give solid career advice to guide interns and
emerging practitioners, either formally as mentors or informally as colleagues.
As mature practitioners, architects also play important roles in related fields at the periphery of the profession,
such as expert witnesses in legal construction disputes, authors of professional publications, or participants in
panels and cross-disciplinary discussions of civic, educational or other related topics. These roles draw on the
experience and expertise of the mature practitioner, enhancing their profile and reputation, and ultimately
represent a culmination of their work and way of thinking.
“Giving back” to the profession and the community at large can be tremendously rewarding. Mature practitioners
often find satisfaction in participating on municipal design review committees or as design studio guest critics;
teaching; volunteering for their provincial or territorial association’s committees; or running for political office.
With years of experience in capital project planning, marketing, selling, and delivering professional services,
and building relationships, a mature-career architect may be a tremendous asset to any organization.
For further discussion of legal and financial aspects of succession planning, please see Chapter 3.2 – Succession
Planning.
Proprietor/Partner/Director
There are several options with variations presented to an architect who desires to assume an equity or
ownership position in an architectural practice. A sole proprietor is the owner of an architectural firm. The
majority of architectural firms in Canada are sole proprietorships. A partnership is formed when several
architects or corporations (a partnership of corporations) join as a practice. The partnership may be an even
split of the firm’s equity or a proportion of ownership based on a partnership agreement. A mature practitioner
may offer a partnership position to a younger architect as a means of turning the firm’s equity into retirement
savings as well as to sustain the firm’s market position and younger architect’s commitment to the practice.
This chapter uses the term director to describe a variety of ownership situations in which an architect has
some stake or equity position in a firm, although that may or may not relate to being in a key decision-making
role. The term “principal” is often used to describe the strategic decision-makers at a firm. It may apply to a
sole proprietor, partner, or director.
Typically, the percentage of ownership in the firm determines the level of strategic decision-making power an
architect has. It is not uncommon for large firms to offer shares in the firm as an incentive towards performance
and commitment.
Although there are many advantages to working as an employee or a leader within a large practice – shared
experiences, available support, exposure to project types and locations (for example, outside the country)
usually unavailable for a smaller firm – an architect may decide to establish their own practice, which can also
result in tremendous professional satisfaction. Each path has its risks and rewards: ultimately this centres on
an architect’s business acumen, entrepreneurial skill and desire to be the decision-maker.
It is important to note that the definition of success is ultimately personal and cannot always be quantified.
PART ONE Theory and Background
Drivers for a change in role may include the desire to pursue a particular artistic direction or a passion for
creating social change; the desire for a healthier work-life balance or the need to support young or aging
family members; or the desire to spend time teaching and sharing knowledge with the next generation of
practitioners. Another example is a sole proprietor who has ambitions to work on major projects out of
their reach in terms of staffing and support, and decides to join a larger firm to do so. As such, the typical
architectural career is non-linear; some architects may cycle in or out of sole proprietorship, partnership or
directorship in a larger firm several times in a single career.
For more information on opening an office, please see Chapter 3.1 – Starting and Organizing an Architectural
Practice.
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Architect, Retired
The time may come when an architect decides to retire from the responsibilities of practice. It may be that the
architect has cultivated interests and amassed the resources to pursue other activities or a new career. It may
be that an architect is transitioned out of a decision-making role at a firm due to changes in ownership. An
architect may find that after many years of sole proprietorship, they are unable to sell the firm and convert the
firm’s equity to retirement savings. This may be a time of difficult decisions fraught with emotional upheaval.
Whatever the cause of transitioning out of practice, it is essential to have a succession plan that addresses
not only the financial aspects of the transition but also considers changes in life goals. (Succession planning is
discussed further in this chapter. The financial aspects of succession planning are discussed in Chapter 3.2 –
Succession Planning.) Additionally, there are important administrative steps to be taken in terms of relationships
with professional associations, transferring of liability insurance to successors to ensure continuous coverage
of legacy projects, and the housekeeping of closing out related business matters.
Depending on the jurisdiction, an architect who chooses to retire may be deemed a “Retired Member” or
“Architect (Retired)” if they are in good standing and continue to pay any required annual fees. Generally,
retired architects are no longer allowed to offer architectural services to the public but can keep the title
“Retired Architect” and are still able to actively participate and volunteer within their association. Also, in
some jurisdictions, a retired member who resigned their membership and remains in good standing can be
elected as a “Life Member” by their association. Attaining this class of membership is a great honour, typically
associated with a waiver of paying annual fees, amongst other benefits.
Transitions Inside and Outside of Practice
Career transitions can occur not only at points when architects change firms or pursue their desire to start
their own practice but also within larger practices. It is prudent for a practice to plan in terms of internal
succession planning. Individuals may be identified as having the skills to transition to more challenging roles
within the firm and may be rewarded both financially and with role advancements. Such incentives help to
retain key staff.
Internal transitions also occur when firms change ownership, for example when a smaller firm is bought by
a larger one to enter new markets and diversify. Purchase of a firm or a merger of several firms may include
architectural firms or combined architecture and engineering firms. A successful merger requires a good
cultural fit between two or more organizations. Arthur Gensler warns, “Most mergers present a threat to a
firm’s culture – both yours and theirs.” (Gensler, p. 21)
Succession Planning
One often overlooked aspect of retirement is succession planning. Many architectural practices cease to
operate with the departure of the founder(s). Statistically, very few thrive into numerous regenerations
because they did not plan for succession. Art Gensler, in his book Art’s Principles: 50 years of hard-earned lessons
PART ONE Theory and Background
in building a world-class professional services firm, identifies the following roadblocks to successful succession
planning:
Ego: Leaders believe they know what’s best for the company they worked hard to establish;
Fear of the unknown: They don’t know what to do with their lives beyond work;
Procrastination: Leaders fail to embrace succession planning. Leaving the planning too late is often fatal
to a firm.
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This can be a tumultuous time for an architecture firm. A sound succession plan must address the need for
finding suitable leaders and the design talent to fill the shoes of those leaving, a strategy to build and maintain
trust between established clients and the incoming team, and a sound financial plan in place in order to sell
one’s ownership stake upon leaving. (Many founders assume they will work forever and thus have no financial
retirement plan.)
Gensler, reflecting on his own experience, advises departing leaders to undertake a “quiet transition” away
from marketing and public relations, supporting the transitioning team as they become accustomed to their
new responsibilities. Time should be taken as needed to allow for the new team to settle in their roles. Advising
clients personally about the changes the firm is undergoing further establishes trust, as they are privy to the
leadership that is being groomed and are assured that they can expect the same quality of service they have
received in the past. On this topic, Gensler offers these words of wisdom:
“Ego is the main roadblock . . . It takes maturity to set aside one’s ego and think about what
is best for the long-term health of the organization.”
Succession planning is not exclusively for the older architect retiring from practice. Substantial changes in
personal and family goals, a changed role in practice, or a desire to change one’s career path all require a
plan. In these situations, a mentor who has experienced these transitions can be invaluable to the architect.
Resiliency, mentoring, job shadowing and a business continuity plan are key elements of a successful transition.
For further discussion of legal and financial aspects of succession planning, please see Chapter 3.2 – Succession
Planning.
Career Transitions Outside the Practice of
Architecture
Though it is beyond the scope of this chapter and best addressed by a career coach, an architect may decide
for personal or professional reasons to leave the field of architecture entirely. As a generalist, the architect’s
training is by its very nature broad and liberal, and an architect’s skills can translate readily to benefit a wide
variety of unrelated fields that demand creativity, complex problem solving and rigour.
However, there are important legal and ethical issues to address upon leaving a career in architecture and
transitioning to another. These include maintaining or transferring the liability associated with legacy projects.
Each architect must review their situation with their provincial or territorial regulator to identify the specifics
of their membership and areas of concern.
Mentorship and Supervision (or Management)
Role Descriptions
PART ONE Theory and Background
A discussion of roles and responsibilities in a mentoring relationship requires a common language. The
terms “supervisor,” “mentor,” and “coach” are often used interchangeably both within architectural practice
and in general parlance; however, these terms each have a different meaning and refer to different types of
relationships. It is important that we understand how they are different and how they apply to architectural
practice.
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Chapter 1.4 – Mentorship and Career Transitions
Supervisor
The term “supervisor” describes a role in a reporting relationship. A supervisor interacts with those being
supervised on a regular basis, and knows the work assigned to each individual and the capabilities of the
individual assigned the task. The supervisor may be the sole proprietor, a project architect, project manager
or job captain. This term is often used interchangeably with “manager.” In many cases this relationship will be
project-based, although in many larger firms this is not always the case.
Mentor
In architectural practice, there are two contexts in which the term “mentor” is used. The first instance is during
internship. The Internship in Architecture Program requires that each intern, the mentee, recruit a member of
the profession to provide guidance during their learning and practice experience. The mentor may not be the
intern’s direct supervisor. The second instance refers to a more informal relationship that may be ongoing or
intended for a specific event or transition. An emerging practitioner, emerging proprietor or retiring architect
may be a mentee in a relationship with a mentor who can support them through a career transition.
Coach
Unlike a mentor, a coach in a professional context is focused on the development of a specific skill or a
performance improvement. In architectural practice, “coaching” generally occurs within the context of either
the supervisor or mentor relationship rather than as a separate dedicated relationship.
Mentor Supervisor/Manager Coach
Intern (usually during the
professional licensure process) Emerging practitioner
Emerging practitioner Intern Emerging proprietor
Emerging proprietor Emerging practitioner At various times during career
At various times during career if desired
if desired
TABLE 1 Relationships between mentors, supervisors or coaches and who they support.
Supervision/Management
Supervision is a subset of practice management. As a person who supervises (or manages) the work of another,
the supervisor has direct oversight of the work being completed. The supervisor/supervised relationship is
very important in architectural practice as often the supervisor is a registered professional, and thus may
be legally responsible for work completed by the supervisee. This, however, is not the only reason that the
supervisory relationship is important in architectural practice.
Delivering professional services involves developing relationships with other people. It relies on the intelligence,
PART ONE Theory and Background
creativity, and care of talented individuals to complete great work. Architecture, like many other professions,
is only as good as the people that perform it. It is therefore imperative that the architectural practice attract
and retain the best and most talented interns and architects. The practice then must work diligently to help
them grow and reach their maximum potential. One of the most effective ways to retain and develop staff is
through the supervisor or manager’s role.
Ultimately, if the person’s role becomes misaligned with their goals, it can lead to staff searching for other
opportunities. This is both expensive and unproductive for the firm.
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Best Practices
Given the importance of supervision as one transitions into roles that require the management of others, the
manager should strive to become effective at building relationships. Resources to support the development
of managerial skills and capabilities can be obtained thorough continuing education opportunities offered by
many universities, colleges, and professional associations. This section explores some high-level strategies
and general behaviours that can be effective in architectural practice.
Most importantly, as a manager, a relationship with the people being supervised is critical. This requires a solid
understanding of employees’ capabilities, goals, and desires for learning, growth, and advancement. Without
understanding each person’s goals and priorities, a manager will struggle to assist in their professional growth
or may assign tasks that are not appropriately challenging and rewarding.
One of the most highly recognized techniques for developing this professional relationship is the one-on-one
meeting. This is a regularly scheduled meeting between supervisor and supervisee, where the primary focus is
the communication and trust development between the two parties. This meeting has been shown to be very
effective across a broad range of workplaces, and particularly in professional services firms.
Another important element of supervision is feedback. In architectural practice, much work relies on judgement
informed by experience. There is often more than one “correct” answer to a problem, and many ways to
approach a design challenge. Because of the bespoke nature of architectural work, it is critical to give the
team members regular, constructive feedback on their performance. People require constructive feedback.
Even corrective feedback is valuable if delivered thoughtfully, constructively, and respectfully. If feedback is
not provided, there cannot be a reasonable expectation of performance improvement. Clear expectations,
achievable goals, positive reinforcement for a job well done, and rewards when team members have exceeded
expectations promote stronger team unity and improved performance.
A supervisor also has the responsibility to support employees’ development into professionals. The supervisor
is not primarily responsible for professional development, as that lies with the individual team member, but
to the fullest extent possible the supervisor should assist with this process, sometimes in the role of coach.
Where feedback is about giving timely direction on performance, coaching can be a longer-term commitment
to helping develop a skill of a team member. An example of this might be assisting in developing an employee’s
skills in client relationship management, particularly if the employee struggles with relationship building. The
supervisor helps the team member to develop a plan for expanding their skill set and to look for opportunities
to practise in a safe, non-threatening environment, such as an internal presentation to other people in the
firm. As coaching can be a significant investment by the supervisor, it is advisable to set clear goals and
timelines around the development effort, and to monitor progress carefully. While it is an investment, helping
team members reach their potential can pay significant dividends for the firm.
Another way to help team members develop is through delegation of responsibilities. Delegation can be
challenging as it requires the supervisor to “let go” of certain responsibilities and trust that training and support
have provided the employee with the skill set needed to execute the tasks proficiently. Delegating work to the
team can help them grow as professionals and can free the supervisor for other high-value tasks.
PART ONE Theory and Background
Ultimately, as a manager/supervisor, your role is to help the firm attract and retain the most talented
professionals and to deliver results for the practice. Effective supervision is critical to the ongoing success of
an architectural practice.
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Chapter 1.4 – Mentorship and Career Transitions
Mentorship for Licensure
Most architectural professionals first encounter mentorship within the context of their jurisdiction’s internship
in architecture program. The purpose of these programs is to “provide interns with a structured transition
between formal education and architectural registration” (AIA: Mentoring Essentials for IDP Supervisors and
Mentors, p.2). In most jurisdictions, it is advised that the mentor be from a different practice than the mentee.
This is to avoid the mentor being placed in a situation where there is a real or perceived conflict of interest
between the needs and desires of the intern and that of the practice. It also allows the mentor to observe
the internship from the “outside” and give objective advice on professional development to the intern. If it is
unavoidable that the mentor and mentee are from the same practice, it is strongly advised that the mentor
is not also the mentee’s supervisor. The two roles are very different, and in some instances these roles might
conflict.
Usually, the mentor is a practising architect, although there are some jurisdictions where retired practitioners
are allowed.
In the context of an internship, the mentoring relationship is focused on the development of the intern
towards a specific goal: licensure. As such, this relationship is generally structured around periodic one-on-
one meetings where mentor and mentee will review the intern’s activities from the given period and discuss
areas for development. It is advisable that these meetings be scheduled regularly in advance, rather than
requested on an as-needed basis, to ensure the momentum of development continues. It is the mentee’s
responsibility to set up and run these meetings. The mentor’s role is that of an advisor: someone who gives an
appraisal of the intern’s progress and helps them formulate a vision for their future development within the
internship program.
Mentorship for Practising Professionals
While mentorship is a fundamental component of the many jurisdictions’ professional accreditation process
in Canada, mentorship continues to be valuable throughout our professional careers.
A mentor is someone who primarily is guiding your professional growth. This relationship is about the longer
term and broader goals. In architectural practice this is usually a relationship with a more experienced
colleague. It is generally recommended that the mentor be from outside the mentee’s organization, but in
some rare instances this is neither possible nor desirable. Face-to-face meetings with a mentor might happen
every couple of months, and phone calls or email exchanges could happen more frequently if desired by
both parties. There are different types of mentors, but generally the relationship forms around developing
one aspect of the professional skill set. Throughout one’s career, one might have several different mentors at
different times, each focusing on different aspects of professional development.
An example of a mentor/mentee relationship that varies from the obvious younger apprentice learning from
the older journeyman, is the digital native employee supporting the learning of the senior principal in building
information modeling, new processes in integrated practice, and the use of ever evolving software applications.
As a rule, the mentor/mentee relationship should be initiated by the mentee. The mentee should carefully
PART ONE Theory and Background
consider which skills they wish to develop, and then actively seek out a mentor who has specific knowledge
of these skills. If the mentee does not know of someone appropriate, the supervisor or other practice leader
may be able to provide guidance. When making the request of the mentor, it is generally recommended that
the mentee make the parameters of the mentorship explicit. This means being specific about both what they
hope to gain from the mentorship as well as the anticipated time commitment from the mentor. As mentor
candidates are often senior professionals, they may have many responsibilities to their own firm, and their
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Chapter 1.4 – Mentorship and Career Transitions
time is at a premium. One approach that can be effective is setting an “expiry” date on the mentorship – a
timeframe within which it would be reasonable to achieve the development one is seeking. In this way, the
mentor is not being asked for an indefinite commitment and may be more likely to accept the role.
The benefits of effective mentorship to the mentee are obvious, but there are benefits for both the mentor and
the mentee’s practice as well. For the mentor, they have an opportunity to share their professional knowledge
and contribute to the future of architectural practice. Through this relationship, they may also gain a better
understanding of the challenges faced by younger staff at their own firm. Mentors get a chance to develop
their leadership skills, which may assist them in making their own transition to practice leadership. Another
aspect that cannot be overlooked is that it is often an honour to be asked by an up-and-coming architect to be
their mentor – it means your work as a professional is respected by them and you are looked up to for advice.
Firms benefit from the mentees gaining a broader understanding of the profession outside of their particular
practice and developing their professional network. Working with an external mentor also provides the
opportunity for the mentee to bring new ideas around professional practice to the firm.
Benefits for the mentor Benefits for the mentee
Development/expansion of leadership
capabilities Opportunity to learn from experienced
professional
Opportunity to gain greater understanding of
challenges facing young professionals Receive useful career guidance and second
opinions when facing professional challenges
Recognition of professional expertise
Improved morale and job satisfaction
Improved morale and job satisfaction
Benefits for both
Deeper understanding of professional ethics
Opportunity to build on good practices and adopt innovative practices
Opportunity to expand one’s professional network
TABLE 2 Mentor/mentee relationship benefits.
Mentorship provides significant value to all parties throughout all phases of a professional career, and it is
advised that practising professionals seek out opportunities to mentor and be mentored. This sharing of
knowledge can only strengthen our professional practice as a whole.
PART ONE Theory and Background
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References
Mentoring Essentials for IDP Supervisors and Mentors. American Institute of Architects, November 2012.
“Mentorship and Sponsorship.” American Institute of Architects, 2019, http://content.aia.org/sites/default/
files/2019-06/AIA_Guides_for_Equitable_Practice_06_Mentorship_Sponsorship.pdf, accessed April 21, 2020.
“Internship in Architecture Program.” Canadian Architectural Licensing Authorities, 4th Edition, January 2012,
https://raic.org/sites/raic.org/files/pub_resources/documents/iap_e.pdf, accessed April 21, 2020.
Drucker, Peter. The Effective Executive: The Definitive Guide to Getting the Right Things Done. Harper Collins, 2015.
Gensler, Art and Lindenmayer, Michael. Art’s Principles: 50 years of hard-earned lessons in building a world-class
professional services firm. Wilson Lafferty, 2015.
Gingras, Pierre-Paul, Bourdeau, Laurent. Rencontre avec un mentor. Montréal: JFD Éditions, 2013.
“Mentoring and essential skills.” Employment and Social Development Canada, https://www.canada.ca/en/
employment-social-development/programs/essential-skills/tools/mentoring.html, accessed April 21, 2020.
Horstman, Mark. The Effective Manager. Hoboken, NJ: Wiley, 2016.
“Canada.” National Council of Architectural Registration Boards (NCARB), https://www.ncarb.org/ad-
vance-your-career/international-practice/canada, accessed April 21, 2020.
“Intern Architect.” Ontario Association of Architects, https://oaa.on.ca/registration-licensing/intern-architect,
accessed September 11, 2020.
Sgroi, C.A., Ryniker, M. “Preparing for the Real World: A Prelude to a Fieldwork Experience.” Journal of Criminal
Justice Education, 13(1), 2002, 187-200.
Stone, D. Mastering the Business of Architecture. Ontario Association of Architects, Toronto, 2004.
Verma, V.J. The Human Aspect of Project Management, Volume Two, Human Resource Skills for the Project Manager.
Newtown Square, Pennsylvania: Project Management Institute, 1996.
PART ONE Theory and Background
Verma, V.J. The Human Aspect of Project Management, Volume Three, Managing the Project Team. Newtown Square,
Pennsylvania: Project Management Institute, 1996.
Zachary, Louis. The Mentor’s Guide: Facilitating Effective Learning Relationships. 2nd Edition. San Francisco: Jose-
Boss, 2013.
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Chapter 1.5 – Admission to the Profession
Chapter 1.5
Admission to the Profession
Contents
Definitions 48
Introduction 48
Education 49
Role of the Canadian Architectural Certification Board (CACB) 49
Canadian Education Standard 49
Accredited Degree 49
Alternate Pathways to Licensure 50
Broadly Experienced Foreign Architect (BEFA) Certification 50
Registration prior to Certification Process (Grandfathering) 50
Professional Degree Programs in Architecture 50
Accreditation of Professional Degree Programs 51
CACB Conditions and Terms for Accreditation and CACB Procedures for Accreditation 52
RAIC Syllabus 52
Experience 52
Internship in Architecture Program 52
Role of Employers 53
Role of Mentors 53
Experience Categories 53
Examination for Architects in Canada (ExAC) and the Architect Registration Examination (ARE) 54
Licensing/Registration 55
Procedure 55
Reciprocity Agreement Between Canadian Architectural Licensing Authorities 55
Inter-Recognition Agreement Between the NCARB and the Former CCAC
PART ONE Theory and Background
56
Mutual Recognition Agreements (MRA) 56
Continuing Education/Professional Development 56
Allied Industry Certification and Professional Development 57
References 58
Appendix A – List: Canadian University Schools of Architecture with Accredited Programs 59
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Definitions
Accreditation: The process that establishes that an educational program meets an established standard
of achievement. Its purpose is to assure the maintenance and enhancement of an appropriate educational
foundation. The process is generally done by regular external monitoring using validated criteria and
procedures.
Certification: The official or legal recognition of an individual’s qualifications.
Structured Learning Activities: “Educational opportunities that provide a fundamental level of knowledge
relevant to the practice of Architecture throughout Canada.” (Continuing Education Harmonization Task Force
2007)
Unstructured or Self-Directed Learning Activities: “Educational opportunities that have been selected
by an individual.” (Continuing Education Harmonization Task Force 2007) These activities must relate to the
practice of architecture or business and must be relevant to the architect’s specific situation.
Introduction
Canada’s provincial and territorial governments have jurisdiction over professional practice. This responsibility
is entrusted by legislation to various provincial and territorial professional associations, which regulate
members of their respective professions for the protection of the public. Provincial and territorial associations
of architects, sometimes referred to as the licensing authorities, have established admission requirements
and standards to ensure that candidates are competent to practise architecture.
The 10 provincial associations of architects and the Northwest Territories Association of Architects have
adopted common admission standards, which include the three Es:
education;
experience;
examination.
These three components may overlap, to the benefit of the student or intern. Writing certain sections of the
Examination for Architects in Canada (ExAC) or the Architect Registration Examination (ARE) permits the intern
to apply or demonstrate knowledge, skills, and abilities acquired during internship.
The Three “E”s
Architectural Continuing
Education Experience Examination Licence/
Registration
Education
(Professional Development)
PART ONE Theory and Background
1 Accredited degree Complete Intern Pass Comply with
Architect Program (ExAC or ARE) requirements of
2 Degree/diploma not Issued by
examination the provincial or
accredited by CACB provincial or territorial
architectural association territorial
3 Registration prior to architectural
certification process association
FIGURE 1 Pathway to the profession
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Education
Role of the Canadian Architectural Certification Board (CACB)
The CACB is a national independent non-profit corporation. The directors are elected from individuals
nominated by the Canadian Architectural Licensing Authorities (CALA), the Canadian Council of University
Schools of Architecture (CCUSA), and the Canadian Architecture Students Association (CASA). The CACB is
a decision-making and policy-generating body. It is the sole organization recognized by the architectural
profession in Canada to assess the educational qualifications of architecture graduates (Certification Program)
and to accredit professional degree programs in architecture that are offered by Canadian universities
(Accreditation Program).
The CACB’s head office is in Ottawa, Ontario. It adheres to the principles of fairness, transparency, clarity and
ethical business practices in all of its activities.
The CACB receives its mandate from the CALA and the CCUSA to:
1. Certify educational qualifications of individual architectural graduates;
2. Accredit professional architecture programs at Canadian universities;
3. Certify professional qualifications of broadly experienced foreign architects (BEFA Program);
4. Collaborate and conduct research, nationally and internationally, as it relates to architectural accreditation
and academic certification.
Canadian Education Standard
The Canadian Education Standard for Architects (CES) is the academic qualification requirement established
by the Canadian Architectural Licensing Authorities (CALA) for candidates seeking to practise architecture in
Canada.
The CES has been developed in accordance with both the core principles of the UNESCO/UIA Charter for
Architectural Education and the relevant sections of the UIA Accord on Recommended International Standards
on Professionalism in Architectural Practice.
Individuals can satisfy the requirements of the Canadian Education Standard (CES) in three ways:
accredited degree;
degree or diploma not accredited by CACB;
registration prior to the Certification Process.
Accredited Degree
CES requirements can be satisfied by obtaining a professional degree (master’s degree in Canada) from an
architecture program accredited by the CACB or its U.S. counterpart organization, the National Architectural
Accrediting Board, Inc. (NAAB).
PART ONE Theory and Background
Degrees or diplomas not accredited by CACB CES requirements can be satisfied by obtaining a professional
degree in architecture from an education institution in a foreign country (except the United States) or from
one of the Canberra Accord Signatories since January 1, 2010.
CES requirements may also be satisfied by obtaining a Professional Diploma in Architecture from the Royal
Architectural Institute of Canada (RAIC) Syllabus Program (a combination of academic and design studio
education, and practice experience). Refer to https://www.raic-syllabus.ca/ for additional information.
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Registration prior to the Certification Process
By obtaining a degree from one of the Canadian schools of architecture listed below prior to the implementation
of the CACB Accreditation System in 1991:
University of British Columbia;
University of Calgary;
Technical University of Nova Scotia (TUNS) (currently Dalhousie University);
Université Laval;
University of Manitoba;
McGill University;
Université de Montréal;
University of Toronto;
University of Waterloo.
Refer to the CACB website for details about each approach to satisfying the requirements of the CES:
https://cacb.ca/academic-certification.
Alternate Pathways to Licensure
Licensure may be achieved following several alternate pathways.
Broadly Experienced Foreign Architect (BEFA) Certification
Licensure can be achieved by submitting academic records and a portfolio of projects, completing a self-
assessment, and participating in an interview process with architects licensed to practise in Canada. A foreign
licensed architect may then receive certification and can apply to a provincial or territorial regulator for a
licence to practise. Candidates may be required to upgrade their education by taking appropriate courses or
workshops. Refer to https://cacb.ca/foreign-architects.
Broadly Experienced Architect (administered by the AIBC)
As well, for those complying with AIBC experience requirements, licensure may be achieved by submitting a
portfolio of projects, completing a self-assessment, and participating in an interview process with architects
licensed to practise in British Columbia. An applicant who has not met the usual requirements for registration
through education, experience and examination may then become licensed to practice. Refer to https://aibc.
ca/registration/architects/alternative-qualifications.
Registration prior to Certification Process (Grandfathering)
An additional pathway to licensure can be achieved for those who qualify under the following conditions:
through registration or licensing by a provincial or territorial association of architects prior to July 1, 1976;
for the province of Québec, through registration/licensing by the Ordre des architectes du Québec prior
to 1992; or
for the province of Alberta, through certification by the Universities Coordinating Council.
PART ONE Theory and Background
Professional Degree Programs in Architecture
University programs in architecture provide education that includes critical analysis and integration of
knowledge.
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Analytical study (theoretical courses) provides general knowledge required to undertake the design and
construction phases involved in the development of the built environment. Subject areas include:
Design: Technical Knowledge:
Design theories, precedents, and methods Regulatory systems
Design skills Materials
Design tools Structural systems
Program analysis Envelope systems
Program development Comprehensive Design
Site context and design Professional Practice:
Urban design The architectural profession
Detailed design Ethical and legal responsibilities
Design documentation Modes of practice
Culture, Communications, and Critical Thinking: Professional contracts
Critical thinking and communication Project management
Architectural history
Architectural theory
Cultural diversity and global perspectives
Ecological systems
Design studio is the cornerstone of architectural education. It is the integration of academic, cultural and
technical studies, with complex problem-solving in a project-based learning environment. Design studio
enables students to develop creative solutions to specific architectural issues while developing self-reliance,
teamwork, and analytical skills necessary to become practising architects. Architectural education is difficult
and requires a high degree of self-direction and internal motivation. Students are generally critiqued in a
group setting, encouraging engagement with fellow students and enhanced learning outcomes.
Undergraduate pre-professional programs in architectural studies are offered by both accredited and non-
accredited post-secondary institutions. The master’s-level professional degree, a requirement to become an
intern in architectural practice, is currently offered at 12 accredited Canadian university schools of architecture.
Accredited schools of architecture operate independently but collaborate through the Canadian Council of
University Schools of Architecture (CCUSA). Entrance requirements to university programs vary. Prospective
students should review the programs and application requirements thoroughly for each school. Students
transferring from undergraduate to graduate programs in different schools should examine academic
requirements carefully.
A typical combination of an undergraduate degree in architectural studies plus a graduate professional master’s
degree will usually involve six years of study. This may be lengthened by co-operative work terms or transfer
from one school to another. Several accredited schools of architecture offer an extended professional master’s
degree (three to three and a half years) for those students who enter the program with an undergraduate
degree in subjects other than architectural studies.
Accreditation of Professional Degree Programs
PART ONE Theory and Background
Accreditation is the public recognition accorded to a professional program that meets established professional
qualifications and educational standards through initial and periodic evaluations.
The CACB only accredits programs that are intended by their institution to be professional degrees in
architecture that lead to licensure. Professional accreditation of a program means that it has been evaluated
by the CACB and substantially meets the educational standards that comprise an appropriate education for
an architect. The accreditation process requires a self-assessment by the institution or program, an evaluation
of the self-assessment by the CACB, and a site visit and review conducted by a team representing the CACB.
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The CACB looks at the accreditation of architectural education within a broad frame and with an atmosphere
of co-operation and mutual respect. The CACB strives to:
create and maintain conditions that will encourage the development of architectural educational practices
suited to the institutional history, mission, culture, and condition particular to the program;
assist programs in fulfilling the broad requirements of the profession of architecture.
CACB Conditions and Terms for Accreditation and CACB Procedures for
Accreditation
These are the guiding documents for the accreditation of programs offering professional degrees in
architecture. They outline the requirements that the accredited programs must meet and the procedures to
follow to ensure a uniform, fair and equitable accreditation process that will uphold the minimum standards
in architectural accreditation. The CACB Conditions and Terms for Accreditation and the CACB Procedures for
Accreditation are companion documents that should be read together. In both documents, words including
“shall,” “must,” and other grammatically imperative terms set forth a requirement, while “may” indicates a
suggestion.
“Terms of Accreditation,” as well as “Accreditation Information and Documents,” are published on each school
of architecture’s program webpage.
RAIC Syllabus
The RAIC Syllabus Program is the national alternative path to architectural licensure in Canada. It is owned
and managed by the Royal Architectural Institute of Canada with support from its education service provider,
Athabasca University. It is a combination of academic study, design studio and work experience. Academic
courses are provided online. Design studios are operated in 12 cities across Canada with instruction provided
by volunteer licensed practitioners. Extensive work experience is required to graduate from the program.
Syllabus students are required to be employed in an architectural practice and work under the supervision
of an architect licensed to practice in Canada. Students entering the program may receive credit for post-
secondary education in architectural technology or other areas of study. The Syllabus Program is challenging,
requiring a high degree of self-motivation and exceptional time management skills.
Experience
Internship in Architecture Program
The objective of internship prior to licensing/registration is to ensure that the candidate gains enough
experience to:
meet generally recognized standards of practical skill and professionalism;
practise architecture in a way that protects the public interest.
PART ONE Theory and Background
The provincial and territorial associations of architects established the Internship in Architecture Program
(IAP). The IAP is a standardized national system for periodic documentation and evaluation of internship
activities. It provides a structured transition between formal education and registration/licensing. In addition,
the program encourages experienced practitioners to become more involved in the development of their
future colleagues.
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Candidates are advised to register for the IAP with their provincial or territorial architectural association as
soon as they are eligible. Eligibility occurs after candidates have completed their professional master’s degree
or the RAIC Syllabus Program.
Procedures for applying to become an intern are described in the IAP Manual, which includes:
guidelines;
forms;
sample letters;
the Canadian Experience Record Book, a requirement for recording work experience.
Important to note is that each provincial or territorial regulator has its own rules governing internship. It is the
intern’s responsibility to review the IAP Schedule B for the conditions and rules governing internship for the
jurisdiction in which they are registered.
On application, candidates must complete the appropriate form to confirm the names of employers (or the
equivalent) and mentors.
The Canadian Experience Record Book (CERB) is also available on the RAIC website as an interactive form to
be completed and printed for submission to the licensing authorities by interns.
Several regulators have adopted an automated online portal system for a more streamlined recording and
validating of intern experience.
Role of Employers
Employers direct and supervise interns daily, assess the quality of their work, and certify the intern’s
documentation of work experience. The supervising architect should have a detailed understanding of the
scope and quality of the intern’s work, afford the intern opportunities for challenge and growth, and provide
a pathway for career development.
Role of Mentors
It is the intern’s responsibility to manage the internship and proactively seek guidance from both the mentor
and the supervising architect. The mentor is an architect recruited by the intern. The mentor meets with the
intern regularly to review the progress of the intern, comment on the experience gained, and discuss the
intern’s career goals and broad professional issues. The mentor can also act as a sounding board for issues
the intern may be experiencing, or as a peer-to-peer colleague with the intern’s employer.
Experience Categories
The Internship in Architecture Program requires interns to complete a total of 3,720 hours of experience (over
a minimum of two years) in the following categories:
Categories Minimum required hours
PART ONE Theory and Background
Design and Construction Documents 2,200
Construction Administration 520
Management 240
Categories Total hours permitted
Additional hours in any of the 17 categories of practice listed in the Canadian Experience Record Book: 760
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Examination for Architects in Canada (ExAC) and the
Architect Registration Examination (ARE)
Historically, professional examination of architects has been handled differently by each provincial or territorial
regulator. Starting in the late 20th century, a standardized test, the Architect Registration Examination (ARE),
was adopted in Canada; it is administered through NCARB (National Council of Architecture Registration
Boards).
Starting in 2007 the licensing authorities had developed the Examination for Architects in Canada (ExAC). Since
2013, the ExAC has been adopted across all jurisdictions in Canada. The exam is set annually and is a high-
stakes professional examination.
The ExAC is composed of four sections and covers the following topic areas as set out in the Internship in
Architecture Program, across several broad themes:
Section 1: Section 3:
Programming; Final Project.
Site and Environmental Analysis;
Coordinating Engineering Systems;
Cost Management;
Schematic Design; Section 4:
Design Development. Bidding and Contract Negotiations;
Construction Phase – Office;
Section 2: Construction Phase – Site;
Code Research (NBC 2015 Edition). Project Management.
The principal sources of the examination content include:
Internship in Architecture Program (IAP);
Canadian Handbook of Practice for Architects (CHOP), published by RAIC;
National Building Code.
The exam may call upon knowledge of contemporary design and practice standards, such as sustainability
standards, or universal design. Refer to the ExAC website for more information, http://www.exac.ca/en/accue-
il.html.
Interns are permitted to write the examination after meeting a minimum of 2,800 hours of experience. They
must write all four sections of the ExAC on their first sitting and, if any sections are failed, must rewrite the
failed sections in the following two years. If the intern fails to achieve a pass on all sections of the examination
at this final attempt, they will be considered as a new candidate for the examination and will therefore have to
rewrite all the sections of the examination as a first time applicant.
PART ONE Theory and Background
This means that a candidate may have successfully passed three sections, but if they failed the last one at their
final attempt, they will have to rewrite the four sections, even those they passed.
The ExAC is administered through a committee of Canadian Architectural Licensing Authorities (CALA), the
CExAC. The committee consists of six representatives from across the country, appointed by the regulators.
The CExAC oversees the annual examination and marking process, receives and approves exam results,
and manages the preparation and validation of new questions. In addition to the committee, many other
volunteers assist with these tasks.
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Most provincial and territorial associations continue to recognize the Architect Registration Examination (ARE),
administered by the U.S. National Council of Architectural Registration Boards (NCARB) to support reciprocal
licensing for architects throughout much of North America. Those considering working in cross-border
jurisdictions and writing either/both the ExAC or/and the ARE should consult with their provincial or territorial
association of architects. (See Chapter 1.7 – International Architectural Organizations.)
The ARE, which is administered in computer format only, is subdivided into seven divisions which may be
written in any order and at any time at various testing centres in Canada and the United States.
In order to begin their examinations, interns must obtain approval from their provincial or territorial regulator.
This often involves meeting a minimum number of hours in their internship.
Licensing/Registration
Procedure
After successfully completing the three admission requirements (education, experience and examination),
interns may apply for professional licensing/registration to the architectural association of the province or
territory in which they intend to practise. The intern will be granted a licence, renewable on payment of annual
dues, providing that the architect complies with the association’s bylaws and code of ethics.
Some provincial and territorial associations have additional requirements, such as attendance at admission
courses and/or an oral examination. These additional prerequisites to licensing/registration are available from
the provincial or territorial association of architects.
In Québec, French is the official language by virtue of the Charter of the French Language, and it is the language
used by the Ordre des architectes du Québec (OAQ) in all communications. However, a member may request
that the OAQ correspond in English.
Whoever becomes a member of the OAQ must demonstrate working knowledge of the French language;
therefore, a written or oral examination administered by the Office de la langue française may be required.
Several provincial regulators have a two-tier licensing system. A certificate of practice or other form of firm
permit in addition to registration may be required to offer services to the public. Becoming licensed permits
the use of the title “architect” but does not permit the individual to provide services to the public unless:
They are employed by an architect or engineer who holds a certificate of practice or other form of permit
or, for engineering firms, a similar document;
They obtain a certificate of practice or other form of firm permit from the provincial or territorial regulator,
meeting the requirements for practice; this generally requires proof of professional liability insurance.
Some architects may pursue professional licensure in order to complete a goal of becoming an architect, but
then work in public service, for developers or project manager firms, or for private corporations. For a detailed
understanding of the requirements for offering services to the public, consult the regulator requirements in
each province or territory.
PART ONE Theory and Background
Reciprocity Agreement Between Canadian Architectural Licensing Authorities
All provinces and the Northwest Territories have adopted common admission standards. The Canadian
Education Standard, the Internship in Architecture Program, and the generalized use of the Examination
for Architects in Canada (ExAC) or the Architect Registration Examination (ARE) have made admission to
the profession virtually identical across Canada. This has resulted in a “reciprocity agreement” between the
Canadian provincial and territorial associations of architects, which facilitates mobility from one jurisdiction
to another.
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Inter-Recognition Agreement Between the NCARB and the Former CCAC
The Canadian architectural profession was the first profession to negotiate an agreement with its counterparts
in the United States under the North American Free Trade Agreement (NAFTA). The accord is called the Inter-
Recognition Agreement Between the National Council of Architectural Registration Boards (NCARB) and the
former Committee of Canadian Architectural Councils (CCAC). The common admission standards in both
countries were contributing factors in reaching this agreement. The commonalities are as follows:
The CACB’s accreditation conditions and procedures are similar to those of the U.S. National Architectural
Accrediting Board, Inc. (NAAB). Both organizations recognize programs accredited by the other. Certain
details related to Canadian political and demographic features are different.
The Internship in Architecture Program’s objectives, procedures and duration are similar to those of the
Intern Development Program in the United States.
The ExAC is recognized by NCARB as equivalent.
The Architect Registration Examination (ARE) is recognized in Canada.
The CCAC and the NCARB signed the Inter-Recognition Agreement. However, each Canadian provincial
architectural association and each U.S. Member Board was required to ratify the agreement, forward a letter of
undertaking, and append specific local requirements, where necessary. When considering obtaining licensure
in another jurisdiction, it is important to understand the regulatory requirements of the host and visiting
jurisdictions in order to understand the ability to obtain licensure. Some jurisdictions, for example, require
residency or proof of ability to work in the visiting jurisdiction.
Mutual Recognition Agreements (MRA)
A mutual recognition agreement (MRA) is an agreement between two international licensing authorities
whereby each authority agrees to recognize and accept the credentials of professionals from the other
authority. Over the years there has been considerable work on the part of the Royal Architectural Institute
of Canada and CALA in negotiating mutual recognition agreements with other international architectural
organizations. To date there is an agreement between architectural licensing authorities from Mexico, the
United States and Canada (the tri-national agreement) as well as between Canada and the United States
only. As of 2014, an agreement with Australia and New Zealand was finalized under the Asia-Pacific Economic
Cooperation (APEC) Agreement. As of 2018, an MRA was signed between CALA and the Architects Council of
Europe (ACE), to take effect in 2019.
Continuing Education/Professional Development
All provincial and territorial licensing authorities have adopted mandatory continuing education programs
and all architects must participate in order to maintain licensure. “Continuing education” may also be referred
to as “professional development.” The Union internationale des architectes (UIA) uses the term “continuing
professional development” or CPD.
Continuing education assists in fulfilling the primary mandate of the associations in the protection of the public
PART ONE Theory and Background
by ensuring architects remain competent and current in new technologies and new design developments.
Furthermore, these programs enable architects to develop new markets and to improve their practices.
Each provincial and territorial association has slightly different continuing education requirements, and
each association has its own system for recording continuing education credits or transcripts. The RAIC has
developed a national system and electronic database which several associations have adopted. Also, the
RAIC has facilitated the standardization and harmonization of the various provincial and territorial continuing
education programs across Canada. This work resulted in the production of the document entitled Quality
Assurance for Continuing Education Activities for the Architecture Profession in Canada, which has been adopted
by all associations.
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Learning activities, as described in the quality assurance document, are divided into two categories: Structured
Learning and Unstructured Learning.
Interns and architects should check each provincial or territorial association’s continuing education/
professional requirements to fully understand the various aspect of the programs. For example, architects
can declare their primary jurisdiction for continuing education in one province or territory, and by annually
submitting declaration forms to other provinces or territory in which they are licensed or wish to be licensed,
the primary jurisdiction will submit the credits to meet the necessary continuing education requirements. For
example, the OAA has the “Primary Jurisdiction Declaration Form” and the AIBC has the “Out-of-Province CES
Compliance” form.
Allied Industry Certification and Professional
Development
In the past few years, several new certifications have become available to architects.
LEED, which stands for Leadership in Energy and Environmental Design, is the most widely recognized and
widely used green building rating system in the world. LEED accreditation is associated with the LEED rating
system. It ensures that professionals have the knowledge they need to take a project through LEED certification
and are well versed in the many aspects of green building.
There are two options for LEED credentialing: Green Associate and Accredited Professional (AP). The LEED
Green Associate can become a LEED AP, a designation which is tailored to a specific LEED rating system that
includes LEED for Building Design and Construction (BD+C), Operations and Maintenance (O+M), Interior
Design and Construction (ID+C), Neighborhood Design (ND), and Healthcare, Retail, and School Projects, and
Homes. (https://www.cagbc.org/)
The Certified Passive House Designer (CPHD) certification is usually obtained by professionals who have
previous architecture and building knowledge. Normally, Passive House designers work in planning offices on
the implementation of the Passive House standard.
The Certified Passive House Consultant (CPHC) certification, on the other hand, may be acquired by persons
coming from different fields. Passive House consultants usually contribute to the dissemination of the Passive
House standard through their work as researchers or speakers, or as decision-makers in government authorities.
Both titles are equal in terms of qualification with reference to the Passive House body of knowledge possessed
by certified persons. The requirements for attaining this certificate and for renewal are the same for both
groups of people. (https://www.passivehousecanada.com/)
The Certified Energy Manager (CEM®) certification covers the technical, economic and regulatory aspects of
effective energy management. The Canadian Institute for Energy Training (CIET) is the exclusively authorized
Canadian trainer of the Association of Energy Engineers (AEE) for delivery of the CEM training and certification
program. (https://www.aeecenter.org/)
PART ONE Theory and Background
The Sustainability Facility Professional (SFP) provides skills for creating, managing and operating sustainable
facilities and to continually improve a facility’s impact on the environment and the community. The SFP
credential is designed for all facility managers and like-minded professionals with an interest in sustainable
practices. (https://www.ifma.org/)
It is noteworthy that the above-mentioned certifications, valued in demonstrating a level of educational and
experience achievement in a specific area of building and site design, are the branded products of non-profit
organizations. They do not reflect an exclusive scope of practice or expanded scope of practice of architectural
services.
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References
“Conditions and Procedures for the Certification of Educational Qualifications.” Canadian Architectural Cer-
tification Board, 2010 Edition, https://cacb.ca/wp-content/uploads/2019/11/CACB-CCCA_Candian_Education_
Standard.pdf, accessed April 22, 2020.
“Conditions and Terms for Accreditation.” Canadian Architectural Certification Board, 2017 Edition, https://
cacb.ca/wp-content/uploads/2019/11/2017-CACB_Conditions_and_Terms_for-Accreditation.pdf, accessed April
22, 2020.
“Procedures for Accreditation.” Canadian Architectural Certification Board, 2017 Edition, https://cacb.ca/
wp-content/uploads/2019/11/2017-CABC_Procedures_for_Accreditation.pdf, accessed April 22, 2020.
“Intern Architects Program.” Canadian Architectural Licensing Authorities, January 2012, https://raic.org/sites/
raic.org/files/pub_resources/documents/iap_e.pdf, accessed April 21, 2020.
“Examination for Architects in Canada.” Committee for the Examination for Architects in Canada (CExAC), 2019,
http://www.exac.ca/en/examen.html, accessed April 22, 2020.
“Pass the Exam.” National Council of Architectural Registration Boards (NCARB), https://www.ncarb.org/pass-
the-are, accessed April 21, 2020.
“RAIC Syllabus Program.” Royal Architectural Institute of Canada (RAIC), 2020, https://www.raic-syllabus.ca,
accessed April 22, 2020.
Valence, Jean R. Architect’s Essentials of Professional Development. American Institute of Architects. Hoboken,
New Jersey: John Wiley & Sons, Inc., 2003.
PART ONE Theory and Background
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Appendix A –
List: Canadian University Schools of Architecture with
Accredited Programs
University of British Columbia
University of British Columbia School of Architecture and Landscape Architecture
402-6333 Memorial Road, Vancouver, BC V6T 1Z2
Website: www.sala.ubc.ca
University of Calgary
School of Architecture, Planning and Landscape
Professional Faculties Building, Room 2182, University of Calgary
2500 University Drive NW, Calgary, Alberta T2N 1N4
E-mail: [email protected]
Website: https://sapl.ucalgary.ca/
University of Manitoba
Architecture, City Planning, Interior Design and Landscape Architecture
201 Russell Building, University of Manitoba
Winnipeg, Manitoba R3T 2N2
E-mail: [email protected]
Website: www.umanitoba.ca/faculties/architecture/37.htm
Carleton University
Azrieli School of Architecture
202 Architecture Building
1125 Colonel By Drive, Ottawa, Ontario K1S 5B6
E-mail: [email protected]
Website: www.arch.carleton.ca
Université de Montréal
École d’architecture de l’Université de Montréal
2940, chemin de la Côte-Sainte-Catherine
Montréal (Québec) H3T 1B9
E-mail: [email protected]
Website: www.arc.umontreal.ca
Université Laval
PART ONE Theory and Background
Faculté d’aménagement, d’architecture d’art et de design
École d’architecture, Édifice du Vieux-Séminaire de Québec
1, côte de la Fabrique, bureau 3210
Université Laval, Québec (Québec) G1R 3V6
E-mail: [email protected]
Website: www.arc.ulaval.ca
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McGill University
School of Architecture
Room 201, Macdonald-Harrington Building
815 Sherbrooke Street West
Montréal (Québec) H3A 0C2
E-mail: [email protected]
Website: www.mcgill.ca/architecture
Dalhousie University
Faculty of Architecture and Planning
5410 Spring Garden Road, P.O. Box 15000
Halifax, Nova Scotia B3H 4R2
E-mail: [email protected]
Website: http://architectureandplanning.dal.ca/ index.shtml
Ryerson University
Yeates School of Graduate Studies
Architectural Science
350 Victoria Street
Toronto, Ontario M5B 2K3
E-mail: [email protected]
Website: https://www.ryerson.ca/architectural-science/architecture/home/
Laurentian University
McEwen School of Architecture
935 Ramsey Lake Road
Sudbury, Ontario P3E 2C6
Website: https://laurentian.ca/program/architecture-msc
University of Toronto
John. H. Daniels Faculty of Architecture, Landscape and Design
1 Spadina Crescent
Toronto, Ontario M5S 2J5
E-mail: [email protected]
Website: https://www.daniels.utoronto.ca/
PART ONE Theory and Background
University of Waterloo
School of Architecture
7 Melville Street South
Cambridge, Ontario N1S 2H4
E-mail: [email protected]
Website: www.architecture.uwaterloo.ca
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Chapter 1.6 – Organization of the Profession in Canada
Chapter 1.6
Organization of the Profession
in Canada
Contents
Historical Overview 62
National Organizations 62
The Royal Architectural Institute of Canada (RAIC) 62
Vision 62
Mission 62
The RAIC College of Fellows 63
The RAIC Foundation 63
Canadian Architectural Licensing Authorities (CALA) 64
The Canadian Council of University Schools of Architecture (CCUSA) 64
The Canadian Architectural Certification Board (CACB) 65
Provincial and Territorial Associations of Architects 65
Self-Regulation 65
Advocacy Organizations 66
Appendix A – List: Provincial and Territorial Associations of Architects 67
Appendix B – List of Provincial Advocacy Organizations for Architectural Practice 68
Appendix C – Vital Statistics: Provincial and Territorial Associations of Architects 69
Appendix D – List and Vital Statistics: National Architectural Organizations 71
Appendix E – Charts: Comparison of Practice Requirements of Each Provincial or
Territorial Association 72
Chart A: Comparison of Provincial or Territorial Requirements regarding the RIGHT
or AUTHORITY to Practise Architecture 73
Chart B: Comparison of Provincial or Territorial Requirements regarding PROFESSIONAL
PART ONE Theory and Background
LIABILITY INSURANCE 74
Chart C: Comparison of Provincial or Territorial Requirements regarding PARTNERSHIPS 76
Chart D: Comparison of Provincial or Territorial Requirements regarding the OWNERSHIP
and STRUCTURE OF CORPORATIONS which Practise Architecture 80
Chart E: Comparison of Provincial or Territorial Requirements regarding the NAME
of an Architectural Practice 85
Chart F: Comparison of Provincial or Territorial Requirements/Guidelines regarding
the APPLICATION of SEALS 89
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Historical Overview
Organization of Canada’s architecture profession began in the 19th century, following trends similar to those
in Europe. The Industrial Revolution in the early part of the century, together with technological and societal
changes, led to the emergence of architectural societies which responded to the need for:
regulation of the profession;
promotion, support, and professional fellowship.
Regulation was required to safeguard public health and safety. Support and promotion were deemed
necessary to foster a high standard of professional competence and to influence colleagues and the public.
The first architectural society in Europe was the Society of British Architects, formed in 1834, which became
the Royal Institute of British Architects in 1837. Canada followed suit 50 years later with the Architectural Guild
of Toronto, established in 1887. The next step was the founding of the Ontario Association of Architects in
1889 and its incorporation in 1890. In Québec, the Province of Québec Association of Architects was created
in 1890, later to become the Ordre des architectes du Québec.
By the turn of the century, demand arose for closer professional ties between provincial groups of architects in
Canada. This led to the formation in 1907 of a national organization, the Institute of Architects of Canada. The
organization was incorporated under the name the Architectural Institute of Canada, by act of the Dominion
Parliament on June 16, 1908. The new Institute formed an alliance with its British counterpart, the Royal
Institute of British Architects. In 1909, after receiving permission to adopt the prefix “Royal,” the Canadian
organization became known as the Royal Architectural Institute of Canada (RAIC).
Over the next 80 years, architectural associations developed in all other provincial jurisdictions of the country
as well as the Northwest Territories.
National Organizations
The Royal Architectural Institute of Canada (RAIC)
After operating as a federation of provincial licensing organizations, the RAIC became a voluntary national
professional organization in 1980. Its current vision and mission are as follows:
Vision:
The RAIC is the leading voice for excellence in the built environment in Canada, demonstrating how design
enhances the quality of life and addressing important issues of society through responsible architecture.
Mission:
The RAIC’s mission is to promote excellence in the built environment and to advocate for responsible
architecture. The role of the RAIC is to:
affirm that architecture matters; encourage critique and debate;
PART ONE Theory and Background
celebrate the richness and diversity of recognize excellence;
architecture in Canada; facilitate communication among the professional
support architects in achieving excellence; associations and link the profession at the local
act as a national forum; level to a national and international network
for information-sharing and advancement of
provide practice support and leading-edge professional issues.
professional development for architects;
disseminate leading work in the field of
architecture and architectural practice;
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The RAIC fulfills this role by running programs which span the full spectrum of design, technology transfer,
and practice:
Publications: publishes technical and practice-oriented publications, newsletters, and directories
including electronic publications;
Practice Support: develops and maintains standard forms of contract for architectural services, and
updates and publishes the Canadian Handbook of Practice for Architects;
Symposia: organizes national roundtables and regional events;
Lobbying: lobbies the federal government and other client groups to protect the professional interests of
all architects in Canada;
Festival of Architecture: organizes the annual Festival of Architecture, which provides professional
development courses and a forum for architectural issues, and promotes public awareness of architecture;
Member Services: provides discounts on professional publications and tools, professional tours, and a
website for posting jobs and résumés;
Awards: recognizes excellence within the profession through the Governor General’s Medals in
Architecture, the RAIC Gold Medal, the Allied Arts Medal, and the RAIC Awards of Excellence and other
awards;
Career Development: encourages the next generation of architects through the RAIC Student Medals,
the RAIC Honour Roll, and the RAIC Syllabus Program.
The RAIC College of Fellows
The mission of the RAIC College of Fellows, founded in 1941, is to strengthen and reinforce efforts of the
Institute in its endeavour to enhance and develop the profession of architecture.
The College of Fellows formally recognizes members and distinguished laypersons who have made outstanding
contributions to the profession. Fellowship in the RAIC is an honour conferred on members singled out for
their contribution to research, scholarship, public service or professional standing to the good of architecture
in Canada, or elsewhere.
The investiture of fellows, or the induction ceremony, is normally held at a convocation of the College during
the RAIC’s festival or conference.
The College also oversees the Institute’s Honours and Awards Program.
The RAIC Foundation
The RAIC Foundation was established in 1964 as a charitable organization to receive tax-exempt financial
contributions from RAIC members and the public at large. The foundation, which is a responsibility of the RAIC
College of Fellows, has the following objectives:
PART ONE Theory and Background
to promote and increase the knowledge, skill and proficiency of the profession;
to provide grants for research by Canadians or to undertake research in Canada in the field of architecture
and in allied arts and sciences;
to provide scholarships, bursaries and fellowships to Canadian architects and Canadian architectural
students.
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Canadian Architectural Licensing Authorities (CALA)
Established in 2008, the Canadian Architectural Licensing Authorities (CALA) is a nationally recognized
committee which represents the eleven provincial and territorial regulators of the profession of architecture
in Canada. These regulatory bodies are responsible for setting the standards for entry into the profession and
for issuing registration/licences to those who meet established standards of qualifications and practice. These
regulators individually regulate the practice of architecture so that the public interest is protected within their
respective province or territory.
Through CALA, the Canadian architectural regulators work collectively to develop and adopt nationally
recognized standards and programs which meet their regulatory responsibilities as well as the needs of the
architectural profession.
Every architect practising architecture in Canada is required by law to be registered as a member of a provincial
and/or territorial regulatory body and to be governed by its rules. These associations are established by
provincial or territorial law with the mandate to protect the public and ensure that people are served by
architectural professionals who meet high standards of competence and professional conduct.
CALA members collaborate to organize programs and initiatives that relate to admission to the profession,
licensure, and regulation at a national level. Those programs include:
Broadly Experienced Foreign Architect (BEFA) certification program;
Internship in Architecture Program (IAP);
Examination for Architects in Canada (ExAC);
International Relations Committee (IRC) initiatives, including:
Canadian Reciprocity Agreement;
Canada/USA (NCARB) Inter-Agreement;
Canada/USA/Mexico Tri-National Agreement;
Canada/Australia/New Zealand Agreement;
negotiations with the Architects Council of Europe (ACE);
other international recognition agreements and negotiations;
Canadian Architectural Certification Board.
CALA replaced the Committee of Canadian Architectural Councils (CCAC).
The Canadian Council of University Schools of Architecture (CCUSA)
The Canadian Council of University Schools of Architecture (CCUSA) is a coordinating committee of the
Canadian schools of architecture. It is comprised of the heads (or designates) from each of the 12 universities
offering professional degrees in architecture. The CCUSA meets semi-annually to coordinate academic matters
of national interest and offer a platform for collaboration and coordination among the 12 schools.
PART ONE Theory and Background
A representative of the Council sits as a representative to the RAIC Board of Directors. The CCUSA also selects
one of its members or former members to be Canadian Director on the Board of the Association of Collegiate
Schools of Architecture. A founding partner of the Canadian Architectural Certification Board, the CCUSA makes
an annual financial contribution to the CACB’s operating budget and directly appoints three of its members.
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The Canadian Architectural Certification Board (CACB)
See also Chapter 1.5 - Admission to the Profession for a description of the composition and role of the Canadian
Architectural Certification Board (CACB).
In 1976, nine of the 10 provinces recognized the need for common professional standards and established
the CACB. The Ordre des architectes du Québec joined the CACB in 1991. In 2001 the Northwest Territories
also joined. The CACB’s purpose is to assess and certify academic qualifications of individuals who hold a
professional degree or professional diploma in architecture and intend to apply for registration or licensure,
and the accreditation of the Canadian University Schools of Architecture.
The CACB provides the following services:
certification of the academic qualifications of candidates for admission to the profession who have not
graduated from an accredited Canadian university school of architecture;
accreditation of the programs offered by the Canadian university schools of architecture;
certification of foreign licensed architects’ credentials and experience applying for licensure in Canada.
The CACB is a not-for-profit corporation whose members include the provincial and territorial licensing
authorities; it maintains an office in Ottawa.
Provincial and Territorial Associations of Architects
Self-Regulation
Under the provision of the Constitution Act, the licensing and regulation of architects is carried out under
provincial mandate. To practice architecture in Canada, an architect must be granted a licence by a provincial
or territorial authority. Architects, like other professionals (such as doctors, lawyers, accountants, engineers),
are self-governing and self-regulating.
The provincial and territorial legislatures or parliaments have enacted legislation or “architects acts” which
establish mandatory professional associations of architects, enabling these associations to set standards for
admission to the profession. This privilege is granted in exchange for safeguarding the public.
By contrast, in some other countries, licensing is controlled by government bodies rather than by self-
regulating organizations. For example, in the United States, state government agencies license and regulate
professionals.
The provincial and territorial associations of architects have been established by provincial or territorial statute.
See the charts at the end of this chapter for a list of these associations and the respective enabling legislation
for each association.
Note that the territories of Yukon and Nunavut do not regulate architectural practice. For further information
PART ONE Theory and Background
about architectural practice in these territories, please refer to http://nwtaa.ca/nunavut-yukon.
In this Handbook, “provincial association” is also used to refer to the Ordre des architectes du Québec (OAQ)
and the Northwest Territories Association of Architects. This name and acronym have not been translated into
English.
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The provincial and territorial associations are governed by councils which may make regulations and/or by-
laws, subject to the Lieutenant-Governor-in-Council, concerning the following matters:
admission standards, including education, practical experience, and examination (see Chapter 1.5 –
Admission to the Profession);
codes of conduct and ethics;
professional standards of practice and performance;
discipline of members for professional misconduct;
licensing requirements, including temporary licences, Certificates of Practice;
authority to administer a program of liability protection for the public;
the operation of the governing council and the election of the council;
committees and their operation;
other matters related to the advancement of the profession and the practice of architecture.
Although the provincial and territorial licensing authorities (architectural associations) may be involved in other
activities, including advocacy and promotion of the profession, their primary purpose remains the licensing of
architects to ensure their competency and ability to provide proper professional services to the public.
In Québec, the Professional Code establishes the Office des professions du Québec, which oversees and
regulates all of the professional orders of Québec (professional associations), including the OAQ.
Advocacy Organizations
Some jurisdictions in Canada have moved to separate the role of advocacy from regulation of the profession.
The role of advocacy and promotion of the profession is sometimes undertaken by organizations other than
the licensing authority. For example, in Québec, the Association des Architectes en pratique privée du Québec
(AAPPQ) is an organization independent of the Ordre des architectes du Québec (OAQ). It was created to
promote and advocate for the architectural profession. The AAPPQ develops a fee schedule for architectural
services and forms of contract for use in Québec. In Alberta, the Consulting Architects of Alberta promotes
architecture and architectural practice. In Newfoundland and Labrador, the provincial government created two
corporate bodies: Architects Licensing Board of Newfoundland and Labrador (ALBNL) and Newfoundland and
Labrador Association of Architects (NLAA). The Licensing Board regulates the practice of architecture, whereas
the Association acts as an advocate for the profession. Other jurisdictions, such as the Ontario Association of
Architects (OAA), have elements of advocacy embedded in their legislation, allowing the regulator to advocate
for the practice of architecture in the public interest.
Other organizations may exist with specific focus in some communities. Individual chapters of the RAIC
undertake specific objectives in a community. As well, the American Institute of Architects (AIA) has formed a
Canadian chapter to promote architecture and form a collegiate body of AIA members in Canada.
At a local level, there are architecture societies. For example, the Toronto Society of Architects (TSA) has
thousands of members and provides education sessions to architects as well as walking tours and events to
PART ONE Theory and Background
the general public.
Allied organizations often include architects or are related closely to advocacy work for architecture. This can
include local, provincial or national heritage associations; planning institutes such as the Canadian Urban
Institute; Construction Specifications Canada (CSC); and many more.
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Appendix A –
List: Provincial and Territorial Associations of Architects
Architectural Institute of British Columbia Architects’ Association of New Brunswick/
100-440 Cambie Street, Vancouver, BC V6B 2N5 Association des architectes du
Tel: (604) 683-8588 Nouveau-Brunswick
Fax: (604) 683-8568 P.O. Box 5093
E-mail: [email protected] Sussex, NB E4E 5L2
www.aibc.ca Tel: (506) 433-5811
Fax: (506) 432-1122
Alberta Association of Architects E-mail: [email protected]
Duggan House www.aanb.org
10515 Saskatchewan Drive
Edmonton, AB T6E 4S1 Nova Scotia Association of Architects
Tel: (403) 432-0224 1359 Barrington Street
Fax: (403) 439-1431 Halifax, NS B3J 1Y9
E-mail: [email protected] Tel: (902) 423-7607
www.aaa.ab.ca E-mail: [email protected]
www.nsaa.ns.ca
Saskatchewan Association of Architects
642 Broadway Avenue, Suite 200 Architects Association of Prince Edward Island
Saskatoon, SK S7N 1A9 P.O. Box 1766, Charlottetown, PE C1A 7N4
Tel: (306) 242-0733 Tel: (902) 566-3699
E-mail: [email protected] E-mail: [email protected]
www.saskarchitects.com www.aapei.com
Manitoba Association of Architects Architects Licensing Board of Newfoundland
137 Bannatyne Avenue, 2nd Floor and Labrador
Winnipeg, MB R3B 0R3 P.O. Box 5204
Tel: (204) 925-4620 St. John’s, NL A1C 5V5
Fax: (204) 925-4624 Tel: (709) 726-8550
E-mail: [email protected] E-mail: [email protected]
www.mbarchitects.org www.albnl.com
Ontario Association of Architects Northwest Territories Association
111 Moatfield Drive of Architects
Toronto, ON M3B 3L6 P.O. Box 1394
Tel: (416) 449-6898 Yellowknife, NT X1A 2P1
E-mail: [email protected] Tel: (867) 766-4216
www.oaa.on.ca E-mail: [email protected]
PART ONE Theory and Background
www.nwtaa.ca
Ordre des architectes du Québec
Bureau 200, 420 rue McGill,
Montréal, QC H2Y 2G1
Tel: (514) 937-6168
Fax: (514) 933-0242
E-mail: [email protected]
www.oaq.com
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Appendix B –
List of Provincial Advocacy Organizations for
Architectural Practice
Association des Architectes en pratique privée du Québec (AAPPQ)
420 rue McGill, bureau 302
Montréal (Québec) H2Y 2G1
Tel: 514-937-4140
E-mail: [email protected]
www.aappq.qc.ca
Consulting Architects of Alberta (CAA)
17225 102 Avenue
Edmonton, Alberta T5S 1J8
Tel: 780-488-8878
E-mail: [email protected]
www.consultingarchitects.ca
Newfoundland and Labrador Association of Architects
P.O. Box 5204
St. John’s, NL A1C 5V5
Tel: (709) 726-8550
E-mail: [email protected]
www.newfoundlandarchitects.com
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Appendix C –
Vital Statistics: Provincial and Territorial Associations
of Architects
Architectural Institute of British Columbia (AIBC)
Established: 1920
Enabling Legislation: Architects Act of British Columbia, RSBC 1996
Number of Members: 2,249
Composition of Council: 10 registered architects who are members, 1 director from UBC School of
Architecture or designate, 4 government appointees
Alberta Association of Architects (AAA)
Established: 1906
Enabling Legislation: Architects Act, RSA 2000
Number of Members: 669 resident, 601 non-resident
Composition of Council: 10 registered members, 1 public appointee, 1 licensed interior designer
Saskatchewan Association of Architects (SAA)
Established: 1911
Enabling Legislation: The Architects Act, RSS 1996
Number of Members: 112 resident, 159 non-resident
Composition of Council: 8 registered members, 2 government appointees
Manitoba Association of Architects (MAA)
Established: 1914
Enabling Legislation: The Architect’s Act, RSM 1987
Number of Members: 290 resident, 270 non-resident
Composition of Council: 8 registered members, 1 university and 2 lay appointees and 2 interns
Ontario Association of Architects (OAA)
Established: 1889
Enabling Legislation: Architects Act, RSO 1990, c.A.26
Number of Members: 3,800 resident and 682 non-resident
Composition of Council: 15 elected architects, 3-5 government appointees, 1 licensed technologist OAA,
1 intern architect representative (non-voting)
Ordre des architectes du Québec (OAQ)
Established: 1890
Enabling Legislation: Architects Act, RSQ 1994
Number of Members: 4155, 140 non-resident
Composition of Council: 15 elected architects, 3 représentants du public
PART ONE Theory and Background
Association des Architectes en pratique privée au Québec (AAPPQ)
Established: 1977
Number of Firms: 360
Composition of Executive Committee: 5 members
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Architects’ Association of New Brunswick / Association des architectes du Nouveau-Brunswick
Established: 1933
Enabling Legislation: An Act Respecting the Architects’ Association of New Brunswick, RSNB 1987
Number of Members: 76 resident, 215 non-resident
Composition of Council: 8 registered members; 1 registrar (registered member appointed by Council);
1 non-voting intern member
Nova Scotia Association of Architects (NSAA)
Established: 1932
Enabling Legislation: The Architects Act, RSNS 2006
Number of Members: 165 resident, 202 non-resident
Composition of Council: 7 licensed architects, 1 university appointee
Architects Association of Prince Edward Island (AAPEI)
Established: 1988
Enabling Legislation: Architects Act, RSPEI 1990
Number of Members: 17 resident, 103 non-resident
Composition of Council: Not less than 5 and not more than 15 Councillors
Architects Licensing Board of Newfoundland and Labrador (ALBNL)
Established: 2008
Enabling Legislation: Architects Act
Number of Licence Holders: 46 resident and 108 non-resident
Composition of Board: 6 elected licence holders plus 1 appointed lay person
Newfoundland and Labrador Association of Architects (NLAA)
Established: 1949
Enabling Legislation: Architects Act
Number of Members/Licence Holders: 46 resident and 108 non-resident
Composition of Board: 6 elected Licence Holders plus 2 government appointees
Composition of Council: 6 members, 1 appointed member
Northwest Territories Association of Architects (NWTAA)
Established: 2001
Enabling Legislation: Architects Act, SNWT 2001, c.10
Number of Members: 18 resident, 63 non-resident
Composition of Council: 6 registered architects, 1 intern architect representative, and 1 public member
appointed by the government
Yukon/Nunavut
There are no associations of architects in the Yukon or Nunavut Territories. Refer to http://nwtaa.ca/
nunavut-yukon for additional information.
PART ONE Theory and Background
1. Membership numbers are for the year 2018. This information provides a comparison of the size of each association.
2. The number of members refers to registered or licensed architects, not the total number of members.
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Appendix D –
List and Vital Statistics: National Architectural Organizations
Canadian Architectural Certification Board (CACB)
1 Nicholas Street, Suite 710, Ottawa, Ontario K1N 7B7
Tel: (613) 241-8399
Fax: (613) 241-7991
Email: [email protected]
www.cacb-ccca.ca
Established: 1977
Composition of the Board: The CACB Board has up to eleven members and consists of:
Up to three (3) registered architects representing the licensing authorities. These individuals are
appointed by the Canadian Architectural Licensing Authorities (CALA).
Up to three (3) architectural educators appointed by the Canadian Council of University Schools of
Architecture (CCUSA).
Up to three (3) registered architects representing the practice and teaching of architecture appointed
jointly by CCUSA and CALA.
Up to two (2) students representing the Canadian Architecture Students Association (CASA) or its
successor.
The board elects a president annually.
Royal Architectural Institute of Canada (RAIC)
PO Box 1109 STN B, Ottawa, Ontario K1P 5R2
Tel: (613) 241-3600
Fax: (613) 241-5750
www.raic.org
Established: 1907
Number of Members: 5,160 members in 2019
Composition of Board: 12 representatives:
the president;
the first vice-president and president elect;
7 regional directors;
the chancellor of the College of Fellows;
the chair of the CCUSA;
the past-president.
The president is elected annually from the board of directors by the board.
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Appendix E –
Charts: Comparison of Practice Requirements of
Each Provincial or Territorial Association
The following comparisons contain excerpts from provincial and territorial architects acts. Please
refer to the full text for a complete understanding of the legislation.
A. Comparison of Provincial or Territorial Requirements regarding the RIGHT or AUTHORITY to Practise
Architecture
B. Comparison of Provincial or Territorial Requirements regarding PROFESSIONAL LIABILITY INSURANCE
C. Comparison of Provincial or Territorial Requirements regarding PARTNERSHIPS
D. Comparison of Provincial or Territorial Requirements regarding the OWNERSHIP and STRUCTURE OF
CORPORATIONS which Practise Architecture
E. Comparison of Provincial or Territorial Requirements regarding the NAME of an Architectural Practice
F. Comparison of Provincial or Territorial Requirements/Guidelines regarding the APPLICATION of SEALS
PART ONE Theory and Background
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Chart A:
Comparison of Provincial or Territorial Requirements
regarding the RIGHT or AUTHORITY to Practise Architecture
The following comparisons contain excerpts from provincial architects acts and rules. Please refer to the full
text for a complete understanding of the legislation.
Provincial
Requirement to Practise Architecture
Association
AIBC Registration and Certificate of Practice; registration of practices (firms)
Registration and Permit to Practise
AAA
Corporate, Firm and Joint Firm practice entities
SAA Registration and Licence to Practise
Registration and either Certificate of Approval for architectural corporations,
partnerships of corporations and joint A/E firms and corporations [Note: Certificate
MAA of Authorization from the Professional Engineers of Manitoba is also required for
joint A/E firms and corporations] or registration of firm for all sole proprietors,
partnerships of architects, or groups of members
OAA Licence and Certificate of Practice
OAQ Registration
AANB Licence and Certificate of Practice
Registration: Corporate Permit (for Partnerships and Corporations), sole proprietors;
NSAA entities registered with the Registry of Joint Stock Companies
AAPEI Registration and Certificate of Practice
PART ONE Theory and Background
NLAA /ALBNL Registration
NWTAA Registration of firm and Firm Permit
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Chart B:
Comparison of Provincial or Territorial Requirements
regarding PROFESSIONAL LIABILITY INSURANCE
The following comparisons contain excerpts from provincial or territorial architects acts and rules. Please
refer to the full text for a complete understanding of the legislation.
Provincial
Requirement for Professional Liability Insurance
Association
All Certificate of Practice holders must have minimum coverage of $250,000
per claim and $500,000 annual aggregate
AIBC
Certificate of Practice holder must notify client in writing whether or not
professional liability insurance is held and under what terms (Practice Note 10)
AAA No current requirement
Mandatory professional liability insurance coverage for all Licence to Practice
SAA holders. Minimum coverage $250,000
Mandatory professional liability insurance coverage for all entities holding a
Certificate of Approval (corporations, partnerships of corporations and joint
MAA A/E firms and corporations)
Minimum coverage $250,000 per claim
Mandatory professional liability insurance requirements in the Act and
Regulations in Ontario for all Certificates of Practice through Pro-Demnity
Insurance Company if office is in Ontario; otherwise, proof of PL coverage to
same limits.
OAA 1. $1,000,000, if the gross fees in the previous financial year exceeded $1,000,000.
2. $500,000, if the gross fees in the previous financial year exceeded $500,000 but
not $1,000,000.
3. $250,000 if the gross fees in the previous financial year did not exceed $500,000.
Professional liability coverage from the Fonds d’assurance responsabilité
PART ONE Theory and Background
professionnelle of the Ordre des architectes du Québec is compulsory for
architects who perform or offer to perform any of the acts identified in the
OAQ Regulation respecting compulsory subscription to the Professional Liability Insurance
Fund of the Ordre des architectes du Québec (Chapter A-21, r. 13)
The professional liability insurance policy issued by the Fund offers a guarantee
of $1M per claim, up to a maximum of $2M per year.
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The insurance protection of architects who exercise their professional activities
through a limited liability company (limited liability partnership, stock company
or corporation) is $1.25M per claim and $2.5M per year.
OAQ (cont.) The warranty offered extends to faults committed in the performance of
professional services rendered as a member in good standing of the Ordre des
architectes du Québec.
Special limitations may apply in certain special cases.
Mandatory professional liability insurance coverage for all Certificate of Practice
AANB holders. Minimum coverage - $250,000 per claim ($500,000 aggregate)
Mandatory professional liability insurance coverage of at least $250,000 per claim,
NSAA with aggregate coverage of at least $500,000.
Mandatory professional liability insurance coverage of at least $250,000 per claim,
AAPEI with aggregate coverage of at least $250,000.
Mandatory professional liability insurance coverage for all licence holders of not
NLAA /ALBNL less than $250,000 per claim and aggregate total of $500,000 in a year.
NWTAA Proof of insurance required to obtain Firm Permit
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Chart C:
Comparison of Provincial or Territorial Requirements
regarding PARTNERSHIPS
The following comparisons contain excerpts from provincial and territorial architects acts and rules. Please
refer to the full text for a complete understanding of the legislation.
Provincial
Requirement for Partnerships
Association
65. (1) A member, architectural firm or licensee must not practise architecture in
partnership with a person not entitled to practise architecture, or make
AIBC an agreement or arrangement or do an act that will enable the person to
practise architecture contrary to this Act.
A registered architect may practise architecture as a partner in a partnership only
if the partnership meets all of the following requirements:
One or more registered architects or architects corporations:
hold more than 50% of the interest in the partnership, or not less than 50% of
the interest in the partnership, if
the remainder of the interest in the partnership is held by licensed interior
designers or professional engineers, or both;
AAA The partners in the partnership who are not authorized entities:
do not engage in the practice of architecture,
are of good character, and
are satisfactory to the Council.
Subject to section 3 of the Act and notwithstanding subsection (1), a registered
architect may enter into a partnership with one or more engineers or engineers
firms, as those terms are defined in Section 17 of the Act.
Applicable Legislation: Architects Act General Regulation – Section 33(1) and 33 (3).
13.01 An architectural corporation, partnership or registered member that
holds a Licence to Practice may engage in the practice of architecture in
Saskatchewan.
13.02 Where a firm other than an architectural corporation is constituted for
PART ONE Theory and Background
the practice of architecture, the majority of the directors of the firm must
SAA be registered members of the Association. If at any time the majority of
directors are not members of the Association, the Licence to Practice of the
firm may be automatically terminated.
13.03 The name of the firm shall not be worded in such a manner that it might
mislead the public.
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13.04 All firms are required to obtain from the Association an annual Licence to
Practice Architecture.
13.05 A firm shall not be entitled to a Licence to Practice Architecture unless and
until the following conditions are met:
.1 The firm pays to the Association the annual fees as set out in the schedule
of fees to these Bylaws.
.2 The firm annually forwards to the Association, by the first business day
of January next following the year of the return, the following information:
.1 the name and business address(es) of the firm; and
SAA (Cont.) .2 the names and addresses of the director(s) of the firm, and the
distribution of the firm’s ownership amongst them; and
.3 a sample of the firm’s current letterhead and business card(s).
If no changes have been made to this information in the preceding year, the signing
of a declaration to this effect is acceptable. The SAA retains the right to request and
review these documents if deemed necessary by council. (Bylaw 13);
“firm” means a person or body that carries on the practice of architecture and
includes an architect, a partnership and a licensed corporation (Bylaw 1.01.5);
“partnership” means an association of authorized entities or authorized entities
and other persons that carry on the practice of architecture, whether on a full-time,
part-time or limited basis (Bylaw 1.01.6).
15 (1) No person or firm is entitled to practise as an architect in Manitoba, or
to take or use in Manitoba the designation “architect” or “architects”,
either alone or in combination with any other words or any name, title,
or description, implying that he or they is or are an architect or architects
unless the person or each member of the firm is a member of the
MAA
association in good standing and registered as such. (Architects Act)
“firm” means a partnership; (Architects Act 1(1))
13.3 (1) For the purpose of these by-laws, an Architectural Firm is a partnership
where each member of the firm is a Registered Architect. (By-Laws)
Architects who are OAA Members must own at least 51% of the voting interest and
OAA financial interest in any partnership.
Architects may carry on their professional activities within a joint-stock company
(corporation) or a limited liability partnership if more than 50% of the voting rights
(shares) or partnership units are held by architects and the majority of the directors
PART ONE Theory and Background
are architects.
In addition, manufacturers and wholesalers of materials may not hold a majority
OAQ of the voting shares or units, and the president of the firm must be an architect.
Architects may also associate with other architects within a partnership. This
form of enterprise implies that the architects are jointly liable for the obligations
contracted by the partnership (Civil Code of Quebec, article 2221).
Source: Chapter A-21, r. 9.1: Regulation respecting the practice of the profession of
architect within a partnership or a joint-stock company.
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13 (3) Members or licensees may practice architecture in a name other than
their own and conduct their business as a partnership with members,
licensees, engineers or other individuals, or with corporations meeting the
requirements of paragraphs
13 (4) (a) and (c) if
(a) at least two thirds of the partners who are individuals are architects or
engineers and at least one of whom is an architect;
(b) one of the principal and customary functions of the partnership is the
practice of architecture;
(c) the practice of architecture is carried out under the responsibility and
supervision of an architect who is a partner, an employee of the partnership
or an officer, director or employee of a corporate partner; and
(d) the partnership holds a valid Certificate of Practice. (Architects Act)
13 (4) A corporation may practice architecture in its own name or in partnership
with a member, licensee or other corporation if
(a) one of the principal and customary functions of the corporation or of
each corporate partner is the practice of architecture;
(b) the practice of architecture is carried out under the responsibility
AANB and supervision of a director, officer or employee of the corporation or
partnership who is an architect;
(c) at least two-thirds of the directors of the corporation or of each
corporate partner are architects or engineers and at least one of whom,
for each corporation, is an architect, and the majority of the issued shares
of each class of voting shares of the corporation are beneficially owned by
and registered in the name of the architects and engineers; and
(d) the corporation holds a valid Certificate of Practice.
13 (5) Any non-resident partnership or corporation applying for a Certificate of
Practice to practice architecture in New Brunswick shall satisfy to Council that
(a) at least two-thirds of the partners, principals or directors of the
partnership or corporation as the case may be are architects or engineers
and at least one of whom is an architect; and
(b) the majority of the issued shares of each class of voting shares of
the corporation are beneficially owned by and registered in the name of
architects and engineers.
For details on offering “comprehensive services” – AANB Act s13(6); 13(7).
By-Law s6.0 – 6.1(e) – In the case of partnerships, corporations or partnership
of corporations, all partners, officers or directors, who are Architects, shall be
PART ONE Theory and Background
Registered Members of the Association.
22 (1) A person must not enter into partnership to practise architecture with any
person who is not a licensed architect, unless the other person is a person
NSAA authorized to practise or to apply engineering under the Engineering
Profession Act, or a person referred to in subsection (2).
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(2) A person who is not a licensed architect but who, on February 1, 1968, was a
member of a partnership engaged in the practice of architecture and duly
registered under the Partnerships and Business Names Registration Act may
continue to be a partner in that partnership until the dissolution of the partnership,
NSAA (Cont.) or may enter into partnership with any of the licensed architects with whom they
may become associated, but the person is not entitled to practise architecture
unless that person holds a licence or is acting under the responsible control of a
licensed architect.
14. (3) Members or licensees may practise architecture in a name other than their
own and conduct business as a partnership with other members, licensees or
other individuals, or with corporations meeting the requirements of clauses
(4) (a) and (c) if
(a) at least one of the individual partners is an architect having an interest
in the partnership of not less than that of any other individual or corporate
partner;
AAPEI (b) one of the principal and customary functions of the partnership is the
practice of architecture;
(c) the practice of architecture is carried out under the responsibility and
supervision of an architect who is a partner, or an officer or director of a
corporate partner; and
(d) the partnership holds a valid certificate of practice.
(Architects Act)
Exclusion from membership
13. (1) A partnership, firm or corporation shall not be granted membership in the
association or be licensed to provide architectural services in the province.
(2) Notwithstanding subsection (1), a partnership, firm or corporation may
provide architectural services where the services are offered and provided
NLAA / ALBNL under the direct supervision of an architect.
Limited liability partnerships
13.1 Two or more persons licensed under this Act to practice as architects are eligible,
as required by section 56 of the Partnership Act, to apply to be registered under
that Act as a limited liability partnership.
NWTAA “firm” includes a partnership, corporation or association of persons.
PART ONE Theory and Background
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Chart D:
Comparison of Provincial or Territorial Requirements
regarding the OWNERSHIP and STRUCTURE OF
CORPORATIONS which Practise Architecture
The following comparisons contain excerpts from provincial architects acts and rules. Please refer to the full
text for a complete understanding of the legislation.
Provincial REQUIREMENTS FOR CORPORATIONS
Association which practise architecture
incorporated under the Company Act and in good standing,
majority of each class of voting shares is legally and beneficially owned by
architects,
majority of directors are architects,
CEO is an architect,
AIBC all persons practising on behalf of corporation are under direct supervision of
an architect who is a continuing employee or shareholder,
corporations of engineers and architects also permitted (similar rules apply),
transfer of voting rights to non-architects not permitted if majority control
would be altered,
Certificate of Practice required
(Architects Act)
The Council must approve the registration of a corporation as an architects
corporation if it is satisfied that the corporation meets all of the following
requirements:
The Articles of Incorporation must be approved by Council and must contain 5
required clauses (see Section 10 of the General Regulation);
The name of the corporation must meet the established requirements (see section
27 of the General Regulation);
The corporation must have one or more full-time permanent employees or
AAA shareholders who are registered architects who will assume direct personal
supervision, direction and control of the practice of architecture in which the
corporation proposes to engage;
PART ONE Theory and Background
The beneficial ownership of more than 50% of the corporation’s voting shares
must be vested in one or more registered architects, one or more architect-
held corporations, or a combination of registered architects and architect-held
corporations;
If the beneficial ownership includes interior designers and/or engineers, then
50% of the voting shares must be held by one or more registered architects;
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A majority of the directors and officers of the corporation must be registered
architects; any shareholders of the corporation who are not registered architects,
AAA (Cont.) licensed interior designers or professional engineers must be of good character
and satisfactory to the Council.
Applicable Legislation: Architects Act General Regulation Section 10-12
12.01 An architectural corporation is an architect-held corporation in which
one or more registered architects holds, either directly or indirectly, the
beneficial and absolute ownership of 51% or more of the voting shares of
the corporation. It shall only be granted a Licence to Practice Architecture
and shall only retain such Licence to Practice where:
.1 one of its principal and customary functions is to practice architecture
and the practice is to be conducted under the supervision of a registered
member or members of the Association who is or are employed by
the corporation and who individually assume the function of and are
responsible as registered members for architectural services performed,
notwithstanding their employment with the corporation;
.2 the personal seal or stamp of a registered member or members of the
Association and not the seal or stamp of the architectural corporation must
be used to seal or stamp any required drawings;
.3 the name of the architectural corporation shall not be worded in such a
manner that it might mislead the public;
.4 the relevant provisions of all incorporating documents (whether
Memorandum of Association, Articles of Association, Letters Patent, Articles
of Incorporation, or, where applicable, employment contracts) and bylaws
of the corporation and any alterations or amendments thereto are filed
with the Association and approved by council;
SAA .5 one of the directors must be a member of the Association;
.6 the control of the corporation shall be vested in registered members
of the Association and, without limiting the generality of the foregoing, at
least 51% of the voting shares of the corporation shall be beneficially and
absolutely held by registered members of the Association; and
.7 a registered member shall not enter into any agreement transferring
voting rights in the member’s shares in the corporation to a person who is
not a registered member. (Bylaw 12.01)
12.02 The architectural corporation shall file with the Association any and all
proposed alterations or amendments to its incorporating documents or
bylaws or to its corporate structure, including any unanimous shareholder
agreement pertaining thereto. Where the amendments result in a change to
the control of the corporation, the architectural corporation shall obtain the
PART ONE Theory and Background
approval of council thereto before effecting any such change. (Bylaw 12.02)
12.03 All architectural corporations shall at all times be maintained in good
standing with the Director of Corporations and shall, once every year, file
with the Association a certified copy of the annual return required to be
filed with the Director of Corporations, Federal or Provincial as appropriate.
If no changes have been made to corporate ownership in the preceding
year, the signing of a declaration to this effect is acceptable. The SAA retains
the right to request and review these documents if deemed necessary by
council. (Bylaw 12.03)
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Notwithstanding anything herein above contained, the council may reject or
revoke any application for a license to practice architecture or a renewal thereof
where the corporation has failed to comply with or has subsequently violated any
provisions of this bylaw or if the corporation has been guilty of conduct which, in
the sole judgment of the council, is inimical to the best interest of the public or the
profession of architecture in Saskatchewan. (12.04)
Where a corporation is but a partner in a firm, whether with other corporations or
SAA (Cont.) with individuals, the provisions of this bylaw shall apply to such corporation. (12.05)
A corporation shall have its license to practice architecture suspended or revoked
where any member of the Association who is a director or shareholder of the
corporation has been suspended from membership in the Association or whose
membership has been revoked under sections 28, 29, 30 or 31 of the Act; provided
that council may, at its discretion, continue or reinstate the license of the corporation
upon such terms and conditions as the council sees fit. (12.06)
practice is under direct supervision and control of a permanent employee or
shareholder who is a registered member,
majority of voting shares are owned by registered members of the MAA and/
or APEGM,
majority of directors are registered members of the MAA and/or APEGM,
at least one officer is a registered member,
primary and customary business is the practice of architecture or the practice
of engineering and architecture,
MAA liability insurance in minimum amounts and under terms and conditions as
prescribed by Council,
corporation has a Certificate of Approval from the association (and joint A/E
corporation must also hold a Certificate of Authorization from APEGM),
Certificate of Approval required/Corporation or Joint A/E Corporation stamp
issued.
Architectural Partnership of Corporations permitted where each corporation
satisfies the requirements of an Architectural Corporation.
(Architects Act and By-Laws)
PART ONE Theory and Background
A majority of the directors of the corporation must be composed of architects
who are members of the Ontario Association of Architects
AND
OAA
at least 51 per cent of the voting shares and of the value of all the shares of the
corporation are directly or indirectly controlled and owned by architects who
are members of the Ontario Association of Architects.
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Architects may carry on their professional activities within a joint-stock company
(corporation) or a limited liability partnership if more than 50% of the voting rights
(shares) or partnership units are held by architects and the majority of the directors
are architects.
In addition, manufacturers and wholesalers of materials may not hold a majority
OAQ of the voting shares or units, and the president of the firm must be an architect.
Architects may also associate with other architects within a partnership. This
form of enterprise implies that the architects are jointly liable for the obligations
contracted by the partnership (Civil Code of Quebec, article 2221).
Source: Chapter A-21, r. 9.1: Regulation respecting the practice of the profession of
architect within a partnership or a joint-stock company.
one of the principal and customary functions of the corporation or of each
corporate partner is the practice of architecture,
the practice of architecture is carried out under the responsibility and
supervision of a partner, director, officer or employee of the corporation or
partnership who is an architect,
at least two-thirds of the directors of the corporation or of each corporate
partner are architects or engineers and at least one of whom, for each
corporation, is an architect, and
AANB
the majority of the issued shares of each class of voting shares are beneficially
owned by and registered in the name of the architects and engineers,
Certificate of Practice required.
(Architects Act)
By-Law s6.0 – 6.1(e) – In the case of partnerships, corporations or partnership
of corporations, all partners, officers or directors, who are Architects, shall be
Registered Members of the Association.
23. The majority of the issued voting shares of the corporate entity, representing
voting control of the corporate entity, are beneficially owned by 1 or more
licensed architects;
a majority of the directors and officers of the corporate entity are licensed
architects;
any person who practises architecture on behalf of the corporate entity is a
licensed architect;
PART ONE Theory and Background
NSAA Corporate Permit required
(2) Issued voting shares of a corporate entity may be legally and beneficially owned
by another corporate entity, if
(a) all of the issued voting shares of the other corporate entity are legally and
beneficially owned by one or more licensed architects, or a by a trust of which
each of the trustees and beneficiaries is a licensed architect; and
(b) the majority of the officers and directors are licensed architects.
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one of the principal and customary functions of the corporation or each
corporate partner is the practice of architecture,
practice of architecture carried out under the responsibility and supervision of
a director, officer or employee who is an architect,
at least one director and each corporate partner is an architect and is the
beneficial and registered owner of no fewer of each class of voting shares than
the number of such shares held by any other shareholder or director,
AAPEI
Certificate of Practice required.
NON-RESIDENT Corporations
two-thirds of the partners, principals or directors must be architects,
majority of issued shares of each class of voting shares beneficially owned and
registered in the name of architects.
(Architects Act)
Exclusion from membership
13. (1) A partnership, firm or corporation shall not be granted membership in the
NLAA / ALBNL association or be licensed to provide architectural services in the province. (2)
Notwithstanding subsection (1), a partnership, firm or corporation may provide
architectural services where the services are offered and provided under the direct
supervision of an architect.
“firm” includes a partnership, corporation or association of persons.
29. (1) Subject to subsection (2), the council shall approve the issuance of a permit to
a firm that
(a) applies in accordance with the bylaws;
(b) pays the application fees required by the bylaws; and
(c) has at least one director, partner or officer of the firm who
(i) is an architect, restricted practitioner, or licensee,
(ii) will serve as the professional representative of the firm, and
(iii) will directly supervise the practice of architecture by, and the
professional conduct of, the firm.
(2) The council may not approve the issuance of a permit to a firm that is a
corporation unless
NWTAA (a) it is incorporated, continued or registered under the Business Corporations
Act and has filed with the Registrar of Corporations all documents required
to be filed under that Act;
(b) at least one of the directors of the corporation complies with the
PART ONE Theory and Background
requirements in paragraph (1)(c); and
(c) a function of the corporation is to engage in the practice of architecture.
Extra-Territorial Corporation
(3) The council shall approve the issuance of a permit to a firm incorporated or
formed under the laws of another jurisdiction if the firm
(a) is licensed or authorized to practice architecture by that jurisdiction; and
(b) complies with the requirements in paragraphs (1)(a) to (c).
(Architects Act)
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Chart E:
Comparison of Provincial or Territorial Requirements
regarding the NAME of an Architectural Practice
The following comparisons contain excerpts from provincial or territorial Architects Acts and rules. Please
refer to the full text for a complete understanding of the legislation.
Provincial Requirements/Restrictions for the NAME
Association of an Architectural Practice
No architectural firm shall use a name which is misleading or unprofessional and
AIBC all architectural firm names shall be subject to approval by Council.
A firm name must contain the word “architect”, “architects”, “architectural”, or
“architecture” but cannot use the plural unless more than one registered architect
works with the firm as a partner or shareholder;
The firm name cannot be self-laudatory or misleading.
If the names of one or more individuals are included in the name of the firm then
the names may only be of architects, licensed interior designers, or engineers who
are partners or shareholders.
At least one of the names must be the name of a registered architect who is a
partner or shareholder in the firm.
AAA The name of a retired or deceased registered architect may be used in the name of
a firm upon the following conditions:
Deceased registered architect name - The estate has agreed in writing to allow the
registered architect’s name to continue to be used in the name of the firm.
Retired registered architect name - the retired registered architect does not practice
in Alberta or any other jurisdiction.
All firm names require the approval of Council.
Applicable Legislation: Architects Act General Regulation Section 27,
Sections 29-31 Letterhead and Business Card requirements
Bylaw 12.01.3 The name of the architectural corporation shall not be worded in
such a manner that it might mislead the public (Bylaw 12.01.3)
SAA
PART ONE Theory and Background
Bylaw 13.03 The name of the firm shall not be worded in such a manner that it
might mislead the public (Bylaw 13.03)
13.8 (b) No Sole Proprietorship, Architectural Firm, Architectural Corporation,
Partnership of Architectural Corporations, Joint Architectural and
MAA Engineering Firm or Joint Architectural and Engineering Corporation shall
carry on, in any way, business under a name or style that:
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(i) is the same or is similar to a name being used by a Sole Proprietorship,
Architectural Firm, Architectural Corporation, Partnership of Architectural
Corporations, Joint Architectural and Engineering Firm or Joint Architectural
and Engineering Corporation, that engages in the practice of architecture
or the practice of architecture and the practice of professional engineering,
as the case may be, so that its use would, in the opinion of the Registration
Board, be likely to deceive or confuse the public;
(ii) is misleading or unprofessional.
MAA (Cont.) (c) The name or style under which a Sole Proprietorship, Architectural Firm,
Architectural Corporation or Partnership of Architectural Corporations carries on
the practice of architecture shall include the word “architect” or an abbreviation,
derivation or variation thereof approved by the Registration Board.
(d) The name or style under which a Joint Architectural and Engineering Firm
or Joint Architectural and Engineering Corporation carries on the practice of
architecture may include the word “architect” or an abbreviation, derivation or
variation thereof approved by the Registration Board.
(By-Laws)
A name with the word “architect” or any derivative must be approved by the OAA.
OAA Generic names may be approved, contact the OAA for information about your
specific name.
74. Architects must not practise their profession within a partnership or joint-stock
company under a firm name or any other designation which is misleading,
deceptive or derogatory to the honour or dignity of the profession or is a
number name.
75. When an architect dies or withdraws from a partnership or company, the
architect’s name must be removed from the name of the partnership or
company.
OAQ
76. Despite section 75, the name of a partnership or company within which
architects practise their profession may include the name of a deceased or
retired architect provided that the architect was a member of that partnership
or company during the 3 years preceding the architect’s death or retirement
and provided that the architect or, as the case may be, the architect’s heirs or
successors have entered into an agreement to that effect.
Source: Chapter A-21, r. 5.1: Code of Ethics of Architects
6.5.1 A holder of a Certificate of Practice shall not use a name, designation or
letterhead that is
PART ONE Theory and Background
a. the same as or similar to the name, designation or letterhead of a sole
proprietorship, partnership, corporation or joint venture that engages in
the practice of architecture in New Brunswick so that the use would be
AANB likely to deceive or confuse;
b. a number name of a corporation;
c. a name other than the name of the corporation;
d. misleading;
e. scandalous, obscene or immoral; or
f. self-laudatory.
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6.5.2 Styling of firm, company or corporate names and the composition of
letterheads of persons applying for a Certificate of Practice shall be approved
by Council.
6.5.3 Names and designations for firms or corporate names shall comply with the
following:
a. anonymous designations are in general acceptable. A name or designation
may include the name, names or initials of a past or present member. The
name, names or initials of past or present members of the Association of
Professional Engineers of New Brunswick may be included;
b. Firm names or designations shall not include the name or initials of
AANB (Cont.) individuals other than as authorized in subsection 6.5.3 (a); and
c. Firm names or designations may use the word “Architect”, or any
addition, abbreviation, derivation or variation thereof, and also the term
“partner(s)”, “associate(s)”, “and associate(s)” or “partnership” if associates
or partners in fact exist. The term “associate” or “partner” in this context
means another member of the design professions.
d. The design professions in this context shall include persons duly qualified
in the fields of landscape architecture, community planning and interior
design, but does not include technicians or technologists. Any dispute as
to the meaning or eligibility shall be referred to Council, whose decision
shall be final.
(Bylaws)
Section 51 of the Architects Act designates the term “architect” and its derivatives.
NSAA Any company wishing to register their business with the Registry of Joint Stocks
that uses the protected term or its derivatives must get approval of the NSAA.
14 (2) Members or licensees may practise architecture in a name other than their
own and conduct their business as a proprietorship if
a. one of the principal and customary functions of the proprietorship is the
practice of architecture;
b. the practice of architecture is carried out under the responsibility and
supervision of the principal of the proprietorship who is an architect; and
c. the proprietorship hold a valid certificate of practice.
(2) Members or licensees may practise architecture in a name other than their own
and conduct their business as a partnership with other members, licensees or
other individuals, or with corporations meeting the requirements of clauses (4)
(a) and (c) if
AAPEI a. at least one of the individual partners is an architect having an interest in
the partnership of not less than that of any other individual or corporate
partner;
PART ONE Theory and Background
b. one of the principal and customary functions of the partnership is the
practice of architecture;
c. the practice of architecture is carried out under the responsibility and
supervision of an architect who is a partner, or an officer or director of a
corporate partner; and
d. the partnership holds a valid certificate of practice.
(3) A corporation may practice architecture in its own name or in partnership with
a member, licensee or other corporation if…
(Architects Act)
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NLAA/ALBNL No regulation regarding selection of name.
NWTAA No regulation regarding the name of an architectural practice.
PART ONE Theory and Background
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Chart F:
Comparison of Provincial or Territorial Requirements/
Guidelines regarding the APPLICATION of SEALS
The following comparisons contain excerpts from provincial or territorial architects acts and rules. Please
refer to the full text for a complete understanding of the legislation.
Provincial
Requirements or Guidelines re SEALS
Association
77
(1) An architect must apply a seal, with signature and date, to letters of assurance,
certificates, drawings and specifications prepared by or under the architect’s
supervision, direction or control if the architect practices architecture…
AIBC 78
A member of the institute or a licensee must not affix his or her seal to a plan,
working drawing, detail drawing, specification or other document unless it was
prepared under the supervision, direction or control of the member or licensee.
(Architects Act)
No person except a registered architect, visiting project architect, architects
corporation or architects and engineers firm shall affix the seal or stamp of a
registered architect or the stamp of a visiting project architect, architects corporation
or architects and engineers firm, or permit that seal or stamp to be affixed, to a
plan, drawing, detail drawing, specification or other document or a reproduction of
any of them unless
that plan, drawing, detail drawing, specification, other document or reproduction
AAA was prepared by or under the personal supervision, direction and control of,
and
the seal or stamp is affixed with the knowledge, consent or in accordance with
the direction of the registered architect or visiting project architect to whom or
the architects corporation or architects and engineers firm to which the seal or
stamp was issued by the Registrar.
Applicable Legislation: Architects Act Section 2(2) (c)(i)(ii)
2.02 Every practicing member shall have a seal, supplied by the Association, the
impression of which shall contain the name of the member, the member’s
registration number and place of business, and the words “Registered
Architect, Saskatchewan” and the name of the Association.
PART ONE Theory and Background
.1 The seal, when affixed to drawings, shall bear the member’s signature and
the date.
SAA .2 The seal is the property of the Association. If a person ceases to be a
member of the Association, their seal shall be promptly delivered to the office
of the Association. If the member is reinstated, the seal shall be returned to
the member.
.3 The practice of electronic sealing is recognized, and regulations in this
bylaw shall apply to it accordingly, modified as needed to accommodate the
changed format.
(Bylaw 2.02)
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9.03 .1 Each member upon registration shall make application for their seal to
the Executive Director stating the name and address of the applicant and
depositing with the Executive Director a payment to cover the cost of same,
with postage, if any.
SAA (Cont.) .2 The Executive Director shall procure all seals, have charge of their
distribution and will be held responsible for their issue. (Bylaw 9.03)
12.01.2 the personal seal or stamp of a registered member or members of the
Association and not the seal or stamp of the architectural corporation must
be used to seal or stamp any required drawings; (Bylaw 12.01.2)
11.4 (b) All working drawings, specifications and the certificates involved in the
practice of architecture when issued shall bear the seal and signature of
the Registered Member responsible for the design as well as the date on
which the seal and signature were affixed.
(c) Whenever a Registered Member uses his/her seal, his/her signature shall
appear across the seal. In the case where there is more than one name
on the seal, at least one of the Registered Members named thereon shall
sign the seal.
11.5 (b) All working drawings, specifications and certificates involved in the
practice of architecture which are prepared by, through or on behalf of an
Architectural Corporation, Partnership of Architectural Corporations, Joint
Architectural and Engineering Firm or Joint Architectural and Engineering
Corporation, shall bear the seal and signature of the Registered Member
responsible for the design and the stamp of the Architectural Corporation
MAA or Partnership of Corporations, Joint Architectural and Engineering Firm
or Joint Architectural and Engineering Corporation, as well as the date on
which the stamp, seal and signature were affixed.
(c) Whenever an Architectural Corporation, Partnership of Architectural
Corporations, Joint Architectural and Engineering Firm or Joint
Architectural and Engineering Corporation uses its stamp, the signature
of the Registered Member responsible for the design shall appear across
the stamp of the Architectural Corporation, Partnership of Corporations,
Joint Architectural and Engineering Firm or Joint Architectural and
Engineering Corporation.
(Bylaws)
Seals are required on working drawings, specifications, and certificates.
Also, seals are required on reports or documents prepared by Corporations.
(Architects Act)
PART ONE Theory and Background
The seal and signature must be applied to “every design prepared under his or her
personal supervision and direction and issued or exhibited to a person who is not
a holder and is submitted as part of an application for a building permit or is used
for the construction, enlargement or alteration of a building, except in the case of
an open competition in which anonymity is a requirement.”
OAA
(Regulation 27, 42(21))*
The seal belongs to the OAA and is issued to a Member for their use as long as they
remain in good standing.
*OAA Regulatory Notice R.1 describes the appropriate use of the Architect’s professional seal.
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27. Architects must indicate on the documents they prepare in the practice of their
profession the purposes for which they are prepared.
28. Architects must date and write their name or the name of the partnership or joint-
stock company within which they practise their profession on every document they
prepare in the practice of their profession.
30. Architects must, for documents they prepare,
1. sign the following documents: riders and change directives, payment
certificates, substantial completion certificates and completion certificates;
2. sign and affix their seal to the following documents:
(a) plans and specifications for the execution given to the client or a
OAQ municipality in support of a permit application and to any authority
concerned;
(b) documents issued for the purposes of the contract between the client
and the contractor, and documents related to the management of the
contract, such as plans and specifications issued for construction and
used for performing on-site work, and addenda;
(c) certificates of progress or compliance of the work to the plans and
specifications or the Construction Code (chapter B-1.1, r. 2), and any
other certificate they issue; and
(d) expert reports.
Source: Chapter A-21, r. 5.1: Code of Ethics of Architects
15(3) Unless exempted by by-law, every member or licensee practising architecture
in New Brunswick in his own name shall sign, date and affix his stamp to all
designs, specifications, reports, contracts and other documents pertaining
to the practice of architecture which have been prepared by the member or
AANB licensee, or under the direct supervision of the member or licensee.
15(5) Every person authorized to practice architecture under this Act who fails to
sign and affix their stamp to a final construction document, as required by this
section, is guilty of professional misconduct. (Architects Act)
32
Every licensed architect must have a seal of a design authorized by the regulations,
and shall bear the name of the licensed architect and the words “licensed architect,
Nova Scotia Association of Architects”.
33
All technical submissions prepared by a licensed architect, or under the architect’s
responsible control, shall be sealed with the seal of the licensed architect and
signed by the licensed architect, signifying that the licensed architect was in
responsible control of the content of the technical submissions and has applied
the required standard of care.
34
No licensed architect may sign or seal technical submissions unless prepared by
PART ONE Theory and Background
NSAA or under the responsible control of the architect, except that
(a) the architect may sign or seal those portions of the technical submissions
that were prepared by or under the responsible control of persons who are
licensed under this Act if the architect has reviewed and adopted in whole or in
part such portions and has either co-ordinated their preparation or integrated
them into the architect’s work; and
(b) the architect may sign or seal those portions of the technical submissions
that are not required by this Act to be prepared by or under the responsible
control of an architect if the architect has reviewed and adopted in whole or in
part such submissions and integrated them into the architect’s own work.
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35
Any licensed architect signing or sealing technical submissions not prepared by
that architect, but prepared under that architect’s responsible control by persons
not regularly employed in the office where the architect is resident, shall maintain
NSAA (Cont.) and make available to the Board upon request for at least five years following such
signing and sealing, adequate and complete records demonstrating the nature
and extent of the architect’s control over and detailed knowledge of such technical
submissions throughout their preparation.
16. (3) Every member or licensee practicing architecture in Prince Edward Island in
his own name shall sign and affix his stamp to all final designs or construction
documents which have been prepared by such person or under the supervision
of such person.
(4) Every proprietorship, partnership or corporation practicing architecture
in Prince Edward Island shall affix its stamp to all designs which have been
AAPEI prepared by the proprietorship, partnership or corporation, and have such
designs signed by a member or licensee designated on the certificate of
practice.
(5) Every person authorized to practice architecture under this Act who fails
to sign and affix their stamp to a final design or construction document, as
required by this section, is guilty of professional misconduct.
(Architects Act)
6.(1) A seal or stamp issued by the board under the Act shall contain a space where
the architect shall write in the licence expiry date each time the seal or stamp is
applied.
(2) An architect shall immediately return all seals or stamps issued to the architect
to the board when
(a) the architect no longer holds a licence; or
(b) as a result of a disciplinary action, the board cancels the seal or stamp.
(3) An architect shall apply his or her seal or stamp to a document that is required by
authorities having jurisdiction to issue building permits or regulatory approvals.
(4) A document that is a draft document or a “work-in-progress” shall be clearly
marked “draft”, “work-in-progress” or with another similar term.
(5) An architect shall only seal or stamp documents where
(a) they are prepared by the architect;
NLAA/ALBNL (b) they are prepared by persons under the architect’s responsible control;
(c) they contain limited parts of a design prepared by another architect where
the sealing or stamping architect has reviewed the other architect’s work
and either has coordinated the preparation of the work or has integrated
the work into his or her own technical submissions;
PART ONE Theory and Background
(d) they are prepared by another architect licensed in another jurisdiction
recognized by the board where
(i) the sealing or stamping architect has reviewed the other architect’s
work and has integrated the work into his or her own document, and
(ii) the other architect’s documents are prototypical building documents;
(e) the name of the architect or, in the case of architectural services being
provided by a firm, partnership or corporation, its name is prominently
displayed in the document and identified as the “Architectural Consultant”;
and
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(f) the document being sealed or stamped does not identify another
party that could be misconstrued by authorities having jurisdiction or
members of the public as a provider of architectural services unless the
party holds a licence or the firm, partnership or corporation retains
an architect licensed to provide direct supervision of the offering and
provision of architectural services as permitted by subsection 13(2) of
the Act.
(6) An architect may seal or stamp drawings, specifications or other work related
to the provision of architectural services that are exempt under section 35 of
the Act where the drawings, specifications or other work meets the requirements
of subsection (5).
(7) A registered architect sealing or stamping documents not prepared by that
architect but prepared under the architect’s responsible control by another
person, shall maintain and make available to the board upon request for at
least 5 years following the sealing and stamping, adequate and complete
NLAA/ALBNL records demonstrating the nature and extent of the architect’s control over and
(Cont.) detailed knowledge of those documents throughout their preparation.
(8) An architect sealing or stamping documents integrating the work of another
architect into the architect’s own work that are permitted under paragraph (5)
(c) or (d) shall maintain and make available to the board upon request for at
least 5 years following the sealing or stamping, adequate and complete records
demonstrating the nature and extent of the architect’s review of and integration
of the work of the other architect into his or her own documents, and that the
review and integration met the required professional standard of care.
(9) An architect may make application to the board and the board may grant
permission to an architect to seal or stamp documents prepared under the
responsible control of another architect who is no longer permitted or able to
seal or stamp documents, subject to terms set by the board.
(10) An architect shall apply his or her seal or stamp only to documents pertaining
to architectural projects.
(Regulations)
89.(c) The stamp shall be affixed to a document only when the professional taking
responsibility is satisfied that the work has been completed to an acceptable
standard. The responsible professional shall sign across the imprint of the
stamp and indicate the date of the signature.
NWTAA 89.(g) The permit stamp shall be affixed to a document only after the professional
or professionals taking responsibility have affixed their personal stamps. The
officer or employee, so authorized by the Permit Holder, shall affix the stamp,
sign across the imprint of the stamp and indicate the date of the signature.
PART ONE Theory and Background
(By-Laws)
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Chapter 1.7 – International Architectural Organizations
Chapter 1.7
International Architectural
Organizations
Contents
Introduction 95
International Organizations 95
International Union of Architects (UIA) 95
Architects Council of Europe (ACE) 96
APEC Architect Project 96
North American Organizations 97
The American Institute of Architects (AIA) 97
National Council of Architectural Registration Boards (NCARB) 97
National Architectural Accrediting Board, Inc. (NAAB) 97
Association of Collegiate Schools of Architecture (ACSA) 98
Federación de Colegios de Arquitectos de la República Méxicana (FCARM) 98
Asociación de Instituciones de Enseñanza de la Arquitectura de la
República Mexicana (ASINEA) 98
Appendix A – List of International Organizations 99
PART ONE Theory and Background
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Chapter 1.7 – International Architectural Organizations
Introduction
Most nations have some form of professional or legal organization for their architects. This Handbook cannot
outline them all, but will briefly describe one international body, three multilateral organizations that have
relations with the architectural profession in Canada, and those organizations within North America that affect
the Canadian architectural community.
In the past, Canadian architects were closely affiliated with Britain and the Commonwealth, and many were
members of the Royal Institute of British Architects (RIBA). Today, however, many Canadian-based architects
are working in countries outside of Canada by associating with resident firms in those countries. Canadian
architects should be cautious in the way they present themselves in other countries in matters of licensure,
and most often cannot call themselves “architects.”
Canadian architectural practices, both large and small, are finding opportunities in the international
marketplace. International projects do not constitute a significant percentage of work for all except the
largest multinational firms with Canadian offices. However, small firms with highly specialized knowledge and
capabilities are entering into joint ventures to provide unique expertise. Large Canadian-based and -owned
firms have offices in the United States, China, the Middle East and elsewhere. Competing for international
design commissions is not for every architectural practice, and the business model adopted by the firm needs
to address the specifics of the international marketplace.
International Organizations
International Union of Architects (UIA)
www.uia-architectes.org
The International Union of Architects, or Union internationale des architectes (UIA), was founded in 1948 in
Lausanne, Switzerland, as a federation of professional societies from several countries.
From the 27 delegations present at the founding assembly, the UIA has grown to encompass the key
professional organizations of architects in 131 countries and territories, and now represents, through these
organizations, more than 1,300,000 architects worldwide. The Royal Architectural Institute of Canada is the
member section for Canada within the UIA.
The UIA’s mission is to represent the global community of architects and to promote the profession within the
following organizations:
the UIA Member Sections;
other non-governmental organizations (in order to develop interdisciplinary contacts):
ICOMOS (International Council on Monuments and Sites);
ICSID (International Council of Societies of Industrial Design);
PART ONE Theory and Background
ICOGRADA (International Council of Graphic Design Associations);
IFI (International Federation of Interior Designers);
ISOCARP (International Society of City and Region Planners);
INTA (International Trademark Association);
intergovernmental institutions (in which the UIA is the only officially recognized association for architecture):
UNESCO (United Nations Educational, Scientific and Cultural Organization);
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UNCHS (United Nations Centre for Human Settlements);
ECOSOC (United Nations Economic and Social Council);
UNIDO (United Nations Industrial Development Organization);
WHO (World Health Organization);
UN Habitat (United Nations Human Settlements Programme);
UNECE (United Nations Economic Commission for Europe);
IOC (International Olympic Committee).
The UIA has also established the Professional Practice Commission, which has developed a basic framework
regarding international standards of professionalism for architects. Adopted at the 1999 UIA Congress in
Beijing, this framework assists nations and professional architectural associations in developing national
standards and reaching mutual recognition agreements for the practice of architecture.
Architects Council of Europe (ACE)
www.ace-cae.org
The Architects’ Council of Europe (ACE), as the only representative organization at the European level, aspires
to speak with a single voice on behalf of the architectural profession.
It is based in Brussels, and its members are the regulatory and professional representative bodies of all
European Union (EU) member states, accession states, Switzerland and Norway.
Through them, ACE represents the interests of over 450,000 architects in Europe.
The principal function of the ACE is to monitor relevant policy and legislative developments at the EU level,
seeking to influence those areas of EU policy that have an impact on architectural practice, and on policies
affecting the overall quality and sustainability of the built environment.
In Fall 2018, the ACE-CALA Mutual Recognition Agreement (MRA) for the Practice of Architecture among the
member states in the European Union and Canada was finalized. The year of implementation of the agreement
is 2021. For more information, visit the International Agreements section of https://cala-roac.ca/professional-
mobility/europe-ace
APEC Architect Project
www.apecarchitects.org
The Asia-Pacific Economic Cooperation (APEC) operates as a co-operative, multilateral economic and trade
forum. The APEC Architect Project was endorsed by the Human Resources Development Working Group of
the APEC in 2000 following a proposal by the Australian government to facilitate the mutual recognition of
skills and qualifications of architects in the provision of professional services between member economies.
The project is self-funded by the respective architectural organizations. A Secretariat rotating amongst the
14 member economies provides the necessary support to APEC Architect Project members and maintains
PART ONE Theory and Background
a website. Member states include Australia, Canada, People’s Republic of China, Hong Kong China, Japan,
Republic of Korea, Malaysia, Mexico, New Zealand, Republic of the Philippines, Singapore, Chinese Taipei,
Thailand and the United States of America.
The purpose of the APEC Architect Project is to establish a common basis for the recognition of professional
competence that will simplify access to independent practice as an architect in other participating economies.
The Architectural Institute of British Columbia is the Secretariat for Canada and updates the register of
Canadian architects who have obtained the APEC Architect designation. Additional information can be found
at https://cala-roac.ca/professional-mobility/australia-new-zealand-and-canada-apec.
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North American Organizations
The American Institute of Architects (AIA)
The American Institute of Architects (AIA) was founded in New York City in 1857. The AIA is a representative
body rather than a governing or controlling body. It divides the United States into regions, each of which is
represented by a member on the Board of Directors. The regions have chapters; the number of chapters per
region depends on the population density. The chapters’ bylaws are set by the national body.
The AIA has more than 73,049 licensed architects (in 2018) and is a voluntary professional association dedicated
to organizing and uniting the profession. The AIA requires its members to commit to a code of ethics and
professional conduct, as well as to professional development through its program of continuing education.
Members of the RAIC may become associate AIA members. See Chapter 1.6 – The Organization of the Profession
in Canada for information on the RAIC.
National Council of Architectural Registration Boards (NCARB)
The National Council of Architectural Registration Boards (NCARB) is a not-for-profit corporation. All the legally
constituted architectural registration boards of the 50 U.S. states and five territories are members. The NCARB
assists its 54 member boards through the following activities:
preparing and delivering a uniform examination;
offering the Architect Registration Examination (ARE);
establishing standards in education and training;
verifying qualifications of applicants and certifying architects;
developing standards for professional conduct;
administering the Intern Development Program.
The provincial and territorial associations of architects work closely with the NCARB, and, in 1994, an Inter-
Recognition Agreement was signed between the NCARB and the former Committee of Canadian Architectural
Councils (CCAC). This agreement facilitated reciprocal licensing for architects in Canada and the United States
in specified jurisdictions in Canada and the United States. In 2014, the Mutual Recognition Agreement (MRA)
between the 11 provincial and territorial members of the Canadian Architectural Licensing Authority (CALA)
and 29 member boards of the National Council of Architectural Registration Boards (NCARB) came into effect.
The MRA identifies the details of the reciprocal relationships for licensure between those licensed in the two
countries. Over time the number of U.S. member boards who have signed on to the MRA has increased.
For details about the relationship, refer to the following information: https://www.ncarb.org/advance-your-
career/international-practice/canada.
National Architectural Accrediting Board, Inc. (NAAB)
Formed in 1940, the National Architectural Accrediting Board, Inc. (NAAB) is responsible for accrediting
PART ONE Theory and Background
professional degree programs in schools of architecture in the United States. This is similar to the accreditation
function of the Canadian Architectural Certification Board (CACB), which has adopted most of the NAAB’s
accreditation criteria. The NAAB has a board of directors comprised of appointees from the following
organizations:
AIA (The American Institute of Architects);
NCARB (National Council of Architectural Registration Boards);
ACSA (Association of Collegiate Schools of Architecture);
AIAS (American Institute of Architecture Students).
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Association of Collegiate Schools of Architecture (ACSA)
The Association of Collegiate Schools of Architecture is a not-for-profit membership association founded in
1912 to advance the quality of architectural education. The association is based in the United States.
The Association of Collegiate Schools of Architecture (ACSA) is similar to the Canadian Council of University
Schools of Architecture (CCUSA). The Association is comprised of over 250 schools of architecture in several
membership categories, including all 12 accredited university schools of architecture in Canada. A forum for
“ideas on the leading edge of architectural thought,” the ASCA publishes the Journal of Architectural Education
(JAE) and a newsletter (ACSA News).
Federación de Colegios de Arquitectos de la República Méxicana (FCARM)
The Federación de Colegios de Arquitectos de la Republica Méxicana (FCARM), or the Federation of the Colleges
of Architects of the Republic of Mexico, is a national professional organization with headquarters in Mexico
City. FCARM is comprised of 71 “Colegios” representing about 15,000 architects.
Most Mexican jurisdictions (states) have a professional association known as a “Colegio,” and these associations
have united to form the national federation. The Colegios, which are responsible for establishing codes of
ethics, deal with issues of professional practice and public complaints.
FCARM’s mission is to:
coordinate the needs and interests of its members;
encourage professional development;
develop standards of practice;
promote the profession to the public.
In the spirit of the North American Free Trade Agreement (NAFTA) and most recently the US-Mexico-Canada
Agreement (USMCA), FCARM is the signatory organization to the tri-national agreement that exists between
Canada, Mexico and the United States. This agreement allows for mutual recognition of licence between the
three countries. Also signatory to the agreement is the U.S. National Council of Architectural Registration
Boards (NCARB) and the Canadian Architectural Licensing Authorities on behalf of all 11 Canadian architectural
regulators. The Ontario Association of Architects provides the Secretariat function on behalf of CALA for the
agreement.
For more information, visit the International Agreements section of https://cala-roac.ca/professional-mobility.
Asociación de Instituciones de Enseñanza de la Arquitectura de la
República Mexicana (ASINEA)
PART ONE Theory and Background
The Asociación de Instituciones de Enseñanza de la Arquitectura de la República Mexicana (ASINEA) has a
similar function to the Canadian Council of University Schools of Architecture (CCUSA) and the Association of
Collegiate Schools of Architecture (ACSA). Comprised of 81 schools of architecture, ASINEA has a multifaceted
objective: the exchange of pedagogic, administrative, social and academic information. As part of its efforts to
continually enhance the several schools and facultades (faculties) of architecture within the Mexican Republic,
ASINEA also deals with architectural criteria for education standards and curriculum.
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Appendix A –
List: List of International Organizations
INTERNATIONAL UNITED STATES OF AMERICA
Architects’ Council of Europe The American Institute of Architects (AIA)
29 Rue Paul Emile Janson 1735 New York Avenue, NW
B-1050 Washington, D.C. 20006-5292
Brussels, Belgium U.S.A.
Tel: (202) 626-7300
Tel: +32 2 543 11 40
www.aia.org
www.ace-cae.eu
National Council of Architectural Registration
Commonwealth Association of Architects Boards (NCARB)
(CAA) 1401 H Street NW Suite 500
39, Harrington Gardens Washington, D.C. 20005
SW7 4JU U.S.A
London, United Kingdom
Tel: (202) 879-0520
Tel: +44 207 835 2704 www.ncarb.org
www.comarchitect.org
National Architectural Accrediting Board, Inc.
PanAmerican Federation of Architects (NAAB)
Associations (FPAA) 1735 New York Avenue, NW
Av. Gonzalo Ramírez 2030 Washington, D.C. 20006
U.S.A.
11200 Montevideo
Departamento de Montevideo, Uruguay Tel: (202) 783-2007
www.naab.org
Tel: +(598 2) 411 95 56
www.fpaa-arquitectos.org Association of Collegiate Schools of
Architecture (ACSA)
Union international des architectes / 1735 New York Avenue, NW
International Union of Architects Washington, D.C. 20006
Tour Maine Montparnasse U.S.A.
33, avenue du Maine - B.P. 158 Tel: (202) 785-2324
75755 PARIS Cedex 15 – France www.acsa-arch.org
Tel: +33 (0)1 45 24 36 88
BRITAIN
www.uia-architectes.org
Royal Institute of British Architects (RIBA)
MEXICO 66 Portland Place
London, United Kingdom
Federación de Colegios de Arquitectos de la
W1B 1AD
Republica Méxicana (FCARM)
Tel: +44 207 580 5533
PART ONE Theory and Background
Paseo de la Reforma 222
Torre 1, Piso 1, Int 122 www.architecture.com
Col Juárez AUSTRALIA
06600 Delegación Cuahutémoc, Ciudad de México Australian Institute of Architects (RAIA)
México National Office:
Tel: +52 (55) 12537435 Level 1, 41 Exhibition Street
Melbourne, Victoria 3000
www.fcarm.org.mx
Australia
Tel: +61 (03) 8620 3877
www.architecture.com.au
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PART TWO
Chapter 2.1 – The Construction Industry
The Context of Practice
CHAPTER 2.1
The Construction Industry 102
CHAPTER 2.2
The Client 117
CHAPTER 2.3
Consultants 162
CHAPTER 2.4
Building Regulations
and Authorities Having
Jurisdiction 186
CHAPTER 2.5
Standards Organizations,
Certification and Testing
Agencies and Trade
Associations 203
PART TWO The Context of Practice
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Chapter 2.1 – The Construction Industry
Chapter 2.1
The Construction Industry
Contents
Definitions 103
Preamble 103
Introduction 103
Participants in the Construction Industry 103
Owners 104
Designers 104
Constructors 104
General Contractor, Design-Builder, or Construction Manager 104
Trade Contractors 105
Manufacturers and Suppliers 105
Bonding and Insurance Companies 106
Advisory and Advocacy Organizations 106
Canadian Construction Association (CCA) 106
Provincial/Territorial and Local Construction Associations 107
Construction Associations and Bid Depositories 107
Canadian Home Builders’ Association (CHBA) 108
Construction Safety 108
Workplace Safety Insurance Boards or Workers’ Compensation Boards 109
Construction Safety Associations 109
Construction Industry Consultative Committee (CICC) 110
Canadian Construction Documents Committee (CCDC) 110
Canada Green Building Council (CaGBC) 111
Institute for BIM in Canada (IBC) and buildingSMART Canada 111
Institute for BIM in Canada 111
PART TWO The Context of Practice
buildingSMART Canada 111
References 112
Appendix A – List: Canadian Construction Documents Committee Contract
Agreement Forms and Guides 113
CCDC Guide Documents 114
Appendix B – List: Canadian Construction Association Contract Form and Guides 115
Appendix C – List: Institute for BIM in Canada (IBC) Contract Agreement
Forms and Appendices 116
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Definitions
Construction: The erection, installation, extension or repair of a physical structure.
Constructor: A person who contracts with an owner or the owner’s authorized agent to undertake a project;
includes an owner who contracts with more than one person for the work on a project, or who undertakes the
work on a project or part thereof. (National Building Code, 2015)
Journeyman: Skilled tradesperson qualified to work in a specific field.
Apprentice: Person learning a skill or trade from an experienced and qualified journeyman.
Preamble
The architect works within a complex network of regulated professionals, technical experts, skilled constructors
and trades, product manufacturers and suppliers, and regulatory authorities. Together, these disparate
groups and individuals form the supply chain of the design-construction industry. A thorough knowledge of
the organization of this industry, and the roles and responsibilities of each player, is critical in understanding
how a design becomes a building.
Introduction
According to Statistics Canada, the construction sector employed 1.437 million people in Canada in 2018,
and produced $141 billion in goods and services that year. Add to this the value of residential construction,
including multiple housing units, and the construction sector represents approximately 7% of Canada’s gross
domestic product.
The construction industry is divided into two sub-sectors, building construction and heavy civil works
construction. Each accounts for approximately half of the total construction industry. These sub-sectors often
respond to different market forces, use different construction techniques and materials, and employ different
labour forces.
The construction of buildings sub-sector includes both residential and non-residential buildings. The heavy
and civil engineering construction sub-sector covers all non-building construction projects, including roads,
sewer and water, bridges, dams, railways, ports, airports, pipelines, and oil and gas facilities. The architect is
predominantly focused on the building sub-sector of the industry.
Participants in the Construction Industry
PART TWO The Context of Practice
The supply chain of the building sub-sector is composed of many loosely coordinated components, most of
which fall into six major groups:
Owners: the public- and private-sector buyers of design services and construction;
Designers: professionals such as architects and engineers, and others, including interior designers,
planners, and various consultants and technical personnel, responsible for the design documentation and
overseeing of construction;
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Constructors: contractors, subcontractors and trade contractors, manufacturers, suppliers, and insurance
and bonding companies that support the construction industry;
Authorities having jurisdiction: typically, officials at the regional and municipal levels who have the
authority to administer federal, provincial/territorial, and local legislation, regulations, codes and bylaws;
Advisory and advocacy organizations: numerous organizations exist for the purpose of supporting the
design-construction industry, providing standards, literature, and business support;
Other design-construction industry players: lending institutions such as mortgage and finance
companies, real estate services, trade associations, researchers, analysts, project management service
providers, and other miscellaneous official and service agencies.
Owners
Owners usually possess the legal title, lease, or licence to the land, site or building for which design and
construction projects are intended. In most cases the owner is the “client” who retains the architect to provide
professional services for the design project. Owners are distinguished from clients, as the client of a design
project may or may not possess the title and lease of the property. For example, in some jurisdictions it is
permissible for an architect to enter into a contract to provide design services with an owner’s agent, such as
a project management service provider.
See also Chapter 2.2 – The Client.
Designers
Many kinds of designers are involved in the construction industry. However, because of the unique training
that architects receive, they often act as prime consultant for most design work related to the construction,
alteration or enlargement of the built environment greater than a building code-specified building or certain
floor area. Other buildings (such as industrial plants and warehouses), as well as other engineering construction
(such as bridges), may or may not involve the architect as a part of the design team, but when involved, they
are not usually acting in the role of prime (or coordinating) consultant.
A host of specialist professionals and paraprofessionals assist architects in this role. See Chapter 2.3 –
Consultants for the roles of other consultants and designers in the construction industry.
Constructors
General Contractor, Design-Builder, or Construction Manager
Construction is undertaken by a work force comprised of people and companies with a wide range of expertise
and resources. On a large or complex project there can be hundreds of workers from dozens of companies,
both large and small, contributing to the effort with their capabilities and skills. The work of each of these
different companies and trade groups must be coordinated in order to ensure construction operations proceed
PART TWO The Context of Practice
in an orderly fashion while at the same time addressing the inevitable need for rapid progress and high-quality
workmanship. Coordinating the endeavour is the constructor. The role of the constructor may be filled by a
general contractor, a design-builder, or the owner themselves with the support of a construction manager,
depending on the method of design-construction program delivery. The type of delivery is defined by the
network of contractual relationships between the many parties, including the owner, designers, constructor,
and trades.
See Chapter 4.1 – Types of Design-Construction Program Delivery for a detailed description of the types of
program delivery.
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The following is a brief description of the different types of companies that may fill the role of the constructor.
A general contractor undertakes responsibility for the successful completion of the construction project.
They assume the financial liability for the construction project by providing the owner with a price for the
work. That price is based on an assessment of the design created by the design team hired by the owner. The
general contractor hires the trade contractors and coordinates the work of construction.
A design-builder may also fill the role of constructor. The design-builder undertakes responsibility for the
successful completion of the construction project as well as assuming responsibility for the design project.
The design-builder hires the design team and oversees the design to ensure that the design meets the owner’s
requirements and can be executed within the fixed price that the design-builder has provided to the owner.
Like the general contractor, the design-builder also hires the trade contractors.
A construction manager works in a consultative capacity with the owner and is often hired at or near the
beginning of the design project. The construction manager supports the design team during the design by
providing constructability and financial information. The construction manager coordinates the hiring of
the trade contractors on behalf of the owner but is not a party to these contracts themselves. The trade
contractors are in a direct contract with the owner. In this arrangement, it is the owner themselves who acts
as the constructor with the support of the construction manager. It is common for the role of construction
manager to convert to that of a general contractor once the cost of construction becomes firm and the project’s
financial liability can be transferred.
A construction company may provide general contractor, design-builder, or construction management
services, depending on the owner’s needs and desire to manage risk.
Trade Contractors
Trade contractors usually operate as subcontractors to a general contractor or design-builder, or as a contractor
hired directly by the owner in the case of construction management. Trade contractors employ skilled labour
and trades to build projects using custom-manufactured and/or standard products and components, supplied
either directly from the manufacturer or through a system of suppliers, distributors and wholesalers.
Labour force and hiring practices in the construction industry are driven by market fluctuations. Most workers
are hired on a project-by-project basis, often through union or non-union hiring halls. Often, only key personnel
are employed on salary over the long term. Consequently, firms quickly expand and contract their operations
(and enter and exit the industry) in a relatively flexible manner in response to changing business conditions.
Skilled tradespeople include carpenters, masons, plasterers, plumbers, steel workers, electricians, and many
other classes of skilled workers.
Workers acquire their skills through a combination of education and apprenticeship, becoming journeymen
when they achieve the required level of competence. Community colleges/cégeps (collège(s) d’enseignement
général et professionnel) and vocational schools, in consultation with trade unions and other standards-setting
organizations, provide the necessary training. Either following or concurrent with their formal education,
students/apprentices work alongside experienced journeymen (both men and women), learning skills needed
to practise their chosen trade. Certain skilled workers, such as plumbers, electricians, and elevator mechanics,
PART TWO The Context of Practice
must be licensed.
Manufacturers and Suppliers
In many instances, materials and products selected for construction are manufactured to established codes
and standards. Product standards used in the construction industry are established by various standards-
writing bodies, composed of a combination of:
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users/owners; authorities having jurisdiction;
manufacturers; building design professionals;
technical and trade specialists; testing agencies.
building industry manufacturers and suppliers;
The architect selects materials and products meeting these requirements for incorporation into the work.
Materials and products may be “off the shelf” or custom manufactured for each project.
Manufacturers and suppliers can be excellent sources of technical assistance for the architect. Typically,
manufacturers provide the architect with technical information as well as product samples and specifications
to review and include in the office library.
Manufacturers and suppliers frequently participate in construction industry trade shows which:
showcase new and existing products and building components;
provide the latest technical information;
facilitate networking opportunities;
provide continuing education events.
See also Chapter 2.5 – Standards Organizations, Certification and Testing Agencies, and Trade Associations.
Bonding and Insurance Companies
Forming an important part of the construction industry are the companies that::
provide bonds, known as sureties, to contractors;
provide professional liability insurance to design professionals.
For more information on construction insurance, refer to CCDC 21 2016, A Guide to Construction Insurance.
For more information on bonds and sureties, refer to CCDC 22 2002, A Guide to Construction Surety Bonds.
Advisory and Advocacy Organizations
Canadian Construction Association (CCA)
Founded in 1918, the Canadian Construction Association (CCA) is a national body with a membership of more
than 20,000 individuals and companies. The CCA represents the wide-ranging interests of the construction
industry throughout Canada, from construction standards and policies to procurement to sustainable
development and innovations in construction technology.
The CCA is governed by an executive committee and a board of directors comprised of volunteer members.
The members, who are selected from a variety of constituent groups with different construction-related
interests, are elected at the annual general meeting.
PART TWO The Context of Practice
Based in Ottawa, the CCA represents the industry’s national interests when lobbying the federal government.
For further information, contact:
Canadian Construction Association
1900–275 Slater Street
Ottawa, Ontario K1P 5H9
Tel: (613) 236-9455
Fax: (613) 236-9526
www.cca-acc.com
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Provincial/Territorial and Local Construction Associations
Most urban communities throughout Canada have construction associations.
Membership in these associations often includes a fully integrated affiliate membership in the Canadian
Construction Association. In this case, members enjoy all the benefits and privileges of membership in the
national association as well as those offered by the local associations.
Local construction associations have the following aims and objectives:
representation at local, provincial/territorial, and (through the CCA) federal levels of government;
the provision of education and professional development to industry members;
the operation of display services for plans and specifications for the convenience of owners, designers,
and member firms;
the provision of labour relations services;
the provision of alternative dispute resolution services;
the promotion of business relations between members of every sector of the construction industry in the
community;
resolution of industry-related concerns raised by members.
To achieve these aims and objectives, each association periodically elects a chairperson and board of directors
selected from the membership at large. Equal representation is sought from the following industry sectors:
general contractors;
trade contractors;
mechanical and electrical contractors;
manufacturers, supply and service companies, and professionals.
Elected representatives from each construction association or local chapter within a province/territory also
form a council. The council’s tasks include lobbying the provincial/territorial government on issues such as:
workers’ compensation;
health and safety legislation;
lien legislation;
provincial/territorial tax matters;
employment equity;
other construction industry-related issues.
For more information on affiliated provincial/territorial, regional, and local construction associations, contact
the provincial, territorial, or local construction association.
PART TWO The Context of Practice
Construction Associations and Bid Depositories
Most urban communities throughout Canada have a local construction association that supports its members
through local advocacy and services. These construction associations operate under the direction of a chair and
board of directors elected periodically from volunteer representatives of local user groups and professionals.
In some instances, local construction associations provide bid depository services to members. A bid depository
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operates as an adjunct to the local construction association. Although bid depositories are diminishing in
popularity, being replaced by electronic file formats and transfer, they continue to be used in British Columbia
and are mandated by legislation in Quebec.
Construction associations and their bid depositories help to manage the bid process by:
disseminating bid documentation, information and addenda;
promptly collecting trade contractor bids for multiple-trade projects.
These trade or subcontractor bids are distributed to general contractors so that they may be included in the
general contractor’s bid for major construction projects.
Bidding through bid depositories follows a strict set of rules and guidelines. The purpose of these rules is to:
minimize confusion;
limit bid shopping;
make all required information available to all members of each bid depository and to all general contractor
bidders registered with that bid depository.
For more information on rules, procedures, electronic plans rooms and other services, contact the local bid
depository or construction association.
Canadian Home Builders’ Association (CHBA)
The Canadian Home Builders’ Association (CHBA) represents Canada’s residential construction industry, with
more than 8,000 member firms across Canada. CHBA members represent every area of Canada’s housing
industry — new home builders and renovators, land developers, trade contractors, product and material
manufacturers, building product suppliers, lending institutions, insurance providers, service professionals
and others.
For further information on the CHBA, contact:
Canadian Home Builders’ Association
150 Laurier Avenue W., Suite 500
Ottawa, Ontario K1P 5J4
Tel: (613) 230-3060
Fax: (613) 232-8214
www.chba.ca
Construction Safety
Construction is an industry in which the risk of human injury and fatality is always present. According to the
PART TWO The Context of Practice
Association of Workers’ Compensation Boards of Canada, between 2015 and 2017 the construction industry
in Canada ranked second in the number of accepted lost time claims and highest in the number of fatalities
by industry (Association of Workers’ Compensation Boards of Canada). The architect needs to understand the
importance of construction safety and the environment in which construction safety is regulated. Construction
safety is a provincial/territorial responsibility, and there are means both for insuring workers and for securing
a safe construction site in every jurisdiction. The architect should be familiar with the requirements in the
jurisdiction in which each project is located.
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Workplace Safety Insurance Boards or Workers’ Compensation Boards
Construction, like many industries, is hazardous. Many serious and permanent injuries, or even deaths, occur
on construction sites each year.
To minimize the proliferation of individual personal injury lawsuits resulting from workplace injuries, each
province/territory has assumed the responsibility for paying compensation to injured workers. This benefit
is in return for workers surrendering their rights to pursue lawsuits or legal action. Workers’ compensation
legislation varies jurisdiction by jurisdiction. In some jurisdictions, workers’ compensation and health and
safety are administered by one organization.
The adjudication of claims is overseen by a board or commission, which reviews each case on its own merits
and awards benefits to injured workers based on pre-established policies and a scale of compensation.
For this system and its claims to be financed, employers are assessed by the degree to which their workers are
exposed to workplace hazards. The board establishes installments or premiums, which are to be paid by each
employer for every worker in its employ. All employers are required to maintain installments in good standing
to the compensation board. Failure to comply can result in significant fines or even prosecution.
Architects, like contractors, employ workers exposed to the dangers of construction sites, and thus are
required to maintain such installments in good standing. Because not all jurisdictions require architects to pay
workers’ compensation premiums, architects should confirm their obligations with workers’ compensation
boards in the jurisdiction in which they practise.
In addition, architects, as part of the construction administration services performed for clients, should
verify that all construction workers employed by contractors on each project are covered by workplace
safety insurance by obtaining letters of good standing. Architects should routinely request from the general
contractor a certificate of good standing issued by the workplace safety insurance board to verify that all
workers are protected. Failure to do so may result in claims involving the client, the constructor, and the
injured worker. See also Chapter 6.6 – Contract Administration – Office Functions and Field Functions.
For more information on workplace safety (compensation) insurance, contact the provincial/territorial
workplace safety insurance board.
Construction Safety Associations
Some provincial/territorial construction safety associations offer a broad range of products and services to
help reduce the number of job-site accidents, injuries, occupational diseases and fatalities.
In most instances, construction safety associations operate under the provincial or territorial workers’
compensation legislation to promote health and safety in the construction industry.
The associations operate through a system of joint labour/management committees, which:
review worksite health and safety problems;
make recommendations to government and other organizations for improvements to legislation and
PART TWO The Context of Practice
regulations affecting the construction industry.
The associations engage consultants to:
conduct safety audits and accident analysis;
design programs for general safety and projects for special needs.
Besides acting as a secretariat to the labour and management committees, these associations also offer
training and educational programs through community colleges/cégeps and other venues for apprentices,
journeymen, trade unions, management organizations and individual firms.
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In addition, these safety associations:
conduct research on hazardous products;
develop safety procedures;
compile statistics;
publish periodicals.
For more information on activities, services, products and publications, contact the provincial/territorial
construction safety association.
Construction Industry Consultative Committee (CICC)
The Construction Industry Consultative Committee (CICC) is comprised of the chief elected and senior staff
officers of the following national organizations:
Association of Consulting Engineering Companies (ACEC);
Canadian Construction Association (CCA);
Construction Specifications Canada (CSC);
Royal Architectural Institute of Canada (RAIC).
See this chapter for a description of the CCA. See Chapter 1.6 – The Organization of the Profession in Canada for
a description of the RAIC. See also Chapter 2.3 – Consultants for descriptions of the ACEC and the CSC.
The Construction Industry Consultative Committee’s (CICC) role is to provide a forum for the exchange of
information, views, and policy on issues of general and specific interest to the construction industry. The CICC
attempts to express these positions in a coordinated and consistent manner, representative of the entire
construction industry, and to communicate its position to government or other public bodies.
Its administrative function is to oversee, coordinate and direct the activities of the Canadian Construction
Documents Committee (CCDC) and to promote the use of CCDC Documents.
For further information on the Construction Industry Consultative Committee, contact:
The Secretary
Construction Industry Consultative Committee
400–75 Albert Street
Ottawa, Ontario K1P 5E7
Tel: (613) 236-9455
Fax: (613) 236-9526
Canadian Construction Documents Committee (CCDC)
The Canadian Construction Documents Committee’s (CCDC) role and responsibilities are to periodically revise,
PART TWO The Context of Practice
update or draft new standard forms of contract and other national standard guides and documents for general
use by the construction industry in both the private and public sectors throughout Canada.
The Canadian Construction Documents Committee (CCDC) is comprised of skilled and experienced practitioners
from each sector of the consulting and construction industry to represent their sector’s interests.
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The practitioners are selected by the following national organizations:
Association of Consulting Engineering Companies (ACEC);
Canadian Construction Association (CCA);
Construction Specifications Canada (CSC);
Royal Architectural Institute of Canada (RAIC).
In addition, there are representatives from owners’ groups or organizations as well as a representative of the
legal profession.
The Canadian Construction Documents Committee’s (CCDC) activities are governed by the Construction
Industry Consultative Committee, which sets an annual agenda of activities for the CCDC.
All decisions of the Canadian Construction Documents Committee (CCDC) are reached through consensus.
Only when consensus is achieved on an entire document is it offered to the four national organizations with
a recommendation for endorsement. All constituent bodies must endorse all CCDC-prepared documents
before publication.
For further information on the CCDC, contact:
The Secretary
Canadian Construction Documents Committee
400-75 Albert Street
Ottawa, Ontario K1P 5E7
Tel: (613) 236-9455
Fax: (613) 236-9526
www.ccdc.org
See “Appendix A – List: Canadian Construction Documents Committee Contract Agreement Forms and Guides” at
the end of this chapter.
Canada Green Building Council (CaGBC)
The Canada Green Building Council (CaGBC) is a not-for-profit, national organization that has been working
since 2002 to advance green building and sustainable community development practices in Canada. The
CaGBC is the licence holder for the LEED green building rating system in Canada, and supports the WELL
Building Standard and Global Real Estate Sustainability Benp1chmark (GRESB) in Canada.
Visit to learn more: www.cagbc.org.
See Chapter 2.5 – Standards Organizations, Certification and Testing Agencies, and Trade Associations for a detailed
description of the CaGBC.
Institute for BIM in Canada (IBC) and buildingSMART Canada
Institute for BIM in Canada
The mission of the Institute for BIM in Canada (IBC) is to lead and facilitate the coordinated use of building
information modeling (BIM) in the design, construction and management of the Canadian built environment.
PART TWO The Context of Practice
Building SMART Canada
Established and initially run by the Institute for BIM in Canada (IBC), bSC carries on the common goal of
supporting the implementation of BIM in a way and at a pace that enables industry to successfully achieve
improvements in project delivery and lifecycle management of the built environment.
For descriptions of the Institute for BIM in Canada (IBC), and buildingSMART Canada, a council of IBC, see
Chapter 5.6 – Building Information Managing.
For contract documents published by IBC, see “Appendix C – List: Institute for BIM in Canada (IBC) Contract
Agreement Forms and Appendices”.
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References
“National Work Injury and Fatality Statistics Publication 2015-2017.” Association of Workers’ Compensa-
tion Boards of Canada (AWCBC), http://awcbc.org/wp-content/uploads/2018/03/National-Work-Injury-Dis-
ease-and-Fatality-Statistics-Publication-2015-2017.pdf, accessed November 10, 2019.
Kirsh, Harvey J. and Paul A. Ivanoff. The Canadian Construction Law Dictionary (Judicially Considered). Markham,
ON: LexisNexis, 2006.
Forbes, J.R. Dictionary of Architecture and Construction — French/English and English/French. Fourth edition. Paris,
France: Technique et Documentation, 2004.
Maclean, James H. and John S. Scott. Dictionary of Building. Fourth edition. London, England: Penguin Books,
2000.
“Labour force characteristics by industry, annual (x 1,000).” Statistics Canada, April 21, 2020, https://www150.
statcan.gc.ca/t1/tbl1/en/tv.action?pid=1410002301, accessed April 21, 2020.
Stein, J. Stewart (1993). Construction Glossary. Toronto, Ont.: John Wiley & Sons.
PART TWO The Context of Practice
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Appendix A –
List: Canadian Construction Documents Committee Contract
Agreement Forms and Guides
Reference Title
CCDC 2 2020 Stipulated Price Contract
CCDC 2MA 2016 Master Agreement between Owner and Contractor
CCDC 3 2016 Cost Plus Contract
CCDC 4 2011 Unit Price Contract
CCDC 5A 2010 Construction Management Contract – for Services
CCDC 5B 2010 Construction Management Contract for Services and Construction
CCDC 9A 2018 Statutory Declaration
CCDC 9B 2018 Statutory Declaration
CCDC 11 2019 Contractor's Qualification Statement
CCDC 12 1994 Project Financial Information
CCDC 14 2013 Design-Build Stipulated Price Contract
CCDC 15 2013 Design Services Contract between Design-Builder and Consultant
CCDC 18 2001 Civil Works Contract
CCDC 220 2002 Bid Bond
CCDC 221 2002 Performance Bond
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CCDC 222 2002 Labour and Material Payment Bond
CCDC 30 2018 Integrated Project Delivery Contract
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CCDC Guide Documents
Reference Title
2018 Master Specification for Division 00: Procurement and
CCDC 00
Contracting Requirements
CCDC 10 2018 Guide to Construction Project Delivery Methods
2008 A Guide to the Use of CCDC 2 - 2008 Stipulated Price
CCDC 20
Contract
CCDC 21 2016 A Guide to Construction Insurance
CCDC 22 2002 A Guide to Construction Surety Bonds
CCDC 23 2018 A Guide to Calling Bids and Awarding Contracts
CCDC 24 2016 A Guide to Model Forms and Support Documents
CCDC 29 2016 Guide to Prequalification
CCDC 40 2018 Rules for Mediation and Arbitration of Construction Disputes
CCDC 44 2016 Guide for the Use of CCDC 14 and CCDC 15
2011 A Guide to CCDC 5A Construction Management Contract –
CCDC 45
for Services
2011 Guide to Construction Management Contract – for Services
CCDC 46
and Construction
2011 Guide to CCDC 17 Stipulated Price Contract between Owner
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CCDC 47
and Trade Contractor for Construction Management Projects
CCDC 48 2002 A Guide to the Use of CCDC 18 - 2002
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Appendix B –
List: Canadian Construction Association Contract Form
and Guides
Reference Title
CCA 1 - 2008 Stipulated Price Subcontract
Guidelines for Determining the Costs Associated with Performing
CCA 16 - 1992
Changes in the Work
CCA 19 - 2011 Stipulated Price Sub-Contract
CCA 25 - 2001 A Guide to Project Management Services
CCA 26 - 2016 A Guide to Construction Management Contracts
CCA 27 - 1997 A Guide on Construction Environmental Management Planning
CCA 28 - 2009 A Guide to Improving Cash Flow in the Construction Industry
A Prime Contractor's Guide to Project Financing and Payment
CCA 50 - 2003
Security
Risks of Pre-Purchasing Equipment and Materials for Construction
CCA 61 - 2008
Projects
CCA 81 - 2001 A Best Practices Guide to Solid Waste Reduction
CCA 82 - 2004 Mould Guidelines for the Canadian Construction Industry
CCA 83 - 2004 Environmental Best Practices Guide for Hot Mix Asphalt Plants
CCA 90 - 2007 Guidelines for Electronic Procurement
PART TWO The Context of Practice
Recommended Guidelines for Provision of Geotechnical
Guide - 1993
Information in Construction Contracts
A Trade Contractor's Guide and Checklist to Construction
Guide - 2000
Contracts
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Appendix C –
List: Institute for BIM in Canada (IBC) Contract Agreement
Forms and Appendices
Reference Title
BC 100 - 2014 BIM Contract Appendix
BC 201 - 2014 LOD, Authorized Uses and Model Element Table
Model Element Tables (MSWord versions: blank, CSC Uniformat)
The Guide to the use of IBC Contract Documents
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Chapter 2.2
The Client
Contents
Definitions 118
Introduction 118
The Client 118
Owners 119
Stakeholders 119
Client Types 119
Corporate 120
Governmental Organizations 120
Institutional Organizations 121
Small Business Owners or Individuals 121
Project Management Service Provider Firms 122
Client Relationships 122
Professional Responsibilities and Client Expectations 122
Client-Architect Agreements 123
Responsibilities 123
Client Representative 124
Selecting an Architect 126
Generic Procurement Process 126
Design Competitions 127
Quality-Based Selection or Qualification-Based Selection (QBS) 127
Appendix A – Client Associations 128
Building Owners and Managers Association (BOMA) 128
Building Owners and Managers Institute (BOMI) 128
The Association of Higher Education Facilities Officers (APPA) 128
The International Facility Managers Association (IFMA) 129
Association for Learning Environments (A4LE) 129
PART TWO The Context of Practice
Society for College and University Planning 129
Canadian Federation of Library Associations 129
Canadian Museums Association 130
Canadian Association of Science Centres 130
Canada Council on Animal Care 130
Appendix B – Guidelines and Checklists: Issuing Requests for Proposals (RFPs) 131
Appendix C – QBS Templates 139
List: Canadian Client-Architect or Client-Engineer Agreements 161
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Definitions
Client: A person using the services of a professional.
Owner: The person or entity identified in the agreement. The term “owner” means the owner or the owner’s
authorized agent or representative as designated to the contractor in writing but does not include the
Consultant (from CCDC 2, Stipulated Price Contract).
Introduction
It has been stated that good architecture is not possible without a good client. To ensure good architecture,
the architect must be dedicated to establishing and nurturing successful relationships with all clients.
Clients may range from individuals to multinational corporations, from large government agencies to small
private-sector firms, from offshore developers to the actual occupants of a building. The importance of a
client cannot be overstated. In contrast to a “customer” (someone who purchases goods or products), a client
purchases professional services. This chapter discusses the various types of clients and their relationship with
the architect.
The Client
The client is the person or organization that retains the architect to provide professional services. Often, but
not always, the client is also the owner of the property where the project is to be located. The client may also
be a design-builder, construction manager, or developer. What all clients have in common is that they are the
entity with whom the architect has a contract for services. The client:
usually selects the prime participants, including the design consulting team and the construction team;
usually pays for the required design, construction, and subsequent operation of the facility;
may be the owner, user or occupant of the building, or a combination of all three;
may participate with other parties in an integrated design process from the project outset; or
may be a design-builder.
In addition to understanding the distinctions between an owner, a user-stakeholder, and an occupant, the
architect must address the requirements of each.
User
Building Owner Occupant Client
Stakeholder
Prison authority Public Services and
Guards, staff,
PART TWO The Context of Practice
Federal Prison “the Crown” (Correctional Procurement
prisoners, visitors
Services Canada) Canada (PSPC)
Community Client may
Religious Local congregation groups, be represented
Church
organization or parish churchgoers, by a Building
clergy, staff Committee
Family (married
Family, relatives,
Custom Residence Married couple couple and their Married couple
and guests
two children)
TABLE 1 Types of Client Organizations
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Owners
Owners usually possess the legal title, lease or licence to the land, site or building and to the completed
building project. In some jurisdictions it is permissible for an architect to enter into a contract to provide
design services to an owner’s agent. The agent, such as a project management service provider, does not
possess the legal title of the capital asset but acts in the owner’s interests to deliver the design-construction
program.
Stakeholders
In project management terms, “stakeholders” refers to anyone who has an impact on a project’s outcome or
may be impacted by the project’s outcome. This clearly includes many potential interested parties that the
architect must manage to realize project success. Traditional project stakeholders of any building project
include the users or the occupants of a building, but the list of stakeholders goes far beyond the building’s
users. Authorities having jurisdiction, the design team, the construction forces, the owner’s forces, etc., are
all project stakeholders. Each group may have very different levels of interest and influence in the building
project.
User stakeholders are the groups or individuals who use the building. They include the prime tenant(s) of a
building as well as its residents and occupants, and the public. Typically, the user stakeholders are concerned
with the following building elements:
location and site selection;
life span;
design, including functionality, comfort and safety;
operation and maintenance.
Occupants are the individuals who occupy or use the facility on a day-to-day basis. They may be apartment
dwellers, workers, secondary tenants, businesses, or the general public who may use the building as patients,
restaurant diners, shoppers, tourists, etc. Occupants may have no direct involvement with the design and
implementation of a building project.
Many other groups may be involved in the building, including:
building managers or facility management companies;
local residents, neighbours, and ratepayers associations;
financial institutions that fund the design and construction;
authorities having jurisdiction;
project managers.
The architect must respond to the requirements of all these groups and, at the same time, ensure that the
client’s requirements are satisfied.
See Chapter 5.2 – Stakeholder Management for discussion on the architect’s role in managing stakeholder
engagement in design projects.
PART TWO The Context of Practice
Client Types
Each client has a unique personality, a style of operating, and a different expectation of involvement in the
project. Client types include:
corporate owners of capital assets; public private partnership entities (various
developers; models);
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construction companies; government (federal, provincial/territorial,
project management firm engaged by the client municipal);
in a primary capacity; institutions (public facilities);
project management firm engaged as agents not-for-profit organizations;
by the client and acting as the owner’s small business owners;
representative; individuals.
Broadly speaking, clients can be categorized into two major groups: public sector and private sector. These
two distinct groups are differentiated by the types of building projects they undertake and their different
sources of financial resources.
Public sector:
Responsible for building projects intended for the use of the general public and employees, ranging from
schools, hospitals, and research facilities to military installations;
Financial resources, whether as a capital expenditure or as a leased asset, originate from taxation, other
government revenues, or fundraising.
Private sector:
Building projects range from homeowners requiring simple home renovations to corporations building
facilities to support their commercial or industrial operations. These projects include hotels, office
buildings, shopping malls, apartment and condominium buildings, and industrial installations.
Financial resources are obtained from private lending institutions such as banks, mortgage companies,
and capital markets, or are self-funded through capital reserves.
Corporate
Corporate clients are:
private-sector businesses that are incorporated;
not-for-profit corporations; or
public-sector Crown corporations.
These clients could be small, family-owned enterprises or large, multinational conglomerates. The method for
decision-making, funding approvals, and architect selection may vary significantly from one corporate client
to another. Typically, a corporation will appoint a representative to liaise with the architect and manage the
project for the corporation. The client’s representative may have limited authority and is usually accountable
to a committee, a board of directors, or a president and chief executive officer. At times, it may be prudent to
obtain a copy of a resolution of the board of directors that assigns authority to the client representative.
Corporate clients:
may be sophisticated clients with significant in-house expertise;
may never have been involved in an architectural project;
may include developers who are sophisticated in the design and construction process;
PART TWO The Context of Practice
tend to be business-oriented;
may have high expectations for service delivery and prompt attention;
may not be accustomed to using industry-standard client-architect agreements, preferring instead to use
purchase orders or “in-house” contracts.
Governmental Organizations
Government clients can come from the municipal, regional, provincial/territorial or federal level. Legislative
and regulatory procedures, as well as public accountability, will dictate the approach of government clients
to building projects. The decision-making process is democratic and usually transparent but often very slow.
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Multiple reviews of documents and lengthy approvals are typical and architectural fees for these reviews and
approvals should be negotiated. Each government agency has its own unique requirements and “bureaucratic
personality,” and it may be fragmented into various departments. Government clients, especially of provincial,
territorial, and federal governments, are usually more experienced and have access to in-house professional
and technical expertise to assist them with their projects.
The federal government and, increasingly, other levels of government and certain public agencies list their
project opportunities and requests for proposals (RFPs) on central electronic bulletin boards. Architects
interested in public commissions should regularly review electronic bulletin boards such as Merx, located at
www.merx.com.
Examples of typical government clients are:
Public Services and Procurement Canada (PSPC);
Canada Post or Infrastructure Ontario (Crown corporations);
the Regional Municipality of Ottawa-Carleton;
the City of Saint John;
the Village of Saint-Joseph-de-la-Rive.
Government clients frequently have their own form of standard contract. See Chapter 3.8 – Risk Management
and Professional Liability for the pitfalls of non-standard contracts.
Institutional Organizations
Institutional clients typically receive monies from government, public fund-raising efforts, grants, endowments,
or other external sources of funds. These clients include hospitals, school boards, museums, and social service
organizations.
In some respects, institutional clients are like government clients in that they may have similar methods
for selecting architects and have the same requirements for accountability (to government, public funding
agencies, donors, benefactors). Some institutional clients do not have professional or technical staff.
Sometimes, institutional clients include volunteers on governing boards who may be involved in building
committees which liaise with the architect.
Examples of typical institutional clients are:
Calgary Board of Education;
Hôpital général du Lakeshore/the Lakeshore General Hospital;
Winnipeg Art Gallery;
John Howard Society;
central business district associations;
ratepayers groups.
Large institutional clients sometimes have their own form of standard contracts. Refer to Chapter 3.8 – Risk
Management and Professional Liability for the pitfalls of non-standard contracts.
Small Business Owners or Individuals
PART TWO The Context of Practice
These clients, which include small business owners and individuals, are frequently the owner, user, and occupant
of the building. Small business owners who may require premises for their business operations, or leasehold
improvements to existing facilities, are typical private-sector clients. Individuals, couples, and families who want
to renovate an existing home or construct a new custom home are also typical of this client type.
Informal procedures and inexperienced clients may require the architect to exercise increased rigour about
documentation, communications, expectations and presentation. The architect may find that these small
business owners or individual clients will need to be educated and guided through the design and construction
process. Others may be small developers or builders who may be more knowledgeable and demanding.
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Project Management Service Provider Firms
Every project must be managed, and the role of the project manager is pivotal to success. In-house staff or
out-sourced organizations can provide project management services. The project delivery method known as
“project management” is employed when an owner decides to outsource project development and delivery
functions. The contracted project management firm enters into contractual relationships with designers
and constructors. The method has existed for some years; however, as organizations strive to focus on their
strategic objectives and outsource capital asset creation and management, its popularity has increased and a
new type of client group, the project management firm, has emerged.
The outsourcing of project delivery and the divestment of project risk by the owner may result in both business
opportunities and challenges for architects. Owners may not have the internal resources to manage their
capital asset programs, and retaining the services of a project management firm may be a prudent business
decision, as the owner focusses on core competencies, leaving the project management firm to do what it does
best. However, challenges for the architect emerge when the project objectives of the owner are misaligned
with the business objectives of the project management firm. As in design-build projects, the architect is not
working for the owner but for an intermediary in the value chain of project delivery. Compromises in design,
quality and scope may result in stressful contractual relationships.
See Chapter 4.1 – Types of Design-Construction Project Delivery for additional information.
Client Relationships
Professional Responsibilities and Client Expectations
It is important for the architect to understand the client and their motives for constructing the building, and to
establish regular, consistent and clear lines of communication. The architect must clearly define and outline
the design and construction process in order to avoid unrealistic expectations. The architect should not submit
to ill-informed client requests nor neglect to inform the client of project problems and their consequences. As
well, the architect must develop and analyze all options, and obtain the client’s support for, and approval of,
the solution to a problem.
Because the client has retained a professional, it is assumed, and upheld by legal precedent, that the client is
not knowledgeable and is dependent on the guidance of a professional, in this instance, the architect. When
dealing with the client, the architect must always exercise professional judgement.
Clients differ in their level of involvement in architectural projects as well as in the role they expect of architects.
Sometimes the architect is given considerable latitude and autonomy; on the other hand, the architect may
have a very narrowly defined role and may be able to make only a few recommendations.
Managing client relationships and personalities is like other human relationships and the management of
people and human resources.
See Chapter 5.2 – Stakeholder Management.
PART TWO The Context of Practice
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Client-Architect Agreements
When providing professional services to a client, the architect should always have a written agreement which
outlines:
the services provided;
the fee for the services;
the time frame in which the services are to be delivered, including the expected construction project
completion date;
the various terms and conditions which govern the agreement (including client responsibilities).
At the outset, the architect should provide the client with a detailed explanation about what is and is not
included in the agreement. Most disputes occur at the end of the project due to the differing expectations of
the parties to the agreement.
The Canadian Standard Form of Contract for Architectural Services Document Six 2018 outlines certain client
responsibilities. The client may choose to retain the architect as prime consultant, with the architect retaining
the engineers and other necessary consultants as subconsultants (see Figure 1). On the other hand, the
client may retain the architect separately and retain the engineers directly through separate agreements (see
Figure 2). In this instance, the architect must ensure that the architect’s services and fees for coordination and
management of the consultants are clearly understood and agreed to.
Responsibilities
Frequently, the architect may need to inform the client of the need for timely and accurate information and
approvals during the project. The client is responsible for providing the architect with:
a program or design brief (see Chapter 6.1 – Pre-design);
a construction budget.
The client, as the owner of the facility, including the building and site, realizes the benefits of asset ownership
and, conversely, the client must assume the responsibility for the risk associated with asset ownership. It is
therefore the client’s responsibility to provide the architect with the information required for professional
services, including:
legal, topographical, and site services survey;
existing building condition report(s);
designated substances report (lead, asbestos, PBCs, etc.);
geotechnical survey;
environmental assessment and report.
PART TWO The Context of Practice
This list is by no means comprehensive and the architect will support the owner in identifying the information
needed and aid the client in retaining the services of the appropriate specialists to conduct investigations and
assessments and to prepare reports.
The architect is strongly discouraged from retaining the services of investigation consultants, as this may
result in a disproportionate liability for the architect as well as the architect assuming liability for services that
do not relate to the delivery of an architect’s professional services. The architect is advised to discuss retaining
the services of investigation consultants, such as geotechnical engineers and land surveyors, with their liability
insurance provider.
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Client Representative
To ensure clear and non-conflicting instructions from the client, only one voice should give direction to the
architect. Any other situation would be unwieldy and inefficient; for example, a building committee for a
project where the architect’s day-to-day contact is with all members of the committee.
The standard forms of contract indicate that one of the client’s responsibilities is to appoint a representative
or to “authorize in writing a person to act on the Client’s behalf and define that person’s scope of authority
with respect to the Project when necessary” (Canadian Standard Form of Contract for Architectural Services –
Document Six 2018 Edition). Sophisticated clients, or those who are very involved in the design-construction
processes, frequently have a professional engineer or architect as a representative. Others, such as private-
sector or individual clients, may act as their own representatives. Volunteer committees may appoint one
individual to liaise with the architect. It is important to establish the client’s representative early in the project.
Client
Architect
Structural Mechanical Electrical Specialist
Engineer Engineer Engineer Consultants
FIGURE 1 Architect as prime consultant
There are a variety of other methods of project delivery, such as design-build, construction management and
public-private partnerships. In each, the relationship between the architect and client varies significantly. See
Chapter 4.1 – Types of Construction Project Delivery.
Client
Structural Mechanical Electrical Specialist
PART TWO The Context of Practice
Architect
Engineer Engineer Engineer Consultants
agreement
FIGURE 2 Multiple and separate client-consultant agreements management and/or coordination
When the client enters into multiple separate agreements, the architect must ensure complete clarity of
responsibilities for coordination of the consulting design team and their work.
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The owner may outsource responsibility for planning and executing a project to a project management firm.
The project management firm may act in one of two roles, either “agent” or “primary.” In the agent capacity,
the project management firm functions in a consultative role to the owner, providing advice, project oversight,
monitoring and control, and owner-representation. The project delivery method may be either design-bid-
build or construction management. The owner maintains a contractual relationship with the architect as a
prime consultant, or enters multiple contracts, one with each consulting design firm. The project management
firm is an intermediary in the owner’s contractual relationships with design consultants and constructors and
may exert a strong influencing force on the owner’s decision-making.
Owner
User
Stakeholders
PMSP acting
in consulting and Other Other
advisory role Architect Contractor
(agent) Consultants Contractors
Sub- Sub-
FIGURE 3 Project organization when the project consultant contractor
management firm acts in the role of “agent.”
In the role of “primary,” the owner has transferred responsibility for project delivery and project risk to the
project management firm. The consulting design team and construction forces are in contractual relationships
with the project management firm, not the facility owner. In this project organizational structure, the project
management firm acting in the primary capacity is similar to the architect working for a design-builder.
Owner
(may or may not be an
owner representative)
PMSP having
decision-making
authority
(primary)
User
Stakeholders
PART TWO The Context of Practice
Other Other
Architect Contractor
Consultants Contractors
FIGURE 4 Project organization Sub- Sub-
when the project management firm
acts in the role of “primary.”
consultant contractor
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Selecting an Architect
There are a variety of methods that clients may use to retain the services of an architect. A client may sole
source an architecture firm based on an existing relationship, an appreciation for their design sensibility, the
attractiveness of the architect’s value proposition, such as “an exemplary client support system,” or other
factors. The architect may be selected using a competitive process such as a design competition, request for
proposals (RFP), or competition for a placement on a standing offer list (RFSO).
Generic Procurement Process
Procuring architectural services through a competitive process involves a set of steps that are widely adopted
by public and private sector clients:
Planning:
Plan what services will be required and how they will be procured;
Develop the documentation required to describe the services needed;
Develop selection criteria and evaluation system.
Firm selection:
Identify potential firms capable of delivering the services through a call for expressions of interest or
by building a list based on referrals from knowledge sources;
Distribute procurement documents to potential sources and provide additional information upon
request from firms;
Collect proposals the firms develop based on the client’s stated requirements for both service delivery
and proposal evaluation;
Evaluate proposals and select the preferred firm;
Award the design commission, possibly following negotiation.
Retaining the services of an architect will follow this generic process, with variations based on the complexity
of the design project and the client’s requirements for information about the firm and its capabilities. At the
simplest level, the project complexity may be low and the scope of work small. The client may request only
basic firm information and a fixed price fee proposal in a one-stage process. For more complex projects the
proposal may require a significant amount of information, including:
Technical submission:
firm history;
project experience with references;
capabilities and experience of the individuals who will be assigned to the project;
approach to the execution of the design commission; this may include a project management plan.
Fee proposal.
The process may include an additional step of a face-to-face interview in which the firm can present their work
PART TWO The Context of Practice
and the client can ask specific questions, often based on the firm’s proposal.
The client may ask that the firm present design schemes at the interview. Providing design work in advance of
the award of the commission (services for free, in other words) is considered an unprofessional practice, and
in some jurisdictions may result in a finding of professional misconduct.
The evaluation of the firm’s proposal may involve several steps. It is typical for the client to employ a point
system in the evaluation of proposals. The client may review the firm’s technical proposal first and then, if
the firm receives a minimum technical score, the fee proposal is reviewed. If the firm does not achieve the
minimum technical score, no further review is conducted and the “fee envelope” is not opened.
See Appendix B – Guidelines and Checklists: Issuing Requests for Proposals (RFPs) for additional information.
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Design Competitions
A design competition expands on the requirements to be submitted with the proposal, including a developed
design solution(s). A client choosing to use the design competition method must provide compensation to
all the competing firms. Architectural design competitions must be sanctioned by the provincial or territorial
association of architects to ensure that appropriate compensation is provided to all competitors and that
regulations are not violated.
For additional information on design competitions, refer to the RAIC website:
https://raic.org/raic/architectural-competitions-introduction
Quality-Based Selection or Qualification-Based Selection (QBS)
An additional variation on the selection process is the review of technical proposals with the possible addition
of a face-to-face interview. The preferred proponents are ranked on their technical merits only. The client
then engages in financial negotiations with the highest-ranking firm. This process requires that the client has
a budget for design services with an upset limit on fee negotiation. If the client and the firm agree on a fee
that is within the client’s pre-established fee range, the firm is awarded the design commission. If the client
and the firm cannot come to an agreement, the client may discontinue negotiations without penalty and begin
negotiations with the next highest-ranking firm.
There is a belief among some public sector client organizations that they are bound by regulations to include
a fee proposal in their initial proposal evaluation for procuring professional services. Some go further to
say that they have no choice but to accept the lowest fee, regardless of capability or project complexity. The
benefit of the quality-based selection and qualification-based selection (QBS) approach is that evaluation and
negotiation is based on best value delivered to the client, rather than lowest fee. The QBS method is widely
practised in the United States and its use is increasing in Canada.
For more information on QBS, refer to:
https://raic.org/raic/qualifications-based-selection-qbs and
https://www.oaa.on.ca/oaa/assets/images/bloaags/text/final_qbs_report_sep_1_2018.pdf
See Chapter 3.4 – Brand, Public Relations and Marketing for additional information on developing a brand for
your firm and on marketing that brand in the marketplace.
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Appendix A –
Client Associations
A common interest in owning, managing, maintaining and operating buildings has led to the formation of
client associations, the best known of which is the Building Owners and Managers Association.
Building Owners and Managers Association (BOMA)
The Building Owners and Managers Association (BOMA) Canada is an affiliated member of BOMA International,
which was founded in 1907 as the National Association of Building Owners and Managers. The association
assumed its present name in 1968 as it broadened its reach to include Canada and other affiliates around
the globe. Today, BOMA International represents over 100 North American and nine overseas affiliates in
Australia, Brazil, Finland, Indonesia, Japan, Korea, the Philippines and South Africa.
The Building Owners and Managers Association is primarily concerned with commercial real estate, that is,
office buildings, and its principal members own or manage commercial office space. Associate members
provide the goods and services needed to operate these buildings.
BOMA Canada’s mission is to represent the Canadian commercial real estate industry on matters of national
concern, to develop a strong communications network between its local associations, BOMA International and
other real estate associations, and to promote professionalism of its members through education programs
and effective public relations activity.
The association publishes numerous research and reference materials, including the Standard Method for
Measuring Floor Area in Office Buildings, the standard known as ANSI/BOMA Z65.1-1996, and the BOMA/SIOR
2001 Standard for Measuring Floor Area in Industrial Buildings.
The BOMA Canada website is found at:
www.bomacanada.ca
Building Owners and Managers Institute (BOMI)
The Building Owners and Managers Institute (BOMI) of Canada was established in 1974 with the objective
of providing industry professionals with career-building education. BOMI Canada is a certified educational
institute and a registered educational charity and is the leader in commercial property and facility management/
operations education in Canada. Delivering the BOMI International industry-leading credentials, the RPA, FMA,
SMT, and SMA designations, BOMI Canada works closely with BOMI International and Canadian authors and
reviewers to ensure that the programs meet the needs of Canadian students.
http://bomicanada.com/en-us/home.aspx
The Association of Higher Education Facilities Officers (APPA)
The Association of Higher Education Facilities Officers (APPA) serves facility planners in the education
PART TWO The Context of Practice
community, particularly universities and colleges.
APPA
1643 Prince Street, Alexandria, VA 22314-2818 U.S.A.
Tel: (703) 684-1446
Fax: (703) 549-2772
www.appa.org
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The International Facility Managers Association (IFMA)
The International Facility Managers Association (IFMA) has a certification program for Certified Facility
Managers (CFMs) and conducts research, provides educational programs, recognizes facility management
degree and certificate programs, and produces World Workplace, the world’s largest facility management
conference and exposition.
IFMA Headquarters
800 Gensler Road, Suite 900
Houston, Texas 77024-4257 U.S.A.
Tel: (713) 623-4362
Fax: (713) 623-6124
www.ifma.org
Association for Learning Environments (A4LE)
The Association for Learning Environments is a professional association whose sole mission is improving the
places where children learn. A4LE members – individuals, institutions and corporations – are actively involved
in planning, designing, building, equipping and maintaining schools and colleges.
Association for Learning Environments
11445 e. Via Linda, Suite 2-440
Scottsdale, Arizona 85259 U.S.A.
Tel: (480) 391-0840
www.a4le.org
Society for College and University Planning
The Society for College and University Planning (SCUP) is a community of higher education leaders responsible
for the integration of planning on their campuses and for the professionals who support them. Integrated
planning is a sustainable approach to planning that builds relationships, aligns the organization, and
emphasizes preparedness for change.
Society for College and University Planning
1330 Eisenhower Place
Ann Arbor, Michigan 48108 U.S.A.
Tel: 734-669-3270
www.scup.org
Canadian Federation of Library Associations
The Canadian Federation of Library Associations publishes information on library design, including the
Guideline on Library and Information Services for People with Disabilities.
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309 Cooper Street, Suite 203
Ottawa, ON K2P 0G5
Tel: (613) 482-9344
http://cfla-fcab.ca/en/home-page
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Canadian Museums Association
The Canadian Museums Association (CMA) is the national organization for the advancement of the Canadian
museum sector, representing Canadian museum professionals both within Canada and internationally. The
CMA works for the recognition, growth, and stability of the sector. Today, the CMA has nearly 2,000 members,
and supports them with training and professional development programs, conferences, publications,
networking opportunities, a body of knowledge, and a dedicated staff.
Canadian Museums Association
280 Metcalfe Street, Suite 400
Ottawa, ON K2P 1R7
Tel: (613) 567-0099
Fax: (613) 233-5438
www.museums.ca
Canadian Association of Science Centres
CASC is a national platform for Canada’s Science Centres and informal science engagement. CASC members
are a diverse group of organizations that support informal learning of science, technology and nature.
Canadian Association of Science Centres
100 Ramsey Lake Road
Sudbury, ON P3E 5S9
Tel: (705) 522-6825
Fax: (705) 522-1677
www.canadiansciencecentres.ca
Canada Council on Animal Care
The CCAC works to ensure that animal-based science in Canada takes place only when necessary and that
the animals in the studies receive optimal care according to high quality, research-informed standards. CCAC
guidelines establish the basic requirements for each institutional program within the Canadian system of
oversight of animal ethics and care. Assessments of institutional animal ethics and care programs are based
on CCAC guidelines (animal care; types of animals; procedures; and program management) and assessment
policies, as well as other relevant documents.
Canada Council on Animal Care
190 O’Connor Street, Suite 800
Ottawa, Ontario K2P 2R3
Tel: 613-238-4031
www.ccac.ca
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Appendix B –
Guidelines and Checklists: Issuing Requests for Proposals
(RFPs)
This guideline describes an 11-step process for the selection of a firm to provide architectural services. The
included checklists describe recommended items that the client or owner should consider when issuing a
request for proposals (RFP). The checklists are based on principles commonly found in comparative selection
or quality-based selection (QBS). For large or complex projects, a client or owner may decide that technical
proposals are also required. The process for requesting and evaluating these technical proposals is described
in Step 11 and, if required, should occur following Step 6.
The guideline and templates have been provided by the Ontario Association of Architects.
Note 1: An excellent primer for choosing and engaging an architect can be found on the website of the Royal
Architectural Institute of Canada at www.raic.org.
Note 2: Another reference, with sample forms for use with a quality-based selection process, may be
downloaded from the Ontario Association of Architects website: www.oaa.on.ca.
Note 3: Most of the provincial and territorial associations of architects include within their websites information
on finding and retaining an architect and how to find, select, and engage an architect using a quality- or
qualification-based selection (QBS) method.
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1. Describe the scope of work (refer to QBS Template #1):
Description N/A Notes
1. The client’s name, including a short history of
their organization or agency and the events
that prompted the project;
2. Project name and location;
3. Name of contact person: the only person
authorized to respond to requests for
clarifications or project information;
4. Names and roles of selection committee
members (such as board, staff, committee,
citizen group);
5. Other construction on the same site, but not
part of this RFP;
6. Completed studies or surveys relevant to the
project, which will be made available to short-
listed architects prior to their interviews;
7. Further studies required prior to
commencement of design;
8. Program of requirements describing the
intended size, function and occupancy;
9. Any other requirements such as demolition,
additions, renovations, sustainable
design criteria, land use or site selection
considerations;
10. Anticipated budget (if known);
11. Anticipated form of project delivery or
construction procurement (if known);
PART TWO The Context of Practice
12. Anticipated schedule for design, construction
and occupancy;
13. Any additional or unique requirements;
14. Description of the architect selection process
(as indicated in Step 2 on next page).
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2. Establish policies, procedures and time frame for the selection process (QBS Template #2).
The client should:
Description N/A Notes
1. Be prepared to commit adequate time
and resources to evaluate submissions
thoroughly;
2. Select and invite appropriate and competent
individuals to serve on the selection
committee and confirm their availability on
the dates chosen;
3. For large or complex projects, give serious
consideration to retaining an architect to aid
in preparing the selection process and time
frame;
4. Determine criteria for evaluating Expressions
of Interest and for weighting and scoring
proposals;
5. Confirm that late submissions will not be
accepted.
3. Compile list of architects to be invited to submit Expressions of Interest:
Description N/A Notes
1. Consider the number of firms which can
reasonably be evaluated;
2. Obtain architects’ names:
.1 From the RAIC website (refer to “Find
an Architect”) or from the RAIC printed
directory;
PART TWO The Context of Practice
.2 From the directory (online or printed) of the
provincial/territorial licensing body;
.3 By advertisement in local or national
newspapers, or professional journals;
.4 By consulting colleagues for their
recommendations, when appropriate.
Note: The list may be developed based on the architects’ geographic location, or if appropriate, a broader representation.
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4. Request Expressions of Interest (refer to QBS Template #3).
The following steps should be taken:
Description N/A Notes
1. Prepare a memo, addressed in alphabetical
order, to all architects selected for invitation;
2. List all information required to be included
with each architect’s Expression of Interest;
3. Attach statements describing scope of the
work (QBS Template #1) and time frame (QBS
Template #2);
4. State the maximum number of pages to be
provided by the architect in an Expression of
Interest (usually three to five pages);
5. Authorize the contact person to provide
names of persons on the selection
committee, if requested;
6. Ensure that each invited architect receives
exactly the same information.
5. Evaluate Expressions of Interest, ensuring that you:
Description N/A Notes
1. Return, unopened, any submissions delivered
after deadline;
2. Thoroughly review all Expressions of Interest
based on pre-determined criteria.
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6. Establish a short list, by:
Description N/A Notes
1. Contacting references;
2. Developing a short list of three to five
architects who will be invited to submit
technical proposals and/or to be interviewed,
and notifying them;
3. Contacting architects not short-listed,
expressing appreciation for their efforts and
naming those who have been short-listed
(refer to QBS Template #4).
Note: Decide whether or not the definition and the complexity of the project justify requiring short-listed architects to
submit technical proposals or to proceed directly to interviews. (Refer to Step 11 below on procedures for obtaining
technical proposals.)
7. Inform short-listed architects (refer to QBS Templates #4, #5 and #6).
You should:
Description N/A Notes
1. Establish a date for a tour of the site, if
appropriate, or provide short-listed architects
with site surveys and directions to visit the
site independently;
2. Ensure that all short-listed architects receive
exactly the same information arising from
any questions;
3. Provide to all short-listed architects a list
of interview criteria and questions; an
explanation of scoring and selection process;
the date, place and time for interviews; and
the names and titles of members of the
interview committee;
PART TWO The Context of Practice
Note: Making this information available ensures consistent and fair comparisons of all candidates.
4. Do not request sketches, cost estimates or
suggested compensation;
5. Distribute feasibility studies or other
reports, project functional program, or other
background information to each short-
listed architect, or notify them where the
documents are available for their review.
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8. Interview short-listed architects.
The purpose of the interviews is to:
Description N/A Notes
1. Review the architects’ expertise and relevant experience;
2. Evaluate their management approach, design personnel
and consultants;
3. Compare different approaches to the design process,
interpretation or understanding of the specific
requirements of the project and compatibility with the
expectations;
4. Explore issues relevant to the particular project, without
being compromised by pre-conceived design solutions.
Direct interaction between the client/user and the architect is essential for the development of a design that fully
meets the owner’s needs; therefore, it is important for the project’s intended users to participate in the interviews.
Interviews may take place in the offices of short-listed firms or, alternatively, in the client’s own premises.
The client should:
Description N/A Notes
5. Only interview the architects who have been short-listed;
6. Not consider sketches or other design work if such
material is presented during the interview. At this
early stage, architects will not yet have engaged in the
essential interaction between architect and client that
must precede the development of a valid design solution;
7. Not discuss the architects’ compensation during these
interviews;
8. Discuss in advance with each short-listed architect what
presentation facilities they may require and confirm
whether the interview room has adequate requirements
(can be blacked-out, projector screen, internet
connection or other);
9. If possible, provide two similar interview rooms so that
one group can set up equipment while another group is
PART TWO The Context of Practice
being interviewed;
10. Schedule 45 minutes for each architect’s presentation,
questions and answers, with 15 minutes between
interviews, which allows time for the interview committee
to discuss their initial impressions privately before the
next interview begins;
11. Schedule all interviews on one day (or on consecutive
days, if that is not possible) to assist the committee to
achieve its objective of comparing all presentations
consistently and fairly.
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9. Ranking the short-listed architects:
Description N/A Notes
1. Rank each architect using the weighting and
scoring established earlier;
2. Summarize scores on Group Interview
Evaluation Form A-7, to determine ranking
in order of preference and to document a
record of the selection process;
3. Inform the architects of the committee’s
decision on ranking as soon as possible,
indicating that negotiations will commence
immediately with the highest-ranked
architect.
10. Negotiate an agreement with the highest-ranked architect:
The client should develop a detailed, comprehensive scope of services jointly with the highest-ranked architect,
following which the architect will submit a detailed project work plan (a plan that itemizes the schedule for
architectural services, key milestones and deliverables), listing consultants and the role and responsibilities of
all members of the design and client teams.
See Chapter 3.9 – Architectural Services and Fees for a complete list of architectural services.
Checklist: Scope of Services
Checklist: Supplemental Architectural Services
Description N/A Notes
1. Once the scope of services and work plan
are agreed to, the architect will submit a
compensation proposal for review and
negotiation, referring to the Canadian
Standard Form of Agreement between Client
and Architect. Note that the architect’s
compensation can be:
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.1 a percentage of construction cost;
.2 a fixed fee;
.3 based on hourly rates;
.4 a combination of the above;
.5 customized approach such as Integrated
Project Delivery (IPD);
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(Reimbursable expenses and all applicable taxes are additional and should not be considered in the evaluation.
If these expenses are included in the evaluation, reference to this inclusion should be specifically stated in the
RFP response as a separate line item(s)).
Description N/A Notes
2. Negotiate the scope of services and
compensation with one architect at a time;
if negotiations cannot be successfully
completed with the first-ranked architect,
they are abandoned, and negotiations begin
with the second-ranked architect. Once
agreement is reached, incorporate all the
negotiated details into a written contract,
which protects the interests of both client and
architect;
3. Finally, notify all the short-listed architects
who were not selected, indicating the order of
final ranking, using QBS Template #11.
11. Technical Proposals:
Follow these additional procedures if the definition and complexity of your project justifies requiring short-
listed architects to submit technical proposals. Be aware that the preparation and evaluation of technical
proposals will require the commitment of significant expense and time for each short-listed architect as
well as for the client’s technically experienced staff (or if they are not available, the engagement of specialist
consultants). If you have concluded that technical proposals are required, ensure that the request:
Description N/A Notes
1. Includes all technical areas to be addressed
(refer to QBS Template #8);
2. Establishes a reasonable and appropriate
maximum length for the submission;
3. Lists interview criteria and questions;
4. Provides an explanation of the scoring and
selection process; the date, place and time
for interviews; and the names and titles of
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members of the interview committee.
(Advanced capability to review submitted information gives the best possible assurance that consistent and
fair comparisons between candidates will be made.)
The review of technical proposals should precede interviews (Steps 7 and 8), unless the client is already familiar
with all the short-listed architects, their staff and their consultants, in which case the client may determine that
interviews will not be necessary. Ensure that the technical proposals have been reviewed and scored before
the interviews take place, leaving time for clarifications during the interview, and incorporate the results of the
review and ranking of technical proposals (recorded on QBS Templates #7, #8, and #9) into overall ranking.
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Appendix C –
QBS Templates
The following templates are provided with the permission of the Ontario Association of Architects.
Step 1
The following 10 QBS templates are designed to assist the client during the process of selecting an architect.
1. Project Definition
2. Time Frame for Architect Selection
3. Memorandum to Request a “Statement of Interest and Qualifications”
4. “Statement of Interest and Qualifications” Scoring Sheet
5. Memorandum to Short-listed Architects
6. Memorandum to Architects Not Short-listed
7. Project Proposal Scoring Sheet
8. Interview Scoring Sheet
9. Summary Evaluation Sheet
10. Memorandum to Architects Short-listed but Not Selected
General instructions for completing the templates
Editable Word files can be downloaded from the CHOP website. These templates are designed to be used as
fill-in forms. The format is a Word Document created on the Word 2003 platform. Each fill-in field is reached
by using the “tab” key, typing in the information and then hitting the tab key to advance to the next fill-in
field. Some of the fields have default italicized text; these fields can be overwritten, or they can be left as is by
advancing to the next field (e.g., the 0 in the year date field 2010). The 0 boxes are checked by clicking them
to get 1.
Each template has the protection key turned on so the form can be used as a fill-in form. This can be disabled
by clicking on the Lock icon in the “Forms” toolbar. (This toolbar can be added by clicking “View” – “Toolbars” –
“Forms”.) This will enable the user to modify the form or to copy the form onto their own letterhead.
When the form is completed, it is recommended that it be saved to a new file name, thereby keeping the
original template without the fill-in fields being filled in.
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QBS Template #1
Project Definition Page 1 of 1
1.1 Client and Project Information:
Name of Client/Organization Name of Project
Name of Contact Person Project Location Project No.
Contact’s Mailing Address City Province
City Province Postal Code E-mail Address of Contact Person
Telephone Number Ext. Fax Number
1.2 Project Description:
1.3 Architect Selection Process:
1.4 Pre-design Work Completed to Date (or) Required:
1.5 Timeline of Project:
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1.6 Approval Requirements:
1.7 Additional Requirements and/or Conditions:
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Instructions for Completing QBS Template #1 – “Project Definition”
General
This is a one-page general description of the scope of the project and the expectations of the client. It is
intended to provide sufficient information to architects to assess their interest and suitability for the project.
This document becomes an attachment to the request for a “Statement of Interest and Qualification” from
architects.
1.1 Client and Project Information:
Include the following information:
Legal name of client/organization
Name of the project and project location (general location will suffice)
The name of the contact person who will be the prime liaison to the architect
Contact person’s mailing address, e-mail address, phone and fax number
1.2 Description of Project:
Provide a short description of the project so architects can understand the scale and extent of the project
envisioned: for example - new 30,000 sq. ft. 3-storey municipal city hall; or renovation and 10,000 sq. ft.
expansion of existing 20,000 sq. ft. 2-storey recreation centre.
1.3 Architect Selection Process:
Identify and describe anticipated involvement of the architect selection group in the quality-based Selection
process (for example, boards, committees, citizens’ groups, etc.).
1.4 Pre-Design Work Completed to Date (or) Required:
Provide information regarding any previously completed studies, surveys, feasibility and/or pre-design work
relevant to the project. These documents should be made available to architects who will be short-listed and
interviewed.
If no previously completed studies have been performed, provide a list of anticipated feasibility studies,
planning and/or pre-design services before design work can begin.
Feasibility Study
Existing Facility Survey
Siting Studies
Budget Analysis
Program Development
1.5 Timeline:
Indicate the date you expect the architect to commence design work, the date construction is to begin, and the
date you expect to gain occupancy to the project. Generally the month-year is sufficient.
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1.6 Approval Requirements:
Outline internal and external approvals that will be necessary and describe the involvement of any groups, etc.
1. 7 Additional Requirements and/or Conditions:
List any additional or unique requirements or considerations that will affect the project or the architect
(examples: a referendum, public hearings, funding, external approvals, etc.).
The architect selection process needs to be accounted for in the timeline. Provide sufficient time to review
submissions, do references checks, conduct site tours, receive project proposals, conduct interviews, refine
the scope of the project with the selected architect, review fee proposals and negotiate contract terms.
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QBS Template #2
Time Frame for Architect Selection Page 1 of 2
Name of Client:
Name of Project: Project Reference No.:
Target
# Description of Task Completed
Date
Identify needs and develop scope of work and time frame for
2.1 architect selection.
(Completion of QBS Templates #1 and #2)
Issue a memorandum to invited architects or place
advertisement requesting “Statement of Interest and
2.2
Qualifications” from architects. (SOIQ)
(Completion of QBS Template #3)
Deadline for receipt of “Statement of Interest and Qualifications”.
2.3
(SOIQ)
Review and evaluate “Statement of Interest and Qualifications”
2.4
submissions. (Completion of QBS Template #4)
2.5 Develop short list of architects to be interviewed.
Establish date of pre-interview tour of site and/or facilities.
2.6
[Day of week, Month, Day, Year]
Develop evaluation criteria of “Project Proposals” and interviews.
2.7
(Review QBS Templates #7 and #8.)
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Issue memorandum requesting short-listed architects to submit
2.8
a “Project Proposal” and attend an interview.
2.9 Deadline for receipt of “Project Proposals”.
Issue memorandum to all architects who submitted a “Statement
2.10 of Interest and Qualifications” who were not short-listed.
(See QBS Template #5.)
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QBS Template #2
Time Frame for Architect Selection Page 2 of 2
Target
# Description of Task Completed
Date
Conduct tour(s) of facilities or project site at
2.11
[time] at [location].
Hold interviews with short-listed firms, at times and locations
2.12
previously communicated.
Work with highest-ranked architect to develop and refine the
2.13
scope of the work.
Request architect to prepare scope of services and fee proposal
2.14
contract, which is to be submitted to the client for consideration.
2.15 Contract is reviewed, negotiated and signed.
2.16 Send memorandum to all architects indicating interview results.
2.17 Project proceeds.
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Instructions for Completing QBS Template #2 – “Time Frame for Architect Selection”
2.0 General
This form is designed to assist the client in developing a preliminary schedule for the architect selection
process. It is highly recommended that the schedule be developed at the outset of the project call. Dates
should be entered in the left column in MM/DD/YY format.
This form is issued to all architects who receive the client’s request to submit a “Statement of Interest and
Qualification.” This information provides the timeline of the selection process so architects can assess the
proposed project and respond in a timely fashion to established deadlines.
When completed, this form can also be used to monitor the schedule. As each task is completed, one checks
the box in the column on the right side of the form. Should the timeline change after it has been issued to the
architects, the form should be updated with a revision footnote and reissued to the architects.
To complete the document:
The legal name of the client should be entered on the first line;
insert the name of the project and a project number if there is one on the second line.
When scheduling tasks, be realistic in assumptions.
The following is a brief list of considerations when planning the schedule. Please note some sections are self-
explanatory and are not noted below.
2.1 The first step is the completion of the “Project Definition” form. This fundamental exercise enables the
client to communicate with prospective architects what the client needs in the way of professional services.
Provide adequate time to circulate this document internally and gain the consensus of all regarding the
scope of the work.
2.2 There are two ways to advise architects of the proposed project. One is to contact a select group of
architects with whose work the client is familiar. The other way is to open the project call to all qualified
architects through newspaper, magazine and/or website advertisements.
Memorandum:
For the client who has a specific list of architects who are to be invited to participate in the project call, the
use of the memorandum (QBS Form 3) requesting “Statement of Interest and Qualifications” (SOIQ) will
suffice. Keep in mind that, along with the issuance of the memorandum, the completion and issuance of
QBS Forms 1 and 2 is also necessary.
Advertisement:
When using electronic, newspaper or magazine media, clients should confirm pre-publication deadlines of
the selected publications. Allow adequate time to review and approve the copy prior to publication. In the
case of an advertisement, QBS Forms 1 and 2 should be accessible to interested parties. Consider placing
the forms on the company website, and make reference to them and the website in the advertisement.
PART TWO The Context of Practice
2.3 Establish the deadline date and time for the submission of the SOIQ forms.
2.4 In an invited submission, the review is limited to a finite number of submissions. In an open project call,
the number of submissions the client will need to review is unknown until the submissions are actually
received.
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Chapter 2.2 – The Client
2.5 In establishing the date for developing the short list of architects, allow adequate time to review and
evaluate the SOIQ submissions.
Architect selection is based on value-based criteria, references, and compatibility with the owner’s project.
The short list of architects should be a minimum of three or a maximum of five.
2.6 Establish a date for the project or facilities tour if required. This date should be planned to allow adequate
time for architects to attend the site tour, assess the implications, and complete their submissions of the
project proposal by the deadline noted in Step 2.8 below.
2.8 Establish the date for architect interviews. When establishing the date, consider allowing adequate time
for the client to review and score the submitted project proposals prior to the interview date.
To avoid scheduling difficulties, it is recommended that clients establish the schedule and client interview
team early in the selection process; this is to allow for adequate notice to client staff of upcoming reviews
and interviews.
In establishing a date for submission of project proposals from short-listed architects, allow a minimum
of ten working days from the date the request is received by the architect. If a site tour is required, clients
need to allow a minimum of five working days after the site tour to get meaningful project proposal
submissions.
2.10 Confirm a date to advise unsuccessful submissions. This task should be undertaken after all successful
firms have received their notifications. Inform them of firms to be interviewed and express appreciation
for their effort and interest.
2.12 The date of interviews for short-listed firms is established in Step 2.6. If at all possible, interviews of all
architects should take place on the same day. For large or complex projects, individual interviews may
require additional time and may need to occur over a couple of days.
Allow time for client staff to fill out and compile the scoring sheets for each architect after each interview.
Additional time is necessary to rank the architects. Architects are ranked for the project on value-based
criteria.
2.13 Provide adequate time from the completion of interviews to engage the highest ranked architect in
discussion of the refinement of the scope of work for the project.
2.14 Allow adequate time for the architect to develop the scope of services for the project based upon the
defined scope of work. Once agreement on the scope of services is reached, request the preparation of
a fee proposal by the architect.
2.15 Allow time to review the fee proposal and to enter into negotiations with the architect if required. This
contract needs to be reviewed and executed in a timely fashion prior to the architect commencing work
on the project.
PART TWO The Context of Practice
2.16 Advise the unsuccessful short-listed architects of the outcome of the interviews and the final selection
once the contract with that architect has been executed. Express appreciation for their effort and
involvement in the architect selection process.
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Chapter 2.2 – The Client
Memorandum to Request QBS Template #3
“Statement of Interest and Qualifications” Page 1 of 3
To:
From:
Re: Request for Statement of Interest and Qualifications (SOIQ)
Project Name: Project No.:
3.1 Invitation
You are invited to submit your “Statement of Interest and Qualifications” to provide architectural services
for the above-noted project.
3.2 Preliminary Studies Completed
1. Preliminary program requirements are based on studies performed by: [Name of Consultant]
2. Other studies include:
3.3 Background Information
Attached to this memo are:
1. Project Definition (QBS Template #1)
2. Time Frame for Architect Selection (QBS Template #2)
3.4 Contents of “Statement of Interest and Qualifications” (maximum of [XX] pages)
Practice Information
Name of practice:
3.4.1
Mailing address:
Contact person and title:
History of Practice
3.4.2
Provide a brief history of the practice.
Project Team
3.4.3 Provide a one-paragraph biography of key personnel assigned to this project.
(A one-page resume for each participant may be appended to the submission.)
PART TWO The Context of Practice
Project Experience
3.4.4
Provide examples of past experience of related or similar projects.
Project Management and Cost Control
1. Include examples of project budgeting, cost estimating, indicating results/outcomes.
3.4.5
2. Include the name of the project, the contact person, and the estimated/final
construction value for the project cited above.
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Chapter 2.2 – The Client
Memorandum to Request QBS Template #3
“Statement of Interest and Qualifications” Page 2 of 3
References
3.4.6 Provide the name and telephone number of three recent references from the projects listed
or similar projects.
Practice Methodology
Provide a brief concluding statement of how your practice approaches projects with
3.4.7 respect to innovation, addressing issues of cost-value analysis, environmental integrity
and sustainable design. In your statement indicate why we should select your practice
over the others.
Submission Limits
You are invited to include additional information to support your qualifications; however,
the total number of pages for submission requirements is not to exceed [10] pages (plus
resumes). Submissions exceeding this limit will not be considered.
3.4.8
Page sizes are limited to
❒ 8½” X 11” (letter)
❒ 8½” X 14” (legal)
❒ 11” x 17” (oversize)
3.5 Architect Selection Process
Number To Be Selected
3.5.1 [Five] architectural practices will be selected for interviews. The selection will be based
solely on the review of the “Statement of Interest and Qualifications.”
Project Proposal Submission
3.5.2 Architects selected will be invited to submit a more detailed project proposal and attend an
interview.
Facility/Project Site Tour
3.5.3 Prior to the interview, practices selected to submit a project proposal will be invited to tour:
❒ the facility ❒ the project site.
Quality-Based Selection Process
The selection process will be the Quality-Based Selection Process (QBS) as recommended
3.5.4
by the Ontario Association of Architects and the National Guide to Sustainable Municipal
Infrastructure (www.infraguide.ca).
3.6 Submission Deadline and Requirements
PART TWO The Context of Practice
Number of Copies Required
Please submit [six] copies of your “Statement of Interest and Qualifications” to the following
3.6.1
address before [Time] ❒ a.m. ❒ p.m. local time on
[Day of week, Month, Day, Year].
Late Submissions
3.6.2
Late submissions will not be accepted and will be returned unopened.
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Memorandum to Request QBS Template #3
“Statement of Interest and Qualifications” Page 3 of 3
Submit “Statement of Interest and Qualifications” to:
Name of Client/Organization
Mailing Address
City Province Postal Code
3.6.3
Name of Person/Department to Receive Submission
Attn:
Reference
RE: [Project Name/Project Reference #]
Person to Contact for Additional Information:
Name of Contact Person
3.6.4
Telephone Number Fax Number
E-mail Address of Contact Person
Facsimile or E-mail Submissions
3.6.5 1. Facsimile submissions are: ❒ acceptable ❒ not acceptable.
2. E-mail submissions are: ❒ acceptable ❒ not acceptable.
Additional Comments or Requirements:
PART TWO The Context of Practice
3.6.6
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Instructions for Completing QBS Template #3 –
Memorandum to Request “Statement of Interest and Qualifications”
3.0 General
This form is designed to assist the client in advising architects of a potential project and requesting those
architects who are interested to submit a “Statement of Interest and Qualification” document for their
consideration.
Begin by addressing the memo to the architectural practice.
(Once the form is complete, save the file for that architect, and then just enter the names of the remaining
architectural practices individually, saving each one as a separate file.)
The legal name of the client should be entered on the second line.
Insert the name of the project and a project reference number on the third line.
3.2 If there is a preliminary building program or any pre-design studies which were undertaken, they should
be listed here. Cite the name of the study and the name of the consultant that undertook the study.
Copies of these documents should be made available to the short-listed group of architects.
3.4.10 Define the limit of the number of pages of the submission. An open call can result in a large number of
submissions for the client to review. It is recommended to limit the submission to 10 pages. Larger or
more complex projects may require additional information for consideration.
State the size of the paper the submission should be on. If this point is not clearly stated, architects can
be creative, and some submissions will be on sizes other than standard letter sizes of 8½” x 11”. Specify
if pages are to be 8½” x 11” (letter), 8½” x 14” (legal), or 11” x 17” (oversize).
3.5.3 Advise architects if the client is organizing project site tours for those architects short-listed.
3.6.1 Insert the number of copies of “Statements of Interest and Qualifications” required for the client’s
internal review process.
Note that if e-mail or facsimile submissions are accepted (see 3.6.5), the number of copies should be
limited to one – this means reproducing copies for internal review becomes the client’s responsibility.
Provide a time and date for submissions. Confirm if mailed submissions need to be postmarked by the
stated time and date or whether they must arrive at the stated address by the date and time noted.
3.6.3 Provide complete information for where submissions are to be sent.
3.6.4 Provide the necessary information on a contact person within the organization who can address
inquiries from architects.
3.6.5 See 3.6.1 for comments about accepting e-mail or fax submissions – provide an e-mail address and/or
fax number to which submissions should be sent.
PART TWO The Context of Practice
3.6.6 Provide any additional comments or requirements here so that all architects are aware of these concerns.
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“Statement of Interest and Qualifications” QBS Template #4
Scoring Sheet Page 1 of 1
Name of Project: Date:
Name of Practice: Time:
Name of Reviewer:
Weight
Score
Evaluation Criteria x (1, 1.5 = Total
(1-10)
or 2)
4.1 Presentation
1. All submission requirements provided. x =
2. Clarity and organization of material. x =
4.2 Qualifications
(Based on resumes for assigned staff and consultants.)
1. Assigned staff - education, professional
x =
qualifications, professional development.
2. Consultants - education, professional
x =
qualifications, professional development.
4.3 Experience
(Based on the list of similar projects or relevant experience provided with the submission.)
1. Number of projects of a similar type; or x =
2. Number of projects of similar scale/complexity;
x =
or
3. Number of projects with similar professional
x =
services.
4.4 References
(Based on client references provided with the submission.)
PART TWO The Context of Practice
Reference no. 1 x =
Reference no. 2 x =
Reference no. 3 x =
4.5 Grand Total
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Instructions for Completing QBS Template #4 –
“Statement of Interest and Qualifications” Scoring Sheet
4.0 General
This form is designed to assist the client in scoring the submitted “Statement of Interest and Qualifications” for
each submission. If preferred, the form can be printed out and filled in by hand.
Evaluators should evaluate the “Statement of Interest and Qualifications” submissions as follows:
1. Ensure that the evaluation criteria are based on the information described in the Memorandum to Request
“Statement of Interest and Qualifications” (QBS Template #3).
2. Clients are encouraged to define specific issues and concerns and include them in the requirements of
the “Statement of Interest and Qualifications” submission. The evaluation form will need to be adjusted to
reflect those issues and concerns.
3. Adapt this form to the specifics of the project.
4. Assign a weight to each of the criteria, up to a maximum of double (2x). This weight should be an indication
of the relative importance the client places on the item being evaluated.
5. Assemble the team of reviewers prior to the review, and review this form and the specifics of the project
with them. Review evaluation criteria and weighting with reviewers.
6. Rate each part of the submission on a scale of 1 to 10, with 10 being the highest, and enter the number
under “Score.” Incomplete submissions should be disqualified and rejected.
7. Client references should be based on client references provided from the list of submitted projects.
A reference check form should be developed with standard questions and evaluation criteria such as:
Quality of work – e.g., design, response to client program, contract documentation quality;
Construction contract administration – bidding, payment certification, deficiencies, change order
evaluation, submittal review, project close-out procedures;
Project management – management of schedule, construction budget.
Rate each reference check on a scale of 1 to 10, with 10 being an excellent reference.
8. When all reference checks have been completed, insert the names and the scores of the three reference
checks on the form.
9. Multiply each score by the previously established weight to determine the total for each criterion, and then
total all the scores to obtain the grand total for that architectural practice.
10. Once all “Statement of Interest and Qualifications” submissions have been reviewed, total the scores by
all reviewers. This will determine the overall ranking of the submissions. QBS Template #9 – Summary
Evaluation Sheet can be used for this purpose; more than one sheet may be required.
11. Template #9 can then be used to compile and rank all of the submissions. This form can automatically
do the math after entering the individual scores. To do this, put the cursor in the “Total Score” box under
each practice. Go to “Table” in the toolbar above; click on “Formula” from the drop-down menu, and find
“=Sum(above).” Click OK and the numbers will automatically be summed up for that practice. Ranking will
PART TWO The Context of Practice
need to be completed by the reviewer based on the totals.
12. A short list of architects can now be drawn from the highest-scoring practices.
Notes regarding the remaining Scoring Sheets:
Templates #7, #8 and #9 are all scoring sheets to assist the client during the architect selection process. The
process is similar to that used in completing Template #4. The difference is that the “score” is now called
“rating,” and instead of a range of 1 to 10 it is now a range of 1 to 5. This is to reflect the nature of the short list
of architects, in which reviewers should rank the specific item being reviewed, with 5 being the highest score.
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Memorandum to QBS Template #5
Short-Listed Architects Page 1 of 3
To:
From:
Re: Request for “Project Proposal” and Attendance at an Interview
Project Name: Project No.:
5.1 Invitation
We are pleased to advise that your practice has been short-listed for the above-mentioned project. To sat-
isfy the requirements of the next stage in the architect selection process, you are now invited to prepare
and submit a project Proposal and to attend an interview.
5.2 Pre-design Studies Completed
Enclosed is a copy of Programming studies by [Name of Consultant], completed for the project to date, for
your information and review.
5.3 Contents of Project Proposal
Understanding of the Project
5.3.1
A brief statement of your understanding of the scope of the project and the needs of the client.
Proposed Methodology
1. A brief statement on how your practice will approach the design and construction of the
project.
5.3.2
2. A list and description of the proposed team members and consultants.
3. A statement of any opportunities or constraints that you envision could impact the
project or your proposal for services.
Proposed Project Management
5.3.3 Explain your approach with respect to the management of client meetings,
communications, approvals, schedules, cost and quality assurance controls.
Related Experience
PART TWO The Context of Practice
5.3.4 Provide a statement that expands on your previous project experience and how that further
qualifies the submission.
Proposed Form of Contract
1. Submit your proposed form of contract, including terms and conditions, which you
5.3.5 intend to use for this project.
2. State what consulting services are provided in the above contract and identify any
consultants who will be retained directly by the client.
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Memorandum to QBS Template #5
Short-Listed Architects Page 2 of 3
5.4 Submission Deadline and Requirements
Number of Copies Required:
5.4.1 Please submit [xx] copies of your project proposal to the following address
before [Time] ❒ a.m. ❒ p.m. local time on [Day of week, Month, Day, Year].
Please Submit Project Proposal to:
Name of Client/Organization
5.4.2 Mailing Address
City Province Postal Code RE: Project Proposal
Facsimile or E-mail Submissions:
5.4.3 1. Facsimile submissions are: ❒ acceptable ❒ not acceptable.
2. E-mail submissions are: ❒ acceptable ❒ not acceptable.
5.5 Tour of Project Site
1. A tour of the site and/or facility has been arranged for
[Day of the Week, Month, Day, Year] at [Time].
2. Please have your representative make arrangements for a suitable time by contacting:
[Name of Contact] at [area code - Telephone number].
5.6 Date, Time and Place of Interview
1. Interviews will be held on [Day of Week, Month, Day, Year]
2. Your interview is scheduled for [Time] ❒ a.m. ❒ p.m.
3. The interview will take place at [Location].
5.7 Interview Procedure
Each practice will be allowed [45] minutes to present qualifications and to respond to questions.
Interviews will be scheduled [15] minutes apart.
5.8 Audio/Visual Materials During the Interview
The use of audio/visual materials to present proposals is permitted. Architects are required to provide the
necessary equipment for their presentation. Five minutes will be permitted prior to the interview for set-up
PART TWO The Context of Practice
of equipment.
5.9 Project Proposal and Interview Scoring Criteria
1. Final selection will be based on a combination of the scores attained from both the project proposal
evaluation and the interview.
2. Attached is a copy of the project proposal evaluation criteria that will be used to assess each project
proposal.
3. Attached is a copy of the interview score sheet.
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Memorandum to QBS Template #5
Short-Listed Architects Page 3 of 3
5.10 Short List of Architectural Practices
For your information, the following practices have been short-listed and have been asked to submit project
proposals and attend an interview.
Rank Practice Name Interview Date and Time
5
5.11 Final Architect Selection Procedure
1. At the conclusion of the interviews, architects will be ranked in accordance with the scores attained
from their project proposal and interview.
2. The architect with the highest score deemed to be most qualified and compatible for this project will
then be invited to prepare a scope of services and fee proposal for consideration.
3. Once the scope of services and the fee proposal have been jointly developed and agreed upon, the
client and architect will execute a contract.
4. If contract terms cannot be reached, negotiations with the first-ranked architect will be abandoned,
and the architect ranked second will be invited for contract negotiations.
PART TWO The Context of Practice
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Memorandum to QBS Template #6
Architects Not Short-Listed Page 1 of 1
To: [Name of Architect]
[Name of Architectural Practice]
From: [Name of Client/Owner]
[Name of Company]
[Title]
Re: Status of Architect Selection Process
Project Name: Project No.:
6.1 Acknowledgement of Your Submission
[Client/Name of Company] wishes to thank you for submitting your “Statement of Interest and Qualifica-
tions” for the above-noted project. Unfortunately your practice has not been short-listed.
Although you were not selected, we appreciate your interest in our project and the resources spent on the
preparation of your “Statement of Interest and Qualifications.”
6.2 List of Architectural Practices Short-listed
For your information, the following practices have been selected to submit project proposals and attend
an interview.
Rank Practice Name
3
PART TWO The Context of Practice
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Project Proposals QBS Template #7
Scoring Sheet Page 1 of 1
Name of Project: Date:
Name of Practice: Time:
Name of Reviewer:
Weight
Rating
Evaluation Criteria x (1, 1.5 = Total
(1-5)
or 2)
7.1 Understanding of the Project (item 5.3.1)
Architect understands the scope of the project and
x =
the needs of the client.
7.2 Proposed Methodology (item 5.3.2)
1. Approach to the design and construction of the
x =
project.
2. The proposed team members and consultants. x =
3. Opportunities or constraints. x =
7.3 Proposed Project Management (Item 5.3.3)
Approach to management of client meetings,
communications, approvals, schedules, cost and x =
quality assurance controls.
7.4 Related Project Experience (Item 5.3.4)
1. Number of projects of a similar type; and/or x =
2. Number of projects with similar professional
x =
services.
7.5 Proposed Form of Contract (item 5.3.5)
1. OAA Document 600, 2008 or RAIC Document Six,
x =
PART TWO The Context of Practice
2018 submitted
2. Other form of contract submitted x =
7.6 Grand Total
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QBS Template #8
Interview - Scoring Sheet Page 1 of 2
The purpose of the interview is to determine whether the client and the architect have compatible
objectives, perspectives and attitudes. Questions should explore those concerns and the overall
“chemistry” of the client/architect relationship.
Name of Project: Date:
Name of Practice: Time:
Name of Reviewer:
Interview Procedures
Architects invited to attend an interview should be prepared to address the following issues. Questions
from the architect will be accepted after the panel has completed their questions and if time is available.
Weight
Rating
Evaluation Criteria x (1, 1.5 = Total
(1-5)
or 2)
8.1 Understanding of the Project
1. Architect understands the scope of the project
x =
brief and the needs of the client.
2. Architect understands the project constraints/
x =
opportunities.
3. Architect’s understanding of other client-related
x =
issues.
8.2 Proposed Project Team and Consultants
1. Related project experience, ability and capacity
of proposed key personnel assigned to this x =
project.
2. Related project experience, ability and capacity
x =
of the lead liaison to the client.
3. Related project experience, ability and capacity
x =
of proposed consultants.
8.3 Proposed Project Management – The practice’s approach to the following:
1. Management of the project x =
PART TWO The Context of Practice
2. Client interface, reviews and approval process x =
3. Quality assurance systems x =
4. Cost control systems x =
5. Schedule and updating process x =
6. Troubleshooting procedures x =
Subtotal of Page 1
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QBS Template #8
Interview - Scoring Sheet Page 2 of 2
Weight
Rating
Evaluation Criteria x (1, 1.5 = Total
(1-5)
or 2)
8.4 Related Project Experience
1. Quality and experience of projects of a similar or
x =
related type
2. Projects with similar professional services x =
8.5 Overall Impression
1. Ability to express ideas x =
2. Ability to manage the project team x =
3. Ability/past experience working with the client x =
4. Communication/listening skills x =
5. Ability to be flexible/adaptable x =
6. Architect’s response to the question: “Why
x =
should we select your practice for this project?”
Subtotal of Page 1
Subtotal of Page 2
8.6 Grand Total
Reviewer’s Comments:
1. Architect had extensive experience with similar projects.
2. Lead person not at interview due to scheduling conflict.
PART TWO The Context of Practice
3. Consultants have experience with our projects in the past.
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QBS Template #9
Summary Evaluation Sheet Page 1 of 1
9.1 Application Name of Compiler: [Name of Compiler]
This form is intended to be used to compile scores of all practices that submitted a “Statement of Interest
and Qualifications” and a project proposal and attended the interview.
❒ Statement of Interest and Qualifications Summary Date of Review: [Month Day, Year]
Sheet
❒ Project Proposal Summary Date of Review: [Month Day, Year]
[xx] of [xx]
❒ Interview Summary Date of Review: [Month Day, Year]
9.2 Total Combined Score
[Practice Name A] [Practice Name B] [Practice Name C] [Practice Name D] [Practice Name E]
[Name of Reviewer #1]
[Name of Reviewer #2]
[Name of Reviewer #3]
[Name of Reviewer #4]
[Name of Reviewer #5]
Total Score
Ranking
Comments: (e.g.) Some issues with respect to John Architect submission – number of pages submitted in
PART TWO The Context of Practice
excess of 10 - two sections of submission contained blank pages
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Memorandum to Architects QBS Template #10
Short-Listed but Not Selected Page 1 of 1
To: [Name of Architect]
[Name of Architectural Practice]
From: [Name of Client/Owner]
[Name of Company]
[Title]
Re: Completion of Architect Selection Process
Project Name: Project No.:
10.1 Ranking of Architectural Practices Interviewed
[Client/Name of Company] has completed the selection process for professional services for the
above-mentioned project.
Although your practice was not selected, [Client/Name of Organization] express our sincere appreciation
for your time, effort and interest on our behalf.
It has been our objective to select the practice whose qualifications and experience best suits our needs
for this project. The evaluation results of the architect selection committee ranks the practices interviewed
in the following order.
Rank Practice Name
4
PART TWO The Context of Practice
10.2 Contract Award
We have now entered into contract discussion and negotiations with
[Highest Ranked Architectural Practice].
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List: Canadian Client-Architect or
Client-Engineer Agreements
RAIC Standard Form of Contract Documents
Reference Title Source
Canadian Standard Form of Contract for
RAIC Document 6 - 2018 RAIC
Architectural Services
Canadian Standard Form of Contract for
RAIC Document 9 - 2018 RAIC
Architectural Services
ACEC Agreements
Reference Title Source
ACEC Document 31 - 2010 Agreement Between Client and Engineer ACEC
Companion to ACEC
Guidelines for Engineering Practice ACEC
Document 31 - 2010
Agreement Between Engineer and
ACEC Document 32 - 2011 ACEC
Subconsultant
ACEC Document 35 - 2013 Project Management ACEC
ACEC Document 36 - 2012 Agreement for Studies and Reports ACEC
PART TWO The Context of Practice
Agreement Between Owner and Owner’s
ACEC Document 39 - 2012 ACEC
Engineer for Design/Build Projects
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Chapter 2.3 – Consultants
Chapter 2.3
Consultants
Contents
Definitions 163
Introduction 163
Types of Consultants 163
Engineering Consultants 164
Specialist Consultants 164
Agreements with Consultants 164
Managing and Coordinating Consultants 165
Consultant Associations 165
Association of Consulting Engineering Companies (ACEC|Canada) 166
Construction Specifications Canada (CSC) 166
Testing Agencies and Inspection Services 166
References 167
Appendix A – Types of Consultants on the Design Team 168
Engineering Consultants 168
Specialist Consultants 168
Appendix B – Selected National Associations of Consultants 169
Appendix C – Checklist: Coordinating Consultants 170
Pre-agreement 170
1. Define Expectations 170
2. Interviews 171
3. Following Interviews 172
4. Appointment of Consultants 173
Schematic Design 174
Design Meetings 176
Design Development 177
PART TWO The Context of Practice
Construction Documents 178
Bidding and Negotiation 180
Contract Administration 181
1. Office Functions prior to Start of Construction 181
2. Field Review 181
3. Office Functions During Contract Administration 182
4. Project Take-over 184
Post-construction 185
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Definitions
Consultant: One from whom advice is sought. The requirements for licensing vary depending on the
professional field of activity (adapted from Carson’s Construction Dictionary). In the specific context of this
chapter, a consultant is an individual or firm, either regulated or non-regulated, that provides design services
to the architect, whether retained by the architect or the client.
Engineer: A professional skilled in the design, development, and construction of physical works. To practise
or hold oneself out to the public as an engineer, the individual must be licensed under provincial or territorial
legislation.
Prime Consultant: The consultant that is retained directly by the client for the provision of the main part of
professional services; these services usually include management and coordination of subconsultants and
other consultants engaged directly by the client or others.
Design team: In the context of this chapter, the design team refers to all the people and firms involved in the
creation of the building and site design, whether retained by the architect acting as prime consultant or as
individual firms retained directly by the owner.
Subconsultant: The consultant that is retained by (or under contract to) the prime consultant.
Introduction
Architects are required to provide a wide range of services and expertise in the course of designing and
coordinating a building project, and they usually do so with the help of consultants. Projects in which the
architect is the sole individual responsible for design are rare, with small residential and commercial projects
probably the only examples. The size, scope of services, or complexity of the project usually exceeds the
architect’s qualifications, skills or ability, making it necessary to seek the expert advice of others. The kind and
amount of expertise required will vary with each project. Building type or building classification and the size
and scale of the project will determine the types and level of expertise required of the design team.
A significant part of the practice of architecture, therefore, involves the coordination of information, advice
and designs provided by consultants who are knowledgeable in various fields. The architect usually provides
the leadership, as well as the management and coordination skills, to synthesize the services of various
consultants.
Whether acting alone or with numerous consultants, the architect’s goal is to provide seamless service to the
client, in addition to well-coordinated construction documents and a smooth execution of the construction or
project delivery. Consultants are full participants in the design team.
It is now common for the architect and the consultants to work together in an integrated relationship from the
very beginning of a project through an integrated design process (IDP) to achieve the best sustainable design
solutions.
PART TWO The Context of Practice
Types of Consultants
Most engineering consultants and specialist consultants are professionals licensed under statute. Most must
meet rigorous requirements for membership in professional associations (see “Consultant Associations”
below), as do architects. Others provide technical services such as CAD drafting or advice on hardware. Still
others may be specialists in a particular field such as marketing, interior design or kitchen equipment.
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Engineering Consultants
The consultants most often engaged by architects are structural, mechanical and electrical engineers. These
engineers could be considered base-building consultants. Architects are usually engaged by the client as
prime consultants for most building classifications (building codes classify buildings by major occupancies).
The exception is industrial building projects, where the prime consultant is often an engineer.
The majority of architecture firms in Canada are small to medium-sized enterprises that must retain engineering
design services through contract with an engineering firm. Large firms, in addition to retaining consultants
through contract, may have the qualifications and capability to provide all architecture and engineering design
services in-house.
In addition to the “basic” engineering consultants retained by architecture firms, other engineers frequently
consulted for building projects include acoustical engineers, civil engineers, engineers who specialize in the
science of building envelopes, seismic engineers and traffic engineers. Refer to the extensive list at the end of
this chapter.
Geotechnical and environmental remediation engineers, land surveyors, and certain other specialists that
provide professional services related to the assessment of existing conditions should be retained directly by
the client. The ownership of a capital asset presents the owner with opportunities, such as the increased value
resulting from new building, renovation, or change of use. Correspondingly, the owner should also assume
the risks associated with ownership, such as designated substances in a building, soil conditions, and legal
title. Architects’ professional liability insurance may not provide coverage for the architect if a claim originates
from services provided by an architect-retained geotechnical engineer, designated substances consultant, or
land surveyor. Just as the architect does not benefit from ownership, neither should the architect assume the
transfer of risks associated with ownership.
Specialist Consultants
Building projects often require specialist consultants, many of whom are members of an association and may
be certified to provide specific services. This is typical of specification writers, building envelope consultants,
interior designers in certain jurisdictions, code consultants and others. Some consultants gain expertise
through years of specialization and experience. Many architects become specialist consultants themselves.
See “Appendix A – Types of Consultants on the Design Team” at the end of this chapter.
Agreements with Consultants
The architect should execute a written agreement with all consultants that they engage directly. Before such
an agreement is executed, the architect should confirm that each consultant can meet the requirements of
both the client and the architect. These include:
licensing requirements in the jurisdiction of the project;
professional liability insurance requirements;
capacity to perform the services;
PART TWO The Context of Practice
ability to meet the project time schedules and budget.
The use of the Canadian Standard Form of Contract Between Architect and Consultant: RAIC Document Nine is
recommended for an agreement with engineering consultants and other design professionals such as other
architects, landscape architects, interior designers, and food service consultants.
Document Nine is not a “stand-alone” agreement and it is expected that the prime agreement (RAIC Document
Six), or alternatively the relevant portions of the prime agreement, be appended to it. This ensures that the
consultants have a full understanding of the expected and required services.
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The architect should prepare a separate agreement for other consultants, such as those with a limited role,
who may not carry professional liability insurance and who may not be design professionals. This agreement
should clearly outline the services required as well as the fees for these services, and may include clarification
on the ownership of the copyright. The architect should ensure that the copyright on the limited consulting
services provided for an architectural project is assigned in writing to the architect. Note that an architect
bears liability for the consultants that they hire, whether or not those consultants have their own professional
liability insurance. The prudent architect will ensure that all firms they retain provide a certificate of professional
liability insurance.
Managing and Coordinating Consultants
One of the architect’s important roles is to manage and coordinate the work of consultants, whether they
are retained directly by the architect or separately by the client. It is important to start the design team
development process early and obtain input from the consultants through structured team building. The
integrated design process (IDP) provides a specific approach, among others, to managing the design team. It
is important to involve key consultants in project planning and budgeting prior to commencing design work.
Consultants usually work as independent professionals with a significant degree of freedom; however, during
the entire course of the project, the architect is responsible for the work of the whole team. In summary, the
project architect’s role includes:
identifying and validating design project objectives, including scope, cost, schedule, and stakeholder
satisfaction;
establishing the quality standards for the project, including:
identifying client, user-stakeholder, and design team requirements and expectations;
setting standard formats for documentation (primarily working drawings and specifications);
working collaboratively with the design team to achieve those objectives;
managing the consultants on the design team through:
monitoring consultants’ performance;
ensuring consultants’ ongoing commitment to the project;
motivating consultants;
providing recognition to consultants;
developing and executing the project’s communications and risk management plans.
Refer to “Checklist for the Management of the Design Project” in Chapter 5.1 – Management of the Project for a
list of tasks required to coordinate and manage consultants at each phase of the project.
Consultant Associations
PART TWO The Context of Practice
Most of the specialists an architect consults with are organized into professional, paraprofessional or technical
associations. Because of the large number of such associations in Canada, this Handbook will outline only
those associations which participate on the Construction Industry Consultative Committee (CICC) and the
Canadian Construction Documents Committee (CCDC). These four associations are:
Association of Consulting Engineering Companies Construction Specifications Canada (CSC);
Canada (ACEC); Royal Architectural Institute of Canada (RAIC).
Canadian Construction Association (CCA);
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See Chapter 2.1 – The Construction Industry for the composition and role of the CICC and the CCDC, as well as
for a description of the Canadian Construction Association (CCA).
See Chapter 1.6 – The Organization of the Profession in Canada for a description of the Royal Architectural
Institute of Canada (RAIC).
The ACEC and the CSC are discussed below.
Association of Consulting Engineering Companies (ACEC|Canada)
Founded in 1925, the Association of Consulting Engineering Companies|Canada (ACEC) is the national
association of consulting firms that provide engineering and other technology-based intellectual services to
the built and natural environment. Member companies offer professional engineering services worldwide
to private sector and government clients. ACEC’s mission is to promote and safeguard the business and
professional interests of the Canadian consulting engineering industry in Canada and abroad.
The Association’s membership consists of independent consulting engineering firms and the 11 provincial
and territorial member organizations. Members range in size from single-person operations to multinational
companies.
See “Appendix B – Selected National Associations of Consultants,” located at the end of this chapter, for the
ACEC’s address and website.
Construction Specifications Canada (CSC)
Construction Specifications Canada (CSC) is a national multi-disciplinary, non-profit association with chapters
across Canada. CSC is committed to ongoing development and delivery of quality education programs,
publications and services for the betterment of the construction community.
Construction Specifications Canada liaises with its sister U.S. organization, the Construction Specifications
Institute (CSI), and works with the CSI to develop and maintain the MasterFormat™ system.
Construction Specifications Canada publishes Construction Canada magazine and the TEK-AID series of
reference documents, which can assist architects in developing specifications. CSC also offers a variety of
certification programs, including:
the Certified Construction Contract Administrator (CCCA);
the Certified Technical Representative (CTR);
the Registered Specification Writer (RSW).
See “Appendix B – Selected National Associations of Consultants,” located at the end of this chapter, for the CSC’s
address and website.
Testing Agencies and Inspection Services
PART TWO The Context of Practice
During the construction administration phase of a project, architects occasionally require owner-retained
expertise to test components of the construction (such as the compaction of sub-soils and concrete samples)
or to conduct detailed inspections (for roofing systems, welds, piping, etc.). This expertise is discussed in
Chapter 6.6 – Construction Contract Administration – Office and Field Functions.
See also Chapter 2.5 – Standards Organizations, Certification and Testing Agencies, and Trade Associations.
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References
Carson, John C. Carson’s Construction Dictionary: Law and Usage in Canada. Willowdale, ON: Toronto Construction
Association, 1989.
Royal Architectural Institute of Canada. “Canadian Standard Form of Contract Between Architect and Consultant
– Document Nine 2018 Edition”, Royal Architectural Institute of Canada (RAIC), https://raic.org/raic/canadian-
standard-form-contract-between-architect-and-consultant-document-nine, accessed April 21, 2020.
Royal Institute of British Architects. Assembling a Collaborative Project Team. London, RIBA Publishing, 2013.
PART TWO The Context of Practice
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Appendix A –
Types of Consultants on the Design Team
Engineering Consultants
acoustical engineer
civil engineer
electrical engineer
environmental engineer
geotechnical engineer
hydrological engineer
mechanical engineer
process engineer
seismic engineer
structural engineer
traffic engineer
Specialist Consultants
acoustical consultant realtor
airport consultant scheduling consultant
architectural historian security consultant
art consultant signage or graphics consultant
building code consultant sociologist
building envelope consultant specifications writer
computer or CAD consultant sustainability or LEED consultant
conservation or heritage architect technologist
construction manager theatre consultant
cost consultant translator
demographer transportation planner
economist urban and regional planner
education consultant urban designer
elevator consultant value engineering consultant
energy management consultant wayfinding consultant
environmental consultant or ecologist wind/snow studies consultant
facilitator
facilities manager
food service/kitchen consultant
graphic artist
hardware consultant
information technology consultant
hospital consultant
interior designer
PART TWO The Context of Practice
laboratory consultant
land surveyor
landscape architect
lighting consultant
marketing consultant
programmer
psychologist
public relations consultant
quantity surveyor
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Appendix B –
Selected National Associations of Consultants
Association of Consulting Engineering Companies (ACEC)
616-130 Albert Street, Ottawa, Ontario K1P 5G4
Tel: (613) 236-0569
Fax: (613) 236-6193
www.acec.ca
Canadian Construction Association (CCA)
75 Albert Street, Ottawa, Ontario K1P 6A4
Tel: (613) 236-9455
Fax: (613) 236-9526
www.cca-acc.com
Engineers Canada
180 Elgin St., Suite 1100, Ottawa, Ontario K2P 2K3
Tel: (613) 232-2474
Fax: (613) 230-5759
www.engineerscanada.ca
Canadian Institute of Quantity Surveyors (CIQS)
90 Nolan Court, Unit 19, Markham, Ontario L3R 4L9
Tel: (905) 477-0008
Fax: (905) 477-6774
www.ciqs.org
Canadian Society of Landscape Architects (CSLA)
P.O. Box 13594, Ottawa, Ontario K2K 1X6
Tel: (613) 622-5520
Fax: (613) 622-5870
www.csla.ca
Construction Specifications Canada (CSC)
120 Carlton Street, Suite 312, Toronto, Ontario M5A 4K2
Tel: (416) 777-2198
Fax: (800) 668-5684
www.csc-dcc.ca
Interior Designers of Canada (IDC)
PART TWO The Context of Practice
220–6 Adelaide Street East, Toronto, Ontario M5C 1H6
Tel: 416.594.9310
Fax: 416.921.3660
www.interiordesigncanada.org
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Appendix C –
Checklist: Coordinating Consultants
This checklist is based on the traditional contractual arrangement where the client engages the architect,
who then engages the necessary subconsultants. The scope of the relationship between architect and
subconsultants may be limited when the consultants are engaged directly by the client or when the architect
is engaged as a subconsultant to an engineer who acts as the prime consultant. The basic principles of
coordination do not diminish under such alternative contractual arrangements and should be affirmed and
clarified by the architect as early as possible.
See also Chapter 2.3 – Consultants and “Checklist for the Management of the Architectural Project” in Chapter
5.1 – Management of the Design Project.
Pre-agreement
1. Define Expectations
Description N/A Notes
(may apply only to contracts where consultants are engaged as subconsultants to the architect)
1. Before beginning negotiations with
potential consultants, prepare
clear definition of expected
consultant performance for each
discipline, including:
.1 extent of participation by
consultant during design/
documentation stages;
.2 knowledge of/commitment to
current practice in, for example:
.1 energy efficiency;
.2 sustainable design and
integrated design approach;
.3 building information modeling
(BIM).
2. Design project management
procedures, including:
.1 scope, schedule, and cost
management;
PART TWO The Context of Practice
.2 quality assurance and control
procedures;
.3 communications management;
.4 risk management.
3. Contract administration
procedures, including:
.1 reporting;
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Description N/A Notes
.2 review of change quotations;
.3 shop drawing review.
4. Field review practices, such as:
.1 attendance at site meetings;
.2 prohibition of deal-making
recorded/unrecorded;
.3 written records/reports;
.4 confirmation of number of site
reviews/visits.
5. Review past performance of
previously engaged consultants.
6. Review unsolicited offers of service
from consultants not previously
engaged.
7. Seek confidential
recommendations on unfamiliar
consultants from colleagues/
clients.
8. Prepare short list of proposed
consultants to interview, including
preferred and non-preferred
consultants proposed by the client.
9. Develop score sheet for use during
first interviews for consistent
recording/rating of consultants’
responses.
2. Interviews
(separate preliminary discussions with each of selected consultants to confirm that consultant understands/
accepts architect’s performance expectations)
Description N/A Notes
(may apply only to contracts where consultants are engaged as subconsultants to the architect)
PART TWO The Context of Practice
1. Encourage consultant to describe
his or her procedures in dealing
with architects.
2. Demonstrate experience and
qualifications on similar projects
within the past three to five years.
3. Explore consultant’s understanding
of collaborative/participatory
process.
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Description N/A Notes
4. Clarify how architects use the word
“design.”
(Engineers apply a different meaning to the word, which can lead to serious misunderstandings. Some
engineering consultants may be unable, or reluctant, to comprehend the architect’s expectation that the
engineer should participate in/contribute to the design development of the project.)
5. Confirm adequate professional
liability insurance.
6. Confirm available resources to
undertake the work in the required
timeline.
7. Confirmation of the team.
8. Provide references.
9. Create an evaluation rubric
and use it consistently for all
interviews.
3. Following Interviews
Description N/A Notes
1. Review score sheets for each
consultant.
2. Eliminate unsuitable consultants.
3. Prepare formal request for
proposals (RFP) letter for selected
list of consultants.
4. Different letters will be required
for each discipline, but each should
include:
.1 statement of expectations,
confirming topics presented
during interview (performance
expectations should be stated in
detail in initial RFP letter):
.1 description of project, giving as
PART TWO The Context of Practice
much information as possible;
.2 project name/client/location
site;
.3 program;
.4 budget;
.5 target date for completion.
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Description N/A Notes
.2 proposed schedule for design/
documentation/bidding and
negotiation/construction.
.3 fee basis, such as:
.1 lump sum;
.2 percentage.
.4 task-based using work
breakdown structure.
.5 request to confirm/provide:
.1 acceptance of performance
expectations;
.2 ability to meet timetable
.3 proof of professional liability
insurance.
4. Appointment of Consultants
Description N/A Notes
1. Review proposals.
2. Verify acceptance of expectations/
adequate professional liability
insurance.
3. Analyze any additional conditions
— agree or reject.
4. Accept best proposal (may not
be the cheapest if expected
performance/ understanding are
superior).
5. Notify successful consultants/
sign formal agreements (RAIC
Document Nine – Canadian
Standard Form of Contract
Between Architect and Consultant).
6. Advise unsuccessful consultants
PART TWO The Context of Practice
(this maintains good relations: you
may want to consider engaging
them in future).
7. Include selected consultants in:
.1 proposal to potential client when
responding to an RFP; or
.2 notification to client when already
engaged.
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Schematic Design
Description N/A Notes
1. Conduct a design team kick-off
meeting including the following
potential agenda items (preferably
with, at a minimum, the three
base-building engineering
disciplines present so that
architect’s expectations for
coordination between consultants,
as well as between each consultant
and architect, can be stated/
confirmed to all parties together).
2. Team member introductions
.1 Clarify how architects define
‘design.’ In order to develop
effective design solutions for the
project, there must be positive
participation and constructive
input from all consultants
throughout the project
development process.
3. Present the draft project plan for
input, including:
.1 Design project scope, quality,
schedule, and cost management
plans;
.2 Communications management
plan;
.3 Risk management plan;
.4 Design changes management
plan.
4. Comprehensive design project and
construction project overviews:
.1 emphasize importance of
meeting deadlines, particularly
during documentation;
PART TWO The Context of Practice
.2 consequences of consistent
failure to meet deadlines
(significant delay could result in
penalties).
5. Review program/budget/client’s
system preferences (some clients,
such as school boards, may have
preferences for specific mechanical
systems).
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Description N/A Notes
6. General discussion of design
principles.
7. Discuss/agree whether to
recommend that client consider
alternative mechanical systems.
8. Review further site information
required:
.1 geotechnical investigation;
.2 topographical survey;
.3 existing municipal services/
utilities;
.4 existing structures.
9. Instruct consultants to review
all information received from
architect.
10. Examine site and make thorough
site audit of existing facilities for
renovation project. (Relying on
original documents without site
verification presents a high risk to
the project that is not acceptable.)
Site assessment reports may
include:
.1 facility capital plan;
.2 building conditions assessment;
.3 air balancing reports;
.4 fire alarm testing reports;
.5 building code analysis;
.6 accessibility audits;
.7 vehicular and pedestrian traffic
studies;
.8 elevator studies;
.9 heritage assessment.
11. Identify project risks, analyze risks
and develop response plan.
PART TWO The Context of Practice
12. Establish dates for subsequent
design meetings (to be held on
a regular basis (weekly/biweekly/
monthly), the number/frequency
governed by size/complexity of
project).
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Design Meetings
[Note: Architect chairs and records all meetings: complete and issue minutes to all present within 48 hours
and copy all minutes of meetings to client.]
Description N/A Notes
1. Consider arranging meetings
with each consultant separately,
scheduled consecutively with
some overlap to permit joint
discussion of related issues and,
later, coordination between
consultants (logical sequence might
be structural/ mechanical/electrical).
2. Provide opportunity for “all
hands” team meetings where
each consultant is afforded the
opportunity to explain their design
intent to the client, key user-
stakeholders and the design team.
3. Review consultants’ preliminary
concepts: encourage constructive
input from each consultant.
4. Assign topics for preliminary
investigation, such as:
.1 alternative structural systems;
.2 mechanical systems;
.3 energy consumption,
conservation and generation.
5. Instruct consultant to review/cost
alternative systems as required.
(If architect and consultant agree
to recommend a more energy
efficient/sustainable system
to client, schedule preliminary
meeting to review proposal with
client, to be attended by architect
and consultant.)
6. Prepare report/analysis for
presentation to/ discussion with
PART TWO The Context of Practice
client.
7. Review potential coordination
issues and estimates of
construction cost for work of each
discipline.
8. Monitor each consultant’s
progress and advise promptly if
performance is not satisfactory.
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Design Development
Description N/A Notes
1. Continue regularly scheduled
meetings/minutes.
[Note: Architect chairs and records all meetings: complete and issue minutes to all present within 48 hours
and copy all minutes of meetings to client.]
2. Report all relevant matters arising
from design meetings with client:
.1 data on specialized systems
(refer to list in “Checklist for the
Management of the Architectural
Project” – Chapter 3.11)
3. Review/resolve coordination issues
on an ongoing basis.
4. Instruct structural consultant to:
.1 Investigate/confirm in writing a
review of all applicable codes/
regulations;
.2 Update construction cost
estimates;
.3 Prepare preliminary/outline
specifications.
5. Instruct mechanical/electrical
consultants to:
.1 Obtain written approval for all
service connections from utilities/
authorities having jurisdiction;
.2 Investigate/confirm in writing a
review of all applicable codes and
utility/public regulations;
.3 Review architectural/structural
schematic drawings to establish/
confirm adequate space provision
for all systems;
.4 Prepare written description of
design principles for review by
architect and, when appropriate,
PART TWO The Context of Practice
client;
.5 Prepare schematic drawings
of mechanical rooms showing
layout of major equipment;
.6 Indicate proposed locations/
dimensions of all built-in
components;
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Description N/A Notes
.7 Update construction cost
estimates;
.8 Prepare estimates of operating
costs;
.9 Prepare preliminary/outline
specifications.
6. Monitor each consultant’s
progress: advise promptly if
performance is not satisfactory.
Construction Documents
1. Establish timetable/procedures/deadlines:
(Reiterate importance of meeting deadlines/consequences of consistent failure to do so.)
Description N/A Notes
1. Confirm documentation standards:
.1 electronic distribution and
printing protocols;
.2 layering system;
.3 sheet size/title block/numbering
system (same date on all
documents);
.4 specification format.
2. All parties commit to provide
information on schedule.
3. Progress drawings transmitted
electronically weekly from
consultants to architect for review:
.1 instruct consultants to transmit
selected relevant drawings to
other consultants for their review
PART TWO The Context of Practice
as required;
.2 updated outline floor plans
transmitted by architect to
consultants;
.3 other relevant drawings
transmitted by architect to
consultants as appropriate.
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2. Coordination Meetings (attended by all Consultants):
[Note: Architect chairs and records all meetings: complete and issue minutes to all present within 48 hours
and copy all minutes of meetings to client.] (The frequency of coordination meetings may be reduced by
effectiveness of electronic transfer of documents between parties.)
Description N/A Notes
1. Resolve coordination problems.
2. Review all changes by each
discipline regularly.
3. Monitor/ensure that the most
recently updated plans are in use
by consultants.
4. Monitor each consultant’s
progress: advise promptly if
performance is not satisfactory.
5. Instruct consultants to:
.1 Submit design calculations,
reviewed/ stamped by licensed
engineer responsible for each
discipline, for project record files/
forwarding to authorities having
jurisdiction as required;
.2 Determine required cash
allowances for inclusion in
Division 1 of specifications;
.3 Prepare final specification sections/
divisions for each discipline;
.4 Submit final documents to
architect/other consultants
for final coordination review
(recommended minimum time: two
weeks before bid date);
.5 Prepare final construction cost
estimates;
.6 Assist architect in advising client
on selection of testing and
inspection agencies;
.7 Assist architect in evaluation of
pre-qualification submissions
PART TWO The Context of Practice
from interested bidders as
required.
6. Check completed documents for
coordination/accuracy: promptly
instruct consultants to make
revisions required.
7. Instruct consultants to seal
and sign their documents as
per regulatory authorities and
authorities having jurisdiction.
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Bidding and Negotiation
Description N/A Notes
1. Instruct consultants to attend pre-
bid meeting/site tour as required.
2. Consultants’ response to questions
from bidders:
.1 May be received directly from
relevant subtrades, or
.2 May be forwarded from architect;
.3 Record all answers to facilitate
preparing addenda in a timely
manner.
3. Conform to specified substitutions
policy:
.1 (Recommended practice is to
require all proposed substitutions
to be submitted for review prior
to bid closing, then included in
addenda if approved.)
4. Prepare addenda:
.1 Consultants to forward to
architect minimum 48 hours
before last date stated in
instructions to bidders to allow
architect time to prepare/issue
addenda. (If mechanical/electrical
bids specified for submission
through a bid depository,
submission date will be 2 or 3 days
earlier than general contractor bid
closing.)
5. After bid opening, instruct
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consultants to:
.1 Assist in evaluation of subtrade/
unit/alternate prices as required;
.2 Assist in preparation of separate
contracts as required;
.3 Participate in negotiations as
required.
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Contract Administration
1. Office Functions prior to Start of Construction
Description N/A Notes
1. Following documents received
from contractor forwarded to
consultants for review/comment:
.1 Construction schedule;
.2 Schedule for issuing/reviewing
shop drawings/samples;
.3 Schedule of values.
2. Instruct consultants to assist
client with applications for gas/
water/electricity/ telephone/other
services as required.
3. Review architect’s expectations
regarding:
.1 Protecting/supporting the intent
of the contract documents;
.2 Substitutions policy (refer to
Bidding and Negotiation section
above);
.3 No compromises/negotiations
without architect’s/client’s prior
approval.
2. Field Review
Description N/A Notes
1. Clarify site visit procedures:
.1 required attendance at all
site meetings unless no work
under way related to a specific
discipline;
PART TWO The Context of Practice
.2 review by appropriate discipline
(not acceptable for mechanical
engineer to review/report on
electrical work, for example);
.3 frequency of visits governed by
status of work at the site;
.4 all site instructions recorded in
writing and copied to contractor/
architect immediately.
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Description N/A Notes
2. Forward written field review
reports to architect/contractor
(architect will submit to client/
authorities having jurisdiction as
required).
3. Emphasize that deal-making will
not be tolerated:
.1 acceptance of changes/
substitutions prohibited
without prior review/ approval
by architect. (Such approval
should be contemplated only
in extraordinary circumstances,
after client approval.)
4. Monitor each consultant’s
performance; advise promptly if
not satisfactory:
.1 assist in evaluation of subtrade/
unit/ alternative prices as required;
.2 assist in preparation of separate
contracts as required;
.3 participate in negotiations as
required.
3. Office Functions During Contract Administration
Description N/A Notes
1. Lines of communication:
remind consultants that all
communications must pass
through architect to contractor and
vice versa.
PART TWO The Context of Practice
2. All discussions/instructions
confirmed in writing.
3. All instructions/confirmations
issued through/by architect
whenever possible. (Only
exceptions could be urgent field
instructions; these must be
recorded in writing/forwarded to
architect immediately.)
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Description N/A Notes
4. Shop drawings/samples processing:
.1 Architect may choose to instruct
contractor to forward structural/
mechanical/electrical shop
drawings/samples directly to
consultants for greater efficiency;
.2 All transmittals copied to
architect to note in shop drawing
record;
.3 Consultants return reviewed shop
drawings through architect;
.4 Provides opportunity for final
review by architect prior to return
to contractor;
.5 Sign and date samples: retain
one / return other to architect for
forwarding to contractor to retain
on site.
5. Changes/supplemental
instructions:
.1 Prepare supplemental details/
instructions as required;
.2 Evaluate quotations for changes
in contract sum/time forwarded
by architect for review;
.3 Superficial review/routine
acceptance of charges/unit prices
not acceptable.
6. Review/follow up on field review
reports.
7. Review/comment on contractor’s
updated progress schedule as
required.
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8. Review of monthly draws: evaluate
work performed/materials
supplied in relation to contractor’s
progress applications.
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4. Project Take-over
Description N/A Notes
1. Prepare deficiency lists: follow
up when contractor reports that
deficiencies are completed.
2. Attend equipment demonstrations
to receive training and
troubleshooting information.
3. Carry out substantial performance
site visit:
.1 report findings to architect
4. Review relevant submissions,
including:
.1 warranties;
.2 inspection certificates;
.3 manuals;
.4 operating instructions.
5. Carry out final site visit.
6. Update statement of design
principles for presentation by
architect to owner.
7. Provide description of systems:
.1 how they work, including:
.1 zoning;
.2 sustainability;
.3 energy consumption;
.4 maintenance requirements;
.5 probable life expectancy
of components before
replacement will be required.
8. Prepare record drawings as
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required.
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Post-construction
Description N/A Notes
1. Review reported defects during
warranty period.
2. Carry out review of all reported
defects/ deficiencies prior to expiry
of one-year warranty period.
3. Assist architect to administer
corrective action by contractor
where defects/ deficiencies
occur within extended warranty
period(s).
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Chapter 2.4 – Building Regulations and Authorities Having Jurisdiction
Chapter 2.4
Building Regulations and
Authorities Having Jurisdiction
Contents
Definitions 187
Introduction 187
The Role of Authorities 188
Building Codes and Regulations 188
Enabling Legislation 188
National Building Codes 188
The Building Permit and Inspection Process 189
Building Officials 190
Relationships with Authorities 190
The Authority and the Client 191
The Authority and the Architect 191
The Authority and the Contractor 192
Approvals 193
E-permitting 194
References 197
Appendix A – List: Federal Authorities Having Jurisdiction 198
Appendix B – List: Provincial and Territorial Authorities Having Jurisdiction 199
Appendix C – List: Regional and Municipal Authorities Having Jurisdiction 201
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Definitions
Authority Having Jurisdiction: A body having jurisdiction in certain matters of a public nature; a body having
power under a statute to pass regulations to direct, specify, and govern elements or activities of construction
projects such as safety, health, or standards of manufacture or installation; a government body responsible
for the enforcement of any part of the building code, or the official or agency designated by that body to
exercise such function (as per the National Building Code 2015).
Building Code: A regulation which describes minimum requirements for public health, safety and welfare for
the design and construction of buildings.
Constructor: A person who contracts with an owner or the owner’s authorized agent to undertake a project;
includes an owner who contracts with more than one person for the work on a project, or undertakes the work
on a project or any part thereof (as per the National Building Code 2015).
Permit: A document issued by an authority having jurisdiction allowing work or an activity which is specified.
Stop Work Order: An order to a constructor by an authority having jurisdiction ordering the work to be
stopped.
Introduction
The architect’s duty to the public is implemented, in part, by interpreting and complying with building
regulations. Every project undertaken by an architect is subject to a maze of statutes, codes, standards and by-
laws. It is not uncommon for a project to be regulated by several levels of government (municipal, provincial
and/or federal) as well as by First Nations, regional or metropolitan governments.
The numerous government requirements will vary from project to project. A few examples are the regulations
governing:
hospitals, theatres, nursing homes, hotels, and office and industrial buildings;
toxic and hazardous materials;
air, noise and water pollution;
fire, construction safety and public health;
seismic performance;
accessibility for persons with disabilities;
energy performance and sustainability measures.
See the checklists at the end of this chapter for more examples.
The architect must have a general understanding of the complete regulatory environment, even though
some regulations may not directly affect architectural services or the design process. For example, although
construction safety regulations apply strictly to the contractor and to the operation of the construction project,
and as such are the responsibility of the contractor, the architect must be aware of these regulations and the
PART TWO The Context of Practice
accompanying responsibility.
Certain environmental assessment requirements may demand soil or archaeological studies, which could
have an impact on the project funding, schedule and costs. The architect should be familiar with any such
regulations, indeed all regulations, pertaining to the project. In addition, the architect should know which
authorities having jurisdiction are responsible for the administration of the regulations.
This chapter explains the role of building regulations and their administration by authorities having jurisdiction,
and suggests how the architect can work effectively with them.
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The Role of Authorities
Building Codes and Regulations
Construction of sound, safe buildings and structures is fundamental. Building codes and regulations provide
these minimum safety standards.
Most codes and regulations were established to protect the public, that is, to prevent and mitigate such
hazards as structural collapse, fire, accidents and disease.
Some regulations ensure safe buildings by requiring an adequate supply of potable drinking water, sanitary
conveniences, minimum spatial dimensions, and illumination levels, and other features which affect the
building’s design.
However, not all regulations govern building safety. A municipal zoning bylaw or land-use regulation, for
example, regulates land use and density as well as the massing, height and location of buildings. Such a
regulation, which is intended to govern the planned and orderly development of the municipality, can markedly
affect the architectural design of a building.
Building codes often adopt standards set by public and private organizations. Refer to Chapter 2.5 – Standards
Organizations, Certification and Testing Agencies, and Trade Associations for more information on standards.
Enabling Legislation
Adopting and enforcing codes and statutes requires federal or provincial legislation. Under the British North
America Act, and its successor, the Constitution Act, responsibility for building regulation rests with the provinces
(except for buildings on federal land). Enabling provincial legislation authorizes municipal councils (and others)
to appoint staff and assign duties and responsibilities to administer regulations.
Sometimes codes are provincially enacted; sometimes they are municipal bylaws. The local municipal building
official usually administers the building code by means of the building permit and building inspection processes.
Building officials are empowered to determine that the erection and maintenance of buildings comply with
these regulations.
National Building Codes
The National Building Code (NBC) of Canada is a model code. The NBC is a code of regulations for public
health, fire safety, and structural sufficiency with respect to buildings. It establishes a minimum standard of
safety and accessibility for the construction of buildings (including extensions and alterations), the evaluation
of buildings involving a change of occupancy, and the upgrade of buildings to remove an unacceptable hazard.
Serving as a basis for other building codes, the NBC is modified to reflect regional requirements or procedures
and then adopted as a provincial or municipal building code.
PART TWO The Context of Practice
The National Fire Code is also a model code of minimum requirements to ensure an acceptable standard of
fire prevention, firefighting provisions, and life safety in existing buildings and within the community at large.
Although life safety is the primary objective of the National Fire Code, it also includes measures of property
protection to the extent that it makes a direct contribution to life safety and aims to control conflagrations or
large loss fires.
The National Plumbing Code (Part 7 of the NBC) covers the design and installation of plumbing systems in
buildings.
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The National Farm Building Code deals with the particular requirements for farm buildings of low human
habitation.
The Illustrated User’s Guide – NBC 2015: Part 9 of Division B, Housing and Small Buildings is a compendium of
requirements in the National Building Code which apply to detached, semi-detached and row houses.
The National Energy Code of Canada for Buildings provides standards for the construction of energy-efficient
buildings.
These codes are model documents only and must be adopted provincially in order to come into effect.
The Canadian Commission on Buildings and Fire Codes (CCBFC) issues the National Building Code (NBC),
written by various technical committees and published by the National Research Council of Canada. The NBC
has introduced objective-based requirements to eventually replace the “prescriptive” requirements found in
the National Building Code.
The Building Permit and Inspection Process
The client or their agent (sometimes the architect) must submit an “application to build” to local building
officials, and usually must verify the correctness of the application by a statutory declaration. The application is
accompanied by a stipulated number of sets of architectural, structural, mechanical, and electrical documents
for the proposed building. Officials review the application for compliance with municipal bylaws, regulations,
and the building code. Other municipal bodies — such as fire, planning, health, forestry and public works
departments — may also review the application. When the documents are approved, a building permit is
issued. The applicant is advised of any non-complying items.
During construction, municipal building officials review the work for general compliance with the approved
documents and building codes.
In the case of deviations, revised plans must be submitted to and approved by the building department. Each
province has its own system to ensure compliance. For example, Ontario has created a Qualification and
Registration Tracking System (QuARTS) that requires those who are not architects or engineers to register
for a Building Code Identification Number (BCIN) in order to become eligible to apply for a building permit.
Another example is the province of Alberta, which engages private sector building inspectors.
Building officials are authorized to:
issue compliance orders;
stop work until corrections have been made;
lay charges in the case of serious infractions.
Building officials deal primarily with contractors; however, they are also often in contact with project architects,
who must review and confirm that the work generally conforms to the documents forming the basis of a
building permit.
PART TWO The Context of Practice
Other levels of government may also require the submission of construction documents. These authorities
having jurisdiction could include:
the regional, provincial or federal department of labour;
public health departments;
roads, transportation, and communications authorities;
the office of the fire marshal.
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Building Officials
Building officials:
require and receive applications to erect, enlarge, alter, demolish or move buildings;
review plans, specifications and reports to determine that the proposed work meets all applicable
regulations;
issue a permit to commence construction, when the application is complete and complies with all applicable
regulations;
inspect construction in progress for compliance with the approved documents and applicable regulations;
report contraventions to the appropriate persons;
issue orders to correct outstanding contraventions prior to use or occupancy, or sooner where
circumstances dictate;
initiate action according to policy when orders are not carried out within the stipulated time;
issue a certificate of compliance or a similar document when regulations have been met;
assess unsafe and inadequately maintained conditions within buildings and order corrective action;
exercise judgement in the application of regulations;
keep records as required;
report regularly to managers and municipal councils;
review proposals for equivalencies to code requirements.
Building officials must be well-versed in the regulations and their application, and must understand their
importance to public safety. Building officials must:
know the current legislation;
be aware of changing building technology and its effects;
have an understanding of what best serves the public interest.
Building officials must also interpret the meaning of the regulations, their current relevancy, and the need for
change. To do so, the officials must communicate effectively with:
the public, to help the public understand regulations and procedures;
municipal councils;
design professionals;
the construction industry;
associations concerned with public safety in buildings and structures;
committees and persons who prepare regulations;
other building officials.
PART TWO The Context of Practice
Relationships with Authorities
The client, the architect, consultants, and the contractor may all have to deal with various authorities having
jurisdiction.
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The Authority and the Client
The client may become directly involved with an authority during the pre-design stages. Experienced clients
may also make initial inquiries to the authorities prior to the appointment of an architect, or in conjunction
with the architect. The client may apply directly for the building permit.
If a permit is denied, even when all documentation for compliance with zoning bylaws and the building codes
is provided, the client should consult the architect. If necessary, legal counsel can be sought.
The following are possible legal procedures affecting the construction of buildings:
an injunction;
a mandamus.
An injunction is sought when a public body applies to the court for an order restraining a private individual
or other body from violating an applicable law. In the construction industry, it is often applied to stop an
individual or company from constructing a building contrary to regulations, codes or bylaws. A typical example
is a stop work order.
A mandamus is an order directing a public body to exercise a public duty, such as the issuance of a building
permit. If a municipality refuses to issue a building permit and forces the client to apply to the court for a
mandamus, the architect must be sure that all building plans and specifications comply fully with municipal
bylaws and building codes.
The Authority and the Architect
For the architect, the most important authorities having jurisdiction are those which administer the zoning
and development bylaws and the applicable building code.
Analysis of zoning and code requirements commences early in the design of a project, and the architect
begins the process of communication with the various authorities having jurisdiction. Together with the
subconsultants, the architect will usually be the prime contact with authorities during the design and contract
document stages. See also Chapter 6.2 – Schematic Design.
The architect must be thoroughly familiar with the building code. It contains many requirements, in addition
to structural ones, which affect the design of the building, such as:
window openings;
means of egress;
design of stairways and their enclosures;
openings between floors;
compartmentalization for fire safety;
accessibility for persons with disabilities;
travel distance to exits.
PART TWO The Context of Practice
Most officials encourage early consultation with architects to clarify zoning bylaws and building code
requirements before the construction documents are advanced. In some instances, the local authority requires
payment of the permit fee before providing consultation. For major projects, it is advisable to hold a series of
meetings with the authority having jurisdiction as the design progresses. Minutes of these meetings should be
prepared and distributed. Such consultations will help to encourage co-operation, improve communications,
and resolve differences of interpretation with respect to the zoning bylaw or building code. This in turn will
help avoid the costly delays that result from revisions to construction documents.
Early consultation with building officials also enables the architect to determine which approvals from other
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government bodies will be needed to obtain the building permit. As well, the authority becomes familiar with
the pending application and should be able to process it more efficiently.
It is good practice for the architect to include a detailed schedule or building code analysis as part of an
application for a building permit. This analysis may be part of the construction documents. An example of
such a document is the mandatory building code matrix Ontario architects must append to every building
permit document package when applying for a building permit.
Architects are also advised to submit the building permit application, completed and signed by the client,
before or during the call for bids, together with the permit fee. This allows the building department to review
the plans and prepare the building permit for the successful bidder before the construction contract award.
Such a procedure avoids potential delays and allows time to make changes to the plans before the contract is
signed. Some owners require the successful contractor to obtain and pay for the building permit, which may
result in delays.
The architect should develop professional relationships with building officials and deal with any conflicts in
code interpretation tactfully.
See also Chapter 6.6 – Contract Administration – Office and Field Functions for Letters of Assurance in British
Columbia. These documents, required at the building permit and occupancy permit stages, indicate the code-
related and other responsibilities of the owners, architects, and engineers.
The Authority and the Contractor
Contact between the authority having jurisdiction and the contractor or construction manager normally
occurs after the building permit is issued. Without the building permit, the contractor cannot legally begin
construction. Permit delays can be extremely costly, as workers and equipment stand idle and contractual
obligations are unfulfilled.
In many cases, the contractor is responsible for:
obtaining a permit from the municipality to occupy public property for the construction of a hoarding or
covered way for public protection;
designing the shoring for excavation or other temporary structures such as scaffolding or guards;
obtaining separate approvals from the building departments, such as a demolition permit or a sewer
connection permit.
During construction, the contractor must keep the approved building permit documents on the job site so
that the building official can consult them and be satisfied that construction is in general compliance with
the approved documents. The contractor must not deviate from these documents without consent of the
authority and the architect, and the architect must notify the authorities of any changes. To avoid problems,
the architect should review any significant changes with the authorities having jurisdiction prior to preparing
instructions or change orders for the contractor.
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The contractor or construction manager has a responsibility as “constructor” to strictly adhere to the applicable
construction safety act and regulations. Provincial legislation governs who is responsible for construction
safety. In some instances, and in certain jurisdictions, the owner may be the “constructor” and is therefore
responsible for construction safety. The situation usually occurs when the owner is performing some of the
work directly or has hired more than one contractor. Safety officials inspect construction operations frequently
and have the authority to issue compliance or stop work orders in the event of infringements. See also Chapter
1.2.1 – The Construction Industry.
The architect should be aware that the architect and all employees of the architect are also subject to the
construction safety act and regulations.
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Approvals
The following authorities are listed in the approximate chronological order in which they may be contacted by
the architect.
Planning:
planning department – for architectural and site control, consultation, and zoning bylaw interpretation;
committee of adjustment, or planning board, or committee of variance – for minor variances;
planning board or committee or advisory planning commission – for initial approvals;
municipal council – for approvals such as the development permit, re-zoning and special agreements;
provincial municipal board – for contentious council decisions;
design panel, control architect.
Canada Mortgage and Housing Corporation (CMHC): CMHC should be consulted early in the process for
multiple-unit residential projects involving CMHC financing.
Roads and Highways:
provincial highways authority – consult early in the design stage for approval required for projects abutting
major highways outside metropolitan areas;
provincial, county, metropolitan or regional planning and traffic authorities, and roads departments –
consult early in the design stage for approval of entrances, exits, grades.
Environment, Conservation Authorities and Water Resources:
consult regarding approval if land abuts or includes flood plains, water courses, streams, and low-lying
areas or ravines;
consult regarding approval for both land use and sewage systems for projects which have no municipal
sewage available to property, for example, cottages or resort hotels;
consult regarding environmental impact of previous or proposed use of a site;
consult if the site has contaminated soils.
Regional Planning:
These bodies, responsible for setting official plans for larger areas, often include a group of smaller municipalities.
Although local municipalities may administer site-plan approval, regional planning authority approval may
also be required. To minimize confusion, the architect should determine jurisdictional responsibilities at the
outset of a project.
Institutional and Other Regulating Bodies:
hospital commissions and boards;
PART TWO The Context of Practice
housing for special needs and users;
public health departments;
provincial education authority;
other authorities, for specific building types or conditions.
Deed Restrictions and Architectural Approval:
building limitations placed by the vendor as conditions of sale;
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restrictive covenants registered on title;
building plan approvals are sometimes instituted by industrial and residential land developers as a further
means of controlling the design of buildings. Because negotiations can be very complex, the client should
check “agreements to purchase” for any such restrictions, and consult the architect or the vendor;
certain jurisdictions (such as the National Capital Commission in Ottawa) must approve architectural
design.
Construction:
building department – for all building permits;
provincial authority for occupational health and safety – for commercial and industrial buildings;
provincial fire marshal – usually for institutions receiving provincial funding and for assembly occupancies;
municipal fire authority – usually for projects other than single-family housing.
Engineering:
engineering departments – consult for approval of site services. Design approval may be complicated
by the division of certain responsibilities to other levels of government. For example, regions may have
control over the design of water services and sanitary sewers, while municipalities control storm water
discharge and collection;
municipal plumbing departments – consult for special approvals, for example, industrial waste disposal,
restaurant and food preparation wastes, water and service connections, and design of special septic
systems;
works departments – for items affecting streets, easements, electrical and data services or other public
property.
E-permitting
The submission, review, and approval of permit applications is increasingly being done using electronic
platforms. E-permitting is growing in popularity in municipalities across Canada. Driving forces in the
implementation of e-permitting include:
reduced approval times;
greater consistency in approval decision-making.
alignment of AEC technology innovations, including BIM, with approval processes;
reduced construction costs through shortened schedules.
From the 2017 study prepared by Ryerson University’s Centre for Urban Research and Land Development and
the Residential Construction Council of Ontario:
“Ontario municipalities have fallen behind many jurisdictions that have implemented
comprehensive Building Information Modelling (BIM) based e-permitting systems. Ontario is
PART TWO The Context of Practice
missing a common platform for interoperability among agencies which would allow files to be
easily transferred between municipal and provincial agencies and processed.
“According to the report “Shaping the Future of Construction” by the World Economic Forum,
BIM is the most likely and impactful new technology to affect the construction sector. BIM can
create a digital representation of a project which covers building design, procurement, and
construction management. Some Ontario building designers who use BIM currently need to
print their plans on paper so that they can be reviewed by municipal building officials.”
– Duong and Amborski, p. 4
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Comparative studies of traditional permitting systems and e-permitting have concluded that both approval
and construction costs are reduced, and overall approval/construction schedule are shortened significantly.
In their studies, Shahi et al. and Duong and Amborski discuss the increased costs in Canada’s most expensive
housing markets, with a focus on the Greater Toronto Area (GTA), due to the lengthy time required to obtain
permit approvals. The challenges facing municipalities in approving housing projects is placed in sharp relief
when the rate of new housing construction is compared to the demand resulting from urban population
increase. As well, they discuss the comparative efficiencies that e-permitting has brought to other jurisdictions
leading the way such as Singapore and Finland.
Shahi et al. describe the scope of e-permitting implementation in a matrix that illustrates four levels of
e-permitting across four lifecycle phases of design, review, construction, and operation. (See Figure 1 below.)
LEVEL 0 LEVEL 1 LEVEL 2 LEVEL 3
Traditional Basic Automated Fully
permitting e-permitting model-based integrated
e-permitting e-permitting
A: Submission
E-submission
Paper E-submission Integration
of building
phase
submission of of digital of
information
drawings 2D drawings BIM & GIS
model (BIM)
Manual Automated
B: Review
Manual Integrated
review of code
phase
review of planning
digital compliance
drawings review
drawings checking
C: Construction
Manual Digital Model-based Integrated
phase
inspection inspection automated logistics
reports reports inspection planning
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D: Operation
Model-based Integrated
phase
Manual building management building urban asset
management management
FIGURE 1 Framework for different levels of e-permitting. Reprinted with permission from ASCE.
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LEVEL 0: Traditional permitting process based on paper documentation, manual review of 2D documents, no
automation of submissions, review or tracking of submissions through the permitting process.
LEVEL 1: Application and submission of 2D drawings and tracking process through a customer portal.
Submissions are electronically distributed to the various approval departments and electronically filed in
shared system archives.
LEVEL 2: Review for code and regulatory requirements of 3D, 4D or 5D models using automated algorithms.
LEVEL 3: Models integrated into an urban-scale GIS supporting analysis of not only a building project but also
its context.
Many municipalities in Canada either have or are implementing Level 1 e-permitting and employ customer
portals for submission and tracking of 2D PDF files. Projects approved for e-permitting may be limited in
scope. The practical implementation of a Level 1 e-permitting system requires developing common standards
(open source) for an e-permitting system that would have functionality including:
Online permit application and payment;
Electronic provision of comments to applicants;
Online tracking of application status by applicants.
At a basic level, in addition to these functions, a Level 2 system would require:
Online submission of building models and/or drawings linked to BIM models or CAD drawings;
Automated code compliance review.
The message for architects is that as more municipalities adopt e-permitting it becomes strategic to identify
design processes that may result in misalignments between design deliverables and municipal submission
and approval requirements.
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Chapter 2.4 – Building Regulations and Authorities Having Jurisdiction
References
American Institute of Architects. An Architect’s Guide to Building Codes & Standards. Fourth Edition.
Washington, D.C.: AIA Press, 1997.
“Codes-Guides online library”, National Research Council of Canada, 2019, https://nrc.canada.ca/en/
certifications-evaluations-standards/codes-canada/codes-guides-online-library, accessed April 21, 2020.
Duong, Lynn, and David Amborski. Modernizing Building Approvals in Ontario: Catching Up with Advanced
Jurisdictions, July 5, 2017, https://www.ryerson.ca/content/dam/cur/pdfs/RESCON/CUR_RESCON_
Modernizing%20Building%20Approvals%20in%20Ontario%20Report_2017.07.05.pdf, accessed May 25, 2020.
National Research Council of Canada. National Building Code of Canada. Ottawa, ON: National Research
Council of Canada, 2015.
Shahi, Kamellia, Brenda Y. McCabe, and Arash Shahi. “Framework for Automated Model-Based e-Permitting
Systems for Municipal Jurisdictions”, Journal of Management in Engineering, 2019, 35(6), pp. 1-9, accessed
September 15, 2020 from https://ascelibrary.org/doi/10.1061/%28ASCE%29ME.1943-5479.0000712. This
material may be downloaded for personal use only. Any other use requires prior permission of the American
Society of Civil Engineers.
Yatt, Barry D. Cracking the Codes: An Architect’s Guide to Building Regulations. Toronto, Ont.: John Wiley & Sons,
1999.
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Appendix A –
List: Federal Authorities Having Jurisdiction
The following is a list of the principal federal legislation and regulations.
Aeronautics Act:
The legislation authorizes the federal minister regulating transport to establish height, location, and building-
use regulations in the vicinity of airports. It constitutes a zoning regulation and must be registered against the
lands.
The Impact Assessment Act:
This legislation requires assessment and auditing of Crown land and federal property based on a wide range
of environmental concerns.
Canada Marine Act:
This act establishes the port authorities that administer regulations for construction within a port. The port
authority issues a permit for construction.
National Fire Code:
The Dominion Fire Commissioner has jurisdiction over all federal buildings constructed on any federal property
in Canada, a responsibility similar to the provincial fire marshal and/or the local fire department.
Nuclear Safety and Control Act:
The federal government is the prime authority for ionizing radiation. Provincial officials authorized as inspectors
under the Act may come from various provincial departments.
National Building Code:
The National Building Code is a model code which has no legal status unless adopted by a provincial or
municipal authority. However, federal government buildings and other buildings which depend upon Canada
Mortgage and Housing Corporation mortgage financing must comply with the code to qualify for financing.
Navigation Protection Act:
This statute requires an approved application before any structure may be built in or over navigable waters.
Canada National Parks Act:
This act and its subsidiary regulations govern buildings within federally owned parks.
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Appendix B –
List: Provincial and Territorial Authorities Having Jurisdiction
Each province and territory has its own statutes and codes which, although titled differently, essentially govern
the same matters. The following list is representative of areas regulated by legislation in most provinces and
territories . The architect should confirm the exact name and responsibility of the authority having jurisdiction
in the jurisdiction.
Boilers and Pressure Vessels:
Although the Boilers and Pressure Vessels Act does not usually require permits, equipment and material must
be inspected and certified prior to installation.
Building Construction:
In most provinces and the Northwest Territories, building codes have superseded municipal building bylaws
regulating construction of new construction and significant alterations to existing building. Despite being
provincial and territorial statutes, they are administered and enforced by the local municipality. Local building
bylaws may apply to all existing buildings and to construction projects involving minor alterations to existing
buildings. Provincial building codes may also include a requirement for professional design and field review
of specified buildings.
Construction Safety:
Construction safety legislation governs the safety of workers during the construction, demolition or moving
of buildings. The legislation stipulates the safety precautions that must be observed during construction and
that may indirectly affect the contract documents.
Elevating Devices Construction:
Authorities responsible for elevators, hoists, and lifts provide for their inspection and for licences to operate
them. Design and construction should be approved in advance by the appropriate provincial or territorial
authority.
Environmental Protection:
Environmental authorities administer extensive regulations for the control of air pollution, toxic waste
and other environmental requirements, and noise. They are administered by the appropriate provincial or
territorial authority.
Fire Safety:
The provincial or territorial fire marshal and the local fire department have authority to inspect existing
buildings, to order repairs and alterations, and to make regulations applicable to new buildings. Many
municipalities withhold building permits for schools, hospitals, hotels, and buildings funded by the province,
until plans are approved by the fire marshal. Fire safety requirements typically use the National Fire Code as
a model.
PART TWO The Context of Practice
Fire Safety for Hotels:
The provincial or territorial fire marshal may require that hotel plans be approved prior to construction.
Flammable Products:
Various provincial or territorial authorities administer regulations for service stations and for the storage and
handling of flammable liquids and solids.
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Float Homes:
In British Columbia, float homes must comply with provincial regulations.
Highway Improvement and Transportation:
The appropriate provincial or territorial authority controls/limits access to properties. Under the regulations,
building permits are required to construct buildings or structures within a prescribed distance of a controlled
access road. Projects within the specified distance require a municipal building permit, as well as approval
from the appropriate provincial or territorial authority.
Home Owners Protection:
The provincial or territorial authority regulates residential builders and provides requirements for project
warranties.
Hospitals:
The provincial hospital authorities require that all hospital plans be approved, which in turn requires approval
of the provincial or territorial fire marshal. Approval by these two provincial authorities is usually required
before the local municipality issues a building permit.
Liquor Licence:
The appropriate provincial or territorial authority must issue a licence, and approve the building plans, before
an establishment is permitted to sell alcoholic beverages.
Public Health:
Local municipalities, through bylaws, regulate a wide range of public health concerns, including restaurants
and food preparation establishments.
Theatres:
The appropriate provincial or territorial authority approves plans for all theatres before it issues a building
permit.
Water Resources:
Authorities for water resources and conservation govern natural water courses and adjacent plumbing
installations.
Workplace and Industrial Safety:
The appropriate provincial or territorial authority requires that plans for such buildings as industrial buildings,
restaurants, office buildings, and arenas be approved prior to construction.
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Appendix C –
List: Regional and Municipal Authorities Having Jurisdiction
Regional Government Authorities
In many areas, regional authorities have additional building permit requirements. Regional government
authorities may require that the setback from the street line and points of ingress and egress for all buildings
located on metropolitan roads be approved. In regional municipalities, the regional health unit must approve
installation of septic tanks or similar sewage disposal units.
Municipal Authorities
The following is a partial list of areas regulated by municipal authorities:
Planning:
Development applications and subdivision agreements often require that the local or regional planning
authority approves building and site plans before it issues a building permit.
Zoning:
Land use, bulk, height, location, and site density — which can significantly influence the architectural
design of a building — are regulated by municipal authorities.
Building:
Municipal bylaws or provincial or territorial statutes containing all structural and fire safety requirements
for new buildings are administered by the local municipality. Separate permits may be required for
heating systems.
Plumbing:
All sanitary and plumbing installations must be in accordance with provincial or territorial regulations.
Some municipalities require that plumbing permits be issued separately from building permits. Some
jurisdictions allow for separate plumbing permits to be obtained by the mechanical contractor.
Signs:
Signs and advertising devices require separate permits and must comply with applicable sign bylaws.
Swimming Pools:
Swimming pools and their protective enclosures must comply with provincial or territorial building codes
and municipal bylaws, and usually require separate permits.
Public Health:
Building permits for all buildings and structures subject to public health legislation provisions are usually
withheld until the plans are approved by the public health authority. Included are food preparation and
serving facilities and public swimming pools. Health department approval may also be required for
PART TWO The Context of Practice
installation of a septic tank or similar private sewage disposal system.
Public Works:
Building permits are normally withheld until the municipal public works departments are satisfied as to
the availability of municipal services, and curb and sidewalk protection during construction, provision of
drainage system for surface water, deposits for culverts and curb cuts, etc.
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Fire Safety:
Many municipalities do not issue building permits until the local fire department has approved plans for
compliance with the fire protection requirements of the building code.
Business Licences:
Local municipalities pass bylaws to license and regulate restaurants, public garages, dry-cleaning
establishments, laundries, and pool halls. Each bylaw may contain regulations which affect building
design or construction.
Electricity:
Electrical inspections are arranged through the local offices of the electrical authority. In addition,
industrial safety officers, assistants to the fire marshal, and other inspection personnel look for electrical
hazards. When a hazard is located, they may direct that corrective measures be taken to comply with the
provincial or territorial electrical code, or they may request that the authority conduct a more complete
inspection.
The electrical contractor may be required to submit documents to the local electrical power authority to
obtain a separate electrical permit.
Municipal or Private Utilities and Services
The architect should check for the requirements of the following services:
electricity;
gas;
sanitary sewer and storm drains;
telephone;
water;
roads and highways;
railways;
cable TV and Internet.
Private Acts
Passed by the legislature, these acts give cities, private individuals or individual municipalities specific power
to govern — which may not be applicable to the province as a whole.
For example, the City of Vancouver has a separate charter and sets its own building regulations and codes
independently of the rest of the province.
Deed Restrictions
These require a deed check for possible easements, rights of way, air rights for telecommunications, and other
PART TWO The Context of Practice
similar development constraints or restrictive covenants.
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Chapter 2.5 – Standards Organizations, Certification and Testing Agencies and Trade Associations
Chapter 2.5
Standards Organizations,
Certification and Testing Agencies
and Trade Associations
Contents
Definitions 204
Introduction 204
Standards and Standards Organizations 204
Process Standardization Through Building Information Modeling (BIM) 205
Global Harmonization and the Reduction of Trade Barriers 206
International Organization for Standardization (ISO) 206
Canadian Standards Organizations 206
Standards Council of Canada (SCC) 207
Standards and the Architect 207
Brands as Standards 208
Canada Green Building Council (CaGBC) and Green Building Certification Inc. 208
International WELL Building Institute (IWBI) 208
Passive House and Passive House Canada | Maison Passive Canada 209
Certification and Testing Agencies 209
Trade Associations 209
References 210
Appendix A – List: Standards Organizations 211
International Standardization Organizations 211
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Canadian Standardization and Standards Writing Organizations 211
North American Standardization and Standards Writing Organizations 213
Appendix B – List: Certification and Testing Agencies 215
Appendix C – List: Trade Associations 216
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Definitions
Certification: The verification that a product or procedure meets a specific standard; the certification may be
in the form of a certificate, seal or permission to use a trademark from an authority having jurisdiction.
Standard: A publication which describes recognized or approved procedures, practices, technical requirements
and terminologies.
Introduction
Simply put, standards make everyday life work and for Canadian businesses, standards open a world of
possibilities. … Standards are an invisible infrastructure working behind the scenes to protect the safety of all
Canadians. (The Standards Council of Canada, https://www.scc.ca/en/standards/what-are-standards/benefits.)
Like other industries and professions, the design-construction industry has, over time, developed accepted
practices, uniform technical requirements, and agreed-upon terminologies. This has been accomplished
through the adoption of standards. A standard is not a regulation, although the adoption of a standard by the
industry may be referenced in regulation such as the building code. However, the adoption of standards by
the industry becomes the “rules of the art” and the architect must take this into account. It is important for the
architect to know of the existence of standards and have knowledge of the content standards that are relevant
to practice and building and site design.
Standards are publications prepared by experts. The development of the standard is frequently based on
a consensus of those selected or those who volunteer to develop the standard. Once a standard has been
adopted, manufacturers, suppliers and testing agencies certify that a product or material meets the selected
standard.
Other procedures and standards are developed and promoted by trade associations, which are organizations
comprised of members of similar construction trades or manufacturers. Examples of trade associations
include the Cement Association of Canada (CAC) and the Architectural Woodwork Manufacturers Association
of Canada (AWMAC).
This chapter discusses the role of standards and standards organizations, certification and testing agencies,
and trade associations in the construction industry.
Standards and Standards Organizations
Several standards organizations have specific products that focus on the design of buildings, the materials
used in them, and the processes of both design and construction. Examples of nationally and internationally
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recognized organizations and associated standards systems in Canada, with a summary list of those products
related to design and construction, include:
Canadian Standards Association (CSA)
business/management systems;
communications/information;
construction materials and products;
design of select building systems;
electrical and electronics materials, products and design;
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renewable energy and energy conservation in housing;
fire safety and fuel burning equipment;
environmental technology and management systems;
gas equipment;
health care technology;
public safety/occupational health and safety;
materials technology;
materials handling and logistics.
Canadian General Standards Board (CGSB)
350 standards, specifications, manuals;
ISO 9001 conformity assessment services;
accredited ISO 9001 quality system registration services;
accredited ISO 14001 environmental management systems services.
Underwriters Laboratories of Canada
building construction materials;
burglar alarm equipment and systems;
factory-built fireplaces, chimneys, and vents;
fire alarm equipment and systems;
fire extinguishers, extinguishing systems, and fire extinguishing media;
fittings and associated equipment for flammable fuels;
fittings and associated equipment for gases;
kitchen exhaust equipment;
physical security equipment;
thermal insulation.
Workplace Hazardous Materials Information System (Health Canada) (WHMIS)
Canada’s national hazard communication standard for controlled products.
Organization for Standardization (ISO)
Standardization of procedures and processes in multiple fields designed to reduce trade barriers.
Examples:
ISO 9000 – Quality Management;
ISO 14000 – Environmental Management;
ISO 21500 – Project Management.
Detailed descriptions of each of these organizations are provided in Appendix A at the end of this chapter.
Process Standardization Through Building Information
Modeling (BIM)
PART TWO The Context of Practice
Where organizations like the Canadian Standards Association and Underwriters Laboratories of Canada
focus on the standardization of building materials and assemblies, the standardization of architectural
design processes is not a subject that has been explicitly addressed at an industry-wide level. Government
and institutional clients have prescribed drawing and specification conventions. CAD software has provided
standardized templates and symbol libraries; however, customization of processes to demonstrate creative
ability, alignment with client requirements, and/or gain competitive advantage are common.
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Driving a greater interest in standardization of architectural practice processes and procedures is the need
for interoperability between project stakeholders’ offices because of building information modelling (BIM).
The digital model developed by the architect becomes a part of a federated model developed and used by the
engineers for design, contractors, trades and suppliers for construction, and building owners to operate their
facilities. The need for a standardized approach to model development becomes critical to design collaboration
and coordination.
The Institute for BIM in Canada (IBC) and its buildingSMART Canada (bSC) council have published the Canadian
Practice Manual for BIM. This three-volume document provides both broad and deep information about BIM
processes as well as comprehensive process diagrams and checklists.
See the reference list at the end of this chapter for details about the Canadian Practice Manual for BIM.
See also Chapter 2.1 – The Construction Industry.
Global Harmonization and the Reduction of
Trade Barriers
Increased global trade and the requirements of certain trade agreements result in pressure upon Canada to
“harmonize” its standards with those of its trading partners and with international standards. Harmonizing
standards is difficult because the mandates of the various standards writing organizations differ. For example,
in one nation, the mandate for the development of a certain standard may be restricted to electrical safety,
whereas in another country, it may include not only electrical safety but also operator safety, energy efficiency,
and other requirements. For this reason, architects must review any changes in updated standards and not
assume that the scope, details or minimum level of performance of a standard will be the same as in the
previous version.
International Organization for Standardization (ISO)
The International Organization for Standardization (ISO) is a non-governmental federation of national standards
bodies from 163 different countries. ISO is the world’s largest developer and publisher of international
standards. ISO is a network of the national standards institutes, one member per country, with a central
secretariat in Geneva, Switzerland, that coordinates the system.
The International Organization works with member countries to develop standards that will improve operating
efficiencies and reduce trade barriers among nations. The results of this work are international agreements,
published as International Standards. ISO covers standardization in all fields except electrical and electronic
engineering, which is the responsibility of the International Electrotechnical Commission (IEC).
For additional information about the ISO, refer to https://www.iso.org.
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Canadian Standards Organizations
Standards in Canada are written and promoted by many different organizations, including government,
industry, trade, public interest groups and professional organizations.
Funding for the development and maintenance of standards comes from a variety of sources, including:
industry;
government;
membership fees;
the sale of standards.
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Standards Council of Canada (SCC)
The Standards Council of Canada (SCC) is a federal Crown corporation with the mandate to promote
efficient and effective standardization. The SCC coordinates and oversees voluntary standards development,
promotion, and implementation in Canada through the National Standards System. It also coordinates
Canada’s participation in international standardization through the IEC and ISO.
The Standards Council of Canada has accredited hundreds of organizations. Some of these develop standards;
others are conformity assessment bodies or certification agencies, which determine the compliance of
products or services to the requirements of a standard. The list of accredited organizations includes:
standards development organizations;
certification agencies;
testing and calibration laboratories;
quality management systems (QMS), registration organizations that perform registrations to the ISO 9000
series standards;
environmental management systems (EMS), registration organizations that perform registrations to the
ISO 14000 series standards;
certifiers and trainers who certify and train QMS and EMS auditors.
For additional information about the Standards Council of Canada, refer to https://www.scc.ca.
Standards and the Architect
Standards developed by non-government organizations in Canada have no force in law unless they are
referenced in legislation. Many of the standards encountered by architects are referenced in:
national building, energy, and fire codes;
provincial or territorial building codes and regulations;
occupational health and safety acts and regulations.
Even if a standard is not required by legislation, it cannot be ignored. Some standards carry weight in the
marketplace because an industry or trade association promotes them and enforces compliance by its
members. Other standards ensure that products specified by architects are of a known quality.
Architects must be familiar with current standards when preparing specifications. See also Chapter 6.4 –
Construction Documents – Drawings and Specifications.
Standards cannot be static, because they must respond to:
changes in industrial processes;
the introduction of new techniques or materials;
new safety or environmental priorities.
PART TWO The Context of Practice
Feedback about current standards may lead to their withdrawal or revision, or to the development of new
ones. A standard may be withdrawn because:
it is no longer needed;
no one wants to fund its maintenance any longer;
it is cheaper to adopt a standard developed elsewhere.
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Many standards are reviewed on a regular cycle, such as every five years. The schedules for updating
standards and for revising legislation which references standards (for example, building and electrical codes)
may bear no relation to one another. As a result, the latest standard is not necessarily the version referenced
by regulations or codes.
See “Appendix A – List: Standards Organizations” at the end of this chapter for various standards writing
organizations.
Brands as Standards
In addition to knowledge of the content of standards relevant to practice, the architect is prudent to recognize
that standards are created by organizations pursuing specific objectives. Those objectives may be worthwhile,
benefit society, and promote a sustainable environment. In addition to being standards for building design,
such as LEED, Zero Carbon, Passive House, and WELL, these certification systems are essentially brands
created and promoted by not-for-profit organizations. The architect should be aware of the specifics of each
of these branded certification systems, and counsel the client in the adoption of one or more certifications to
ensure that the purpose of the certification is aligned with the client’s project and strategic objectives.
There are multiple certification systems available that reflect the achievement of both standards in building
design and the knowledge and skill of professional and paraprofessional certified practitioners. The three
below are established and have received wide acceptance by clients and the design-construction industry.
Canada Green Building Council (CaGBC) and
Green Building Certification Inc.
The Canada Green Building Council was formed in December 2002. Originally it was the Sustainable Buildings
Canada Committee of the Royal Architectural Institute of Canada; however, after a couple of successful years,
the committee very quickly outgrew its original mandate and included many members from the design and
construction industry who were not architects, and it needed to expand. The RAIC assisted in the creation of
the CaGBC, provided administrative support, and housed the CaGBC in its offices during its formative years.
CaGBC is affiliated with the U.S. Green Building Council.
The Canada Green Building Council (CaGBC) and Green Building Certification Inc. (GBCI) are engaged in a
joint venture called GBCI Canada. This joint venture administers nine different building and site design and
construction certifications and programs, including LEED, WELL, TRUE, SITES, and ARC, as well as four different
credentialing programs.
See also Chapter 2.1 – The Construction Industry for more information on the Canada Green Building Council,
and Chapter 6.1 – Pre-design – Appendix A – Green Building Rating Systems for more information on LEED.
For additional information about the CaGBC, refer to https://www.cagbc.org.
For additional information about GBCI Canada, refer to http://www.gbcicanada.ca/about.shtml.
PART TWO The Context of Practice
International WELL Building Institute (IWBI)
The International WELL Building Institute created the WELL building standards and the WELL practitioner
certification system to advance the concept of health and well-being in buildings globally. IWBI certifies
buildings using it. Register your office, building or other space to leverage WELL’s flexible framework for
improving health and human experience through design. The WELL certification in Canada is administered by
GBCI Canada.
For additional information about IWBI visit https://www.wellcertified.com/about-iwbi.
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Passive House and Passive House Canada | Maison Passive Canada
Passive House (Passivhaus) is a standard for residential design developed in Germany and adopted
internationally. Designing and constructing residential buildings employing the Passive House standard
will result in drastically reduced energy consumption. Taking advantage of heating, cooling and ventilation
through passive design techniques can result in comfortable environments year-round using no more than
the energy required to power a hair dryer. Achieving the Passive House standard requires rigorous design,
energy modeling, and attention paid to the construction of each detail on site.
Passive House Canada is a not-for-profit organization advocating for Passive House high performance building
standards. For additional information on Passive House Canada, refer to https://www.passivehousecanada.
com/about-passive-house.
Certification and Testing Agencies
A standard is not useful unless compliance with its requirements can be verified. Certification is the confirmation,
usually by an independent organization, that a product or service meets a requirement. Certification of a
product, process or system may involve:
physical examination;
testing;
plant examination;
unannounced follow-up inspections of a manufacturing site or service provider.
This procedure leads to the issuing of a formal assurance or declaration – by means of a seal, label, trademark
or certificate – that the product, process or system fully conforms with the requirements of the standard.
Certification indicates that a product or system has been evaluated under a formal process and that the
product complies with all applicable standards.
In the past, a third party was used to certify and test for conformance to most standards. Recently, there has
been a shift from third-party certification to self-certification in order to reduce the costs and the time involved
in obtaining certification. Permission to self-certify is only granted after a manufacturer or service provider has
implemented quality assurance procedures and submitted to examination and testing by a recognized authority.
See “Appendix B – List: Certification and Testing Agencies” at the end of this chapter.
See also Chapter 5.4 – Quality Management.
Trade Associations
The construction industry has many trade associations whose purposes include:
promoting their industry or sector;
developing good practices and standards for their trade or product;
PART TWO The Context of Practice
conducting research and development within the specific field of the trade associations;
publishing and distributing information, guides and manuals to members and others;
lobbying government and others regarding issues specific to the trade or product.
Although trade associations vary in size and sophistication, many conduct research and prepare standards.
The architect should be aware of these standards. The research on products, materials and procedures can
contribute to the design process, and many trade association standards should be referenced in project
specifications.
See “Appendix C – List: Trade Associations” at the end of this chapter.
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References
American National Standards Institute (ANSI).
www.ansi.org
American Society for Testing and Materials (ASTM).
www.astm.org
Dickinson, John, Paul Woodward. Canadian Practice Manual for BIM – Volumes 1, 2 and 3, buildingSMART Canada, 2016.
“Registry of Product Evaluations.” Canadian Construction Materials Centre (CCMC), National Research Council
of Canada, https://nrc.canada.ca/en/certifications-evaluations-standards/canadian-construction-materials-
centre/ccmc-publications/registry.html, accessed March 20, 2020.
National Building Code of Canada 2015. Canadian Commission on Building and Fire Codes (CCBFC), National
Research Council of Canada, 2015, https://nrc.canada.ca/en/certifications-evaluations-standards/codes-
canada/codes-canada-publications/national-building-code-canada-2015, accessed March 20, 2020.
NFPA Codes and Standards. Quincy, MA: National Fire Protection Association (NFPA).
“Benefits of applying standards.” Standards Council of Canada, https://www.scc.ca/en/standards/what-are-
standards/benefits, accessed March 20, 2020.
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Appendix A –
List: Standards Organizations
International Standardization Organizations
IEC International Electrotechnical Commission | www.iec.ch
The International Electrotechnical Commission (IEC) is a global organization that prepares and publishes
international standards for all electrical, electronic and related technologies. These serve as a basis for national
standardization and as references when drafting international tenders and contracts.
The IEC’s work includes standardizing the symbols used on building construction and engineering drawings.
ISO International Organization for Standardization | www.iso.org
See the section on ISO in this chapter.
Canadian Standardization and Standards Writing Organizations
SCC Standards Council of Canada | www.scc.ca
See the section on the SCC in this chapter.
CNSC Canadian Nuclear Safety Commission | www.cnsc.gc.ca/eng
The Canadian Nuclear Safety Commission (CNSC) protects the health, safety and security of Canadians as well
as the environment, and respects Canada’s international commitments on the peaceful use of nuclear energy.
CCBFC Canadian Commission on Building and Fire Codes
https://nrc.canada.ca/en/certifications-evaluations-standards/codes-canada/codes-development-process/
canadian-commission-building-fire-codes
Under the auspices of the National Research Council, the CCBFC produces the National Building Code (NBC),
the National Fire Code (NFC), the Canadian Plumbing Code (CPC), the Canadian Farm Building Code (CFBC),
and the Canadian Housing Code (CHC).
CGA Canadian Gas Association | www.cga.ca
CGSB Canadian General Standards Board | www.tpsgc-pwgsc.gc.ca/ongc-cgsb/index-eng.html
The CGSB, a part of Public Works and Government Services Canada, is mandated to provide standardization
and conformity assessment services in support of government purchasing and other requirements. The CGSB
is the only accredited federal government standards development body in Canada.
The CGSB’s services include:
PART TWO The Context of Practice
maintenance of approximately 350 standards, specifications, manuals, and guides in both English and
French;
listings of pre-qualified products and services;
ISO 9001 conformity assessment services;
accredited ISO 9001 quality system registration services;
accredited ISO 14001 environmental management systems services.
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CSA Canadian Standards Association Group | www.csagroup.org
CSA Group is a global organization dedicated to safety, social good and sustainability, and is a leader in safety
and environmental certification around the world, including Canada, the United States, Europe and Asia. The
CSA Group mandate is to hold the future to a higher standard.
The CSA develops standards in the following areas of interest to architects:
business/management systems;
communications/information;
construction: building materials and products; concrete; masonry; forest products; plumbing products
and materials; industrialized building construction; structures (design)
electrical and electronics: Canadian Electrical Code Part I; Canadian Electrical Code Part II, Wiring Products,
Industrial Products, Consumer and Commercial Products; Canadian Electrical Code Part III, Electrical
Engineering Standards, Performance of Electrical Products;
energy: renewable energy; energy conservation in housing; fire safety and fuel burning equipment;
environment: environmental technology; environmental management systems;
gas equipment: food processing and food refrigeration; gas-fired domestic and commercial heating
equipment and air conditioning; large input commercial and industrial equipment; domestic and
commercial water heaters and boilers; incineration and accessories; laundry equipment; manual valves,
hose, couplings, and assemblies;
life sciences: health care technology; public safety; occupational health and safety;
materials technology: welding, metals, and metal products;
transportation/distribution: materials handling and logistics; oil and gas systems and materials.
ULC Underwriters Laboratories of Canada | https://canada.ul.com
ULC Standards is an independent, not-for-profit standards development organization. ULC Standards has
developed safety and performance standards and specifications for 90 years and is accredited by the Standards
Council of Canada, under the National Standards System.
ULC Standards publishes and maintains close to 300 Canadian safety standards and other related documents.
These standards play an important part in improving public safety. ULC Standards employs a consensus-
based process of developing effective product safety standards, using input from consumers, manufacturers,
government agencies, users, regulatory authorities and other interested parties.
The ULC develops standards in the following areas of interest to architects:
automotive equipment; fire protection equipment;
PART TWO The Context of Practice
building construction materials; fittings and associated equipment for flammable
burglar alarm equipment and systems; fuels;
factory-built fireplaces, chimneys, and vents; fittings and associated equipment for gases;
fire alarm equipment and systems; kitchen exhaust equipment;
fire extinguishers, extinguishing systems, and fire physical security equipment;
extinguishing media; tanks and associated equipment;
fire-fighting apparatus and equipment; thermal insulation.
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WHMIS Workplace Hazardous Materials Information System (Health Canada)
www.canada.ca/en/health-canada/services/environmental-workplace-health/occupational-health-safety/
workplace-hazardous-materials-information-system.html
The Workplace Hazardous Materials Information System (WHMIS) is Canada’s national hazard communication
standard. The key elements of the system are cautionary labelling of containers of WHMIS’s controlled
products, the provision of material safety data sheets (MSDS), and worker education and training programs.
North American Standardization and Standards Writing Organizations
ANSI American National Standards Institute | www.ansi.org
ANSI – a private, not-for-profit membership organization – is the administrator and coordinator of the U.S.
private-sector voluntary standardization system. ANSI does not itself develop American National Standards
(ANS). ANSI has accredited more than 220 distinct entities to develop standards.
ASHRAE American Society of Heating, Refrigerating, and Air Conditioning Engineers
www.ashrae.org
ASHRAE’s purpose is to advance the arts and sciences of heating, ventilation, air conditioning, and refrigeration
through research, standards writing, continuing education, and publications. ASHRAE writes standards that
set uniform methods of testing and rating equipment, and establishes accepted practices for the industry
worldwide, such as the design of energy-efficient buildings. ASHRAE’s research program investigates numerous
issues, such as identifying new refrigerants that are environmentally safe.
ASME American Society of Mechanical Engineers | www.asme.org
ASME International maintains and distributes codes and standards for the design, manufacturing, and
installation of mechanical devices. The standards are used in more than 150 countries throughout the world.
ASME also publishes technical journals, books and reports on mechanical engineering.
ASTM American Society for Testing and Materials | www.astm.org
Organized in 1898, the ASTM is a not-for-profit organization that publishes standard test methods, specifications,
practices, guides, classifications and terminology. The ASTM’s standards development activities encompass
metals, paints, plastics, textiles, petroleum, construction, energy, the environment and many other areas. The
ASTM has developed more than 12,000 technical standards, which are published each year in the more than
80 volumes of the Annual Book of ASTM Standards.
AWPA American Wire Producers Association | www.awpa.org
The AWPA is an international trade association for the ferrous wire and wire products industry in North
America.
EPA Environmental Protection Agency | www.epa.gov
PART TWO The Context of Practice
The EPA is a U.S. government agency mandated to protect human health and to safeguard the natural
environment.
NFPA National Fire Protection Agency | www.nfpa.org
The NFPA’s technical committees develop more than 300 codes and standards known collectively as the
National Fire Codes. NFPA codes and standards are available through the National Fire Codes Subscription
Service (NFCSS™).
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NFPA periodicals supplement the Fire Protection Handbook with current information. Fire Technology provides
reports on current research in the technical aspects of fire protection. The NFPA established the not-for-profit
National Fire Protection Research Foundation to research fire risk assessment as well as new technologies and
strategies.
Commonly used NFPA codes and standards include the following:
National Electrical Code (NFPA 70);
Life Safety Code (NFPA 101);
Flammable and Combustible Liquids Code (NFPA 30);
Standard for the Installation of Sprinkler Systems (NFPA 13);
Standard for the Storage and Handling of Liquefied Petroleum Gases (NFPA 58);
Standard for Health Care Facilities (NFPA 99).
NIST National Institute of Standards and Technology | www.nist.gov
NIST is an agency of the U.S. Department of Commerce’s Technology Administration and was established to
advance measurement science and develop standards.
SMACNA Sheet Metal and Air Conditioning Contractors’ National Association | www.smacna.org
SMACNA is an international association of union contractors with chapters throughout the United States,
Canada, Australia and Brazil. SMACNA develops technical standards and manuals for all facets of the sheet
metal industry, including duct construction and installation, air pollution control, energy recovery, and roofing.
SMACNA’s Technical Resources Department answers technical questions from architects and others.
UL Underwriters Laboratories | www.ul.com
Underwriters Laboratories Inc. (UL) is an independent product safety certification organization that has been
testing products and writing standards for safety for over a century. UL evaluates products, components,
materials and systems. UL’s worldwide family of companies and network of service providers includes 64
laboratory, testing and certification facilities serving customers in 104 countries.
PART TWO The Context of Practice
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Appendix B –
List: Certification and Testing Agencies
This is a partial list of various certification and testing agencies in Canada. Some of these organizations also
prepare standards.
BNQ Bureau de normalisation du Québec
CaGBC Canada Green Building Council
CALA Canadian Association for Laboratory Accreditation Inc.
CGA Canadian Gas Association
CLAS Calibration Laboratory Assessment Service/NRC
CLSAB Canadian Lumber Standards Accreditation Board
COFI Council of Forest Industries
CSA Canadian Standards Association
CWB Canadian Welding Bureau
ITS Intertek Testing Services
KPMG KPMG Performance Registrar Inc.
NLGA National Lumber Grades Authority
SGS SGS International Certification Services Canada Inc.
ULC Underwriters Laboratories of Canada
UL Underwriters Laboratories (U.S.)
WHPS Warnock Hersey Professional Services
PART TWO The Context of Practice
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Appendix C –
List: Trade Associations
This is a partial list of trade associations organized by the MasterFormat™ divisions with a link to the website.
The list includes Canadian and U.S. references. The contact information can also be found through a search
on the Internet or in the following sources:
National Master Specification (NMS)
Associations Canada – the Directory of Associations in Canada
Division 3
ACI American Concrete Institute, www.concrete.org
ACPA American Concrete Pavement Association, www.acpa.org
ACPA American Concrete Pipe Association, www.concretepipe.org
CAC Cement Association of Canada, www.cement.ca
CPCI Canadian Precast Prestressed Concrete Institute, www.cpci.ca
CRSI Concrete Reinforcing Steel Institute, www.crsi.org
NPCA National Precast Concrete Association, www.precast.org
PCI Precast/Prestressed Concrete Institute, www.pci.org
Division 4
BIA Brick Industry Association, www.gobrick.com
BSI Natural Stone Institute, www.naturalstoneinstitute.org
CBAC Clay Brick Association of Canada, www.claybrick.ca
CMC Canada Masonry Centre, www.canadamasonrycentre.com
CMCA Canadian Masonry Contractors Association, www.canadianmasonrycontractors.com/designers
NCMA National Concrete Masonry Association, www.ncma.org
Division 5
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AA Aluminum Association, www.aluminum.org
AWPA American Wire Producers Association, www.awpa.org
AWS American Welding Society, www.aws.org
CISC Canadian Institute of Steel Construction, www.cisc-icca.ca
CSSBI Canadian Sheet Steel Building Institute, www.cssbi.ca
NAAMM National Association of Architectural Metal Manufacturers, www.naamm.org
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AHA American Hardboard Association, www.domensino.com/AHA
AITC American Institute of Timber Construction, www.aitc-glulam.org
AWI Architectural Woodworking Institute, www.awinet.org
AWMAC Architectural Woodwork Manufacturers Association of Canada, www.awmac.com
AWPA American Wood Protection Association, www.awpa.com
CPIA Canadian Plastics Industry Association, www.plastics.ca
CWC Canadian Wood Council, www.cwc.ca
FPS Forest Product Society, www.forestprod.org
NHLA National Hardwood Lumber Association, www.nhla.com
OFIA Ontario Forest Industries Association, www.ofia.com
TPIC Truss Plate Institute of Canada, www.tpic.ca
Division 7
AI Asbestos Institute, www.theasbestosinstitute.com
CRCA Canadian Roofing Contractors’ Association, www.roofingcanada.com
EIMA EIFS Industry Members Association, www.eima.com
TIAC Thermal Insulation Association of Canada, www.tiac.ca
Division 8
AAMA American Architectural Manufacturers Association, www.aamanet.org
AGMCA Architectural Glass and Metal Contractors Association, www.agmca.ca
CSDMA Canadian Steel Door Manufacturers Association, www.csdma.org
GANA Glass Association of North America, www.glasswebsite.com
NGA National Glass Association, www.glass.org
WDMA Windows & Door Manufacturers Association, www.wdma.com
PART TWO The Context of Practice
Division 9
AWCI Association of Wall and Ceiling Industries International, www.awci.org
CPCA Canadian Paint and Coatings Association, www.canpaint.com
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NFCA National Floor Covering Association, www.nfca.ca
TCAA Tile Contractors Association of America, www.tcaainc.org
TTMAC Terrazzo, Tile and Marble Association of Canada, www.ttmac.com
WACCA Walls and Ceilings Contractors Association, www.wacca.ca
Division 23
AHRI Air Conditioning Heating and Refrigeration Institute, www.ahrinet.org
AMCA Air Movement and Control Association Inc., www.amca.org
API American Petroleum Institute, www.api.org
CGA Canadian Gas Association, www.cga.ca
HRAI Heating, Refrigerating and Air Conditioning Institute of Canada, www.hrai.ca
MCAC Mechanical Contractors Association of Canada, www.mcac.ca
MSS Manufacturers’ Standardization Society of Valve and Fittings Industry, www.msshq.org
SMACNA Sheet Metal and Air Conditioning Contractors National Association, www.smacna.org
Division 26
CECA Canadian Electrical Contractors Association, www.ceca.org
EFC Electro-Federation Canada, www.electrofed.com
IEEE Institute of Electrical and Electronics Engineers, www.ieee.ca
NEMA National Electrical Manufacturers Association, www.nema.org
Division 28
CANASA Canadian Security Association, www.canasa.org
Division 32
AAPT Association of Asphalt Paving Technologists, www.asphalttechnology.org
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Division 33
AWWA American Water Works Association, www.awwa.org
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PART THREE
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Management of the
Architectural Practice
CHAPTER 3.1
Starting and Organizing an
Architectural Practice 220
CHAPTER 3.2
Succession Planning 245
CHAPTER 3.3
Brand, Public Relations,
and Marketing 261
CHAPTER 3.4
Financial Management 274
CHAPTER 3.5
Office Administration 298
CHAPTER 3.6
Human Resources 313
CHAPTER 3.7
Technology Systems 341
CHAPTER 3.8
Risk and Professional Liability 349
CHAPTER 3.9
Architectural Design
PART THREE Management of the Architectural Practice
Services and Fees 390
CHAPTER 3.10
Other Architectural Services 408
CHAPTER 3.11
Standard Templates for
Architectural Practice 447
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Chapter 3.1
Starting and Organizing an
Architectural Practice
Contents
Definitions 222
Introduction 222
Styles of Architectural Practices 223
Business Model, Business Plan and Strategic Plan 223
Business Model 223
Business Plan 225
Strategic Plan 226
Types of Ownership of an Architectural Practice 227
Sole Proprietorships 227
Partnerships 228
Corporations 228
Partnership of Corporations 228
Joint Ventures 228
Multi-disciplinary Firms 229
Foreign Firms 229
PART THREE Management of the Architectural Practice
Structure of an Architectural Practice 229
Design Teams or In-house Studios – Project-based Organization 229
Departments – Functional Organization 230
Other Professional Services 230
Legal Services 230
Accounting and Tax Planning 231
Insurance Providers 231
Investment and Retirement Planning 232
References 233
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Appendix A – Business Plan Outline 234
Appendix B – Checklist: Issues to Consider for Partnership Agreements 235
Establishment of the Partnership 235
Term and Termination 235
Disposition of Partnership Interests 235
Accounting 236
Restriction on Partners 236
Management of the Partnership 236
Capital and Income 237
General 237
Appendix C – Checklist: Issues to Consider for a Shareholders’ Agreement
for Architectural Corporations 238
Construction of the Agreement 238
Parties to the Agreement 238
Rights and Obligations of Shareholders 238
Default 239
Financing 239
Management of the Company 239
Issuance of Additional Shares 239
Term and Termination Options 240
Insurance 240
Valuation Methods 240
Sale of Shares 240
General Sale Provisions 241
PART THREE Management of the Architectural Practice
General Contract Provisions 241
Appendix D – Checklist: Issues to Consider when Preparing a Joint
Venture Agreement 242
Establishment of Joint Venture 242
Management of Joint Venture 242
Responsibilities of Each Architectural Practice 242
Financial Matters and Ownership of Property 243
Term and Termination Options 243
Consequences of Termination 243
Other 244
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Definitions
Corporation: A legal business entity formed by a group of people which acts as a single unit. A legal instrument
is required to create the entity as a commercial corporation.
Joint Venture: A defined business relationship between two or more architectural practices for a limited
purpose or objective, without some of the inherent duties and responsibilities of a partnership.
Partnership: An unincorporated relationship between architects (or other professionals, as may be permitted
by provincial requirements) for carrying on business in common.
Sole Proprietorship: An architectural practice owned and controlled exclusively by one person.
Introduction
Architects decide to set up their own practices for many different reasons. Some of these include:
the desire to control one’s own professional destiny;
the motivation to provide service to society and to clients;
the wish to specialize in a certain field of architecture or market niche;
an offer to form a partnership or purchase shares from an established firm or colleague;
the award of a significant commission, either through a competition or from a business associate;
a means for creating work or employment.
Anyone considering such a change should be aware from the outset that establishing an architectural practice
has serious implications for one’s personal, professional and business life. The individual should carefully
weigh all the implications before embarking on this course.
Establishing and maintaining an architectural practice demands certain skills. The owner(s) of an architectural
practice must be able to:
develop and market a firm’s value proposition, attract clients, and sell services;
PART THREE Management of the Architectural Practice
negotiate terms and compensation in client-architect agreements;
hire and manage qualified staff;
perform the full range of architectural services efficiently and effectively;
work with the construction industry and administer contracts;
operate profitably and provide stability to the practice.
The first key steps in launching a practice are to assess one’s own abilities, set long-term goals, and develop a
business model, business plan and strategic plan.
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Styles of Architectural Practices
Many organizations develop a mission statement which helps to ensure that all members of the organization
focus on the goals established in the strategic plan.
The mission statement should define the style of practice, to a certain extent. Three common generic styles as
described by The Coxe Group are:
Strong-idea (brains) firms, which are organized to deliver singular expertise or innovation on unique projects.
The project technology of strong-idea firms flexibly accommodates the nature of any assignment, and
often depends on one or a few outstanding experts or “stars” to provide the last word;
Strong-service (gray-hair) firms, which are organized to deliver experience and reliability, especially on
complex assignments. Their project technology is frequently designed to provide comprehensive services
to clients who want to be closely involved in the process;
Strong-delivery (procedure) firms, which are organized to provide highly efficient service on similar or more
routine assignments, often to clients who seek more of a product than a service. The project technology of
a delivery firm is designed to repeat previous solutions over and over again with highly reliable technical,
cost and schedule compliance.
– excerpt from the book Success Strategies for Design Professionals by The Coxe Group, Inc.
However, a “style” of architectural practice is a profile of a set of factors that combine to create an overall
image of the firm. Detailed planning is required to create a profile that is both unique and recognizable in the
marketplace. The style defines the “value proposition” of the firm – the way it differentiates itself from others.
As the firm evolves, it may exhibit a combination of two or more of these styles.
Business Model, Business Plan and Strategic Plan
The business model, business plan and strategic plan are three related but different documents. Each has a
distinct purpose and the three build a complete perspective of the business.
Business Model
PART THREE Management of the Architectural Practice
The business model is a description and illustration of what value the business will offer the marketplace, how
a business will serve clients and generate income, and what resources and partnerships are needed to provide
services.
Architectural firms employ a variety of business models in creating and managing their resources and capital
assets. Relying solely on a traditional owner/client relationship as a business model may result in architects
losing their influence in the design-construction-operation supply chain. Like all industries, architectural
design services must explore innovative ways of doing business through new types of value generation for
clients, forming new partner relationships, and exploring opportunities for enhancing both the efficiency and
effectiveness of service delivery, and alternative income streams. The business model precedes both business
planning and strategic planning.
The business model canvas approach developed by Alex Osterwalder provides both a process and tools
for exploring from the ground up how a firm approaches doing business and generating value, rethinking
traditional systems and assumptions, and focusing on what is important in service delivery.
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The business model canvas is comprised of nine components:
Traditional Architectural Practice
Key Partners Key Activities Value Propositions Customer Relationships Customer Segments
FACILITY OWNERS &
PROBLEM-SOLVING DEVELOPERS
• Subconsultant
• Personalized service
Engineering Firms • Information gathering • Institutional
appropriate to
• Specialist Consulting • Analysis problem-solving • Healthcare
Brand built on
Firms • Decision making • Education
unique approach to • Costly in terms of marketing
problem solving • Research
• Documenting the solution & relationship building and
maintenance • Commercial
• Monitoring solution
implementation • Industrial
• Residential
• Solve complex, ill-structured • Single Family
Key Resources Channels
design problems specific to • Multi-unit
each client’s need • Business & personal URBAN PLANNING
• Human Resources
• Requires personalized network
• Physical office • Municipalities
service, deep understanding • Competitive procurement
exemplary of design skills of client organization PROGRAMMING &
processes
& context INVESTIGATION
• Technology assets
• Personalized service leads • Institutions
• Financial support • Responsive to schedule, to network sustainability
(project financial support) budget and quality of service • Complex Commercial
Cost Structure Revenue Streams
• Emphasis is on human resources with problem-solving skills & • Single income stream based on fees for Service
extensive design and technical knowledge
• Balance between Cost Driven and Value Driven cost structures
Efficiency Value
FIGURE 1 Business model canvas, adapted from “Business Model Generation” by Alexander Osterwalder and Yves Pigneur.
As an example of the value proposition, a firm might look at generating value for clients using a business
model that focuses on sustainable and regenerative design that requires much higher levels of collaboration
among a larger project team.
PART THREE Management of the Architectural Practice
The value of the architect in the role of facilitator should be explicitly stated in a value proposition – a value
proposition that places a strong focus on programming, and client and stakeholder engagement. Emphasis
on broader consultation and increased use of technical support early in the project may require different key
resources and activities, and non-traditional project partners. Imagine a business model for an architectural
practice that incorporates the following strategies to achieve high-performing sustainable design outcomes:
leadership through information dissemination and facilitation;
scenario planning and analysis;
imagination in programming and templating for production;
regular research supporting ideation and documentation;
knowledge management through structured systems supported by corporate memory;
evidence-based decision making;
use of generalists and supporting specialists;
attention to program over form, while recognizing the formal potential of understood building patterns.
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Many firms have adopted the use of building information modeling (BIM) as an enhanced technology
supporting visualization of design and increased efficiency in production. However, the most significant value
of BIM is the integration of the design-construction industry supply chain with the potential for transparency
of information flow along the chain. This may result in accelerated project delivery when alternatives to the
traditional predictive project planning methods are applied. Rethinking how an architecture firm addresses
value creation and repositioning itself in an integrated supply chain is best done through innovating a new
business model.
Refer to additional business modeling and value proposition creation references at the end of this chapter.
The business model canvas is a tool to assist the architect in identifying value that will attract clients and
expand the practice’s client base in a number of ways, including:
specializing in a field of expertise or in a building type;
developing new markets through expanding client channels, developing new client relationships, or
identifying new client segments;
providing additional value through pre-design or post-construction services to encompass the life cycle of
a facility;
forming partnerships with non-traditional groups or individuals who are not normally aligned with
architects.
Business Plan
The business plan applies the knowledge gathered through business modeling and presents a detailed
description of the firm’s proposed structure, income-generating potential, and resource needs, including
financial, human and technological. The business plan is a start-up document with a defined and short-term
timeframe, perhaps the first year. It is used to demonstrate to a firm’s partners in business, such as financial
backers and suppliers of key resources, that the firm can attract clients, generate income, realize profit, and
meet its commitments.
The business model describes services and deliverables that an architect thinks their proposed client
segments will find attractive, and how they intend to create and deliver them. The business plan describes
the operational systems that the firm will put into place to deliver those products and services. The business
plan describes, in concise and accurate terms, the result of research, demonstrating projected income, costs,
a list of needed resources and their costs, projected cash flow, how the business is going to attract clients and
PART THREE Management of the Architectural Practice
secure commissions, and a timeline towards profitability.
The business plan provides answers to hard, real-world questions. It may take some time for an emerging
proprietor to complete the research needed and create a valid business plan. One of the most difficult aspects
may be finding and securing those first initial commissions that will support the practice in the first year. An
invaluable resource in this process is a client-champion who values an architect’s past work, appreciates their
design vision, agrees with their approach to project management, and likes them.
An established firm will likely have to revisit its business plan on an ongoing basis. It is an evolving document
that develops with the firm over time.
There are many resources available to support business plan development, as well as consultants who
specialize in helping professional services firms. Financial institutions and entrepreneurial centres offer
planning services, tools and templates, and small business financial packages to support their clients with
business planning.
See “Appendix A – Business Plan Outline” at the end of this chapter for a list of the parts of the business plan.
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Strategic Plan
Rena Klein’s table of contents for a business plan, see Appendix A, is just one example that may demonstrate
a combination of business plan and strategic plan. It also presupposes that the goal of the firm in her
example is growth from a small to medium-sized firm. One of the most important factors that drives a firm
to develop a strategic plan is the need to extend the management of the practice beyond the reach of the
sole practitioner, either through partnership, when multiple owners must agree on the strategic direction
and managerial approaches, or when employees are charged with management responsibilities.
Where the business plan is a shorter-term document created to initiate an architecture firm, the strategic
plan presents a management strategy that will guide a firm into the three- to five- and even 10-year horizon.
Strategic planning is a structured process that results in a clear articulation of a firm’s mission and purpose
in delivering professional services, its vision for the future, and the measures that the firm needs to take
to realize sustainable success in the long, medium, and short term. The strategic plan is a design for the
firm’s future. It is a document that details the management decisions and actions that need to be taken, and
maps a course for the development of an architectural practice in clear, concise terms. It should identify the
following:
the mission and values of the practice;
a vision for the future of the practice;
how those values align with the client segments it seeks to attract in the marketplace;
the architectural practice’s value proposition(s) that describes its unique offerings;
the actions needed to acquire resources, attract partners, and innovate;
measurable long-, medium- and short-term goals.
It is common for firms to undertake a SWOT analysis (strengths, weaknesses, opportunities and threats) as
part of their strategic planning process.
The alternative to strategic planning is allowing external events to unfold and influence or control a firm’s
direction. Rather than searching for specific opportunities that align with a firm’s purpose and capabilities,
picking up opportunities as they arise results in the instability that accompanies unplanned growth or
contraction, and vulnerability to market forces.
Strategic planning is a process that requires the business savvy, market intelligence, and leadership of the
PART THREE Management of the Architectural Practice
firm’s leaders. There is no single correct process for strategic planning. Useful tools and techniques can
be found in many sources, including the business model canvas. Professional services consulting firms
can facilitate strategic planning processes and provide their own tools and techniques to assist the firm’s
leaders in preparing their strategic plan.
Typically, a strategic plan encompasses a timeframe of three to 10 years and it should be updated continually.
In addition to the elements identified above, the plan should also address the following issues:
a value proposition(s) effectively and efficiently delivered through channels to targeted client segments;
a financial plan that includes its revenue stream projections and cost structures;
a description of the key resources, including human resources and technology systems, key activities
that generate value, and strategic partnerships;
the process and timeframe for strategic plan review.
In certain instances, a succession plan or risk management may be appropriate.
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The key resource required for strategic planning is the discipline to set aside the tasks and demands of day-
to-day activity and maintain a focus on the future. There are a variety of tools and techniques readily available
to support the various stages of developing a strategic plan. Some are quite simple to use but may require
skilled facilitation to tease out underlying causes of problems, see through the superficial, and dare to think
beyond the immediate challenges. The list below includes only a few of many common information gathering
and analysis tools that are useful in a strategic planning process. See the list of references in this chapter for
additional resources.
Brainstorming:
Freely creates ideas and generates innovation without analysis or criticism;
Affinity analysis:
Organizes ideas into thematic groups;
SWOT analysis:
Examines an organization’s internal strengths and weaknesses and external opportunities and threats;
SOAR analysis:
Examines an organization’s strengths and opportunities, aspirations and results;
GAP analysis:
Examines the current situation, the desired situation, and the obstacles that lie in the path between those two.
Types of Ownership of an Architectural Practice
Architectural practices are structured according to size and complexity. Frequently, a practice will start as a
simple entity, such as a sole proprietorship, and perhaps later evolve into a more complex legal structure,
such as a corporation, or partnership of corporations. Several factors affect the type of ownership, including
relationships with professional colleagues, tax implications, and exposure of personal assets. Architects should
seek legal and accounting advice before structuring a practice, as well as confirm ownership regulations with
the provincial or territorial regulator.
All business relationships should be based on a written agreement. Business partners should share certain
values and financial goals, and architects are no exception. For partners or shareholders, a well-structured
agreement provides a vehicle to deal with expansion, difficulties and disagreements, as well as disasters.
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Obtaining professional advice from a lawyer and an accountant in preparing an agreement that outlines the
ownership of an architectural practice is essential. The structure of the practice must comply with the various
architects acts and regulations of the provincial or territorial associations of architects, as well as with other
business regulations.
See Appendix E – Charts: Comparison of Practice Requirements of Each Provincial or Territorial Association in
Chapter 1.6 – The Organization of the Profession in Canada.
Sole Proprietorships
A sole proprietor is a single, unincorporated owner of an architectural practice. This architect has full personal
control over all aspects of the practice. A sole proprietor can range from someone with a small, home-based
office practice to an architect who employs many professionals and paraprofessionals. Most architectural
practices in Canada are sole proprietorships.
See Chapter 3.3 – Brand, Public Relations and Marketing for information on marketing architectural services.
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Partnerships
A partnership is comprised of two or more partners. Most provincial and territorial associations impose
restrictions on whom an architect may form a partnership with.
See Appendix E, – Chart C: Comparison of Provincial or Territorial Requirements Regarding Partnerships, in Chapter
1.6 – The Organization of the Profession in Canada.
A partnership may include “associates”; however, only the partners bear personal responsibility for the
control and liabilities of the practice. Each partner is both jointly and severally liable for the partnership’s
full obligations. Because a partnership is a complex form of ownership, its terms should be spelled out in a
partnership agreement. For items to include in a partnership agreement, see Appendix B – Checklist: Issues to
Consider for Partnership Agreements at the end of this chapter.
Corporations
A corporation is a legal, collective entity authorized by statute to act as an individual business unit. Most
provincial and territorial associations of architects have regulations that restrict the share ownership and the
qualifications of directors of architectural corporations. Provincial and territorial architectural associations
have different requirements for corporation setups. See Appendix E – Chart D: Comparison of Provincial or
Territorial Requirements Regarding the Ownership and Structure of Corporations Which Practise Architecture in
Chapter 1.6 – The Organization of the Profession in Canada.
Incorporating a practice is done for a variety of reasons, including to provide a means for a group of people to
act as a single entity, and to manage taxation. Legal and accounting advice should be sought before forming a
corporation and entering into a shareholders’ agreement. For items to include in a shareholders’ agreement,
see Appendix C – Checklist: Issues to Consider for a Shareholders’ Agreement for Architectural Corporations at the
end of this chapter.
Partnership of Corporations
A partnership of corporations is an architectural practice structured to preserve the individual identity of two
or more corporations. There are a variety of reasons for creating this form of business entity. Such an entity:
enables individual architects who are incorporated for business or tax reasons to practise with both the
advantages of a partnership and the advantages of their corporation;
allows two or more corporate practices to retain separate identities for certain types of projects but to
join forces for other types of projects;
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allows the bringing together of complementary but differing interests and ownership – for example,
one corporation may focus on architectural services, while the other is a corporation providing support
through drafting services, equipment, real estate and other chattels, etc.
Joint Ventures
Joint ventures are usually formed by two or more firms to create one architectural entity for the purpose of a
single specific project. Frequently, a joint venture is set up to provide complementary services for a particular
project – for example, a practice specializing in hospital work may need to team up with a firm located near
the site of the project to provide contract administration services, especially field review.
Joint venture projects may require special liability insurance, often on a single-project basis, to protect the parties
forming the joint venture. Architects contemplating working in a joint venture should review the circumstances
with their professional liability insurers to determine the most appropriate insurance arrangements. Clients
may require the participants of a joint venture to obtain single-project insurance with higher limits than the
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practices carry through their annual practice insurance. Large institutions or governments may not permit
a joint venture because they are concerned about the transitory nature of the venture. They may require a
single party to hold accountability for various reasons.
Architectural practices should clearly define – in writing – their share of the services and fees before entering
into a joint venture. Some provincial and territorial associations regulate joint ventures and their names. For
items to include in a joint venture agreement, see Appendix D – Checklist: Issues to Consider when Preparing a
Joint Venture Agreement at the end of this chapter.
Multi-disciplinary Firms
Multi-disciplinary firms are professional companies which include architects and other professionals,
usually engineers. Such firms may also include urban planners, landscape architects, interior designers,
energy modelers, sustainable design, and other consultants. Multi-disciplinary firms must comply with the
requirements of the provincial and territorial associations of architects in order to practice architecture. It
can sometimes be beneficial to have all disciplines on a building project readily available in-house. Such an
arrangement can simplify communication between and coordination of the various disciplines.
Foreign Firms
Certain foreign architectural firms have established branch offices in Canada. The structure of the foreign
firm and its ownership must nevertheless comply with the requirements of the provincial and territorial
associations of architects. Several Canadian firms have established branch offices overseas to better serve
foreign clients.
Structure of an Architectural Practice
Once a firm is established, it requires an internal structure or mechanism for delivering architectural services.
The structure of the practice depends on its leadership and its values and culture, and on the needs of the
project.
There are several standard organizational structures:
design teams or in-house studios (project-based organization);
departments structured by responsibilities, such as design, document production, and contract
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administration (functional organization);
a combination of the above, where the project architect negotiates with the departmental managers or
office manager to acquire the needed resources for a specific project and works across the functional
departments of the organization (matrix organization).
Some architectural practices subdivide the office into teams to deal with a project in its entirety; others
compartmentalize the firm, permitting each department to specialize in one type or stage of architectural
services. Each of these methods reflects a different approach to responsibilities and reporting relationships,
and a different balance of efficiency and effectiveness.
Design Teams or In-house Studios – Project-based Organization
A design team is usually assembled for a specific project, drawing on the skills of personnel in the office.
The team leader, typically a project architect, coordinates and manages the team and deals with the client,
sometimes together with the “principal in charge.” Occasionally, some architectural practices establish studios
which remain together as efficient working teams for an indefinite period of time.
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Departments – Functional Organization
Some larger architectural practices subdivide staff into groups or departments. Usually each department is
responsible for a different phase of the project, such as:
business development and marketing;
design and design development;
construction documentation;
construction administrations;
specialized teams such as programming, sustainability and BIM;
support teams such as accounting, human resources, information technology, management, etc.
However, regardless of departmentalization, there must always be an architect leading the project who is
accountable for supervision and for directing the work related to the design of the project.
Other Professional Services
Several external professional services are likely to be required to support an architectural practice. These
include but are not limited to:
legal services;
accounting and tax planning;
insurance providers;
investments and retirement planning;
human resources;
information technology.
Legal Services
Establishing a professional relationship with a lawyer is important for the architect. Legal services may be
required for the following:
establishing a partnership or corporation;
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preparing annual minutes for the corporation;
entering a lease or purchasing office property;
preparing certain employment agreements with staff;
reviewing professional liability insurance options and claims;
reviewing non-standard client-architect agreements or amendments to standard agreements;
reviewing non-standard owner-contractor agreements or amendments to standard agreements (on
behalf of the client);
assisting in the collection of accounts which are in dispute;
handling other disputes or legal issues (such as filing and processing liens and mortgages);
human resources problems.
It may be necessary to establish a relationship with a number of different lawyers who have expertise in
specific fields of practice, or, alternatively, with a larger firm of lawyers that has a range of in-house expertise.
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Accounting and Tax Planning
It is also important to establish a relationship with an accountant. Accounting services may be required for
the following:
establishing a practice, whether a sole proprietorship, partnership or corporation;
establishing financial terms of a partnership or shareholders’ agreement;
preparing periodic balance sheets and profit/loss positions;
preparing annual financial statements;
preparing personal and corporate income tax returns;
assisting in the preparation of sales and value-added tax returns;
assisting a lawyer in the preparation of a corporation’s annual minutes;
analyzing the financial position of the practice;
providing tax planning advice.
Some larger architectural practices employ a controller, usually an accounting professional, who directs and
monitors the day-to-day financial operations of the practice. It may still be required to engage an accountant
to provide:
tax planning advice;
ongoing advice on the financial position of the firm;
financial statements;
if required, audited statements.
See also Chapter 3.4 – Financial Management for other issues to discuss with an accountant, and for an overview
of the financial operations of an architectural practice.
Insurance Providers
An architectural practice will have a variety of insurance requirements. These will include:
Professional liability insurance:
general coverage;
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special project coverage;
add-on insurance or “excess” coverage.
In addition to the insurance related to the firm’s activities, the firm may need to hold policies related to:
Office premises and automobiles:
theft and vandalism;
accident;
fire and other damage;
owned and leased vehicles.
Life and accident insurance:
personal;
business partners and directors.
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Disability insurance, to cover:
office overhead;
loss of business;
personal income (income protection).
Medical and dental:
extended medical care;
dental plan;
vision care.
Workers’ Compensation (regulated provincially).
To ensure that the practice is properly and adequately covered, consult an experienced insurance agent or an
independent risk management advisor.
Several provincial and territorial associations of architects have established liaisons with certain insurance
underwriters who provide discounted premiums to architects. Professional liability insurance is a specialized
type of insurance provided by a limited number of insurance underwriters. In Ontario, Pro-Demnity Insurance
Company, a wholly owned subsidiary of the Ontario Association of Architects, and in Quebec, the Fonds
d’assurance de la responsabilité professionnelle de l’Ordre des architectes du Québec, provide professional
liability insurance to their members.
See also Chapter 1.6 – The Organization of the Profession in Canada, Chart 5B: A Comparison of Provincial and
Territorial Requirements Regarding Professional Liability Insurance.
Investment and Retirement Planning
Although not unique to the profession, all architects should plan for retirement and, therefore, seek the advice
of a financial investment professional to ensure proper retirement planning.
See also Chapter 3.2 – Succession Planning for other considerations related to retirement planning.
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References
Bens, Ingrid. Facilitating with Ease. Hoboken, NJ: Wiley, 2018.
Clark, Tim, and Bruce Hazen. Business Models for Teams. New York: Portfolio Penguin, 2017.
Coxe, Weld, Nina F. Hartung, Hugh Hochberg, Brian J. Lewis, David H. Maister, Robert F. Mattox, and Peter A.
Piven. Success Strategies for Design Professionals. The Coxe Group Inc., 1987.
Cramer, James P. Design Plus Enterprise: Seeking a new reality in architecture. Washington, D.C.: The American
Institute of Architects Press, 1994.
Cuff, Dana. “Professions and Professional Life.” The Architect’s Handbook of Professional Practice. Washington,
D.C.: The American Institute of Architects Press, 1994.
Demkin, Joseph A., executive editor. The Architect’s Handbook of Professional Practice. The American Institute of
Architects. Hoboken, NJ: John Wiley & Sons, Inc., 2008.
Klein, Rena, FAIA. The Architect’s Guide to Small Firm Management: Making Chaos Work for Your Small Firm.
Hoboken, NJ: Wiley, 2010.
Kogan, Raymond F. Strategic Planning for Design Firms. Kaplan Publishing, 2007.
Maister, David H. Managing the Professional Service Firm. New York: Simon and Schuster, 1997.
McGill Business Consulting Group. Succeeding by Design - A Perspective on Strengthening the Profession of
Architecture in Ontario and Canada. 2003.
Osterwalder, Alexander, and Yves Pigneur. Business Model Generation. Hoboken, NJ: Wiley, 2010.
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Osterwalder, Alexander, and Yves Pigneur. Value Proposition Design. Hoboken, NJ: Wiley, 2014.
Stasiowski, Frank A. Strategic Planning: Preparing Your Firm for Success in the Future. Newton, MA: PSMJ
Resources, Inc., 1997.
Verma, V.J. The Human Aspects of Project Management, Volume One: Organizing Projects for Success. Newtown
Square, PA: Project Management Institute, 1995.
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Appendix A –
Business Plan Outline
Referencing Rena Klein’s The Architect’s Guide to Small Firm Management: Making Chaos Work for Your Small Firm,
a business plan for an architectural practice may include the following sections:
1. Purpose/Business model:
a. philosophy/core values;
b. project types/client types;
c. career contentment and disposition of the owners;
d. core competence and weaknesses;
e. market opportunities and threats to market position;
f. firm size;
g. firm future, including transition plan.
2. Financial plan:
a. financial expectations of owners;
b. revenue goal over time;
c. operating budget expectations over time;
d. profit plan over time;
e. scenario plans for firm revenue and staffing over time.
3. Operational structure:
a. organizational structure;
b. technology upgrades and integration;
c. project delivery model;
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d. knowledge acquisition and development;
e. promotion, recruitment, and compensation.
4. Marketing plan:
a. external market conditions and competition;
b. target market;
c. key differentiators;
d. image and brand;
e. relationship-building and network plan.
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Appendix B –
Checklist: Issues to Consider for Partnership Agreements
The following is a list of common concerns and clauses in partnerships and partnership agreements. The list is
not exhaustive, will vary in individual circumstances, and cannot replace legal advice. Architects should consult
their lawyer(s) before negotiating and entering into a partnership or partnership agreement.
Establishment of the Partnership
Description N/A Notes
1. Identification of partners
2. Partnership name and trademark or logo
3. Registration of partnership under Partnerships
Registration Acts
4. Right to use former partner’s name(s)
5. Place of business
6. Description of architectural practice
Term and Termination
Description N/A Notes
1. Commencement date
2. Termination or dissolution
3. Liquidation or distribution of assets
4. Ownership of clients
Disposition of Partnership Interests
Description N/A Notes
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1. Admission of new partners
2. Retirement, bankruptcy, prolonged illness or
death of partner
3. Sale of partnership interest to third party
4. Valuation of partnership interest
5. Prohibition of assignment or encumbrance of
partnership interest
6. Expulsion of partner
7. Grounds for dissolution of partnership
8. Purchase options: on death, retirement or expul-
sion, or by successors from continuing founders
9. Power of attorney
10. Indemnification for retired partners or
deceased estate when name used
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Accounting
Description N/A Notes
1. Accounting principles
2. Auditor
3. Fiscal year and budget
4. Banking arrangements
5. Partnership assets and personal assets
Restriction on Partners
Description N/A Notes
1. Restrictions on use of partnership name
2. Liability for personal obligations
3. Indemnities of partners for prohibited acts
4. Payments of separate debts
5. Devotion of full time and attention to business
6. Non-competition
7. Requirements of partners to enter into
marriage contracts with spouses
8. Insurance
9. Maintenance of good standing and
architectural licence
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Management of the Partnership
Description N/A Notes
1. Partners’ authorities
2. Appointment of managing partner
3. Management committee
4. Contracting with third parties
5. Division of responsibilities
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Capital and Income
Description N/A Notes
1. Contribution of capital
2. Division of net profits
3. Drawing on partnership funds
4. Limitation of one partner’s share in profits and
losses
5. Inclusion of salaries and benefits in
determining partners’ profits
6. Liability to account for outside income
7. Remuneration for outside income
General
Description N/A Notes
1. Mediation and arbitration
2. Ownership of copyright and waiver of moral
rights
3. Confidentiality and trade secrets
4. Further assurances
5. Loss of professional membership of any
partner
6. Volunteerism
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Appendix C –
Checklist: Issues to Consider for a Shareholders’ Agreement
for Architectural Corporations
The following is a list of common concerns and clauses in a shareholders’ agreement. The list is not exhaustive,
will vary in individual circumstances, and cannot replace legal advice. Architects should consult their lawyers
before negotiating or entering into a shareholders’ agreement.
CONSTRUCTION OF THE AGREEMENT
Parties to the Agreement
Description N/A Notes
1. Parties who are non-residents
2. Requirements of provincial or territorial
associations of architects
3. Number of shares and classes of shares held
by each shareholder
4. Shares free and clear of liens and
encumbrances
5. Warranty of the corporation regarding
authorized capital and issued and outstanding
securities
6. Unanimous or non-unanimous agreement
7. Termination of prior shareholders’ agreements
8. Jurisdiction of incorporation
9. Incorporation of articles and bylaws
Rights and Obligations of Shareholders
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Description N/A Notes
1. Permitted outside activities
2. Employment of shareholders
3. Protection of shareholders
4. Management contracts with shareholders
5. Maintenance and good standing with
provincial or territorial associations of
architects
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Default
Description N/A Notes
1. Events of default
2. Procedure on default
3. Opportunity to remedy
4. Consequences of default
Financing
Description N/A Notes
1. Bank financing and signing officers
2. Calls on shareholders for additional financing
3. Guarantees of debt of the corporation
4. Use of surplus and net income
5. Dividends
6. Auditors and bankers of the corporation
Management of the Company
Description N/A Notes
1. Business of the company
2. Organization and management of the
company as per Architects Act
3. Composition of the board of directors
4. Limitations on authority of the board as per
Architects Act
5. Matters for which the shareholders are to be
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notified and addresses for notices
6. Officers of the corporation and term of office
7. Appointment and replacement
8. Time to be devoted by officers
9. Remuneration of officers and directors
10. Proper books and records
11. Meetings of the directors and shareholders
Issuance of Additional Shares
Description N/A Notes
1. General procedure
2. Pre-emptive rights
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Term and Termination Options
Description N/A Notes
1. Effective date
2. On death of a party
3. On sale of business
4. Upon there being only one shareholder
Insurance
Description N/A Notes
1. Lives insured
2. Payment of premiums
3. Payment of benefits under insurance policy
Valuation Methods
Description N/A Notes
1. Agreed-to value
2. Book value
3. Fair market value
4. Formula value
5. Independent appraisal
6. Timing of valuation
Sale of Shares
Description N/A Notes
1. Restrictions on the transfer of shares
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2. Sale of shares to a holding company
3. Guarantee of principal of holding company
4. Rights of first refusal
5. Permitted encumbrances
6. Funding a buyout
7. Shotgun clause
8. Auction
9. Option to purchase/sell
10. Continued disability of shareholder
11. Forced sale
12. Piggyback clauses
13. Matched bids
14. Corporate share re-purchase
15. Death or bankruptcy of shareholder
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General Sale Provisions
Description N/A Notes
1. Notice periods
2. Resignation of vendor
3. Cash or promissory note
4. Security for unpaid balance
5. Provisions regarding the restrictions on the
corporation and shareholders pending full
payment of the purchase price
6. Default of payment
7. Retiring allowance or consultant’s fee
8. Release of guarantees and indemnities
9. General release
10. Repayment of debts
11. Failure to complete closing
12. Non-competition and non-disclosure
13. Family law considerations
14. Deferred sale
15. Tax planning
General Contract Provisions
Description N/A Notes
1. Mention of shareholders’ agreement on share
certificate
2. Addresses for delivery of notices
3. Mediation and arbitration
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4. Further assurances
5. Time of essence
6. Entire agreement and amendment
7. Applicable law
8. Severability
9. Effect of waiver/non-waiver
10. Ownership of intellectual property and know-
how and waiver of moral rights
11. Confidentiality and trade secrets
12. Maintenance of good standing with provincial
association of architects
13. Loss of professional membership of any
shareholder
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Appendix D –
Checklist: Issues to Consider when Preparing a Joint Venture
Agreement
Establishment of Joint Venture
Description N/A Notes
1. Identification of architectural practices
2. Joint venture name and trademark or logo
3. Place of business
4. Description of project
5. Not a partnership
Management of Joint Venture
Description N/A Notes
1. Formation of committee
2. Committee to manage
3. Authority of committee and joint venture
participants
4. Appointment of individuals and replacements
to committee
5. Appointment of project manager
6. Meetings of committee
7. Votes required to authorize actions
8. Equality of votes for each architectural practice
9. Prior consent for fundamental acts
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10. Co-signatures required for important
documents
Responsibilities of Each Architectural Practice
Description N/A Notes
1. Apportionment of responsibilities
2. Apportionment of profit and loss
3. Maintenance of good standing and
architectural licence
4. Joint consent for media releases
5. Capital contributions
6. Property contributions
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Financial Matters and Ownership of Property
Description N/A Notes
1. Appointment of accountant
2. Banking arrangements
3. Fiscal year
4. Drawing on joint venture funds
5. Accounting requirements for each
architectural practice
6. Authority to endorse cheques
7. Approval for expenses
8. Title to intellectual property
9. Insurance requirements
10. Joint venture assets and assets of architectural
practices
Term and Termination Options
Description N/A Notes
1. Effective date
2. Duration of joint venture
3. Bankruptcy/insolvency of architectural
practice
4. Change of control of architectural practice
5. Material default (with/without cure period)
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Consequences of Termination
Description N/A Notes
1. Joint venture liquidation or dissolution
2. Return of property to architectural practices
3. Disposition of property
4. Outstanding balances due
5. Ownership of intellectual property
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Other
Description N/A Notes
1. Settlement resolution and arbitration
2. Confidentiality and trade secrets
3. Copyright
4. Loss of professional membership of any
architectural practice
5. Further assurances
a) addresses for notice
b) no assignment of agreement without
consent
6. Time of essence
7. Entire agreement and amendment
8. Governing law
9. Severability
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Chapter 3.2
Succession Planning
Contents
Definition 246
Introduction 246
Options for Succession Planning 247
Dissolution of the Practice 247
Sale of the Practice 248
Merger with Another Practice 248
Transfer of Ownership 249
New Partners or Shareholders 249
The Strategic Human Resources Planning Process 250
Stage 1: Strategic Planning 250
Stage 2: Development of the Talent Pool 250
Stage 3: Selection and Transition 251
Stage 4: Continuous Renewal 251
The Issues 251
Contingency Planning 251
Review of Shareholder and Partnership Agreements 251
Liability for Past Work 252
Payment 252
Valuation of the Practice 252
Goodwill 252
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References 253
Appendix A – Succession Challenges in the Event of a Sudden Unplanned Closure of a Firm 254
Appendix B – Checklist: Consideration Upon Dissolution 255
Appendix C – Checklist: Items for Consideration in a Buy/Sell Agreement 257
Identification of Business and Payment 257
Securities and Other Regulations 257
Pre-Closing Matters 257
Tax Issues 257
Representations and Warranties of Vendor and Due Diligence of Purchaser 257
Post-Closing Matters 259
Appendix D – Checklist: Items for Consideration in Succession Planning 260
Development of the Talent Pool 260
Selection and Transition 260
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Definition
Goodwill: The intangible element of the value of a business (including the worth of the architect’s legacy,
image, and client base) calculated as the amount by which the value for sale or investment exceeds the sum of
net identifiable assets. This is sometimes measured as the current value of expected future earnings in excess
of the return required for sale or investment, or calculated as a multiple of earnings performance averaged
over a period of five or more previous years.
Introduction
Succession planning is a strategy that successfully transfers capital – whether it be intellectual, financial or
creative – to the next generation of leaders and stakeholders when a firm inevitably restructures due to
key employees retiring, otherwise leaving, or passing away. See also Appendix A of this chapter, Succession
Challenges in the Event of a Sudden Unplanned Closure of Firm
Succession planning in the context of architectural practice is very important, but it has a different meaning
in different types of practice. Historically, succession planning has most often been the concern of sole
proprietorships and partnerships. In these cases, succession plans would need to be developed to manage the
transition of the ownership of practice from one person or a group of persons to other individuals or groups.
In larger, corporate firms, succession planning is still very important, but the plan is not necessarily about
transferring ownership but about developing future leaders at all levels of the practice in order to advance a
body of future potential owners.
In both cases, the core goal of a succession plan is to ensure the ongoing success of the practice by identifying
future leaders, mentoring them, and helping them successfully transition into their new roles.
Proprietors of architectural firms often neglect or avoid thinking about what will happen to their practice after
they retire or leave for other reasons. Planning for this transition – commonly called succession planning – is
very important. Effective succession planning will:
enable proprietors to extend their practice beyond the span of their own careers;
allow emerging practitioners and proprietors to develop the skills necessary for future leadership (see
Chapter 1.4 – Mentorship and Career Transitions);
permit proprietors to obtain a financial return on their investment of money, energy and commitment;
PART THREE Management of the Architectural Practice
address the risk of sudden departure of a key individual.
High-potential individuals are identified and then mentored in order to prepare them for a specific role in the
Timeline
firm. for mentorship
Often this Ownership Transition
is undertaken by the person who currently holds the role and is moving on to
something else. See Chapter 1.4 – Mentorship and Career Transitions.
Strategic Succession Pre-ownership Transfer
Plan Plan Orientation Ownership
• Determine • Identify future • Mentor, prepare • Consult as
long-term goals leaders and and coach key required for legal
managers employees and financial
• Adjust partnership
aspect
or shareholder • Make financial
agreements arrangements
10± years 5± years 2± years ± years
(before departure)
FIGURE 1 Timeline for Ownership Transition
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According to management expert Peter Drucker, “the best way to predict the future is to create the future.”
Effective succession planning requires careful thought and an implementation strategy that can span up to
10 years. A good start is to determine one’s retirement goals and work backward to the present. This notion
seems elementary but is complicated to put into practice.
A comprehensive succession plan will:
set out a transition strategy;
present a profile of a buyer or buyers capable of taking over the architectural practice;
establish the financing;
determine the practice’s value;
deal with tax, legal, and professional liability insurance issues.
Keep in mind the success test for succession planning: Can the departing architect’s clients, staff and legacy be
entrusted to the hands of others without any decrease in the firm’s level of professionalism and reputation?
People may miss the founding architect personally, but they will still be well served if the successors ensure
that the firm’s professional standards are maintained.
Art Gensler describes what he calls “the quiet transition,” one that personally informs clients of succession
changes and is not publicized in the media, to relieve pressure on all concerned. He writes:
“By quietly making the transition, you take a more personalized approach toward making your clients
aware of the changes, and give them a preview of some of the positive changes to come. Ultimately,
you give the new leadership a chance to become the trusted advisor that your clients and employees
have come to expect at your company.” (Gensler, p. 86)
Options for Succession Planning
This chapter describes five succession options. Each specific practice will have unique characteristics that will
result in different chances of success, selling prices or firm valuation, and planning horizons. Actual outcomes
will vary according to the size of the firm, and the effectiveness of the strategy and its execution.
Dissolution of the Practice
PART THREE Management of the Architectural Practice
Many small firms with a single architect or shareholder dissolve upon the retirement of the principal architect.
Although the dissolution of the practice may seem like a failure of succession planning, this option may be
necessary in some situations, for example:
death; shareholder or partner dispute;
illness; personal choice;
disability; bankruptcy.
divorce;
Architects who choose to retire and dissolve the practice should:
comply with all provincial regulations regarding withdrawal from practice;
secure a policy for professional liability insurance coverage for retirement years.
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Contingency planning under this option should ensure that the practice’s drawings and documents are not
lost or destroyed but retained. They can be transferred to:
another architect;
an archiving agency such as a university or a provincial or national archive;
some other acceptable organization;
a storage facility.
Some provincial and territorial associations of architects have regulations requiring retention of an architect’s
archives. Regardless of whether regulations exist, archives must be retained because of the varying statutes of
limitations on an architect’s liability; archives enable the architect and their insurer to mount a robust defence
(see Chapter 3.8 – Risk Management and Professional Liability).
Sale of the Practice
The firm could be sold to an architect or architects outside the practice (such as private investors). It is common
practice for the “founders” to be retained by the “successors” as advisors or consultants for a period of time to
ensure a smooth transition for both the practice and ongoing projects.
Advantages:
may sustain the firm’s legacy;
may yield some financial return for the founding architect.
Disadvantages:
the seller is unlikely to have much influence over the firm’s future style or philosophy;
outside principals will usually pay less for the practice than will inside successors, due to the valuation of
goodwill.
Merger with Another Practice
Merging the practice with another architect or firm may be a very good option if the founding architect is
planning retirement and if there is no internal staff available or capable of sustaining the practice. This option
is similar to selling the practice in that persons previously external to the firm will have managerial influence
over the practice. A significant difference is that the retiring architect may retain greater influence over the
future of the composite entity.
PART THREE Management of the Architectural Practice
However, mergers can fail for a wide variety of reasons, including:
incompatibility of corporate culture or style of practice (see Chapter 3.1 – Starting and Organizing an
Architectural Practice);
incompatibility of software platforms, information technology systems and internal firm structures;
diversion of resources away from architectural practice as a result of focusing solely on the merger;
inadequate research or concealment of liabilities by one of the partners;
redundant staff who are retained, resulting in inefficiencies; or conversely,
reductions to operations or personnel, thereby losing expertise and employee culture.
When mergers are unsuccessful, the primary reason is that the two firms do not fit well together. Consequently,
the architect may wish to test the fit before finalizing a formal merger by first entering into a joint venture and/
or strategic alliance. Ideally, the new firm will be greater than the sum of the parts, and able to increase its
competitive position and market opportunities.
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Transfer of Ownership
Ownership can be distributed in different proportions to existing partners or shareholders. This option is
only available if the firm has other partners and shareholders who are prepared to buy the retiring principal’s
shares. In these situations:
if the demand for the shares is high, the seller will usually be able to obtain a higher price under this
option than through a sale or merger because internal buyers typically value the acquisition more than do
external buyers;
if all goes well, the sustainability of the practice is high – especially if the existing partners are capable
leaders.
New Partners or Shareholders
Inviting new architects or others to become part of an existing practice as partners or shareholders is another
option if the existing partners are close to retirement or want to develop younger talent. If executed well, this
option has a good chance of success. The selling price will also be high, especially if the new shareholders
have the cash resources to fund the transfer of ownership. A longer planning horizon is generally required
to properly develop people from within the internal talent pool and to give the buyer more time to provide
payment for the share transfer.
External Internal Planning
Options Profitability
Opportunity Opportunity Horizon
Depends on the value
of the firm
Dissolve the firm – – In 1 year
(See valuation
practice definition*)
Low or High
Depends on the value
Another firm of the firm, interests
Sell the firm Sole practitioner – and negotiations. In 2 years
Professional
resources are
required (consultants)
Emerging
proprietor High
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Merge the firm with Emerging Add value and
– 1 – 3 years
another entity(ies) practitoner expertise inside the
firm
Another firm who
wants to grow
Reapportion Architect and
partner inside the High
ownership among
– firm Keep the value inside 1 – 5 years
existing partners or
the firm
shareholders Family
Sole proprietor
Emerging
practitioner/ High
Employees with
Accept new partners proprietor Add value and Anytime during firm
leadership and
or shareholders expertise inside the growth
Exterior investor capacity
firm
Family-like
investor
TABLE 1 Succession Planning Options
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The Strategic Human Resources Planning Process
Although there are many valid options, succession planning is most successful when leadership can be
transferred gradually within the architectural practice. This process can take up to 10 years of internal staff
development
Timeline for time and encompasses
Strategic the following three stages.
Management
Clarify the Develop Identify Evaluate Create a Implement
culture of business leadership firm and development the transition
the firm / strategies requirements candidates / process / plan
emerging and potential planning
proprietor / objectives Architect partnership / transition
sole manager / young schedule
practitioner supervisor / architects /
employees interns
A. STRATEGIC B. POOL TALENT C. SELECTION
PLANNING DEVELOPMENT AND TRANSITION
FIGURE 2 Timeline for Strategic Management
Stage 1: Strategic Planning
As part of the firm’s strategic planning process, the following steps should be considered in succession planning:
Know the firm’s culture; leadership begins with an understanding of the firm’s values.
Develop a strategic plan; it is essential for the firm to effectively integrate business components, such as:
marketing;
production;
information technology;
finance;
human resources.
Realize that the strategic plan will provide a framework for more detailed human resource development.
Stage 2: Development of the Talent Pool
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As part of the firm’s development, a focus should be directed towards its people, as the talent pool is a key
asset to the firm. More specifically, steps and considerations in succession planning include:
Identify and communicate the measures that future leaders must take to maintain staff commitment and
motivate people to achieve success.
Assess existing staff and acquire new talent in areas of deficiency.
Provide opportunities for leadership and cross-functional experience.
Establish a meaningful performance evaluation system to monitor and foster ongoing development
through:
coaching;
review;
feedback on performance achievements and performance gaps.
Keep in mind that ownership is not an end in itself, but a way to give a financial incentive to the person
identified as a major contributor to the firm.
Implement a continuing education program to nurture the acquisition of professional knowledge.
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A common concern regarding staff education programs is that only a limited number of staff groomed for
promotion will actually advance within the firm, while others may leave and become informed competitors.
While it may seem counterproductive to train potential competitors, remember that “the only thing worse
than training your employees and losing them is not training them and keeping them” (motivational speaker
and business consultant Zig Ziglar).
Stage 3: Selection and Transition
For succession planning to be successful, some steps and considerations include:
Select a successor or successors and manage their ongoing development and performance.
Provide prospective successors with a transition period to management and ownership, which involves:
management training;
leadership development;
orientation before taking ownership;
professional development to achieve the stature of a senior partner;
the introduction of successors to clients and other external business contacts.
Stage 4: Continuous Renewal
In delivering a successful succession plan, the firm’s ownership will:
relentlessly continue the process;
watch for opportunities to use the experience and succession plans of the other owners (if any) to regularly
facilitate a staged ownership transition upon successive retirements.
It is healthy to continue with professional involvement after ownership transition/retirement through such
activities as mentoring, community service and committee work.
The Issues
Architects must consider a variety of specific issues during the succession planning process.
Contingency Planning
PART THREE Management of the Architectural Practice
Such planning is important because it:
allows for faster succession in case of unforeseen circumstances such as illness, disability, sudden death,
divorce or shareholder/partnership disputes;
minimizes risks of failure by making the succession plan more flexible, and by building the talent pool.
Review of Shareholder and Partnership Agreements
When reviewing agreements, buyers and sellers should:
seek professional accounting advice and legal counsel when drafting or amending shareholder/partnership
agreements;
ensure that agreements have a termination clause which addresses cultural incompatibility and/or poor
performance;
conduct a detailed regular review of the agreements with new/prospective owners to ensure the ongoing
appropriateness and relevance of the agreements.
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Liability for Past Work
Generally, the liability for past work stays with the practice, although some insurers or provincial jurisdictions
may hold the original principal responsible. Thus, it is important to:
verify whether individual protection against potential long-term liability exposure after succession should
be maintained;
seek professional counsel for guidance within a specific context and legal jurisdiction.
Payment
Keep in mind that:
prospective internal buyers may have a high personal debt load;
buyers may encounter difficulties providing payment for the acquisition of shares during the succession
period;
it is a significant advantage for the practice to be highly profitable during this period, especially if buyers
expect to finance the purchase from the practice’s earnings through increased salaries or bonuses;
the buy-in must be feasible and attractive to new principals;
a “sinking fund” could assist the second-generation owners to buy in and pay out the first-generation
“founders.”
Valuation of the Practice
The value of the practice may be estimated through:
earnings capitalization;
discounted net cash flow;
excess assets;
goodwill;
a modified book value procedure that recognizes the economic worth of the firm (the net realizable value,
or NRV) as opposed to a historic assessment based upon generally accepted accounting principles.
In most cases, the firm’s accounting records are an objective starting point to begin the process of determining
the NRV. Sellers and purchasers should seek independent professional advice when estimating the value of
the practice.
PART THREE Management of the Architectural Practice
Goodwill
Goodwill is a subjective asset. Keep in mind that:
intangible assets are difficult to evaluate;
goodwill is often over-valued by the seller because of emotional considerations and under-valued by the
buyers due to self-interest;
the valuation gap between buyers and sellers is even more pronounced when the buyer is from outside
the architectural practice;
the valuation of specific intangible factors “should be restricted to those assets whose utility can be
transferred to other parties independent of the business and therefore have some hope of a value in
exchange. Even for these, hard evidence should be available to justify the basis of valuation.” (Ross Skinner)
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References
Gensler, Arthur, and Michael Lindenmayer. Art’s Principles: 50 years of hard-learned lessons in building a world-
class professional services firm. Wilson Lafferty, 2015.
Milburn, J. Alex, and Ross Skinner. Accounting Standards in Evolution, 2nd Edition. Toronto: Holt, Reinhart and
Winston Canada, 2000.
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Appendix A –
Succession Challenges in the Event of a Sudden Unplanned
Closure of a Firm
NOTE: This appendix is adapted from Alberta Association of Architects’ Practice Advisory “Succession Planning.” It
addresses issues of unplanned succession when a firm must close on short notice without a succession plan.
This information is intended to focus on the forced dissolution (rather than the sale) of a practice, by the estate
of the firm’s principal or its legal counsel in connection with, but not limited to, sole practitioners, caused by
sudden death, permanent illness or disability, and in the absence of a partner or shareholder(s) who own the
authority to carry on the business. To a lesser degree, this type of dissolution can also be triggered through
divorce, dispute, personal choice or bankruptcy.
While a majority of small firms dissolve upon the retirement of the principal architect or licensed interior
designer without a succession plan, per se, there should nevertheless be an emergency contingency plan
in place to protect family, estate and the residual obligations of the practice itself against personal loss or
liability. This also goes to the protection of the public interest.
Many of the guiding principles of succession as described in detail in this chapter remain applicable here and
members are advised to review this manual with their legal counsel and insurer.
The following are major recommendations:
Any dissolution must comply with the provincial regulations in effect at the time of dissolution.
There should be a liability insurance policy in place that inures to the benefit and protection of the estate.
Generally, liability for past work remains with the practice for the period of time prescribed in applicable
statutes of limitations legislation. It is important to insure against liability, post dissolution.
The work products of the practice, such as files, drawings and contractual data, should never be lost or
destroyed but instead retained, for a time period consistent with the statutes of limitations of an architect’s
liability. These drawings and documents can be transferred to another architect, an archiving or storage
agency, or legal counsel. For more detailed information in this regard, contact your professional liability
and general liability insurers.
Above all, the intent is to facilitate an organized shutdown plan and transition of all matters related to the
PART THREE Management of the Architectural Practice
practice through legal counsel, accountants and insurers with minimum inconvenience and impact on
family and the estate with regard to ongoing and outstanding business obligations.
The following is a checklist that can be considered as a guide when seeking legal counsel advice to suit a
specific practice. The checklist is not exhaustive, but outlines major subject areas relating to the dissolution of
a practice.
NOTE: Contingency business planning is not static. Many of the listed items should be updated in accordance with
normal accounting procedures on a regular (preferably monthly) basis.
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Appendix B –
Checklist: Consideration Upon Dissolution
Practice – Projects
Description N/A Notes
1. Document management and release
2. Copyright protection or release
3. Succession
4. Third-party obligations to consultants,
suppliers, contractors, authorities having
jurisdiction
5. Document preparation or assignment through
succession – field review, progress claims,
building code schedules and requirements
6. Other
Identification of Business and Payment
Description N/A Notes
1. Assets (list land and leases inventory,
work-in-progress supplies and equipment,
contracts and royalties as applicable, accounts
receivable
2. Liabilities and accounts payable
3. Banking information as applicable, such as
personal guarantees, securities and collaterals
Securities and Other Regulations
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Description N/A Notes
1. Provincial jurisdictional requirements –
corporate registry, etc.
2. Architect association registration cancellations
and return of seal
Pre-Closing Matters
Description N/A Notes
1. Insurance and good faith operation until closing
2. Required consents – landlord, leasing agencies, etc.
3. Right to conduct due diligence
4. Deliver documents
5. Seek legal counsel advice
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Tax Issues
Description N/A Notes
1. Value added tax (GST/HST)
2. Tax filing(s)
3. Land transfer tax
4. Loss carry forwards
Representations and Warranties
Description N/A Notes
1. Employment and consulting agreements
2. Pending litigation or outstanding judgements
3. Outstanding agreements
4. Contractual approvals
5. Financial statements
Indebtedness
Description N/A Notes
1. Commitments for capital expenditures
2. Tax and source deductions and remittances
3. Clients, consultants, suppliers and contractor
agreements
4. Affiliation and joint ventures
5. Insurance
6. Government assistance
7. Liens, charges and title to assets
8. Construction liens affecting the practice
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9. Real and intellectual property
10. Equipment leases
11. Status of vendors
Post-Closing
Description N/A Notes
1. Confidentiality
2. Employees – assisting in redeployment/re-
employment
3. Releases from guarantees and warranties
4. Announcements
5. Indemnifications
6. Other obligations
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Appendix C –
Checklist: Items for Consideration in a Buy/Sell Agreement
Identification of Business and Payment
Description N/A Notes
1. Assets – Land and leases inventory, work-
in-progress (WIP), supplies & equipment,
goodwill, contracts & royalties, accounts
receivable
2. Liabilities
3. Purchase price, deposit, payment of balance –
cash, shares, earn-out security for payment
4. Terms of Letter of Intent
Securities and Other Regulations
Description N/A Notes
1. Securities Act compliance and exemptions
2. Change of control of ownership
3. Investment Canada – Exemption, notification
or reviewable transaction (for foreign
purchasers)
4. Bulk Sales Act requirements
5. Provincial and territorial architects acts
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Pre-Closing Matters
Description N/A Notes
1. Insurance and good faith operation of business
until closing
2. Preview and seek required consents (e.g., from
landlord, etc.)
3. Right to conduct due diligence
4. Documents to be delivered on closing
5. Independent legal advice
6. Other conditions precedent to closing
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Tax Issues
Description N/A Notes
1. Allocation of purchase price
2. GST or HST and tax rollovers
3. Tax filing on deemed year end
4. Non-Resident Vendors Tax certificate
5. Land Transfer Tax
6. Loss carry forwards and other tax history
7. Retail Sales Tax
Representations and Warranties of Vendor and Due Diligence of Purchaser
Description N/A Notes
1. Employment and consultant agreements
2. Employment standards
3. Employee benefit and pension plans
4. Environmental matters
5. Threatened or pending litigation or
outstanding judgements
6. No other purchase agreements outstanding
7. Contractual and regulatory approvals
8. Incorporating and/or partnership documents
and licences
9. Compliance with incorporating and/or
partnership documents
10. Financial statements
11. Partnership or shareholder agreement
indebtedness
12. Commitments for capital expenditures
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13. Tax and source deductions and remittances
14. Restrictions on doing business
15. Clients and outstanding agreements
16. Good standing of agreements
17. Affiliations and joint ventures
18. Insurance
19. Government assistance
20. Liens, charges, and title to assets
21. Construction liens affecting the practice
22. Real and intellectual property
23. Leases of equipment
24. Condition of property and equipment
25. Status of vendor, i.e., bankruptcy, citizenship,
arm’s-length
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Post-Closing Matters
Description N/A Notes
1. Non-competition – continuing employment
2. Confidentiality
3. Employees – restructuring employment
4. Release by vendor
5. Announcements
6. Releases from guarantees
7. Indemnities and set off of obligations
8. Other obligations continuing after closing
The foregoing is a list of common concerns and clauses in agreements for the sale of a practice. The list is not
exhaustive, will vary in individual circumstances, and cannot replace legal advice. Architects should consult a
lawyer before negotiating or entering into such an agreement.
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Appendix D –
Checklist: Items for Consideration in Succession Planning
Development of the Talent Pool
Description N/A Notes
1. Identify key leaders/employees
2. Hire new talent and expertise
3. Provide opportunities for continuing education
4. Provide opportunities for leadership
5. Establish a meaningful performance
evaluation system to monitor and foster
ongoing development through:
a. coaching
b. review
c. feedback on performance achievements
and performance gaps
Selection and Transition
Description N/A Notes
1. Select a successor or successors
2. Provide prospective successors with a
transition period to management and
ownership which involves:
a. management training
b. leadership development
c. orientation before taking ownership
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d. professional development to achieve the
stature of a senior partner
e. the introduction of successors to clients
and other external business contacts
The foregoing is a list of common considerations in succession planning. The list is not exhaustive, will vary
in individual circumstances, and cannot replace legal advice. Architects should consult a lawyer, business
consultant and/or accountant in planning for succession or purchase.
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Chapter 3.3 – Brand, Public Relations and Marketing
Chapter 3.3
Brand, Public Relations and
Marketing
Contents
Preamble 262
Definitions 262
Introduction 262
Brand 262
Marketing 263
Marketing: Two Points of View 264
The Architect’s Perspective 264
The Client’s Perspective 265
Public Relations 266
Social Media 267
Professional Relationships 268
Promotion 269
Build General Market Awareness and Interest (Brand) 269
Reinforce Interest 270
Generate Client Commitment 270
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Support the Commission 270
Promotion Materials and Proposals 271
Competitions 271
References 272
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Preamble
In the development of materials for branding, marketing, public relations and social media, architects are
reminded that all communications must comply with regulatory and copyright requirements for appropriate
“credit for authorship.”
Definitions
Brand: The image and personality of a product or service that a business provides. An authentic, well-
considered, and established brand works to attract potential clients and future employees towards a practice.
Marketing: Focused on establishing and communicating a practice’s value proposition and position in the
market to a specific client segment. It is usually focused on pushing information towards specific projects and/
or clients with the purpose of securing a commission. Marketing is rooted in the business development stream
of the practice.
Public relations: For architects, reinforces the practice’s brand and communicates the value of architecture
and architectural practice to a wide range of audiences. Public relations is directed to the community at large.
Introduction
“Marketing and public relations are an integral part of every architect’s practice. Firms of every
size and type must devote some level of attention to securing commissions and bringing their
work before the public.”
D. Cooper and B. Moore
As the above quotation points out, today’s architectural practice must develop a brand, public relations and
marketing strategy to succeed and flourish. A coordinated and integrated strategy is a necessary part of
promoting and growing a successful architectural practice and acquiring new projects.
This chapter briefly discusses brand, public relations and marketing within an architectural practice.
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Brand
“A brand is the set of expectations, memories, stories and relationships that, taken together,
account for a consumer’s decision to choose one product or service over another.”
Seth Godin
A brand is an architectural practice’s promise to the client, the community and its people. A brand is comprised
of the practice’s culture, its identity and its reputation. Brand should convey the essence of the architectural
practice and its services. Brand essence and brand recognition are often amplified by attributes and symbols
such as name, logo, slogans, symbols and designs.
The architect should promote the practice and its services, and disseminate the following information:
the name of the practice and all contact information;
what distinguishes the practice from the competition;
the services available;
the preferred building type(s);
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business, architectural, and financial credentials;
the reasonableness of fees in relation to the quality of service;
the performance record;
the skills and availability of principals and staff;
community activities, academic participation, volunteerism;
evidence for substantiating all such claims.
Marketing
Many architects contend that marketing should be a significant element of the strategic plan of all architectural
practices. (See Chapter 3.1 – Starting and Organizing an Architectural Practice for a brief discussion of a strategic
plan.) Marketing activities can vary widely based on the size of the practice; however, all firms should establish
an appropriate annual budget and planned objectives for marketing. Marketing is not merely overhead; there
is a correlation between a firm’s profit and growth and the amount spent on marketing.
Some people distinguish marketing from selling. In an architectural context, marketing includes everything
related to business development, including the planning and administration of all marketing activities, as
well as obtaining new clients and ensuring the delivery of high standards of architectural services for repeat
business. Selling essentially means identifying who requires architectural services and securing the commission.
Marketing should engage the architect in the never-ending pursuit of client satisfaction. It compels every
architect to search out new ways of efficiently meeting, or exceeding, client expectations. The architect must
learn to be client-oriented in addition to being production-oriented or design-oriented.
See also Chapter 2.2 – The Client.
Marketing as a process involves identifying potential clients. Marketing must be part of the practice’s strategic
plan. An effective marketing strategy subdivides market demand into manageable segments. Each segment is
made up of a group of potential clients who share common needs, attitudes and behaviours that are different
from other market segments. By bringing these similarities and differences into clearer view, it is easier to
identify:
PART THREE Management of the Architectural Practice
whom to pursue for future projects and architectural services;
what to include and highlight in presentation material;
potential risks and rewards from each market segment.
See also Appendix B – Additional GO/NO GO Considerations to Assess the Degree of Firm and Project Risk in Chapter
3.8 – Risk Management and Professional Liability.
The marketing terms and concepts of client satisfaction, value creation and market segment require that
marketing be integrated into the daily operations of the architect’s practice. It is useful to track the proposal
closing rate, that is, to identify the number of successful commissions compared to the number of proposals
prepared. The proposal closing rate can be compared with various marketing activities to determine which
methods work best for the practice. Ongoing marketing as a part of the daily routine of all principals will help
control the type, amount and pace of the practice’s work.
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Marketing: Two Points of View
In developing a marketing plan, all activities must be viewed from two different perspectives:
the perspective of the architect or architectural practice;
the perspective of the secured or potential client.
The Architect’s Perspective
To develop a marketing strategy, the architect must answer the following questions:
What types of clients and projects does the practice want:
Individual, corporate or institutional?
What type of reputation?
What size of construction budget?
What type of building?
What values regarding design and project management?
What services does the practice want to provide for these clients?
What are the firm’s strengths?
What are the firm’s interests and aspirations?
What are the firm’s capabilities?
How does the practice want to provide these services:
Geographically?
Technologically?
With what resources?
Why does the practice want to do this?
To meet lifestyle goals?
To meet career goals?
For financial reasons?
To satisfy architectural goals?
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To satisfy ideological or altruistic beliefs?
How will the work be carried out?
What is the composition of the design team?
What are the financial arrangements?
What are the operational arrangements?
What are the technological (delivery) arrangements?
What are the risks involved with the following:
With this particular client?
For the services offered?
For the fees charged?
In the place of the work?
For marketing and promotion to win the project?
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The Client’s Perspective
The client is the audience. Marketing must be considered from the client’s point of view, ensuring the language
and information conveyed is meaningful to the client.
The strategic plan should help to identify the following:
the market segments that are of interest to the practice;
the prevalent needs, wants and behaviours among prospective clients in these segments;
the financial metrics of working within this particular market segment;
the future of this market segment.
To determine the competitive position of the practice, it is helpful to ask questions about competitors,
such as:
Within each market segment, who are the main providers of architectural services?
What is their share of the market?
What is the basis for their competitive advantage:
Personal relationship?
Fees?
Specialized architectural services?
Reputation for quality/leading-edge design?
Promotion?
Location?
Can the practice make an offer that is unique and compelling to prospective clients, given the other choices
available to them?
What drew former clients to the practice?
Once some of the elements of a marketing plan have been determined, potential clients or “leads” need to be
identified. Some techniques for identifying leads include:
compiling names of the potential clients or purchasers of architectural services in each of the preferred
market segments;
developing a list of organizations and the person(s) responsible for decisions related to architectural
services, and for the selection of the architect;
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researching websites;
monitoring relevant articles from the media;
organizing business development meetings;
networking;
surveying past clients;
consulting MERX, BidsandTenders.ca, buyandsell.gc.ca, the Ariba network, or other similar websites
hosting project opportunities.
Several web-based procurement systems are available to support architects in their marketing activities. These
systems operate as procurement portals, allowing organizations to publish their procurement opportunities
and architects to review opportunities and identify leads. MERX (www.merx.com) and Biddingo (www.biddingo.
com) are two popular systems, but there are others. The federal government, along with some provincial and
municipal governments, has developed its own online procurement portals. Federal government opportunities
can be sourced at https://buyandsell.gc.ca. However, federal projects managed by the federal government’s
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project management services provider use the MERX platform. The use of web-based procurement portals
is predominant among government bodies and agencies, including municipalities, publicly-funded academic
institutions, school boards, and health and social service entities, known as the “MASH” sector. They are also
used to a lesser extent by the private sector.
The best source for both new business and new business leads is current or former clients.
Once leads have been identified, these prospects should be qualified by determining:
their current and potential demand for architectural services;
the main criteria they will use to select an architect.
See Chapter 2.2 – The Client for further discussion on firm selection in competitive procurement.
A wide range of client resource management (CRM) software is available. This type of software tracks leads
and potential clients as well as the frequency/type of contact (e.g., e-mail/text, telephone call, letter, luncheon
date, etc.), and personal information about the individual (e.g., birthday, spouse’s name, dietary preference,
favourite team, preferred cultural event, etc.).
The practice should situate each lead in the appropriate stage of the relationship-building process and plan
the details of subsequent marketing and promotion. An action plan can then be prepared for each lead or
prospect.
After an initial contact, the practice should evaluate the response from each lead and adjust the action
plan based on:
the prospect’s reputation and potential as a client;
the likelihood of the project proceeding;
the architectural practices from which the prospect will solicit proposals;
the likely value of the commission;
the risks attached to winning the commission;
the cost of pursuing the prospect further.
In pursuing the lead, the architect should remember that their marketing message may need to be tailored
to reach not only the client who signs a contract, but others who contribute to the hiring decision-making
process. They include those who influence the decision-makers – “influencers” in marketing jargon, and the
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decision-makers themselves – “buyers” in marketing jargon.
Public Relations
Public relations is a series of activities which provide opportunities for the architect to become known in
the community. It is distinct from promotion in that it targets the broader community rather than specific
individuals. Good public relations sets the stage for successful marketing.
These activities may include:
community involvement, such as:
giving lectures and speaking in public on architectural topics;
teaching classes at post-secondary institutions;
hosting online discussions/idea-sharing sessions;
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conducting seminars;
sitting on volunteer boards;
joining service clubs;
providing “pro bono” architectural services to community organizations (check provincial requirements);
fundraising assistance;
conducting design charrettes;
sponsoring community events;
attending industry networking opportunities.
good media relations, such as:
providing firm/project/news updates on digitally branded sources (website, social media, etc.);
issuing news releases;
contributing to architectural blogs;
publishing technical papers, or articles in journals or other print media;
participating in trade shows;
undertaking professional criticism of architectural projects;
entering design competitions;
preparing and distributing newsletters for the practice;
promoting design or architectural awards.
Architects should strive to better inform the public about the value of design and architecture and architects.
They must always be advocates for the value architecture brings to enhanced quality of life. Public awareness
about the value of architectural services can open new markets for the architectural practice and helps to
create a receptive environment for the architect in future marketing activities.
Social Media
Social media include web-based communication tools that enable people to interact with each other by both
sharing and consuming information (D. Nations, 2019). “Social” refers to the sharing and interaction, while
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“media” refers to the instruments of communication, or the particular technologies used to communicate
the messaging. For architectural practices, social media can be a powerful tool in reaching existing and new
markets, clients and demographics. While it is common for a practice’s marketing department to develop, lead
and monitor all social media efforts, these responsibilities can be shared throughout the firm across various
departments as necessary.
While there are many different types of social media available to architects for sharing and consuming
information, there are several platforms that are firmly established as leaders in today’s social media
environment. As of 2019, popular social media tools for architects include:
Instagram; Snapchat;
Facebook; Reddit;
Twitter; Tumblr;
YouTube; Pinterest;
LinkedIn; blogs.
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A website can also be categorized under the terminology of social media, although it is commonly distinguished
as a separate entity from the social media lexicon.
Social media offer a cost-efficient and effective opportunity to leverage and promote an architectural practice’s
brand and messaging. While a social media campaign mainly includes visual elements, it can psychologically
parallel the culture of a practice, what a practice does, the type of persons employed by the practice and the
nature of a practice’s customer interactions. Therefore, a robust and consistent social media campaign helps
to establish awareness, trust and credibility of the practice, and its targeted marketing positioning. Social
media content can include:
project photography (professional);
project renderings;
project sketches/floor plans/site plans/elevations/sections;
project descriptions;
project videos;
firm news and updates;
firm milestones;
award/shortlist notifications;
announcements, such as recently awarded commissions;
staff updates;
staff profiles;
staff opinion pieces;
extra-curricular staff activities;
volunteer and community engagement activities.
Recent online metrics indicate an average of two hours and 22 minutes a day is spent perusing social media,
with 91% of users accessing social channels via mobile devices (M. Moshsim, 2019). Therefore, it is imperative
that architectural practices consider social media as a primary marketing tool and that presenting clear,
consistent, engaging, high-quality and to-the-point content is key to building a robust and effective social
media campaign. Architectural practices must design their content with a high priority on mobility, using non-
resource-intensive data, and linking to other social media channels in order to make their users’ experiences
as streamlined and comfortable as possible. This will ensure users return to visit existing or current content in
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the future and promote the practice’s social media presence.
Professional Relationships
If one function of marketing is to create value and client satisfaction, the best form for achieving these is
through a long-term, contractual relationship. True value will emerge from the provision of consistent,
committed, efficient and high-quality service over time.
Service in this context is not limited to design; architects are often asked to fulfill a number of roles such as
facilitator, efficiency expert, construction cost control, mediator and problem-solver. Building professional
relationships, or “relationship marketing,” should be a major part of a marketing plan.
A professional relationship is started when a prospective client draws a positive association with an architect
or an architectural practice. Brand campaigns in advance of attempting to enter a new market or establish
a relationship with a new client are often an effective way of communicating the practice’s identity and
position in the market. An important objective in developing a brand is to convey a relationship of trust with
potential clients.
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A professional working relationship begins when a prospective client is about to select an architect. Although
the initial contact may not always result in a commission, the architect should take advantage of the situation
and start to build a solid long-term relationship with this prospective client.
Promotion
Promotion is providing information, motivation and direction to specific individuals who will decide on the
timing and terms of selection of an architect. Promotion leads the architect to prospective clients and provides
the opportunity to propose a potential offer for services, instead of leaving the opportunity to chance,
circumstance or the competition. If the architect or architectural practice has established a positive brand, the
chances of successful promotion are increased, often significantly.
The success of effective promotion, like effective design, is based on the efficiency with which the promotion
brings about the desired response. Effective promotion brings the right message at the right time to the right
audience using the right medium. Promotion must be a proactive activity that aligns with the strategic plan
and business plan of the practice.
Build General Market Awareness and Interest (Brand)
Market awareness and “awareness-building” should result in prospective clients wanting to learn more about
the kinds of services the architect can provide. The objective at this stage of promotion is to motivate potential
clients to want to learn more about the architect, and to tell them how to get more information about the
practice.
Some techniques for building market awareness include:
websites which create an effective client-oriented presence with a focus on projects, practice,
accomplishments, and services;
active, online contributions such as social media campaigns and blogs, including:
promotion of past, present and future projects;
presentation of research;
promotion and awareness of staff, staff pursuits and brand initiatives;
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community involvement;
corporate stationery and business cards;
directory listings;
articles, including findings from research or op-ed pieces, such as those published:
by members of the firm;
about the firm and its work;
lectures and speeches;
exhibits;
sponsorships;
membership in community organizations;
philanthropy, including volunteerism.
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Reinforce Interest
“Awareness-building” should result in prospective clients wanting to learn more about the kinds of services
the architect can provide. In reinforcing the interest of a potential client, communications should progress
from general to more specific information on how the practice can fulfill the client’s needs. If the architect or
architectural practice has established a positive brand, it is easier to build awareness with the prospective client.
To reinforce and strengthen client interest, an architectural practice may prepare:
targeted brochures that contain professional photography of past and current work;
targeted web pages that contain professional photography of past and current work;
targeted communication utilizing social media;
digital presentations and videos;
3D models;
virtual walk-throughs/demonstrations;
display boards;
exhibits;
letters of introduction;
client testimonials;
postcards or greeting cards;
direct mail;
newsletters.
Although promotion may involve establishing a relationship with a potential client through various forms of
communication (social encounters, submission of information, etc.), the most common method of building
client awareness and reinforcing interest is by responding to formal requests for qualifications or requests for
proposals.
Generate Client Commitment
If the prospective client’s interest is met or surpassed, the prospective client should perceive that a “fit” is
possible. It is critical at this stage to “know” your client. The challenge then becomes to discuss, and then
negotiate, the various terms of an agreement. It is important to note that the prospective client may be
conducting similar negotiations with other architects at this stage.
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In order to generate client commitment, consider:
one-on-one interviews and presentations;
portfolios (including targeted portfolios);
invitations for office or project tours;
professionally produced photographs and videos;
customized digital presentations;
renderings and 3D modeling of past related work;
physical models of previous projects;
customized proposals.
Support the Commission
Once the contract has been executed, the architect should take steps to ensure that the new client understands
how much the architect values the commission. Just what action should be taken to develop and maintain a
professional relationship depends on the architect, the client, and the value of the contract. This relationship
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should be sustained even beyond the completion of the project (to increase the probability of repeat work and
promote positive referencing) through the following methods:
website and social media newsfeed announcements and updates;
news releases;
special events;
newsletters;
greeting cards;
direct written and verbal communication.
Promotion Materials and Proposals
Promotional material should be gathered during the course of a project. As projects are completed, every
architectural practice should establish standard procedures to document information needed for presentation
material or firm brochures. See Chapter 5.1 – Management of the Design Project for details on assembling
material as part of the office routine at project closeout.
In preparing promotional materials for online websites, social media platforms, print or digital brochures and/
or proposals, the architect must:
always provide the proper credit for all projects (to avoid misrepresentation);
ensure that any professional photography and other media is credited to the author if required by contract;
describe the role of the architect in each project accurately;
notify references that their names will be used and request permission for their use (if the response is
enthusiastic, request a letter of reference which can be used in promotional material and brochures;
however, if the client is reluctant, it may be prudent to avoid using the reference).
See also Chapter 5.3 – Communications Management.
Competitions
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Architects can further establish their reputations, brands and design vocabularies through architectural
competitions.
Guidelines for the conduct of competitions can be found on the RAIC website at: https://raic.org/raic/
architectural-competitions-introduction
Architectural competitions for buildings must be approved by the provincial or territorial association of
architects in which the project is located. Open and limited competitions for buildings require endorsement
as most provincial associations of architects prevent their members from participating in competitions that
have not been approved by their respective councils.
Endorsed competitions require the engagement of an architect as a professional advisor who is responsible for:
advising the owner or sponsor;
preparing the conditions of the competition;
making arrangements for the competition.
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International competitions for architectural projects may be conducted under conditions unique to the
country holding the competition. The International Union of Architects (UIA) has also prepared guidelines
for conducting international architectural competitions in its publication: UIA Competition Guide for Design
Competitions in Architecture and Related Fields.
Architectural competitions can be a high-risk activity for any architectural practice and therefore each practice
must evaluate the effort and return on investment for participating in authorized architectural competitions.
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References
Cooper, David, and Barry M. Moore. Marketing and Public Relations. Washington, D.C.: The American Institute
of Architects Press, 1988.
Godin, Seth. “Define: Brand.” Seth’s Blog, December 13, 2009. https://seths.blog/2009/12/define-brand,
accessed March 12, 2020.
Linton, Harold, Laura Clary, and Steven Rost. Marketing for Architects and Designers. New York, NY: W.W. Norton
and Company Inc., 2005.
Moshsim, Maryam. “10 Social Media Statistics You Need to Know in 2020 [Infographic]”. Oberlo November 7,
2019. https://www.oberlo.ca/blog/social-media-marketing-statistics, accessed March 12, 2020.
Nations, Daniel. “What Is Social Media?” Lifewire December 19, 2019. https://www.lifewire.com/what-is-social-
media-explaining-the-big-trend-3486616, accessed March 12, 2020.
PSMJ Resources, Inc. Marketing Tactics. A monthly journal. Newton, MA.
Shenson, Howard L., and Jerry Wilson. 138 Quick Ideas to Get More Clients. Toronto, ON: John Wiley & Sons, Inc.,
1993.
Stone, David. Mastering the Business of Architecture. (Ontario title only.) Toronto, ON: Ontario Association of
Architects, 1999.
Stone, David. Mastering the Business of Design. Impact Initiatives, 1999. (Outside of Ontario)
“UIA Competition Guide for Design Competitions in Architecture and Related Fields: Interpreting and
Implementing the UNESCO Standard Regulations for International Competitions in Architecture and Town-
Planning.” International Union of Architects, March 2017. https://www.uia-architectes.org/webApi/uploads/
ressourcefile/32/uiacompetitionguide.pdf, accessed April 22, 2020.
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Chapter 3.4
Financial Management
Contents
Definitions 275
Introduction 277
Profit 277
Distribution of Profits 277
Financial Planning 278
Accounting 279
Accounting Systems 279
Accrual System 279
Financial Statements 280
Balance Sheet 280
Income Statement 280
Cashflow 281
Cashflow Forecast 282
Table 1: Sample Statement of Income and Expenses 283
Table 2: Sample Balance Sheet 284
Table 3: Sample Cashflow Statement 285
Financial Professionals 286
Bankers 286
Information for Financial Management 287
Fee Calculation 287
Billing Rates 288
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Table 4: Billing Rate Calculation 289
Utilization Factors 289
Table 5: Calculation of Utilization Factors 290
Project Cost Control Information 291
Time Reports 291
Invoicing 291
Financial Management and Ratio Analysis 291
Other Financial Management Issues 292
Compensation 292
Tax Planning 292
Software 293
Table 6: Sample Cashflow Forecast 294
References 295
Appendix A – Annual Budget Calculation Sheet 296
Table 7: Annual Budget Calculation 296
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Definitions
Accounts Payable: A record of accounts of money payable to consultants and to other suppliers for expenses.
Accounts Receivable: A record of professional fees and disbursements which have been invoiced.
Aging Reports: A record of invoices due and past due. This can be for both accounts receivable and accounts
payable.
Amortization: See Depreciation.
Average Collection Period (ACP): Accounts receivable divided by gross revenue x 365. This is a key factor
in liquidity. It measures the average number of days it takes to receive payment from the invoice date. The
fewer the number of days, the better the company can convert collections into cash, thereby strengthening its
financial position and liquidity. Using the statement of income and expenses in Table 1 and the balance sheet
in Table 2, the ACP = $310,000 / $981,000 x 365 days = 115.3 days.
Bad Debt: Recorded on the income statement, the amount of accounts receivable that will be not collected
from clients.
Balance Sheet: A record of all assets, such as bank funds, receivables, furniture, computer equipment; all
liabilities, such as accounts payable and loans; and retained earnings, which state the financial position of
the practice at a particular point in time.
Cash Book: A record of the day-to-day cash position of the practice using the cash accounting method. All
transactions are entered and a running balance is calculated.
Cashflow: Cash and other liquid assets to meet current payroll, consultants’ fees, and other overhead
expenses.
Current Assets: Includes items from the balance sheet that are cash and cash equivalents, such as accounts
receivable and short-term investments — any line items that can be converted into cash within a year.
Current Liabilities: Usually includes liabilities that are due within a year, for example, accounts payable,
taxes, wages, insurance.
Current Ratio: The formula is current assets divided by current liabilities. It measures the liquidity risk of
the business and its ability to generate cash to meet short-term financial commitments such as payroll,
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subconsultant fees, line of credit, etc. This ratio also helps in understanding how cash (or cash equivalent) rich
the company is. For example, a ratio of 1:1 indicates that for every $1 in liabilities, the business has $1 in assets
to pay it. Using the balance sheet in Table 2, the current ratio is $773,500 / $391,500 = 2.0.
Debt to Equity Ratio: The formula is total liabilities divided by shareholders’ equity. This ratio measures
whether the business is comfortable handling its debt obligations. If debt is higher than equity, it signals that
the business is overburdened by debt. Using the balance sheet in Table 2, the debt to equity ratio is $537,500
/ $487,010 = 1.1.
Depreciation/Amortization: The rate by which capital assets may be depreciated according to government
tax regulations (referred to as capital cost allowance). It is also used by accountants to account for the loss in
value of an asset as it ages. Because most fixed assets have value longer than a year, depreciation is a way of
expensing a portion of the fixed asset each year.
Direct Personnel Expense (Direct Labour Cost): The salary of a staff person engaged on the project plus
the cost of such mandatory and customary contributions and employee benefits as employment taxes and
other statutory benefits, insurance, sick leave, holidays, vacations, pensions, and similar contributions and
benefits.
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Disbursement Record: A record of billable reimbursable expenses.
Fiscal Period: A 12-month period for which financial records start and end. (Previously, it was an advantage
for a fiscal year to end early in the calendar year. Legislation now requires most professionals to pay taxes
based on a calendar year, which encourages the fiscal year-end to correspond to the end of the calendar year.)
General Ledger: A record of all accounts, including receivables, payables, income and expenses, payroll, tax
payments, disbursements, etc.
Labour Multiplier (Net Multiplier): The formula is net revenue divided by direct labour costs. It represents
the actual net revenue generated by the firm expressed as a multiple of total direct labour costs. This multiplier
shows the return on the investment made in direct labour costs.
Multiplier: A percentage or figure by which direct personnel expense is multiplied to cover overhead expenses
and profit. (The result is used to establish a charge-out, or billing rate.)
Office Overhead: Includes expenses for rent and utilities, office supplies, computer maintenance, automobile
expenses, promotion and advertising, books and subscriptions, annual dues, leasing expenses (except as
noted below), postage, delivery services, bank charges, interest charges, business taxes, donations, seminar
and training expenses, and depreciation. [Note: Consultant expenses that are required to provide architectural
services are excluded from overhead. However, other consultants such as legal, accounting, and marketing
are included in overhead expenses. The purchase or lease of major expenditure items such as automobiles,
computers, or office renovations is charged as office overhead only to the extent that such expenses can be
depreciated in accordance with tax regulations.]
Overhead Rate: The formula is total overhead including indirect labour divided by direct labour costs. This is
a key rate to measure efficiency. The lower the overhead rate, the higher the profit margin.
Payroll Burden: Includes required contributions by the employer (statutory benefits), including Employment
Insurance (EI), Canada Pension Plan/Québec Pension Plan (CPP/QPP), health taxes, and workers compensation,
in addition to discretionary benefits such as insurance and pension plans, and bonuses.
Payroll Records: A record of salaries, taxes due and paid, and payroll burden for each employee.
Profit: An excess of revenue over expenses.
Profit Margin: The formula is net profit divided by net revenue x 100. This is one of the most important ratios
to analyze the overall financial health of a firm. It measures in percentage terms how much profit is left over
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after all expenses are accounted for (including taxes, interest and depreciation). The higher the percentage,
the more profitable the firm is.
Project Cost Control Chart: A financial record of each project, which includes professional fees, consultants’
fees, staff time expended, budgeted time, expended payroll, and profit and loss for each phase of the work.
Staff Utilization Records: Identifies monthly and year-to-date hours spent by each staff person on direct
labour for projects, as well as hours for vacation, holiday time, sick leave, and miscellaneous overhead duties.
The records should indicate a percentage of direct (billable) to indirect (non-billable) time. These records are
used to develop billing rates for individual staff members, as well as for short- and long-term planning.
Statement of Income and Expenses: A report, often prepared monthly, documenting all income, all
expenses, and the resulting profit or loss.
Tax Records: Includes personal income taxes, corporate taxes, and GST or HST.
Work-in-Progress (WIP): Work underway or complete but not yet invoiced.
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Introduction
This chapter will provide a short introduction to financial management, an essential activity for every
architectural practice. Financial management is one of the most important responsibilities of owners
and architects in managerial positions. It provides a framework for pursuing synergy between the studio
architectural responsibilities and the financial resources of the firm. Good financial management systems will
help the practice reach its strategic objectives as well as its financial goals.
Profit
The practice of architecture is a business, and the goal of every business is to achieve and sustain profits. The
success of the business depends on the ability to continuously generate profits to attract talent, partners and/
or external investors, secure bank loans, and grow its operations. Financial management helps to maximize
profit, and helps the firm develop strategies to remain profitable.
A profit is required in order to:
build a reserve for cyclical downturns;
invest in additional resources (purchase assets, hire new employees, expand operations);
pay out retiring or dismissed employees and partners;
build a successful financial history for borrowing funds;
invest in research and professional development;
fund incentive programs;
reward owners for efforts expended and risks taken;
attract investors
Distribution of Profits
Profits are simply revenue minus expenses. Once tax is accounted for, the company owners or management
decides whether the profits are distributed (to owners or shareholders) or retained in the business. Appropriate
financial planning should always include a reasonable profit, and it is advisable to set aside a percentage of the
profit as a capital reserve. Proper tax planning will affect the amount of profit withdrawn from the practice and
this amount may be distributed to owners or shareholders (if the practice is incorporated). After a percentage
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of the profit is set aside as a capital reserve, the balance may be distributed to shareholders (if the practice is
incorporated) and to staff. In “lean” years, the capital reserve may be very little or non-existent; however, in
“very profitable” years, the capital reserve could be as much as 50% of the practice’s profit.
Distribution of incentive bonuses to staff should be based on the practice’s established policy and on factors
determined in a performance review, such as:
ability;
productivity;
behaviour;
professional growth.
See Chapter 3.6 – Human Resources, for information on performance reviews.
When the practice is owned by shareholders or partners who have invested capital in the practice, their
investment should earn interest at the bank’s prime rate of interest, plus an additional percentage which
represents a reasonable return for their financial risk.
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Financial Planning
Financial planning should be part of the strategic plan of every architectural practice. The financial plan is a
set of guidelines, not rules, based on trends and the best estimates. The revenue forecast is the starting point,
and it serves as the basis for other line items such as:
strategic goals and objectives of the practice;
revenue projections;
target for profit;
budgets for overhead expenses, including any new capital expenditures;
staffing plans, including number and type of staff.
This financial plan should identify income and expenses projected for any new direction for the practice, for
example, the delivery of new services and the associated costs required to:
hire staff;
undertake research and marketing;
buy or lease new premises;
finance professional development and training;
purchase or lease new furnishings, equipment, and software.
If the practice must downsize as a result of an economic downturn or for another reason, a financial plan is
necessary to resolve issues, such as:
relief from a lease for office space;
the need to restructure (see also Chapter 3.6 – Human Resources).
Short-term financial planning, usually called budgeting, covers a time period of 12 months primarily because
of the requirements for annual financial statements and the normal fiscal year. Some firms divide the year up
into 13 equal periods of 4 weeks each. Budgets show projected income, expenses, and profit. They should be
constantly monitored, usually on a monthly basis. The budget should also record the previous year’s revenue
and expenses, as well as the difference between the budgeted and actual revenue and expenses.
Projected income includes:
work-in-progress;
anticipated professional income (based on the previous year’s records);
other anticipated income.
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Projected income must be adjusted to account for the current and projected economy in the design-
construction industry and any extraordinary conditions.
Projected expenses include:
estimated expenses (based on the previous year’s records);
changes in expenses which have occurred or will occur (such as staff pay raises or rent increases);
increased expenses to meet long-range planning targets, for example:
increased staff requirements;
increased office space or other overhead expenses;
software and hardware investments.
Profits are usually estimated as a percentage of projected revenues and should be identified in relation to the
long-range financial plan. An architect can use Table 7: Annual Budget Calculation in Appendix A at the end of
this chapter to help prepare an annual budget.
Both budgeting and long-range financial planning should include appropriate salaries — commensurate with
ability and experience — for principals, directors and shareholders.
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Accounting
Accounting is the process of recording financial transactions, assessing the information and summarizing it
to produce financial statements. Accounting provides information useful for making financial and economic
decisions. There are two types of accounting:
internal accounting;
external accounting.
Internal accounting, sometimes called management accounting, is done within the architectural practice —
often by staff, a bookkeeper, or other professional such as an accountant.
External accounting, usually performed by an independent accountant, frequently includes the preparation
and examination of financial statements in order to express an opinion on the financial position of the practice.
This can be in the form of an audit, a review, or a compilation, depending on which criteria the company falls
in as stated in corporate bylaws.
An audit is an independent and objective examination of accounting records and other necessary
documentation in order to express an opinion on the fairness of a balance sheet and other financial statements.
An audit provides a “reasonable assurance” that the financial statements of the business are free of material
misstatements and are in accordance with Canadian generally accepted accounting principles (GAAP).
A review is less extensive (and less expensive) compared to an audit. It provides a lower level of assurance that
the financial statements are free of material misstatements.
A compilation is the lowest level, where the external accountant compiles the financial data from the company’s
system and puts together the financial statements. In compilation, the financial data is not examined in detail.
Banks typically require the middle level of assurance, a review. It is best to check with your accountant as to
whether your business qualifies for a review versus an audit when working to secure external funding.
Accounting Systems
Records of accounting are statutory requirements. The better and more accurate the records, the greater the
opportunity for more accurate long-range planning and budgeting and, in turn, the greater the opportunity
for profit. When setting up a new company, the firm needs to decide on an accounting period (fiscal year) and
how to record transactions.
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There are two different systems of accounting to record transactions:
Cash basis system;
Accrual basis system.
If you use an accounting software, you’ll be asked to select your accounting method, cash or accrual, to record
transactions. Architecture businesses are required by the Canada Revenue Agency (CRA), by Accounting
Standards for Private Enterprises (ASPE), and International Financial Reporting Standards (IFRS) to follow the
accrual basis for accounting and tax returns.
Accrual System
The accrual system records all income — including work-in-progress — and expenses as they occur in the
general ledger. It shows the current financial position of the architectural practice, usually on a monthly basis.
Using the accrual system, two types of financial reports are prepared:
statement of income and expenses (also known as Income Statement or Profit and Loss Statement);
balance sheet (also known as Statement of Position).
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Financial Statements
Balance Sheet
Usually an accountant or bookkeeper will use accounting software to prepare financial statements using the
following architect-supplied information:
the general ledger;
payroll records;
statements of income and expenses;
other information.
It is important that any architect involved in running a practice, whether a first-time associate, a principal, a
partner, a shareholder or a sole proprietor, understand the three foundational elements to their business,
which are:
balance sheet;
income statement;
cashflow.
The financial health of a business is analyzed by financial statements and ratios. These three financial
statements have a standard format, regardless of whether a company is a start-up or a major corporation.
The balance sheet is the most important financial statement. It is a summary of the company’s general ledger.
The basic formula of the balance sheet is:
Assets = Liabilities + Owner’s Equity
Balance sheets are important for the monitoring of assets (what the business owns) and loan commitments
(what the business owes). This means everything from the cash the firm has in the bank to amounts that are
owed to subconsultants, creditors and employees. In addition, it includes the owners’ investments and monies
drawn from the business. The balance sheet shows the financial position of a company at a given period
and answer three questions: Who owns the business? How liquid is the business? And how lean or fat is the
business?
A balance sheet and a 12-month statement of income and expenses are sometimes required by:
banks, for a line of credit or a loan;
professional liability insurers;
PART THREE Management of the Architectural Practice
governments, for taxation purposes;
other architects, when restructuring the ownership of the practice or selling the practice.
Income Statement
The income statement is also referred to as a Profit and Loss Statement, a Statement of Revenues over
Expenditures, and an Operating Statement. This statement tells a story about profitability and how the profit
for the given period was earned. It is a detailed explanation of the increase in the owner’s equity on the
balance sheet. The income statement’s primary focus is on profitability and growth.
An income statement provides:
a summary of income, including work-in-progress;
expenses incurred against all income, including work-in-progress;
an accounting of profit or loss for the time period.
Regardless of the size and type of the business, the income statement follows a basic formula:
Income – Expenses = Profit or Loss
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Income is also called revenue or architectural fees. The total income of a business is the sum of all sources of
revenue in each period. Expenses are the costs (labour, overhead) of generating the income. Profit or loss is
what is left after subtracting all expenses from income.
The statement has three principal components:
income;
expenses;
profit.
Income includes:
professional fees invoiced [Note: Fees for consultants should be retained and may be put into a separate
account until due and payable];
work-in-progress [Note: If all accounts are invoiced monthly, reporting of work-in-progress is not necessary];
reimbursable expenses invoiced;
interest income;
miscellaneous income.
Income recording can also be subdivided to identify income from separate offices or separate areas of practice,
or by individual projects. Expenses include:
salaries [Note: This can be subdivided into categories such as principals (partners or directors),
professionals, technical staff, support staff];
payroll burden;
consultants’ fees;
overhead expenses, subdivided by category.
The income statement is the primary measure of a firm’s performance, while the balance sheet shows a firm’s
overall health.
Cashflow
The Cashflow Statement is also referred to as a Statement of Changes in Financial Position. Cashflow is vital
for the well-being of an architectural practice. Without a positive cashflow, a firm is forced to borrow money,
or, in worse cases, it may not stay in business.
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Cashflow relies heavily on a firm’s cash from fees, which in turn is impacted by a firm’s net income. The higher
the revenues and the lower the overhead, the more efficient revenues are as drivers of cashflow.
Implementation of cashflow management technology and project management software can help a firm be
financially successful.
The cashflow statement is a detailed explanation of the change in cash on the balance sheet. It is like a bank
account statement: it states how much cash was available at the beginning of the period, how much new cash
was collected, how much cash was paid out, and the ending balance of cash. The cashflow statement is used
to understand how to realize the profit into cash.
It is important to note that a company can be very profitable on the income statement but at a high risk if it
does not have enough cash to pay for operations. Profit and cash are not the same thing.
All three financial statements tell a story about the business. Most accounting software will provide this
information at regular periods.
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See Table 1 for a typical “Statement of Income and Expenses” for a medium-sized architectural practice. This
statement would be prepared after all financial records are recorded for the specific period. The left-hand
column reflects a history of the practice’s financial activities. The right-hand column illustrates a budget or
future financial activity based on anticipated revenue and expenses. The increased revenues may be predicted
because of recently acquired projects or a buoyant economic environment. Similarly, an increase is projected
for wages and benefits as more staff will be required to undertake the increased workload.
Other costs are projected to increase proportionately because of increased staff and work.
Cashflow Forecast
A cashflow forecast is helpful in projecting the practice’s cash position over a 12-month period. Such a forecast
is needed to determine how much cash will be required to meet expenses in the short term and any additional
requirements for working capital from a line of credit.
The forecast should reflect the following on a monthly basis:
operating funds required;
line of credit required;
relationship between revenues and operating expenses.
Several computer software programs are available to assist in the preparation of these forecasts.
In preparing a cashflow forecast, a client’s payment history should be considered because many clients take
longer than 30 days to pay invoices. The forecast should be monitored every month by comparing actual
revenues and expenses with those forecast. The forecast should be updated quarterly. A sample cashflow
forecast is shown in Table 6.
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Table 1: Sample Statement of Income and Expenses
Actual for the Budget for
Revenue Previous Year
Current Year Current Year
Professional fees $890,000 $1,060,000
Reimbursable expenses 90,000 106,000
Interest revenue 1,000 0
Other income 0 0
TOTAL Gross Revenue 981,000 1,166,000
Actual for the Budget for
Expenses Previous Year
Current Year Current Year
Wages and benefits $390,000 $466,000
Consulting fees 70,000 85,000
Management fees 70,000 90,000
Printing and reproduction 14,000 17,000
General office supplies 30,000 42,000
Rent 26,000 26,000
Temporary employment services 8,000 6,000
Insurance 28,000 33,000
Travel 20,000 22,000
Automobile expenses 25,000 25,000
Depreciation and amortization 24,000 22,000
Bad debts 26,000 20,000
Bank charges and interest 8,000 9,000
Legal and accounting fees 6,500 7,000
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Telephone and facsimile 7,500 8,000
Delivery and postage charges 9,000 8,000
Photography 4,000 4,000
Architectural supplies 6,500 8,000
Business taxes 7,500 7,500
Memberships and dues 4,000 4,500
TOTAL 784,000 910,000
Revenue less expenses
$197,000 $256,000
(Profit or Net Earnings)
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Table 2: Sample Balance Sheet
Assets As at August 30, 2019
Current Assets
Cash $50,000
Accounts receivable $310,000
Work-in-progress $189,500
Prepaid expenses $126,000
Notes receivable $83,000
Other current assets $15,000
Total $773,500
Long-term Assets
Property, plant, & equipment
Leasehold improvements $50,500
Furniture and fixtures $23,500
Computer hardware and software $130,000
Goodwill $47,010
Total $251,010
Total Assets $1,024,510
Liabilities & Shareholders' Equity As at August 30, 2019
Liabilities
Current Liabilities
Line of credit $35,000
Accounts payable and accrued liabilities $247,500
Income taxes payable $15,000
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Deferred revenue $40,000
Current notes payable $54,000
Total Current Liabilities $391,500
Long-Term Liabilities
Notes payable, net of current portion $146,000
Total Long-Term Liabilities $146,000
Total Liabilities $537,500
Shareholders' Equity
Capital stock $10
Retained earnings $487,000
Total Shareholders' Equity $487,010
Total Liabilities & Shareholders' Equity $1,024,510
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Table 3: Sample Cashflow Statement
2019
CASH WAS PROVIDED BY (USED IN)
OPERATING ACTIVITIES
Net earnings $ 197,000
Items not affecting cash
Amortization $ 24,000
Loss on disposal of property, plant and equipment $ 1,000
$ 222,000
Change in non-cash operating working capital items
Accounts receivable $ (100,000)
Work in progress $ 50,000
Prepaid expenses $ (50,000)
Accounts payable and accrued liabilities $ (47,000)
Deferred revenue $ 30,000
$ (117,000)
$ 105,000
FINANCING ACTIVITIES
Bank loan advances (payments) - net $ 40,000
Bank term loan advances (payments) - net $ 20,000
Dividends $ (100,000)
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$ (40,000)
INVESTING ACTIVITIES
Purchase of property, plant and equipment $ (5,000)
Proceeds on disposal of property, plant and equipment $ 0
$ (5,000)
CHANGE IN CASH POSITION $ 60,000
CASH (BANK INDEBTEDNESS), beginning of year $ 10,000
CASH (BANK INDEBTEDNESS), end of year $ 70,000
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Financial Professionals
Finance professionals can be bookkeepers, non-certified accountants, or Chartered Professional Accountant
(CPA), who all can work with financial data. A CPA is a licensed professional who adheres to certain professional
standards and the use of established accounting principles. An accountant should respond to the needs of
the practice by advising on the type and extent of financial services required for the size and complexity of the
practice.
The accountant’s task will be easier, resulting in lower fees for accounting services, if the architect practices
good financial management and keeps proper books of account, including:
general ledger;
accounts payable;
accounts receivable;
payroll records.
Accountants are familiar with most software programs and should be able to provide advice on the software
suitable to the size and complexity of the practice. Generally, all payroll software should be for use in Canada.
When engaging an accountant, as with all professionals, it is necessary to establish a clear understanding of
the following:
the services to be provided;
the “deliverables” or financial reports;
the professional fee.
The architect involved in the financial aspects of the practice should develop a rapport with the accountant.
The relationship should be one that is built on a foundation of trust, transparency and providing you proactive
advice. When that level of comfort or service no longer exists, it may be a good practice to request proposals
from other accounting firms to compare services and value.
Architect practices are not required to hire only CPAs. Depending on the size of the firm, the practice can hire
bookkeepers or non-certified accountants to complete a wide variety of responsibilities, such as preparing
internal financial reports, recording day-to-day transactions, invoicing clients, managing collections, performing
account reconciliations, and maintaining records. These individuals may be licensed accountants or equipped
with education or experience in a related field.
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The external CPA may also go over the accounts maintained by internal staff, and review or audit them to
ensure that the records are accurate before finalizing the annual financial statements and filing taxes.
Bankers
It is also important to establish a professional relationship with a banker. Proper long-range financial planning
and the establishment of a capital reserve should eventually enable the architect to avoid having to finance
day-to-day operations. When funds for the operation of the practice are not required, it is possible to “tender”
for the bank service fees by asking two or more banks to quote on the charges for various banking services.
Instead of acquiring a short-term loan to finance operating expenses, many businesses negotiate a line of
credit which can be used when and as required up to a limit arranged with the bank.
The best time to negotiate for a line of credit is when financing is not required. In this case, the cost is usually
reasonable in the form of a low standby fee, and the line of credit will be in place when it is required. The
interest rate quoted will probably be determined by the bank’s perception of the level of risk in financing the
architectural practice. The interest rate charged by the bank will be expressed as the percentage over the
“bank rate” or “prime rate.” (The prime rate is the fluctuating rate which banks charge their best customers.)
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When the practice does need to borrow funds, the architect should provide complete records of past
performance, plus detailed budgets and long-range financial plans. This information assists the banker in
deciding on a line of credit for the practice. The amount of credit is usually a percentage of the accounts
receivable and work-in-progress. If the amount requested is high, the bank may demand a higher percentage
rate of interest over “prime” on the loan, and usually requires personal guarantees from principals, directors
or major shareholders.
A well-prepared cashflow projection (see Table 6) for the year ahead may be necessary to successfully negotiate
a line of credit with the bank. An accountant can provide advice on the information required by banks for
approving loans and a line of credit.
Information for Financial Management
Accurate and complete financial information can assist the architect in preparing accurate budgets, and in
monitoring and controlling expenses incurred in providing architectural services. Various forms for financial
management purposes are provided in Chapter 3.11 – Standard Templates for the Management of the Practice,
including the following:
Invoice;
Fee calculation sheet;
Project cost control chart;
Time report;
Expense claim form;
Ratio analysis.
Fee Calculation
When determining fees for services, the architect should identify and determine the following:
each component of the services to be provided;
the cost of production for each component (including direct and indirect costs);
the profit margin to be achieved.
All projects should generate a profit. The only possible exception to this principle is when the loss is part of a
long-range or short-term strategy (such as undertaking a new and unknown building type). Such a loss can be
PART THREE Management of the Architectural Practice
endured only if:
the loss is clearly forecast;
adequate reserves are available to underwrite the loss.
The various methods of compensation, or methods of fee calculation, are outlined in Chapter 3.9 – Architectural
Services and Fees.
Regardless of which method is selected, the architect should also estimate the amount of time needed to
complete all the required tasks for the project, as well as the associated costs, by using staff “billing rates”
(also called charge-out rates). This estimate can be used to check whether the proposed fee will be adequate
to complete all the services to be contracted, and if a profit can be realized.
For example, when estimating the fees for schematic design, the architect should:
calculate how many hours it will take to develop one schematic design, by whom, and at what billing rate;
estimate the time to develop subsequent designs using the same procedure, as it may be necessary to
undertake two or three schematic designs;
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define in the agreement how many different alternative schematic designs will be developed;
quote an additional fee for each subsequent alternative beyond the number quoted.
A “Fee Calculation Sheet” is provided in Chapter 3.11 – Standard Templates for the Management of the Practice,
for this purpose.
Adequate profit margins may not be achieved if:
additional time on the project is required due to unexpected circumstances;
additional time is not billable as an “additional service”;
too low a fee was offered or negotiated;
the time required to provide adequate services was incorrectly estimated;
the project was poorly managed.
[Note: Additional time is often required when the project is a building type with which the practitioner is not
familiar.]
Billing Rates
RAIC Document Six: Canadian Standard Form of Contract for Architectural Services defines “direct personnel
expense” and provides the opportunity to invoice for services using multipliers when the fees are charged on
an hourly basis.
Establishing billing rates is becoming more complex in today’s competitive business environment. Billing rates
must include overhead costs, including:
office rent and operating costs;
equipment purchasing or leasing, and maintenance;
secretarial, clerical, and bookkeeping services.
Some large offices may have several staff positions that contribute to office overhead; their services are not
chargeable directly to clients.
The salaries and benefits of each employee in the practice are known factors and can be converted to an
hourly direct personnel expense by dividing the annual salary-plus-benefits (as defined in RAIC Document Six)
by the number of billable hours in a year. One method for determining the number of billable hours in a year
PART THREE Management of the Architectural Practice
is to multiply regular daily hours by 365 days and deduct the following:
weekends;
statutory public holidays;
an allotment of time for vacations;
an allowance for sick leave;
an allowance for non-productive time.
The billing rate is determined by applying a multiplier to the calculated hourly direct personnel expense. The
multiplier is a factor which includes overhead plus profit and can vary from 1.8 to 3.0 depending on the size of
the practice and its location (such as an urban centre with high costs).
A rule of thumb for calculating billing rates is to add 25% to the hourly rate for payroll burden, double the total
to include overhead, and add 50% of the overhead for profit. This is the equivalent of a multiplier of 3.125
applied to the direct personnel expense.
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The following is an example for an employee with an hourly wage of $40. In this example, the profit is 20%.
Table 4: Billing Rate Calculation
Employee’s hourly wage $40
Payroll burden (25% of $40) $10
Sub-total (direct personnel expense) $50
Overhead $50
Profit (one half of overhead) $25
Billing rate $125
Architects that charge less than this formula limit growth and profits.
Utilization Factors
The percentage of billable hours as compared to the total hours of work in a year is called the “utilization factor.”
Utilization factor is a percentage determined by dividing the actual billable hours by the total billable
hours possible.
actual billable hours
%=
total possible billable hours
Utilization factors may range from:
40-65% for principals;
70-80% for senior architects;
80-90% for project architects and technical staff.
PART THREE Management of the Architectural Practice
Some personnel, such as those involved only in marketing or management, may have no billable hours
and, therefore, no utilization factor. Utilization factors should be monitored regularly because of the direct
correlation between high utilization factors and high revenue potential.
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Table 5: Calculation of Utilization Factors
1. Calculation of Total Available Billable Hours
1.1 Available hours: 37.5 hours x 52 weeks = 1,950 hours
1.2 Non-billable hours:
• Vacations 14 days
• Statutory holidays 9 days
• Other 3 days
Sub-total 26 days x 7.5 hours = 195 hours
Reduced summer hours 22 days x 2.5 hours = 55 hours
Total non-billable hours (250 hours)
1.3 Total Available Billable Hours 1,700 hours
2. Utilization
A B C D AxD
Factor
Actual Billable Total Available Utilization
Staff Billing Rate Fees Billed
Hours Billable Hours Factor
Principal 935 1,700 55% ( 935
1700 ) $200/hour $187,000
Senior
Architects (2)
1,360 1,700 80% ( 1360
1700 ) $125/hour $340,000
Junior
Architects (2)
1,445 1,700 85% ( 1445
1700 ) $90/hour $260,100
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( )
Architectural 1580
Technologists 1,580 1,700 93% $75/hour $592,500
(5) 1700
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Project Cost Control Information
Information used to control project costs helps the architect to monitor income, expenses, and profit for
each segment of the work on a project. The most practical means of monitoring and controlling project costs
is through the project’s work breakdown structure. The work packages of the work breakdown structure are
rolled up to the level of the project cost control accounts. A sample form, “Project Cost Control Chart,” is
provided in Chapter 3.11 – Standard Templates for the Management of the Practice. This is a very basic chart;
however, many software programs are available to assist the architect in monitoring project costs.
A project may be undertaken on a time and material basis. A system that shows the costs and effort hours for
each work package, rolled up to the cost accounts, streamlines billing and communications.
Project cost control information should be monitored regularly to ensure that all tasks are completed within
the estimated time and budget.
Time Reports
Time reports or time sheets should record enough information to provide summaries of time spent, on a
weekly basis, for each task or portion of architectural service. The type of service and phase of the project
should be accurately identified in order to measure budgeted time against actual time spent.
For example, if a fee for a schematic design has been budgeted at $12,000, and if one person with an hourly
wage of $40 per hour will be assigned to produce this schematic design, the practice must budget $125 per
hour, which calculates out to $12,000 ÷ $125 = 96 hours. If the individual has a utilization rate of 90%, then 90%
of 37.5 hours per week = 33.75 hours of billable time. At a rate of 33.75 hours per week, it would take 96 hours
÷ 33.75 = 2.84 weeks (nearly 3 weeks) to complete the work. Reviewing the weekly time sheets in conjunction
with the progress of the work will help to verify whether or not the design is advancing at approximately 33%
per week.
A “Time Report” form is provided in Chapter 3.11 – Standard Templates for the Management of the Practice.
Invoicing
Useful tips on invoicing and collecting accounts are found in Chapter 3.8 – Risk Management and Professional
Liability.
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Financial Management and Ratio Analysis
Part of financial management is to track key performance indicators or ratios to analyze the financial
performance of the business in terms of profitability, efficiency, risk, liquidity, effectiveness and growth. Ratios
can also be used for trend analysis or comparative benchmark analysis to put a company’s financials into
perspective. These ratios are calculated using the financial statements: balance sheet and income statement.
Common ratios for architecture business are:
profit margin;
overhead rate;
labour multiplier (net multiplier);
utilization rate;
average collections period;
current ratio;
debt to equity ratio.
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Some of these ratios are tools that banks and potential investors turn to when analyzing the company’s
strengths and weaknesses. It is important to note that financial ratios can be reliable if the data itself is
accurate and reliable.
Descriptions and formulas for the above are provided in the Definitions section of this chapter.
Other Financial Management Issues
Compensation
Ideally, compensation for all professionals in an architect’s office should be similar to compensation paid
in other professional practices, assuming similar levels of responsibility as well as similar time and energy
expended. In reality, all staff — including senior, junior, and intern architects; technical staff; and support staff
— are compensated based on market conditions. Compensation also includes comfortable working conditions
and professional career opportunities and challenges.
Surveys and information on standard levels of compensation are available from:
federal government surveys;
surveys by professional associations;
surveys by architectural journals;
an exchange of information with other architectural practices.
Proper financial management and current statistics enable the architect to properly compensate staff, thereby
helping to increase productivity.
Tax Planning
Accounting advice should be sought for proper tax planning. The financial management of an architectural
practice must consider the following taxes:
Goods and Services Tax (GST), or Harmonized Sales Tax (HST) in some provinces, must be collected
on all income. The total amount collected is reduced by the amount of GST/HST paid to vendors. The
difference due to the government is usually paid quarterly.
Employees’ income tax is deducted by the practice for every employee for every pay period. Payment is
made to the federal government at intervals determined by the pay period. Income tax deductions include
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provincial income taxes as well as federal income taxes, CPP, and EI.
In Québec, federal income tax and EI are paid to the federal government; provincial income tax and
QPP are paid to the provincial government.
Personal income tax is usually based on the previous year’s income taxes and should be remitted in
quarterly installments. An accountant may provide the architect with a schedule for remittances.
Provincial sales tax (PST) is paid as supplies are purchased. Unless these supplies are sold again, PST
is not collected or required to be collected by architectural practices, except in Québec where Quebec
Sales Tax (QST) must be collected. PST is applicable in the provinces of British Columbia, Manitoba,
and Saskatchewan.
Corporate taxes, if the practice is incorporated, will be estimated by the accountant and should be
remitted quarterly.
Business taxes are charged by some municipalities for operating a business in their jurisdiction.
[Note: In some municipalities, an architectural practice requires a business licence in order to provide
services for a project located in that municipality, even though the practice is located elsewhere.]
[Note: The penalties for late payment are severe, and taxes should always be remitted on time.]
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Software
Accounting and time-counting software and apps are useful tools to help organize, record and access financial
information. Examples of accounting and time-counting software commonly used in the industry include:
Accounting (and Project Management)
Deltek Vision
Deltek Ajera
Clearview
Time-counting
Harvest
Journyx
Tsheets
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Cashflow Forecast
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Jan Feb Mar Apr May Jun Jul Aug Sept Oct Nov Dec Total
Cash/bank begin month $12,500 $13,590 $6,700 $4,790 $5,180 $4,570 $8,660 $2,050 ($360) $3,030 $10,920 $11,510 $15,350
REVENUE
Acme Addition $8,500 $4,000 $4,000 $1,500 $1,500 $1,500 $1,500 $1,000 $500 $500 $500 - $25,000
Dromme House $4,000 $4,000 $3,000 $3,000 $3,000 $2,500 $1,500 $500 $500 $500 - - $22,500
St. Bergen Church $6,500 $3,000 $2,500 $1,000 $1,000 $1,000 $500 $500 $500 $500 - - $17,000
Drummville School $5,000 $2,500 $2,500 $1,500 $1,000 $500 $500 $500 - - - - $14,000
Roberts Montessori $4,500 $3,500 $2,000 $1,000 $500 $500 $500 $500 - - - - $13,000
Glayburne Residence $1,000 $4,000 $2,500 $1,500 $500 $500 $500 - - - - - $10,500
Boros Cottage $500 $3,500 $1,500 $500 - - - - - - - - $6,000
Muffler Shop $1,000 $1,000 $2,500 $4,500 $1,500 $500 $500 - - - - - $11,500
Canadian Handbook of Practice for Architects
Spirios Restaurant $500 $1,500 $2,500 $6,000 $2,000 $1,000 $1,000 $500 $500 $500 $500 - $16,500
Port Hope Townhouses - $1,500 $2,500 $6,500 $12,000 $12,000 $3,500 $3,000 $3,000 $2,000 $1,000 $1,000 $48,000
Boros Apartment - - - $1,000 $4,500 $8,000 $7,000 $1,500 $1,500 $1,000 $1,000 $1,000 $26,500
Table 6: Sample Cashflow Forecast
Sub-total $31,500 $28,500 $25,500 $28,000 $27,500 $28,000 $17,000 $8,000 $6,500 $5,000 $3,000 $2,000 $210,500
Marketing target
- - - - - $5,000 $10,000 $15,000 $20,000 $25,000 $25,000 $30,000 $130,000
(potential projects)
Forecast total $44,000 $42,090 $32,200 $32,790 $32,680 $37,570 $35,660 $25,050 $26,140 $33,030 $38,920 $43,510 $355,850
EXPENSES
Payroll $16,000 $16,000 $16,000 $16,000 $16,000 $16,000 $16,000 $16,000 $16,000 $16,000 $16,000 $16,000 $192,000
Consultants $9,500 $7,000 $6,500 $6,000 $6,500 $8,000 $6,500 $4,500 $2,000 $1,000 $6,500 $7,500 $71,500
Rent $2,400 $2,400 $2,400 $2,400 $2,400 $2,400 $2,400 $2,400 $2,400 $2,400 $2,400 $2,400 $28,800
Membership dues - $1,280 - - - - - - - - - - $1,280
Insurances - $6,200 - - - - $6,200 - - - - - $12,400
Supplies $250 $250 $250 $250 $250 $250 $250 $250 $250 $250 $250 - $2,750
Marketing $800 $800 $800 $800 $800 $800 $800 $800 $800 $800 $800 $800 $9,600
Reproductions $200 $200 $200 $200 $200 $200 $200 $200 $200 $200 $200 $200 $2,400
Furniture/equipment $600 $600 $600 $600 $600 $600 $600 $600 $600 $600 $600 $600 $7,200
Telephone $160 $160 $160 $160 $160 $160 $160 $160 $160 $160 $160 $160 $1,920
Miscellaneous $200 $200 $200 $200 $200 $200 $200 $200 $200 $200 $200 $200 $2,400
Legal/accounting $300 $300 $300 $1,000 $1,000 $300 $300 $300 $500 $500 $300 $300 $5,400
Forecast — total expenses $30,410 $35,390 $27,410 $27,610 $28,110 $28,910 $33,610 $25,410 $23,110 $22,110 $27,410 $28,160 $337,650
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Cash/revenues — expenses
$13,590 $6,700 $4,790 $5,180 $4,570 $8,660 $2,050 ($360) $3,030 $10,920 $11,510 $15,350 $18,200
(end of month)
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References
Dauderis, Henry, David Annand, and Lyryx Learning. Introduction to Financial Accounting. Athabasca University,
ed., Creative Commons License, 2019.
Getz, Lowell. Financial Management for the Design Professional. New York, NY: Whitney Library of Design, 1984.
Getz, Lowell. An Architect’s Guide to Financial Management. Washington, D.C.: The American Institute of Architects
Press, 1997.
Stasiowski, Frank A. Dollars & Sense — PSMJ’s Guide to Financial Management. Newton, MA: PSMJ Resources,
Inc., 1997.
Stone, David A. Mastering the Business of Architecture. (Ontario title only.) Toronto, ON: Ontario Association of
Architects, 1999.
Stone, David. Mastering the Business of Design. Impact Initiatives, 1999. (Outside of Ontario)
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Appendix A –
Annual Budget Calculation Sheet
Table 7: Annual Budget Calculation
INCOME Previous Year Budget Change
Professional fees
Reimbursable expenses
Interest
Other income
TOTAL
EXPENSES Previous Year Budget Change
Salaries:
Professional staff
Technical staff
Support staff
Payroll burden and benefits
Consultants’ fees
Management fees and expenses
Legal fees
Accounting fees
Insurance:
Professional liability insurance
Office insurance
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Life and disability insurance
Other insurance
Professional dues
Professional development and training
Office premises:
Rent
Utilities
Office maintenance and repair
General office administrative expenses
Printing and reproduction
Leases for equipment
Telephone, facsimile, electronic mail
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EXPENSES Previous Year Budget Change
Office supplies
Computer hardware, software, and
maintenance
Photography
Postage and courier
Taxes:
Business
Property
Other taxes
Interest
Charitable donations
Automobile expenses
Public relations and marketing
Travel and entertainment
Printing and proposal preparation
Depreciation
Losses and bad debts
TOTAL
PROFIT
(income less expenses)
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Chapter 3.5 – Office Administration
Chapter 3.5
Office Administration
Contents
Introduction 299
Office Manager 299
Office Policies and Procedures 299
Office Premises 300
Maintenance 300
Security 300
Security of Data and Information Systems 300
Perimeter Security 301
Office Insurance 301
Filing and Retrieval Systems 302
Filing Systems 302
Retaining Files 303
Archiving Project Records 303
Archiving Electronic Files 303
The Office Library 303
Computer Systems 304
References 305
Appendix A – Checklist: Information to Include in a Manual on Office Policies
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and Procedures 306
Firm 306
Staff Engagement 306
Office Hours, Work Periods and Personal Leave 307
Benefits 307
Allowances and Expenses 308
Filing Systems and Retrieval 308
Office Administration 308
Employee Acknowledgement 308
Appendix B – Project Filing System 309
An Example of a Project Information Organization System (Phase-Based) 309
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Introduction
An architectural practice must be well-organized and well-managed in order to provide proper architectural
services to the public and to be profitable. As well, good management decreases exposure to risk and liability.
(See also Chapter 3.8 – Risk Management and Professional Liability.) This chapter discusses several methods for
improving the administration or management of an architectural practice.
See Chapter 3.6 – Human Resources for discussion of human resource issues within architectural practice. The
focus of the human resources function is to ensure that a practice’s most important asset – its people – is
being nurtured and supported through the creation and management of programs, policies and procedures
that foster a positive work environment through effective employee-employer relations.
Office Manager
Every office, with even a modest number of partners and employees, should have an office manager responsible
for overseeing the business functions of the firm. This person may or may not be full time in the position,
depending on firm size, and may or may not be an architect. The office manager is responsible for ensuring
that the firm operates according to the policies and procedures of the firm and in compliance with the many
federal, provincial or territorial, and municipal legislation, regulations and bylaws. The office manager may
have signing authority, and may be responsible for human resources, including recruiting, hiring and firing.
Depending on the size of the firm, the office manager may also have bookkeeping responsibilities.
Office Policies and Procedures
It is important to establish policies and procedures which govern the day-to-day operations of the architectural
practice and to ensure that all employees are familiar with them. Therefore, policies and procedures should
be documented in writing in the form of an office manual. Amendments or new information may be added
from time to time. The office manual is an important tool for both large and small offices. It becomes a guide
to management and staff regarding the many aspects of managing an architectural practice.
The office manual can be in many forms, including a hard-copy binder or a digital format, or can be located on
a practice’s secured network or intranet. The format should suit the size of the practice.
PART THREE Management of the Architectural Practice
One advantage of such a manual is that, by adhering to its policies, all staff are treated fairly and consistently.
The office manual is also a valuable resource when interviewing and hiring new staff. Prospective employees
are understandably interested in learning about the firm’s policies on such basic issues as working hours,
overtime and vacations. With an up-to-date office manual, principals can respond to these questions
confidently and in a manner that is consistent with the policies already applied to existing staff.
The office manual can also help to communicate the firm’s philosophy, goals, and, possibly, mission statement.
This helps to ensure that staff are aware of the principals’ underlying objectives and what is expected of staff.
Some practices require all staff members to sign and date an acknowledgement attesting to the fact that they
have read the office manual and agree to its terms.
In Appendix A at the end of this chapter, the “Checklist: Information to Include in a Manual on Office Policies and
Procedures” lists some of the issues to resolve and to include in an office manual.
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Office Premises
The architect’s office is a multi-functional operation. In addition to being the centre for the operation of the
practice, it also fulfills a promotional role. The appearance of the office makes a statement about the practice’s
image and, to a certain extent, its degree of organization. As well, the space provides an opportunity to display
examples of built projects and current designs. The first impression that visitors or prospective clients receive
when they visit the office will be a lasting one. Therefore, the office should reflect the firm’s philosophy by
being orderly and well-organized. The premises should also support the organization and facilitate the control
of all types of documentation.
The office can be an opportunity to showcase a design that enhances the health and productivity of staff and
promotes best practices in workplace and sustainable design. This includes daylighting and views; acoustics; the
use of sustainable and regenerated materials; good indoor air quality; energy-efficient controls for ventilation
and lighting; flexible and ergonomic workspaces; and new communication and workplace technology tools.
Maintenance
The busier a firm becomes, the greater the challenge to maintain an organized appearance. However,
maintaining a practice’s physical appearance and building systems demonstrates professionalism and
improves a firm’s public and private image. A solution is to engage a reliable maintenance person – perhaps
on an ongoing, as-needed basis – to address minor repairs quickly and economically. Arrange regular office
cleaning to suit the size of the firm and the level of activity in the office. Small practices may require a cleaning
person once per week and may choose to have staff take on some chores. Mid-sized offices may require more
frequent service, and larger offices may require cleaning every evening. Cleaning services may be part of the
lease in an office building.
When engaging office maintenance firms, architects should consider the need for office security and
requirements for a bonded company.
Security
An architectural practice may have two areas of concern for security:
security of security of data and information systems;
perimeter security.
Security of Data and Information Systems
PART THREE Management of the Architectural Practice
Securing data and information systems, including computer and network equipment and software, has become
an area of specialization for information technology managers in architectural practice and computer/network
systems service providers. Threats of data theft and misuse of information have increased exponentially
over the past several years, challenging practice integrity. Threats originate from both internal and external
sources. A breach of security can result in loss of data and intellectual property, extensive rework to recover
from the loss of data, and potentially a breach of contract if the client-architect agreement for a particular
project required specific security measures. The advent of cloud-based electronic data storage and distribution
solutions as well as increased collaboration and exchange of data files across multiple corporate environments
has complicated security. Advanced security protocols are required for both the expedient movement of data
and the control of information distribution. Simple password protection of individual computers is insufficient
as criminal entities devise increasingly sophisticated means to steal identities and valuable information.
See Chapter 3.7 – Technology Systems for a discussion of computer and network security.
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Perimeter Security
Perimeter security refers to the need to protect the office premises from intrusion to avoid theft, vandalism
or security breach. Adequate security is important to protect hard assets such as computers and laptops,
as well as confidential documents and computer databases. Multiple levels of perimeter security may be
required if sensitive client information, such as design information related to secured facilities or proprietary
intellectual property, needs protection. A portion of the office may be designated for a specific project, and
access to the designated area may be limited to select personnel. In Canada, work spaces involving sensitive
government or private sector projects are often required to have additional levels of security which are
prescribed by the client.
An office may be required to install a fire-rated “vault” or secured file storage for important documents.
It is also common practice for principals to store copies of documents in an offsite location, such as their
personal residences. Many firms choose to use a document storage company that securely stores physical
and electronic records, media tapes, vital records and other assets offsite, with easy access when needed.
In past years secured storage was used for housing original software, but most software programs are now
purchased on a subscription basis and are updated online, making the storage of discs obsolete.
Security systems vary in their complexity and features. A minimum standard should include an electronic
alarm system connected to a signal device and/or a centralized security monitoring office.
Control of office keys is a concern due to staff turnover. A practice should maintain a master log to control the
distribution and retrieval of all keys. Depending on the rate of staff turnover, it may be appropriate to re-key
locks on a regular basis. Many offices are replacing physical keys with access credentials, such as swipe/scan
cards or fobs.
Office Insurance
Insurance protection is not limited to professional liability insurance. It is important for firms to protect the
physical assets of the architectural practice. Most commercial office insurance policies are “package” offerings,
providing a broad range of protections from common threats and losses. Some of the extensions to property
insurance usually available with a commercial policy package include the following:
office contents, such as furnishings and computer hardware, software, and data;
accounts receivable;
exterior signs;
PART THREE Management of the Architectural Practice
personal effects of employees;
glass coverage;
valuable papers;
property off premises (that is, located in site offices, employees’ homes, etc.);
property in transit;
newly acquired location coverage;
crime coverage.
In addition to property coverage, the policy should include commercial general liability (CGL) protection.
The practice should consider other insurance protection, including:
tenants’ legal liability coverage;
non-owned automobile liability coverage;
employer’s liability protection.
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If the practice is a home-based business, a “home-run business” endorsement may be required on the home
insurance policy.
An insurance broker can discuss the operation of the practice and advise on office insurance requirements.
See also Chapter 3.1 – Starting and Organizing an Architectural Practice for other types of insurance requirements
Filing and Retrieval Systems
It is good practice to thoroughly document all project activities and communications. Documentation
minimizes the potential of future conflicts and provides the basis for a solid defence in the event of a claim
being made by any project participant or if the architect is faced with other legal action. Web-based project
management solutions are available both as subscription services and as server applications. These systems
provide automated archiving, security, searchability and information management.
Some of the types of documentation that the architect should maintain are described in Chapter 3.11 – Standard
Templates for the Management of the Practice and Chapter 6.8 – Standard Templates for the Management of the
Project.
This section discusses possible filing systems in an architect’s office for storing and retrieving this documentation.
Filing Systems
A successful filing system provides a central location for all project documentation and communication and,
more importantly, permits easy and immediate retrieval of information. The architect should consider printing
file numbers on all correspondence to identify incoming and outgoing mail and e-mail, facilitate routing, and
coordinate with filing procedures. See Chapter 3.11 – Standard Templates for the Management of the Practice for
a sample stamp for all correspondence. Files should not be created unless there is sufficient documentation
or correspondence to warrant them. If a piece of communication discusses more than one subject, it should
be copied and placed in all the appropriate files.
An architectural practice will require at least two types of filing systems:
filing of information relating to the management of the practice;
filing of information related to the management of the project.
Information related to the management of the practice may include employee records, business and
PART THREE Management of the Architectural Practice
professional liability insurance information, and overall financial records. This information requires a special,
and possibly confidential, filing system, organized to meet the needs of each practice.
It is also important to establish some form of filing system for marketing, promotional materials and
communications which are generated in seeking new commissions. Referencing past proposals is important
when pursuing new opportunities.
In addition, a separate file or series of files is usually established for each project, frequently filed by the
project number. Key information should be at the start of the project file. See Chapter 6.8 – Standard Templates
for the Management of the Project for a sample index of project files.
A suggested system for filing project information is based on the project’s work breakdown structure (WBS).
A filing system based on the WBS is scalable and information is easily retrievable by all team participants,
independent of their role in the project. The filing system should be duplicated in both hard-copy and electronic
formats. For small projects the filing system may be as simple as a folder for each major phase, including:
pursuit and proposal; construction documents; post-construction.
pre-design; bidding/contract award;
design; construction;
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The filing system can be scaled up by including folders for sub-deliverables and, for large or complex projects,
tasks. The advantage of a WBS-based filing system is that all information about a design topic, building system,
or component is collected into a single location and is easily retrievable. A disadvantage is that the person
responsible for filing information must recognize the content and decide into which folder the information
should be sorted.
An alternative system is to file information according to format. For example, under each project phase,
folders for letters and e-mails, meeting minutes, memos, sketches, transmittals, and shop drawings would
be included. The advantage of this filing system is that staff who are unfamiliar with the practices of an
architectural office can file information without having an awareness of content. The disadvantage is that if
information is required on a topic, such as decisions about envelope material selection, multiple folders would
need to be searched to collect and consolidate all information.
Appendix B – Project Filing System at the end of this chapter suggests a possible filing format. The project
filing system is intended as a guide only, and should be adapted to suit the needs of the individual
architectural practice.
Retaining Files
The architect should always be aware of the potential for claims. Therefore, records should be maintained well
beyond completion of the project. Good records help to prepare a good defence. In the digital age, maintaining
electronic records has become standard practice.
The architect should review the provincial or territorial statute of limitations to identify the duration for which
records should be kept. At a minimum, all project records should be retained until after expiry of the limitation
period for pursuing a claim for professional errors or omissions. The time period contained in the statutes of
limitations varies from province to province or territory. See Appendix E – Comparison of Statutes of Limitations
in Each Province and Territory in Chapter 3.8 – Risk Management and Professional Liability.
Archiving Project Records
One final task often overlooked on a project is organizing records so that files will be orderly, well-labelled, up-
to-date and easily located. This is critical when information on a project is needed at a later date. Frequently,
the retrieval is done by others not involved in the original project. Some firms place one copy of all final
reports in the office library as reference material for future projects.
Archiving Electronic Files
PART THREE Management of the Architectural Practice
It is also important to archive electronic files. The technology for storing this data is constantly changing and
improving. Cloud-based storage and mass-storage devices have made the archiving of electronic files second
nature. However, each firm is advised to test the backups and file storage systems to ensure that the integrity
of their data has not degraded or become corrupted over time, and that older files are compatible with new
software programs.
The Office Library
In addition to a filing system, every architectural office should maintain a reference library. This library may
include some of the following:
information on building design and architectural practice;
technical information on specific building products (product literature and samples);
standards, codes, and other information such as statutes and regulations;
information and practice bulletins from the provincial and territorial architectural licensing authorities.
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These materials should be stored in a central area, where they are easily accessible to the staff for daily use.
However, it is not uncommon for the contemporary office, pressed for space, to insist that all resources be
made available in digital format, thereby reducing the space requirement for a library. The same is true for
manufacturers’ product literature.
Sample libraries are also a valuable resource, but space consuming. An office may find that it must be selective
about accepting samples from manufacturers and must limit storing physical samples to those actually used
on past projects and actively being considered for current projects.
A majority of product literature is now available online using web-based information systems. Product literature
may also be available in formats such as CD-ROMs, manufacturers’ three-ring binders, or loose information
(often gathered at trade shows or conferences, or received in the mail); however, these formats are becoming
less common. Binders should be stored for easy access and identification. Some practices require a sign-out
sheet for borrowing these binders. The common method for organizing product information is the use of the
MasterFormat™ 50 division system with a number on each binder or piece of literature corresponding to the
section number of the MasterFormat system.
Computer Systems
See Chapter 3.7 – Technology Systems for a detailed discussion of technology systems, including computers,
networks, communication and security.
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References
Hayes, R.L. (ed.) The Architect’s Handbook of Professional Practice, 15th edition. Hoboken, NJ: John Wiley & Sons,
2014.
Franklin, James R. Current Practices in Small Firm Management: An Architect’s Notebook. Washington, D.C.: The
American Institute of Architects Press, 1990.
The Society of Design Administration. Handbook of Design Office Administration. New York, NY: John Wiley &
Sons, 1999.
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Appendix A –
Checklist: Information to Include in a Manual on Office
Policies and Procedures
Firm
Description N/A Notes
1. History of firm
2. Background of principals
3. Mission statement, philosophy, goals
Staff Engagement
Description N/A Notes
1. Staff information
a. job descriptions, etc.
2. Overtime classification
a. hourly-paid employees (payment for
overtime as per office policy and provincial
legislation)
b. salary-paid employees
3. Performance review and career development
goals
4. Bonuses
PART THREE Management of the Architectural Practice
5. Work outside office on personal projects
6. Working from home
7. Workplace health and safety
8. Participation/attendance at conferences
9. Codes of conduct
a. discrimination
b. sexual harassment
c. ethics
d. disciplinary action
e. dress code
10. Notice of termination
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Office Hours, Work Periods and Personal Leave
Description N/A Notes
1. Working hours
2. Salaries and wages (pay days)
3. Time sheets
4. Overtime
5. Personal time
6. Bereavement leave
7. Absenteeism
8. Leave of absence/parental leave
9. Time off for elections
10. Vacations
11. Public holidays
12. Paid holidays
13. Eligibility for holidays
14. Holidays occurring during weekends
15. Holidays occurring during vacation
16. Working on holidays
17. Alternate days off
18. Religious holidays
Benefits
Description N/A Notes
PART THREE Management of the Architectural Practice
1. Temporary sick-leave benefits
2. Pension benefits
3. Health insurance benefits
a. dental
b. extended care
c. vision care
4. Professional development
5. Parking at office
6. Dues for membership in professional
associations
7. Expenses related to the intern architect
program (dues, examination expenses)
8. Other
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Allowances and Expenses
Description N/A Notes
1. Automobile allowances
2. Parking
3. Taxi expenses
4. Entertainment expenses (client and suppliers)
5. Travel expenses
6. Expense reports
7. Cell phones
Filing Systems and Retrieval
Description N/A Notes
1. General filing system
2. Project files
a. master project number index
b. standardized project filing format
c. technical files index
d. Office administration files index
3. File retrieval
4. New filing and file return
5. Financial files
6. Computer and electronic files
7. Sample library
8. Office library
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9. CAD standards
Office Administration
Description N/A Notes
1. Visitor and telephone reception
Employee Acknowledgement
Description N/A Notes
1. Signed and dated acknowledgement from each
staff member that they have read and agree to
office policies and procedures.
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Appendix B –
Project Filing System
A project information management system is most effective when designed to address the following needs:
Multilevel:
The organization of information is hierarchical, allowing both large and small projects to use the same high-
level headings but cascade into finer and finer subcategories as the project size and complexity increase.
Consistent narrative:
Information about a topic, regardless of format or media, is consolidated within the same family of
categories and subcategories; i.e., all information about the curtain wall design, or whether a letter, sketch,
or cost estimate notes can be retrieved easily.
Searchable:
In an electronic format, information can be searched, located and retrieved.
Multi-user:
Information is categorized in an order that all project participants can understand, regardless of their role
in the project; i.e., the architect, technologists and administrative staff share the same understanding of
the information structure.
Consistency:
Although each project creates a unique outcome, as far as is practical, the project information structure is
similar across projects, enabling lessons learned by a project team from one project to be easily retrieved
by another.
These needs can be effectively addressed by using the project’s hierarchical and multi-scalar work breakdown
structure as the basis for project information organization.
An Example of a Project Information Organization System (Phase-Based)
PART THREE Management of the Architectural Practice
1. General
1.1 General 1.1.1 Request for proposal (RFP) and proposal
1.1.2 Project team directory
1.1.3 Newspaper clippings, etc.
1.2 Client/architect 1.2.1 Correspondence
1.2.2 Minutes of meetings
1.2.3 Agreements
1.3 Construction cost 1.3.1 Project budget
1.3.2 Estimates
1.4 Project management and control 1.4.1 Personnel
1.4.2 Fee calculation sheet
1.4.3 Project cost control chart
1.4.4 Time reports
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1.5 Project accounts 1.5.1 Invoices
1.5.2 Reimbursable expenses and expense claim forms
1.5.3 Additional services
2. Pre-design
2.1 Client/architect 2.1.1 Correspondence
2.1.2 Minutes of meetings
2.1.3 Functional program or feasibility studies
2.1.4 Client’s consultants
2.2 Consultants 2.2.1 as required
2.3 Construction budget 2.3.1 Construction budget
2.4 Site information 2.4.1 Photographs
2.4.2 Surveys
2.4.3 Soils or geotechnical reports
2.4.4 Utilities
3. Design
3.1 Client/architect 3.1.1 Correspondence
3.1.2 Minutes of meetings
3.1.3 Design report
3.1.4 Client’s consultants
3.2 Consultants 3.2.1 Structural engineer
3.2.2 Mechanical engineer
3.2.3 Electrical engineer
3.2.4 Other consultants
3.2.5 Minutes of meetings
3.3 Construction cost 3.3.1 Budget
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3.3.2 Construction cost estimate
3.4 Approvals 3.4.1 Municipal authorities having jurisdiction
3.4.2 Regional authorities having jurisdiction
3.4.3 Provincial authorities having jurisdiction
3.4.4 Federal or other authorities having jurisdiction
4. Construction Documents
4.1 Client/architect 4.1.1 Correspondence
4.1.2 Minutes of meetings
4.1.3 Client’s consultants
4.2 Consultants 4.2.1 Structural engineer
4.2.2 Mechanical engineer
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4.2.3 Electrical engineer
4.2.4 Other consultants
4.2.5 Minutes of meetings
4.3 Construction cost 4.3.1 Budget
4.3.2 Construction cost estimate
4.4 Construction documents 4.4.1 General information
4.4.2 Drawings
4.4.3 Specifications
4.5 Approvals 4.5.1 Municipal authorities having jurisdiction
4.5.2 Regional authorities having jurisdiction
4.5.3 Provincial authorities having jurisdiction
4.5.4 Federal or Other Authorities Having Jurisdiction
5. Bid and Contract Award
5.1 Client/architect 5.1.1 Correspondence
5.1.2 Minutes of meetings
5.2 Consultants 5.2.1 Structural engineer
5.2.2 Mechanical engineer
5.2.3 Electrical engineer
5.2.4 Other consultants
5.3 Construction cost 5.3.1 Final estimate
5.4 Bid Documents and addenda 5.4.1 Bid documents
5.4.2 Addenda
5.5 Bidders 5.5.1 Invitation to bid and advertisements
5.5.2 Pre-qualifications
5.5.3 Deposits and records
5.5.4 Bid depository
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5.6 Bids 5.6.1 Bid forms
5.6.2 Bonds and bid security
5.6.3 Analysis of bids
5.6.4 Alternatives and substitutions
5.7 Contract 5.7.1 Contract documents
5.7.2 Bonds
5.7.3 Insurance
6. Construction
6.1 Client/architect 6.1.1 Correspondence
6.1.2 Minutes of meetings
6.2 Consultants 6.2.1 Structural engineer
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6.2.2 Mechanical engineer
6.2.3 Electrical engineer
6.2.4 Other consultants
6.3 Construction cost 6.3.1 Schedule of values and applications for payment
6.3.2 Certificates for Payment
6.3.3 Substantial performance
Certificates for Release of Holdback and Final
6.3.4
Payment
6.4 Supplemental instructions and
6.4.1 Supplemental instructions
change orders
6.4.2 Proposed changes
6.4.3 Change orders
6.4.4 Change directives
6.5 Contractors 6.5.1 Correspondence
6.5.2 Minutes of meetings
6.6 Submittals 6.6.1 Time schedules
6.6.2 Shop drawings
6.6.3 Samples
6.6.4 Deficiency lists
6.6.5 Maintenance and operating manuals
6.6.6 As-built and record drawings
6.7 Field review 6.7.1 Field review reports
6.7.2 Inspection and testing reports
6.7.3 Photographs and other records
6.8 Authorities having jurisdiction 6.8.1 Correspondence
6.8.2 Minutes of meetings
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7. Post-construction
7.1 Client/architect 7.1.1 Correspondence
7.1.2 Minutes of meetings
7.2 Consultants 7.2.1 As required
7.3 Construction cost 7.3.1 Cost analysis
7.4 Contractors 7.4.1 Correspondence
7.4.2 Minutes of meetings
7.5 Deficiencies 7.5.1 Warranty inspections and defective work
7.6 Project records 7.6.1 Occupancy permits and other certificates
7.6.2 Warranties and maintenance bonds
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Chapter 3.6
Human Resources
Contents
Definitions 315
Introduction 315
Building the Team 316
Permanent Employees 316
Contracted or Temporary Employees 316
Independent Contractors 317
Recruiting New Employees 318
Sourcing Qualified Candidates 318
Screening Candidates 318
Selecting the Preferred Candidate 320
Presenting the Offer of Employment 320
Preparing for Onboarding 320
Probation Period 321
Building a Great Work Environment 321
Motivation, Job Satisfaction and Employee Engagement 321
Basic Needs: Compensation, Benefits and Perquisites 322
Compensation 322
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Benefits 322
Perquisites 322
Overtime Pay 322
Bonuses 323
Vacation Time and Vacation Pay 323
Paid Time Off and Protected Leaves 323
Flexible Work Environment 323
Regulations and Office Standards 324
Health and Safety 324
Respect in the Workplace 324
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Diversity, Inclusion and Equity 325
Discrimination 326
Harassment 326
Communication of Policies, Practices, Culture and
Work Environment to Team Members 327
Enhancing Performance: Designing an Amazing Work Experience 328
Architecture Students and Interns 328
Registered Architects and Experienced Technologists 328
Senior Architects 329
Performance Development and Feedback 329
Best Practices for Performance Management 329
Positive Feedback and Recognition 329
Constructive Feedback 329
Preparing for a Performance Discussion 329
Best Practices for Performance Development 330
Essential Elements of Effective Performance Development 330
Professional Development or Continuing Education 331
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Planning for Employee Departures 332
Resignations 332
Downsizing the Team Due to Lack of Work 333
Work-Sharing and Temporary Layoffs 333
Terminations 334
With and Without Cause Terminations 334
Best Practices for Conducting an Employee Termination 335
References 336
Taxation and Employment Resources 337
Employment Standards Acts and Regulations 338
Appendix A – Checklist: Issues for Consideration in an Employment Agreement 339
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Definitions
Diversity: The condition of having or being composed of differing elements, variety; especially the inclusion
of different types of people (as people of different races or cultures) in a group or organization.
Employee: One who works for and under the full direction of another individual or entity (employer); a person
working either full-time or part-time for an employer and in a manner that satisfies Canada Revenue Agency’s
criteria for determining employer-employee relationships.
Inclusion: The act or practice of including and accommodating people who have historically been excluded
(as because of their race, gender, sexuality, or ability).
Independent Contractor: An individual or entity that is not entirely dependent on a single source for business
and is distinguished from an employee by having a chance for profit, risk of loss, and a degree of self-control
and ownership of tools; a person or firm providing services who is not an employee under Canada Revenue
Agency’s criteria for determining employer-employee relationships.
Introduction
The most valuable resource of an architectural practice is its people. The talent, skills, initiative and dedication
they bring to an architectural practice will directly impact the ability of the firm to succeed in meeting and
exceeding the expectations of clients and the community impacted by design and building.
The traditional approach to building an architectural practice where the partner is “master” and the architect,
intern or draftsperson are “servants” is no longer acceptable to young professionals and building science
specialists. The design professionals and technical specialists of the current generation want to be active and
equal team members, all contributing ideas, passions, energy, knowledge and insights to the project.
Team members will acknowledge and respect the experience, wisdom, expertise, long-term industry knowledge
and client relationships that partners possess. Employees will be attracted to working for a firm that values
their contribution.
However, in order to ensure that a team remains engaged, inspired, challenged, committed and loyal to the
firm and clients, a culture and environment needs to be created in which there is mutual respect, willingness to
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encourage diversity of thought, openness to disagree and explore options, and freedom to grow through new
opportunities, responsibilities and options. In addition to all of this, the culture of the firm is best sustained in
a comfortable, flexible work environment where the team members thrive, and can manage their work and
their external commitments.
The following chapter outlines the contemporary expectations of employees, professional, technical or
otherwise, in terms of human resources or “people” practices within a workplace, regardless of size, industry,
or ownership structure. The practical application of HR practices recommended within is provided in the
context of a small to mid-sized architectural firm with a single principal or a partnership without full-time
professional HR support or expertise. At the conclusion of this chapter is a list of helpful online resources
related to the variety of federal and provincial/territorial regulations.
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Building the Team
When the principal or partners of a practice require additional skills or resources, they must determine whether
to hire new employees or engage external resources to fill the gap. Various alternatives for augmenting
project resources should be considered. The largest expense item for professional services firms is salaries
and related costs. Projected cash flow or billings for both the short and intermediate term must be considered
in order to determine any additional financial burden and the firm’s ability to support it. Principals must
consider the following costs related to employees:
base cost of salaries, and costs to cover statutory employer contributions such as Canada/Québec Pension
Plans (CPP/QPP), Employment Insurance (EI), vacation pay, health tax, other benefits and perquisites
offered;
overhead costs related to in-house resources such as: furniture, computers, software licences, telecom costs;
indirect costs related to training, professional development and management of employees.
Three alternatives for meeting human resources needs are:
hiring permanent employees (full-time and part-time);
hiring temporary employees (casual, students);
engaging contract resources on a temporary basis.
The architect should consult relevant information from the Canada Revenue Agency as well as the provincial
or territorial employment legislation to fully understand the implications associated with each of the three
options noted above. If necessary, the architect should obtain advice from a Certified HR Professional (CHRP)
or an employment lawyer.
Permanent Employees
Permanent employees are vital to the long-term health and stability of an architectural practice. An appropriate
mix of professional staff, technologists and support staff is necessary to realize both the business objectives
and mission of the firm. Some practices, with a focus on design, choose to hire architects and intern architects
exclusively, augmented only by support staff. Other firms, with a stronger focus on building construction
expertise and service, rely heavily on senior technical staff to manage and deliver projects.
Contracted or Temporary Employees
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Temporary employees are often hired for a fixed period of time, determined prior to the commencement of
work. Temporary staff employed by the firm may be compensated on an hourly basis and are not provided
with benefits and other perquisites offered to permanent staff. Although such employees are temporary,
employers are required to make statutory contributions and deductions for taxes, pension contributions
and employment insurance premiums, and to file taxation forms annually. Temporary employees are also
protected by provincial employment standards.
Typically, temporary employees fill staffing voids created by short-term absences of permanent employees but
also “fill in” during short-term peaks of high workload to avoid burdening permanent staff with overtime work.
Summer students or students completing a required work-term or co-op assignment can also help more
senior professional staff with less complex work while gaining essential experience on real projects and within
an architectural practice.
Temporary employees can also compensate for gaps in the skills of existing staff — for example, a retired
or other specialized professional can provide additional expertise for a specific project or provide necessary
training on new tools or software for a limited period of time.
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Independent Contractors
Engaging an independent contractor, or “out-sourcing,” is a common technique for determining project
costs and limiting payroll responsibilities. The architect should ensure that the work is clearly defined, and
deliverables can be measured. The actual work may or may not occur within the architect’s office but with
supervision by the architect.
Independent contractors are self-employed and are most often incorporated or operate as sole proprietors.
They are often referred to as consultants, and are sometimes incorrectly termed “contract workers” or
“contract employees.”
If an architect is providing contracted services to another architect, the contracted architect is providing
architectural services as though to a member of the general public. The contracted architect must have the
appropriate provincial or territorial licensure for providing architectural services.
Contractors are normally retained on a short-term, per-project basis.
Offshoring work to be performed by companies outside of Canada or hiring remote contractors can be a cost-
effective option for some types of work, but managing communications and time zones can be complicated.
Larger businesses such as employment agencies, temporary staffing agencies, consulting firms and other
architecture firms may also supply contract resources. In these cases, the contractor is either employed by the
other business or has been subcontracted by the other business.
Contractors are usually paid a stipulated hourly rate or fixed fee, with no deductions for income tax, Canada/
Québec Pension Plans (CPP/QPP), or Employment Insurance (EI), and they receive no vacation pay or other
employment-related benefits from the architectural practice. As a separate business entity, they are not
eligible for employment standards unless they are employed by another firm. If the Canada Revenue Agency
(CRA) does deem them to be an employee and not an independent contractor, the CRA may determine with
whom the employment relationship exists, and require actions to rectify statutory deductions that have not
been paid, or compensation that is owed to the “employee.”
Because independent contractors are responsible for their own statutory contributions, principals can expect
to be charged a higher hourly rate than an employee would be paid for similar work. If they are engaged on
a fixed fee basis, the contractor will be expected to complete specified tasks or deliverables within a specific
timeframe.
Self-employed or incorporated contractors can claim many business-related expenses not available to
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employees. Contractors may also be required to charge PST/HST/GST depending on services and goods
provided and the fees earned within a taxation year.
The terms of engagement between the architectural practice and any contractor or firm providing contract
resources should always be confirmed in writing in a contract prior to the commencement of work, and
payment should be made only after a proper invoice has been submitted. The terms of engagement should
also include details such as:
length of contract (start and end date); copyright, intellectual property and moral rights;
services to be provided; credit for authorship;
who (named) is authorized to enter into a contract; liability;
who will be providing the services; insurance, workers’ compensation premiums, etc.
confidentiality;
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Recruiting New Employees
The process of recruitment involves a series of steps which include:
sourcing qualified candidates;
screening applicants;
selecting a preferred candidate;
presenting an offer of employment;
preparing for onboarding.
If a role description does not exist, it is important to develop a description which includes:
identified skill set and capabilities needed to address gaps in human resources;
role and responsibilities;
reporting relationships, including both those who report to the employee and those to whom the employee
reports;
qualifications required (education, experience, training, technical skills, soft skills);
specific requirements of the employee (e.g., travel, driver’s licence).
Sourcing Qualified Candidates
The architect will need to source qualified candidates to consider for the role. Strategies for this include:
advertise a job posting on provincial architecture association websites, on online employment opportunities
websites, or at employment offices within universities;
contact professors and instructors at local post-secondary institutions;
notify a professional network with a link to the job posting on website via e-mail;
connect with social media/network through LinkedIn, Twitter, Instagram, Facebook;
ask current team members, subconsultants or other vendors for referrals.
A job posting is a form of marketing material which not only advertises the position but also tells candidates
something about the architectural firm. A job posting should be eye-catching and well written, and should
PART THREE Management of the Architectural Practice
provide details about the firm and type of projects or include a link to the firm’s website containing this
information. It should also specify what the firm expects to receive in terms of an application and how it
should be sent. Many candidates will send a cover letter, resume and portfolio digitally. The digital form is a
practical option for reviewing applicants.
Screening Candidates
The proper screening of candidates should ensure that a consistent approach is applied. Structured interview
techniques should be applied to ensure systemic discrimination is not incorporated into the process, thereby
avoiding a possible violation of an applicant’s human rights.
There are several stages to screening, including:
Reviewing the initial application package:
Did the submission include the information requested?
Is the submission presented professionally?
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Does the applicant have the necessary qualifications?
If the position is design-related and design skills are a qualification, then an initial review of the portfolio
to determine design talent is essential.
Telephone/web conference screening interview to establish a short-list of candidates:
A short telephone/web conference interview screen is a good technique to further refine the short-list
of candidates. It also confirms select qualifications such as communication skills prior to a face-to-face
interview.
A polite introduction and acknowledgement of their application along with one or two consistent
qualifying questions can be used.
Take the opportunity to reconfirm interest, availability to start, salary expectations, and flexibility for
interview times.
If certain during the call that the candidate qualifies, a face-to-face interview can be booked at the end
of the call; otherwise revise the short-list further.
Face-to-face interview:
Ideally no more than three or four prescreened candidates for one position will be interviewed.
Expect a thorough interview to take one hour for intermediate to senior positions. Thirty minutes for
students or junior positions may be appropriate.
Send a confirmation e-mail with the date, time and location, and who they will be meeting. Specify the
expectation that the candidate bring a portfolio or samples of work to discuss.
If appropriate and necessary, be prepared to interview candidates in off hours to accommodate travel
or current working restrictions.
Greet the candidate and be focused in the interview; respect their time; start and end as scheduled.
Set the candidate at ease by explaining the planned approach for the interview.
A suggested approach to an interview includes:
9 review education, work experience and highlights, chronologically;
9 review the portfolio or samples of work;
9 ask consistent, relevant questions that are related to their experience or requirements of the
position;
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9 ask the same questions of each candidate;
9 provide an overview of the firm, projects, team structure, and how work is conducted;
9 provide a day-in-the-life example of the position;
9 offer them time to ask questions;
9 confirm timing and next steps;
9 reconfirm salary expectations and possible start date;
9 if the position is of a technical nature, and requires certain software skills, consider testing on the
required platforms, conducted either in-house or through a third party.
Provide a tour of the office and introduce the candidate to team members if the opportunity arises.
Thank them for the interview.
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Selecting the Preferred Candidate
Compare each candidate’s qualifications to the position requirements; determine the one or two preferred
candidates.
Confirm that the most qualified candidates will also be a good fit within the team. Diversity within a team
has been proven beneficial to team performance. Diversity of gender, ethnic background, approach to
problem solving, and other skills required to produce the best design or technical solution should be
considered.
Once the final candidate has been determined, ask them for consent to contact one or two references.
References can be reached by phone or email depending on availability. It is helpful to use standard
reference questions, but asking questions about any concerns raised during the interview is appropriate.
Reference contacts may or may not be candid; however, some may forward valuable information if asked.
Presenting the Offer of Employment
It is common to let the candidate know that an offer is being prepared and to go over the details verbally.
This can save time in the process if there are any questions or items to be negotiated.
Once the details are agreed upon, it is advisable to prepare an offer letter which, once accepted, becomes
the employment agreement on which their employment terms and conditions with the firm are based
upon.
The offer package should include the signed offer letter and any other information that can be provided
to the candidate about benefits or perquisites they may consider as part of their total compensation. In
addition, relevant overtime provisions, confidentiality agreements, vacation provisions and termination
provisions may be required and should be signed.
Preparing for Onboarding
Upon acceptance of the offer, signed and returned by the new employee, a structured process of bringing
them into the firm begins. This process is referred to as “onboarding.”
In advance of their first day of employment, provide the new employee with instructions about their first day.
These instructions may include:
when to arrive;
who will be available to meet them and get them settled;
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information they should bring (there will likely be some new employee information the firm will want them
to provide);
an advance package with necessary insurance, beneficiary and tax forms so that these can be completed
early or on the first day.
To prepare for their arrival on the first day, having a brief checklist for setting up a new employee can be very
helpful. This checklist may include:
confirm workstation (order furniture if needed);
confirm hardware/software required (order equipment and/or licences as needed);
confirm work they will start on in their first week or two;
confirm who will provide them with direction;
identify a team member who can provide both social and information support (their new work “buddy”
can be an invaluable source of support in orienting the new employee to the firm’s culture and norms);
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plan for a team lunch on their first day;
order business cards;
provide a small welcome gift or token;
ensure an up-to-date version of the employee handbook is available either in hard copy or online for their
review, and have any policy sign-off forms ready for signature;
have any necessary new employee paperwork or forms ready for them to complete;
develop and distribute a plan, not only to the employee but also to the project team, to get them up to
speed on current projects that they may be joining and key contacts they should be aware of;
ensure that their direct supervisor has a plan to keep them busy; having nothing to do is a sure way of
causing doubt in a new team member about their decision to join the firm.
Probation Period
A probation period for a new hire will allow both the employer and the employee a defined period of time
to determine whether their respective decisions were the best for both parties. Provincial and territorial
employment legislation stipulates some of the conditions of probation periods; however, all conditions,
including its length and conditions of extension or termination, should be stated in the employment agreement
and be consistent with legislation.
See Appendix A – Checklist: Issues for Consideration in an Employment Agreement at the end of this chapter. In
addition, a sample “Employment Agreement” and a detailed guide for its use are contained in Chapter 3.11 –
Standard Templates for the Management of the Practice.
Building a Great Work Environment
Motivation, Job Satisfaction and Employee Engagement
Motivation is a result of multiple factors that influence a person’s ability to perform well and achieve success
in the work environment. The science and art of motivating others to achieve goals and realize job satisfaction
has been studied extensively over the past 100 years. Numerous researchers of organizational science have
developed theories and practices to promote and enhance performance, leading to an organization’s success.
A common denominator in these different theories is the importance of addressing the functional or basic
needs of the individual and influencing behaviours toward achieving optimal performance. This section
addresses both the basic needs and performance needs of employers and employees.
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Professional business owners often establish their firms as sole proprietorships, and slowly grow their
practices and teams. Often architects will have various reasons for starting their own practice, including
autonomy, flexibility, management of work-life balance, and the desire to bring to life a personal vision of a
design practice or creative work environment.
As the firm grows and the team members change, it is necessary to continue assessing the work environment
and culture that has evolved, paying close attention to new legal requirements, changing societal expectations,
technology advancements, and generational attitudes about career, work-life balance and behaviour in the
workplace.
Attracting and retaining talented, engaged and loyal team members requires a combination of factors that
result in a great work environment. These factors include:
competitive compensation;
a level of stability and security in business;
interesting, challenging project work;
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leaders who are role models and mentors;
the ability to contribute ideas and solutions;
autonomy and freedom within the realm of responsibility;
strong teamwork;
an open, respectful and flexible work environment;
a climate of ongoing learning and growth.
Basic Needs: Compensation, Benefits and Perquisites
Compensation
Full-time professionals and staff are most often paid on a salaried basis while students and temporary staff
may be paid on an hourly basis. Group health benefits are generally provided to full-time staff and sometimes
to eligible part-time staff based on regular work hours. Employees are typically paid on a bi-weekly or semi-
monthly basis with statutory deductions (taxes, EI, CPP) withheld at source by the employer. Online payroll
services and electronic banking now provide even small employers with economical and reliable payroll
solutions.
Benefits
The cost of providing group benefits can be borne by the employer, the employee, or a combination of both.
In a smaller firm, sharing the cost between the employer and employee will provide a benefits program that
is both effective and affordable. Health, dental, vision, and life insurance are most commonly included in
group benefits. There are options for single or family coverage. Many smaller firms do not provide short-term
disability insurance but will provide long-term disability benefits paid for by the employee.
Perquisites
Other optional benefits or perquisites that a firm may wish to consider offering include any of the following:
annual contributions to an RRSP; paid personal days;
complimentary snacks, beverages; paid bereavement leave;
social events; paid closure at Christmas;
free parking; paid professional dues;
transit pass reimbursement or subsidy; paid professional learning allowance;
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paid vacation time beyond minimum employment share or purchase options.
standards;
paid sick days;
Each of these perquisites may be considered a taxable benefit by the CRA and should be reviewed with an
accounting professional.
Overtime Pay
Architects, managers and interns may be exempt from employment standards legislation in relation to overtime
pay and accruing vacation, depending on the provincial or territorial employment standards legislation.
Overtime-eligible employees must be compensated according to provincial employment standards’ minimum
requirements. Employees can typically either bank overtime for a limited period to be used as future paid
time off, or be paid out overtime on a per-pay basis. The employer must record and track overtime and must
ensure that the overtime pay or banked time is calculated at the correct rate (i.e., one-and-a-half or two times
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the hourly rate). Overtime agreements in writing are recommended as part of the employment agreement
and should be updated when employment legislation changes.
It is important to be aware that a firm’s business hours and work week may be different from that required for
overtime pay. In that case, additional pay at straight time (one time hourly wage) should be paid to overtime-
eligible employees. For example, if a firm works 37.5 hours per week or 7.5 hours per day as a standard work
schedule, and overtime rules in the province or territory apply only after eight hours in a day or 39 hours in a
week, a firm may still be required to pay their employees additional wages if they work eight hours in a day or
39 hours in the week instead of their normal 7.5 hours in a day or 37.5 hours in the week.
Bonuses
Bonuses are a common method of rewarding team members for their overall contributions to the firm’s
financial success and/or to a project’s successful completion or outcome. Most often bonuses are provided to
professional or management staff that are not overtime eligible.
Bonus amounts will vary based on financial success and are most often paid out annually but can be paid at
the end of a project. Occasionally, firms will provide everyone in the firm with a bonus, but the amounts will
vary based on contribution or performance or on a percentage of the employee’s salary.
Some firms will also offer profit sharing to distribute profits beyond a minimum required profit to satisfy the
requirements of the sole proprietor or partners. If a significant portion of an employee’s total annual income
will result from a bonus payment, then it is important to specify this in the employment agreement and to
articulate whether any bonus is provided on a discretionary or guaranteed basis, or if it is based on meeting
specific financial hurdles or project milestones. Bonuses are also taxable income and are taxed at different
rates than salary or wages.
Vacation Time and Vacation Pay
Vacation entitlements vary by province and territory, and also depend on an employee’s length of service.
Firms will typically set their own vacation schedule for all employees where vacation increases with intervals
of service. The vacation schedule can be more generous than employment standards, which is always a
minimum requirement. It is also common for employers to provide credit for prior related work experience so
that experienced candidates will not lose out on vacation when moving from one firm to another.
Vacation pay is most often provided on a per-pay basis for hourly employees. Salaried employees will accrue
vacation time and pay on a per-pay basis, so that when they take vacation, they will be paid during the vacation
period. Employers cannot provide a “use it or lose it” vacation policy. Vacation must either be taken, carried
PART THREE Management of the Architectural Practice
forward or paid out. The employer can decide on an appropriate policy that meets employment standards
but also provides some flexibility. From a financial perspective it is advisable for the firm to require a vacation
payout at regular intervals, so that the amount does not accrue indefinitely and is not paid out at a higher rate
than earned.
Paid Time Off and Protected Leaves
Requirements for providing protected leaves of absence or illness are provincially regulated. Most employment
standards regulations do not require that financial compensation be provided in the event of a leave of
absence. Firms are able to set their own practices and/or policies with regards to sick time, bereavement
leaves and such if they are in excess of the employment standards minimum.
Flexible Work Environment
Most architecture work is project based and deadline driven. An employee can often be expected to work
outside of regular business hours to deliver design services and meet client requirements and expectations.
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To balance the pressure of project-based work and billable hours, it is important to develop a work
environment that respects all team members and recognizes the obligations that each employee has outside
of their office life. Children, partners, aging parents, volunteer activities and other commitments require an
employee’s attention, and their balancing of the commitment to their family and their professional life needs
to be acknowledged and respected.
Providing standard office hours and a standard work week is a basic business requirement. Allowing employees
to have some flexibility in their work hours to accommodate other responsibilities and commitments goes a
long way toward building loyalty, respect, trust and engagement. If possible, some flexibility in working from
home on occasion is also a perk that many employees value.
Some firms will offer a longer workday with a compressed work week or an ongoing bi-weekly schedule, such
as a longer workday with every second Friday off. Other firms will have summer hours which offer shorter
weeks, or a day off after working longer hours during the rest of the year. For professional and management
staff, this is handled by agreement. For overtime-eligible employees, the ability to modify standard work hours
is regulated by provincial employment standards, but modified work schedules can be set up with agreement
of staff and employer.
If an employee is permitted to work from home or remotely for an ongoing period of time, the architect
will need to determine if the off-site work is still under the “care and control” or “direct supervision” (also
called “responsible control”) of the registered member in order to apply the architect’s seal, as required under
provincial or territorial legislation.
Providing a flexible work environment requires consideration of all employees’ needs. For example, some
firms may offer “bring your pet to work.” This may sound great, but an employee may have a serious allergy to
animals. The team should discuss options to avoid unintended consequences.
Regulations and Office Standards
Health and Safety
Each jurisdiction has specific occupational health and safety regulations. Requirements of the employer
are generally based on the number of employees or workers on a site. Most occupational health and safety
regulations now include forms of harassment as safety and/or health violations. As well, all firms must specify
any hazardous materials in use through a WHMIS policy. Examples of such materials commonly in use in
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architecture firms include various glues, paints and cleaners.
Respect in the Workplace
When working in stressful, deadline-oriented environments, architects and others can sometimes become
impatient. Architects must realize that the urgency “to get the job done” has to be balanced with the cost of
damaging goodwill.
The success of an architectural practice depends not only on the skills and design talents of the team, but
also on the ethical conduct, customer service, professionalism and respect demonstrated by everyone on the
team. Every member of the firm, as well as clients, subconsultants, contractors and vendors should expect and
deserve to be treated with respect and courtesy. Valuable time and effort are lost when alienated employees
leave a practice. It has been stated that architectural practices spend approximately 25% of a lost worker’s
salary in recruiting and training a replacement. An architect’s time is more effective when spent on strategic
activities for the practice rather than hiring and training new staff.
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All employers in Canada must ensure that all people affected by the practice are treated equally, regardless
of race, gender, sexual orientation or any other grounds of discrimination listed in the Canadian Human
Rights Act.
Diversity, Inclusion and Equity
Canada is an increasingly diverse country, with over 20% of Canadians in the 2016 census self-identifying as
immigrants arrived in Canada from a wide range of countries, cultures and religious backgrounds; according
to Statistics Canada, one in five Canadians speak a language other than English or French at home. As well,
according to Angus Reid Institute research, over 24% of Canadians are directly affected by a vision, hearing, or
physical disability. Building more diverse teams that are more closely representative of the rich cross-section
of our population, whether it be from the perspective of race, culture, ability or gender, increases our chance
of creating design solutions that better serve them.
Diversity is defined by Merriam Webster as:
“the condition of having or being composed of differing elements, variety; especially the
inclusion of different types of people (as people of different races or cultures) in a group or
organization.”
It is a term that is related to but sometimes confused with inclusion, which is defined as:
“the act or practice of including and accommodating people who have historically been
excluded (as because of their race, gender, sexuality, or ability).”
Diversity is something that we have (or try to create), while inclusivity is the action we take to ensure that
all members of a diverse team are given the access and the tools they need to be successful. If we strive
to achieve greater diversity in our hiring, for example, but we do not create and foster an environment of
inclusion in the way we practise, we will not realize the potential of improved outcomes that a diverse team
can offer. The creation of a firm culture of inclusion requires inclusivity in hiring and in all of our systems of
practice, including education, team development, mentorship and role models, and the elimination of wage
gaps. It is not enough to create diversity through hiring individuals from diverse backgrounds (be it race,
culture, gender, sexuality, or ability), inclusivity requires that all are given equal opportunities and are treated
with equal rights and access across the board.
This is important for many reasons; however, according to the American Institute of Graphic Arts (AIGA),
diversity and inclusion within the field of design lead to more innovation through problem-solving. As well,
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decades of research by organizational scientists, psychologists, sociologists, economists and demographers
have demonstrated that socially diverse groups (those with a diversity of race, ethnicity, gender and sexual
orientation) are more innovative than homogeneous groups and that diverse teams are better at solving
complex, non-routine problems (Phillips, 2014), similar to the problems we, as a profession, are faced with
regularly.
A related term that is also critical both within our practice and in the end products of our practice – our
buildings and the public realm – is equity. Equity as it applies in this case is defined as:
“justice according to natural law or right, specifically: freedom from bias or favoritism.”
Diversity is enabled by inclusion. Inclusion is enabled by equity.
(Teixira, 2017)
Diversity, inclusion and equity can and should be actively fostered in the hiring process, in the development of
workplace systems, including in the creation of project-focused design teams.
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Discrimination
Discrimination is an action or a decision that treats a person or a group badly for reasons such as their race,
age or disability. These reasons, also called grounds, are prohibited under the Canadian Human Rights Act.
Grounds for discrimination:
race; gender identity or expression;
national or ethnic origin; marital status;
colour; family status;
religion; disability;
age; genetic characteristics;
sex; a conviction for which a pardon has been granted
sexual orientation; or a record suspended.
For more information, refer to the website of the Canadian Human Rights Commission: https://www.chrc-
ccdp.gc.ca/eng/content/what-discrimination
Discrimination occurs when a person is deprived of equal opportunities due to inequity of treatment based on
one or more protected grounds, including race, gender, age or family status. As an employer and professional,
the principal’s or partner’s duty is to ensure that discrimination is neither practised nor tolerated within the
firm. The principal or partners must also ensure that the firm has policies in place to prevent unintentional
discrimination, and practises those policies.
Harassment
Harassment is a form of discrimination that includes any unwanted physical or verbal conduct that offends or
humiliates. It can foster a negative work environment which interferes with job performance and productivity.
Employers are liable under the applicable provincial or territorial human rights legislation and occupational
health and safety legislation if harassment occurs in the workplace or on a job site, regardless of whether the
harassment has been caused by a fellow employee, consultant, client, contractor or management. Harassment
is generally considered to have taken place if a reasonable person ought to have known that the behaviour
was unwelcome. Harassment is typically demonstrated through repeated objectionable behaviour but may
include an incident of indecent behaviour.
Harassment includes:
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threats, intimidation or verbal abuse;
unwelcome remarks or jokes about subjects such as race, religion, disability, sexual orientation or age;
displaying or transmitting racist, sexist or other offensive pictures or posters;
sexually suggestive remarks or gestures;
unwelcome physical contact such as touching, patting, pinching;
sexual harassment.
As an employer, the principal or partners must:
make it clear that harassment will not be tolerated;
establish a policy addressing harassment;
ensure all directors and employees understand the policy and procedures for dealing with harassment;
inform supervisors and managers of their responsibility to provide a harassment-free environment;
investigate and take corrective action as soon as an incident involving possible harassment occurs, even if
a formal complaint has not been received.
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Communication of Policies, Practices, Culture and Work Environment to
Team Members
Standard office policies and procedures for conduct should be established and included in an office manual. It
is helpful to create a welcome package for new employees that can also be referred to by existing employees.
In creating an employee handbook, it is also important to review it annually and update it as needed.
Contents of an employee handbook should include:
health and safety policy;
workplace violence policy;
workplace harassment policy;
WHMIS policy;
any other written workplace policies required based on province or territory and number of employees.
Contents of this employee handbook can also include:
firm’s mission and vision;
firm’s history and partner introduction;
welcome message;
company policies and guidelines:
social media policy;
internet, e-mail and computer use policy;
drug and alcohol policy;
distracted driving policy;
confidentiality policy;
intellectual property policy;
privacy policy
sustainability and recycling initiatives;
health and safety information;
company-observed statutory holidays;
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other company closures;
benefits and perks provided;
vacation policy and procedure for booking vacation time;
timesheet instructions.
It is also advisable to have all employees sign a form acknowledging that they have received, read and
understood the company policies and guidelines. This form should be signed and dated and kept in the
employee’s file. Ideally, all employees would be required to review the policies on an annual basis. See Chapter
3.5 – Office Administration for information to include in the manual.
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Enhancing Performance:
Designing an Amazing Work Experience
The workplace environment and culture impact employee engagement and loyalty. Factors relevant to ongoing
performance and development include:
interesting, challenging project work;
leaders who are role models and mentors;
the ability to contribute ideas and solutions;
autonomy and freedom within the realm of responsibility;
strong teamwork;
a climate of ongoing learning and growth.
Employees should be involved in idea generation, problem-solving and decision-making regarding design,
client engagement or delivery of services. Their opinions and talents can also provide opportunities for
improving project management, quality control and other critical internal work processes.
Most people want to contribute in a meaningful way to the work and to the world at large. Since design is
a significant part of an architect’s training, involvement and connection with design activities is frequently a
major determinant in job satisfaction. While not all work-related tasks and activities can be design-related, all
work must be purposeful. Sometimes, less experienced employees are assigned repetitive, uninspiring tasks.
However, it is important for the partners and leaders to explain the importance and value of each task from
both the client’s and the firm’s perspective.
The following are suggestions to help coach and support staff at various stages of their learning and career
development.
Architecture Students and Interns
Assign a senior person to be an advisor or mentor to each student or intern.
Consider student employment as an opportunity to recruit the best graduates.
Understand the intern architects’ current career aspirations and where they feel their strengths lie.
Encourage them to listen to and participate in design discussions.
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Determine what skills need to be further developed and which experience requirements need to be
completed.
Offer relevant opportunities with a real project; avoid off-loading less desirable tasks on an ongoing basis.
Each firm needs to cultivate an environment that is favourable to mentorship, as this is an integral part of
the path to licensure.
Registered Architects and Experienced Technologists
Encourage experienced architectural technologists and registered architects to work independently with
minimum direction.
Encourage close working relationships between architects and technologists, and involve both groups
early in the project.
Coach and guide junior team members to help them identify an area of passion and focus.
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Senior Architects
Encourage senior professionals to share their accumulated wisdom.
Encourage them to become mentors and coaches both within the firm and externally within the architecture
community.
Designate individuals as practice leaders for particular processes or functions, such as design, specifications,
contract administration, design technology, marketing, people and culture, etc.
Encourage senior professionals to continue learning new skills and technologies.
See Chapter 1.4 – Mentorship and Career Transitions.
Performance Development and Feedback
While the concept of performance management has been around since the 1950s, the current research
and academic position around motivation and engaging employees has changed significantly. With recent
progress in neuroscience and measurement of human responses to positive and negative feedback, research
has proven that performance feedback only generates a positive change 30% of the time. In addition, research
has shown that reviewing past performance is not a motivator for improving future performance.
The current research and evolution of human resources management practices is towards evolving from
performance reviews (i.e., looking back) to performance development (i.e., looking forward and setting goals).
Performance reviews are meant to be objective evaluations of employee performance.
In addition, the professional human resources community recommends that performance development
conversations be separated from discussions about compensation, although the linkage may still exist; that is,
increased skills and performance will likely lead to greater compensation and, in many cases, responsibility.
Best Practices for Performance Management
Positive Feedback and Recognition
Positive feedback regarding skills acquisition or specific accomplishments should be shared with the employee
in a timely fashion. It is also helpful to understand the employee’s preferences regarding receiving recognition:
Do they prefer to receive it privately, publicly, in writing? Adjusting the approach to each individual team
member’s preferences is most effective.
Constructive Feedback
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Constructive feedback relating to performance that does not meet expectations should also be provided in a
timely fashion. While giving and receiving constructive feedback can be uncomfortable for both sender and
receiver, it is extremely important for the firm and the individuals involved. Employees deserve to know when
their performance is not meeting expectations. Likewise, the employer should observe notable efforts to
improve performance and to attain a level of competency required for the role. If the matter is minor, but still
an issue, the best approach is to mention it to the employee in the moment and to offer support if they need
it. Sharing the feedback quietly (and privately, if possible) is preferred.
If the performance issue is significant, sensitive, or has been going on for some time, then a meeting to discuss
the issue should occur as soon as possible.
Preparing for a Performance Discussion
Steps to prepare for a feedback meeting include:
Collect information about the performance issue (e-mails, meeting minutes, notes, etc.).
Document the observable behaviours that are not meeting firm expectations or are causing issues for the
team (i.e., what did or didn’t the employee do, say, respond to?).
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Make note of a few recent examples if possible.
Consider if the issue is a matter of lack of skill or will (i.e., attitude/motivation).
Identify what the employee should stop or start doing, or do differently.
Identify the expected timeframe to observe improvement.
Identify how the employer and/or the team might support the employee.
Steps to holding the feedback meeting include:
Find a private location for the meeting.
Be prepared and focused.
Keep points brief but give time to discuss.
Explain that there are concerns about performance that require discussion.
Identify the specific performance concern.
Provide observable behaviours and one to two recent examples, if possible.
Provide the employee an opportunity to respond/explain; a few minutes of silence is OK.
Explain the firm’s expectations in terms of improvement/resolving the concern and the expected timeframe.
Ask for the employee’s plan to resolve the issue; offer up suggestions and support as required.
Confirm the employee’s understanding of the level of concern, e.g., how serious is this? How many times
has this already been discussed?
Be clear about possible outcomes if the issue is not resolved, but do not threaten.
Offer the employee an opportunity to reflect and respond at a later time following the meeting.
Steps to following up on feedback:
Give the employee time to discuss a plan of action or need for training/support if requested.
Provide positive recognition when performance improvements occur, even if it is gradual.
Recognize when performance improvement has been sustained.
If written documentation was included in the employee’s file about performance issues, add written
documentation about performance improvements into the file as well.
Best Practices for Performance Development
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To create an effective performance development process for a firm, an architect can consider the realities
of the resources and leadership availability, and develop an approach that is manageable and reasonable
for all involved.
Performance development is quite often avoided, if not dreaded, by employees and managers alike. Project
demands take priority, followed by administrative duties and other learning opportunities and, finally, work-
life balance.
While career development and professional advancement is the responsibility of individuals, it is important
for the firm’s leaders to understand the goals of team members and to encourage professional development
that aligns with the strategies and needs of the firm and its clients.
Essential Elements of Effective Performance Development
Meet with the firm leaders and survey the employees, or in a smaller firm, hold a town hall to discuss the
preferred frequency and approach for performance development conversations. Regardless of the technique
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used, it is best if the employee takes ownership of the goals and information shared; the role of the leader is
that of coach and mentor: to ask questions, clarify, understand, and offer ideas and options of appropriate
development.
Options for frequency of conversations include: annual, semi-annual, tri-annual, or quarterly check-ins.
Performance development can incorporate any combination of the approaches listed below:
goal setting related to professional learning, career advancement, increased role/responsibility;
highlighting the successes and challenges experienced by the team member since the last meeting;
identifying areas of support/coaching needed (can be identified by the team member or the coach);
360 feedback on the leader and about team members.
It can be helpful to maintain an electronic record of the conversation, goals identified, priorities set and overall
feedback. This can be of benefit to the team member as part of their ongoing professional development records
and also to generate planning for the future. For the firm leader, it is helpful for documenting performance-
related conversation, and can also help recall commitments made when preparing for the next meeting.
See Chapter 3.11 – Standard Templates for the Management of the Practice for a sample performance
evaluation form.
Professional Development or Continuing Education
Ongoing professional development is a requirement for all architects and architectural firms. All provincial
and territorial architectural associations require a combination of structured and unstructured continuing
education to maintain a professional licence or registration. The firm’s available resources and the principals’
commitment to a “learning culture” will help determine the form and extent of professional development
for employees. Support for professional development is good business practice. The architecture industry is
currently undergoing changes and advancements in technology and tools of an unprecedented nature.
Professional development of a firm’s staff should be driven by an alignment of learning needs and strategic
direction. For example, a firm has made a strategic decision to pursue Integrated Project Delivery opportunities.
This strategic decision needs to be supported with appropriate resource allocation in several areas, but
especially in training. Training of principals and staff would be required in the areas of:
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Creating collaborative team environments;
Integrated project delivery contracts;
Building information modelling (BIM) processes, workflows, and software;
Information technology (IT) requirement when working collaboratively across organizational barriers on
federated models;
Mentoring and supervision.
Architecture firms should source and utilize a variety of professional development opportunities and learning
modalities to accommodate time restrictions, learning styles and budgets.
Examples of internal/external learning opportunities include:
online learning (courses and articles), such as through RAIC webinars and online learning, Lynda.com and
AEC Daily;
team “lunch ’n’ learns” hosted by suppliers or presented by team members;
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“tech talks” from software providers such as Autodesk or presented by technical team members;
professional webinars and presentations by industry professionals and community leaders;
industry publications;
research;
publication of professional articles, white papers or blogs;
project presentations delivered internally and to external groups;
facilitation of design critiques;
tours of communities and architectural sites;
volunteer time with industry-related events, festivals and community forums;
participation in various membership activities of the professional association;
industry conferences and networking opportunities;
teaching/attending courses at post-secondary institutions or through provincial/territorial associations;
post mortem lessons learned for team after project concludes;
shadowing a team member;
taking on a new responsibility on a project under guidance and mentorship of a senior team member;
being a supervising architect and mentor for an intern as another learning opportunity for a registered
architect.
For a comprehensive guide to establishing a strategic professional development program, refer to Jean
Valence’s Architect’s Essentials of Professional Development.
For an overview of training requirements for BIM planning and implementation, refer to the Canadian Practice
Manual for BIM, Volume 2 – Company Context, Chapter 7 – Project Development Considerations, p. 125-129.
Planning for Employee Departures
While maintaining a stable, engaged team within the design firm is ideal, there will be times when a team
member decides to make a change and leave the firm.
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In addition, it may be necessary for the firm’s leader(s) to decide to end the employment relationship due to:
a reduction in project work;
performance issues that cannot be resolved;
other business reasons.
In any of these situations, it is necessary to ensure that the reason for an employee termination is not based
on any protected grounds as identified within applicable human rights legislation.
Resignations
Employees may decide to resign for a variety of personal and professional reasons. Although the loss of a key
team member can be a temporary hardship for the firm, it is important to maintain a professional relationship
with the departing employee until their departure. As the architecture industry and network is relatively small,
a former employee may become a future client, subconsultant or government representative.
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The following steps are best practices for handling an employee resignation:
Take time to have a private conversation about the employee’s reasons for leaving. Try to learn the root
cause and find out if there is an issue that needs to be resolved. Determine if the employee is willing to
stay at the firm.
If the employee confirms their decision to leave, agree upon a suitable end date that complies with
provincial employment standards.
Obtain the resignation notice in writing with a confirmed end date.
If the employee is leaving to join a competing firm, and there is a possibility of a breach of confidentiality
during the remaining period of employment, request that the employee leave immediately. However, the
employer will need to pay out the employee’s notice period , as long as it does not exceed the provincial
employment standards.
Determine the key contacts that must be notified of the departure, and agree upon a timeline for informing
the team and external parties.
Make a list of company property, secure access and computer permissions that will need to be returned/
revoked when the employee departs.
Ensure the firm’s website is updated if the employee’s profile is included.
If time permits, request a more fulsome exit interview to learn about the employee’s overall impressions
about their experience working at the firm. Learning about the positive and less positive experiences will
be extremely helpful in continuing to build the culture and work environment.
Ensure the smooth transition of project-related responsibilities to other team members, and allow the
team to have time to process the departure and have a positive send-off. If this is not done well, then the
remaining team members may react on a personal and professional level; survivor syndrome should be
avoided at all costs.
Downsizing the Team Due to Lack of Work
In an economic downturn or lull in project work, the firm may consider various options that come with
advantages and disadvantages to the firm and employee. There can be a substantial cost to the firm to recruit
and train a new team member, and the firm may have difficulty winning new work without a team in place.
The firm can consider implementing temporary strategies to reduce expenses and avoid laying off or
terminating employees. These strategies can include:
terminating contracts with any external contractors;
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eliminating overtime;
reducing overhead costs;
reducing work hours for all employees;
offering unpaid leaves/sabbaticals;
offering part-time opportunities.
Work-Sharing and Temporary Layoffs
It may be worth considering applying for the Government of Canada Work-Sharing program, which allows
firms to avoid layoffs and which provides income support to EI-eligible employees who work a temporarily
reduced work week while the firms seek to obtain more work.
If the Work-Sharing program is not suitable or if the downturn in work is expected to be temporary, another
option is to initiate temporary layoffs. In this case, the employer can provide immediate notice of a layoff
which is unpaid and maintain the employment relationship. The employer can call the employee back to work
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at any time within the allowable period and the employee will be paid for time worked. Each province has
specific timelines and rules that must be followed for temporary layoffs. While this option may be simple for
the employer, it can be very disruptive for the employee from an income and scheduling standpoint, especially
if they must consider childcare and other personal responsibilities.
Regardless of the strategy employed, communication with team members and transparency is recommended.
Any change that is not within the control of a team member will be difficult and the firm will need the loyalty
and ongoing commitment of each team member during these difficult periods. Allow team members to ask
questions and share their concerns.
Terminations
When a decision has been made to end the employment relationship on a permanent basis, an employee
termination occurs.
Architecture firms which fall under provincial or territorial employment standards legislation are permitted
to terminate an employee, provided that the reason for termination is not due to a prohibited ground as
identified in Human Rights legislation.
Regardless of the reason for termination, it is highly recommended that the employer maintains professional
conduct and respectful communications with the departing employee during the termination and thereafter.
Departing employees often continue relationships with former team members and clients. Any unprofessional
conduct by the firm will not serve to maintain the firm’s reputation and goodwill, and may also put the firm
at risk of legal proceedings by the former employee, even if the appropriate notice and/or severance was
provided. Claims for wrongful dismissal, bad faith and suffering are possible actions that could be taken by
the former employee.
With and Without Cause Terminations
There are two kinds of terminations permitted by provincially legislated employers: without cause and
with cause. Requirements for notice to the employee or payment in lieu of notice differ depending on the
termination type.
Prior to moving ahead with a termination, the firm would be advised to seek the counsel of an employment
lawyer to minimize risk.
If the firm has included a termination clause in the offer letter that has been reviewed and validated by an
employment lawyer, then the applicable notice period or pay in lieu of notice can be given to the employee.
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If a termination without cause is made, the employee is entitled to reasonable working notice of dismissal, pay
in lieu of notice, or any combination thereof, as per the applicable employment standards which are based on
length of service.
If a termination with cause is made, the employer is not required to provide any notice of dismissal or severance.
The employer must be extremely confident that the cause for dismissal is significant and can be proven in
court. The courts will require the employer to prove their case for just cause, and any performance-related
reasons will need to be supported by ongoing documentation of communication with the employee relating
to the performance issue, expectations for improvement and support by the employer. It is not recommended
to take the just cause approach without appropriate legal advice and support.
Employment standards legislation outlines minimum entitlements; in some cases, other factors will entitle
the employee to an additional period of reasonable notice, including position within the firm, likelihood of
obtaining employment, age, etc. It is possible that the firm may decide to offer a “severance payment” in
excess of the minimum notice period to assist the employee in their transition from employment. If any
severance is offered, it is highly advisable to require a general release to be signed by the departing employee
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prior to paying the severance. The release is a legal document in which the former employee releases the firm
from any future claims related to the employment relationship. In some situations, the dismissed employee
may not accept the severance, or if no severance is offered, may claim for wrongful dismissal and take the
matter to court to obtain “common law” damages.
Best Practices for Conducting an Employee Termination
Prepare all paperwork in advance; review with legal counsel.
Plan for a private location for the meeting.
Keep the meeting brief and stick to the key messages, including:
clearly identify the decision to terminate employment;
if with cause, identify reason;
if without cause, elaboration not required;
confirm the last day of employment;
explain the separation letter contents and any other documents;
explain the deadline for return of the general release (if applicable);
explain the plan for having the employee finish up or transition work, and if the employee is leaving
immediately, how/when to exit the workplace;
request return of company property, keys, etc.;
offer options for collection of personal belongings;
communicate the decision to the remaining team but do not share specific reasons for the termination
if without cause;
during the meeting, if the employee is emotional, be empathetic but do not feel the need to justify or
explain;
be available for further communication by phone or, preferably, e-mail;
ensure that final pay is accurately calculated and paid promptly, and that the record of employment is
filed within the required timeframe;
if appropriate, offer to be available for references;
be kind, respectful and considerate throughout the process.
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References
Dickinson, John, and Paul Woodard, eds. Canadian Practice Manual for BIM. buildingSMART Canada, 2016.
Phillips, Katherine M. “How Diversity Makes Us Smarter.” Scientific American - Policy & Ethics. October 2014.
https://www.scientificamerican.com/article/how-diversity-makes-us-smarter/, accessed March 12, 2020.
Teixira, Fabricio. “The Difference between Equality and Equity in Design.” Ux Collective. April 9, 2017. https://
uxdesign.cc/5-the-difference-between-equality-and-equity-in-design-d07ed56ad778, accessed March 12, 2020.
Valence, Jean R. Architect’s Essentials of Professional Development. Hoboken, NJ: John Wiley and Sons, 2003.
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Taxation and Employment Resources
“What is Discrimination?” About Human Rights. Canadian Human Rights Commission. https://www.chrc-ccdp.
gc.ca/eng/content/human-rights-in-canada, accessed April 22, 2020.
“Canada Revenue Agency.” Canada Revenue Agency. https://www.canada.ca/en/revenue-agency.html,
accessed April 22, 2020.
“Employers’ Guide – Payroll Deductions and Remittances.” Canada Revenue Agency. https://www.canada.
ca/en/revenue-agency/services/forms-publications/publications/t4001/employers-guide-payroll-deductions-
remittances.html, accessed April 22, 2020.
“Employee or Self-Employed?” Canada Revenue Agency. https://www.canada.ca/en/revenue-agency/
services/forms-publications/publications/rc4110/employee-self-employed.html#mpl_slf_mpld_wrkr,
accessed April 22, 2020.
“Service Canada. ESDC Portfolio.” Service Canada. https://www.canada.ca/en/employment-social-development/
corporate/portfolio/service-canada.html, accessed April 22, 2020.
“Work Sharing – Overview.” Employment and Social Development Canada. https://www.canada.ca/en/
employment-social-development/services/work-sharing.html, accessed April 22, 2020.
“OSH Answer Fact Sheets.” Canadian Centre for Occupational Health and Safety. https://www.ccohs.ca/
oshanswers/hsprograms/, accessed April 22, 2020.
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Employment Standards Acts and Regulations
“Employment Standards.” Government of Canada. https://canadabusiness.ca/government/regulations/
regulated-business-activities/human-resources-regulations/employment-standards/, accessed April 22, 2020.
“Employment Standards.” British Columbia Employment Standards and Workplace Safety. https://www2.
gov.bc.ca/gov/content/employment-business/employment-standards-advice/employment-standards,
accessed April 22, 2020.
“Employment Standards.” Alberta – Job and Employment. https://www.alberta.ca/employment-standards.
aspx, accessed April 22, 2020.
“Employment Standards.” Saskatchewan - Business and Industry. https://www.saskatchewan.ca/business/
employment-standards, accessed April 22, 2020.
“Employment Standards.” Manitoba – Growth, Enterprise and Trade – Labour. https://www.gov.mb.ca/labour/
standards/index.html, accessed April 22, 2020.
“Employment Standards.” Ontario Ministry of Labour, Training and Skills Development. https://www.labour.
gov.on.ca/english/es/, accessed April 22, 2020.
“Labour Standards.” Commission des normes, de l’équité, de la santé et de la sécurité du travail. https://www.
cnt.gouv.qc.ca/en/accueil/index.html, accessed April 22, 2020.
“Employment Rights.” Nova Scotia – Labour and Advanced Education. https://novascotia.ca/lae/
employmentrights/, accessed April 22, 2020.
“Employment Standards Rights and Responsibilities.” New Brunswick - Services. https://www2.gnb.ca/
content/gnb/en/services/services_renderer.17436.Employment_Standards_Rights_and_Responsibilities.html,
accessed April 22, 2020.
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“Advanced Education, Skills and Labour.” Newfoundland and Labrador. https://www.aesl.gov.nl.ca/default.
htm, accessed April 22, 2020.
“Employment Standards.” Prince Edward Island – Economic Growth, Tourism and Culture – Labour. https://
www.princeedwardisland.ca/en/topic/employment-standards-0, accessed April 22, 2020.
“Employment Standards.” Northwest Territories - Education, Culture and Employment. https://www.ece.gov.
nt.ca/en/services/employment-standards, accessed April 22, 2020.
“Labour Standards Board.” Nunavut Labour Standards Board. http://www.nu-nlsb.ca/, accessed April 22, 2020.
“Employment Standards.” Yukon Government – Department of Community Services. http://www.community.
gov.yk.ca/es.html, accessed April 22, 2020.
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Appendix A –
Checklist: Issues for Consideration in an Employment
Agreement
See Chapter 3.11 – Standard Templates for Architectural Practice for an Employment Agreement template.
Description N/A Notes
1. Determine whether the proposed relationship
is that of an employee-employer or an
independent contractor.
2. If the relationship is one of employment, the
parties should consider the following issues:
a. Identification of parties – What is the
legal status of the employer? Does the
employer’s representative have authority
to commit the practice to a contract?
b. Position – What does the employee have to
do for the employer?
c. Commencement date – When does
employment start?
d. Term of employment – Does it run
indefinitely or for a set period?
e. Probationary period – Is there a
probationary period? What are the
conditions and obligations?
f. Hours of work – What are the daily and
weekly hours of work?
g. Compensation – What is the monetary
compensation? How and when is it paid?
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What deductions are made? How is
overtime work compensated? When is
compensation reviewed?
h. Benefits – What are the medical, dental,
and professional fees paid or other
benefits offered (if any)?
i. Office manual – Has the employee reviewed
and acknowledged the office manual on
policies and procedures? See Appendix A –
Checklist: Information to Include in a Manual
on Office Policies and Procedures in Chapter
3.5 – Office Administration.
j. Equipment – What will the employer
provide and what is the employee
expected to provide?
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Description N/A Notes
k. Professional development – Does the
employer have policies on assisting the
employee to gain experience, attend
courses and seminars, etc., leading
to improved professional status and
advancement within the employer’s
practice?
l. Expenses – For what expenses is the
employee compensated?
m. Vacation, holidays, personal leave – Under
what conditions may the employee take
time off? Is the length of vacation adjusted
with length of service?
n. Insurance – What provisions (if any) are
included in the employer’s insurance(s)/
indemnity plan to protect the employee?
o. Legal advice – Have the parties to the
agreement sought and received legal
advice?
p. Termination – Under what conditions may
either party terminate the agreement?
What is the length of required notice? Does
the notice period increase with length of
service to the employer?
q. Confidentiality – What information learned
during the course of employment is to be
kept confidential?
r. Restrictive covenants – Are there any
non-competition requirements after
termination?
s. Copyright – To what extent may an
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employee in their proposal portfolio use
the employer’s copyrighted material (hard
copy and/or electronic reproductions)
which the employee prepared?
t. Assignment – Can the contract of
employment be assigned to a successor or
other employer?
u. Severability – Include a statement to
the effect that should any part of the
agreement be declared not to be legally
binding, all other parts remain in force.
3. Set out an agreement in writing and have
both the employer and the employee sign and
date it.
See Sample Template Employment Agreement and its Guide in Chapter 3.11 – Standard Templates for the
Management of the Practice.
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Chapter 3.7 – Technology Systems
Chapter 3.7
Technology Systems
Contents
Introduction 342
Role of Technology Systems 342
Software Development Life Cycle 342
Plan 343
Information Gathering 343
Analysis 343
Types of Requirements 344
Additional Considerations 344
Legal/Professional Responsibilities 344
Training 344
Design 345
Total Cost of Ownership (TCO) 345
Insourced 345
Outsourced – Software-as-a-Service (SaaS) 346
Managed Services 346
Build/Deploy 346
Technology Systems for the Business Operations 347
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Support and Backup 348
Data Backup and Restoration 348
Security/Access Controls 348
Legal and Professional Requirements 348
Maintaining Productivity 348
References 348
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Introduction
Technology systems play a vital role in today’s architectural practices. Digital drawings, documents and
communication enable the firm to move fast. However, to have these systems function to meet the needs of
users and with minimal downtime requires specialized expertise.
This chapter will discuss a framework for developing a firm’s technology systems, the “digital first” approach
to technology system development, and the key systems in a firm that can be enhanced with the application
of technological solutions.
Role of Technology Systems
A technology system can be viewed as a business process accelerator. For example, existing processes such
as schematic design, design development or contract document production can be accelerated using CADD
(computer-aided design and drafting) or building information modeling (BIM) technologies to enhance the
speed and accuracy of practice processes. This concept applies to any system in the business, including
project management, practice management and financial management. The adoption of a business process
accelerator requires identifying the business need(s), then specifying the requirements and scope of work in
order for a competent staff member or service provider to design, build and implement the system.
Software Development Life Cycle
A methodology known as the software development life cycle (SDLC) used in systems engineering and software
development can be applied to build technology systems within the firm, and is not limited to new software
and/or hardware. The six phases of the life cycle are:
Plan
Identify that current practice/business processes are unsatisfactory and changes are required. Decide that a
business process needs to change and the support of a technological solution is required. The goals of new or
modified processes are established in this phase. This can be as informal as determining that a spreadsheet
is not providing the functionality needed to manage finances and that a more comprehensive solution will
support business decision-making.
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Information Gathering
This phase gathers information: identifying problems through reviewing current project and operational
processes, imagining possibilities for innovation, and determining change needed to meet new business
requirements and build core competencies towards a more competitive advantage.
Analysis
Analyze the problem(s) through breaking down issues to find root causes, and interpret the analysis into a list
of technology system requirements.
Design
Working with the requirements, this phase involves developing a design to meet those requirements, and
choosing products, services and/or vendors to enable them.
Build/Deploy
Build the system components, test the system, and deploy and configure the technology system throughout
the organization.
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Maintain
Once a system is implemented, it enters the operating phase when ongoing maintenance activities are
required. As technology systems tend to generate data and be used by many people, there are many activities
related to user access and data lifecycles.
Plan
“Digital first” (digital transformation for transitioning existing systems) is a newer concept in information
technology systems. It is based on re-imagining processes from first principles, as though they had been
invented only in the era of modern technologies. Building information modeling (BIM) is an example of a
technology considered not financially feasible prior to the availability of powerful and economical computing
technology.
This concept may not yet apply to all systems in business in general or in architectural practices, such as
accounting or payroll, because those processes are regulated by long-standing national and international
standards and norms. In this scenario, core business requirements must still be identified. However, a “digital
first” approach may result in a significantly different outcome than adapting a traditional process to employ
contemporary technologies.
A “digital first” approach goes together with rethinking the traditional business model of architectural practice
and developing new approaches to practice that seize opportunities.
Information Gathering
Information gathering is a process of collecting information about existing processes, proposed innovations,
and the requirements for improvement. Involving those responsible for executing project or operational
processes is critical to the success of requirements gathering. Purchasing the most feature-rich software
and expecting it to accelerate performance may be attractive and perceived as an immediate solution to a
problem. However, a firm’s business processes may need only a fraction of those features, and money and
effort would be wasted. Conversely, if the firm needs specific features and the software purchased cannot
meet those requirements, then more work would be required to find the right software or customize the
purchased software, resulting in wasted effort and money.
Investing the time to gather the requirements for current and reimagined business processes leading to
technology system solutions can save the firm time, effort and money. Information gathering may include
using tools such as brainstorming, mind-mapping or gap analysis.
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Analysis
Analysis of requirements involves identifying and categorizing the root causes of problems on the pathway(s)
to innovation and developing and prioritizing solutions.
Identification and Categorization
Developing a list of technology system requirements first involves a deep dive into a problem(s) or innovative
challenge(s), through breaking down the problem or need into a hierarchical list of root causes. The ultimate
result of this stage of analysis is a hierarchy list of causes that the technology system is to address. After choosing
the most critical and strategic issues to be addressed, the next stage is developing a list of requirements to
address the needs that can then be prioritized through categorization.
There are many ways of categorizing a requirement for technology systems. A simplified method categorizes
requirements into “must-have” and “nice-to-have” lists.
Must-have
These requirements are part of the core business functions, either to meet client requirements, address
operational deficiencies, or protect the business’s critical systems. For example, individual workstation file
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backup systems are prone to both hardware and operational failure, relying on each employee to ensure the
backup was successful. A centralized backup and verification system are required to protect against loss of data.
Nice-to-have
These requirements are important to the business, but it would not be detrimental if the feature was unavailable.
For example, if the schedule and resource management software had the ability to export data to the accounting
system, it would streamline operations, but the business could still function without this feature.
Types of Requirements
Requirements listed as “must-have” and “nice-to-have” can be further categorized into “functional” and
“technical.” Functional requirements relate to what a software allows a user or the firm to do, while technical
requirements refer to the system requirements of the computer or operational needs of the business.
Functional requirements are user-driven and relate to a system’s operational functions and operational
features. For example, building information modeling (BIM) software must support client-required deliverables,
such as models, data extracts, or any combination thereof. It also must support all related processes and
functions of construction management. In a time-based design contract, clients require up-to-date and timely
reports of progress and hours expended on their project.
Technical requirements are typically system-driven. The power and capacity of the hardware and software
must address operational needs for the speed of operations, security, or system integration. As an example,
basic system requirements for a design or production workstation for building information modeling (BIM)
software include:
CPU core count, threading, and speed;
RAM capacity;
graphic processor speed, memory, and efficiency in creation and processing vector graphics;
storage type, mechanical disc, solid state and/or cloud-based capacity;
integration with office network systems, including network speed to enable seamless data exchange with
external entities and security.
Additional Considerations
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Legal/Professional Responsibilities
Each province and territory has “statutes of limitations” legislation that stipulates the time period within which
a claim may be made against an architect. Professional liability insurers require that project and business
files that may relate to a claim be retained for at least the period of the statute of limitations. Architects are
advised that not all electronic media provide reliable storage of data over extended periods of time. Decay of
the data may occur. Retrieving stored data and testing for reliability of reading and transfer are essential to
the management of practice risk.
Canada Revenue Agency (CRA) stipulates that an audit of a tax return may be conducted up to seven years
after submission of the return. Architects must retain financial and tax records until the period of auditing
has lapsed.
Training
Training is an important consideration when rolling out technology systems. For example, firms may need
to spend more resources on training because staff are focused on thinking in terms of existing technologies.
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For example, the shift from traditional computer-assisted drawing to building information modeling (BIM)
requires not only an upgrading of technical skills but also changes in design approach, operational works flow,
and design project life cycle. A rethinking of operational models is required.
Refer to the Canadian Practice Manual for BIM (CPMB), Chapter 3 – Operational Planning, Section 3.3 Information
Technology, p. 50-61, for a discussion of technology systems required for planning and implanting BIM.
Design
Designing a system to meet the office’s needs requires consideration of multiple factors. It is often easier
to buy products as needed to solve immediate problems. However, there are risks and consequences to
implementing new technology systems, particularly when integrating with existing systems. For example, a
business may purchase accounting software and, upon implementation, find that it cannot integrate with the
payroll system.
Technology systems can be complex, but there are several factors that can aid decision-making.
Total Cost of Ownership (TCO)
The total cost of ownership is a method to compare different options when analyzing technology systems. The
total cost of ownership includes the financial outlay as well as the time and effort spent researching, purchasing
and maintaining the system. As maintenance is ongoing and theoretically indefinite, it is often acceptable to
choose a fixed period of time, such as three to five years, to enable an apple-to-apple comparison of options.
Total cost of ownership includes:
Capital cost: The initial investment required to procure the hardware and/or software;
Operational cost: The human resources costs associated with:
system operation and maintenance;
deploying software;
managing network solutions;
maintaining a data backup solution(s);
training time and cost, including the lost productivity while staff are away from the office participating
in training activities.
It is now commonplace that software is only available on a subscription basis rather than as a perpetual
PART THREE Management of the Architectural Practice
licence, requiring an annual operating expenditure for the subscription. By analyzing the cost of a given system
with the TCO method, an objective apples-to-apples comparison can be conducted. For example, purchasing
accounting software may appear to be more economical because of the one-time cost, but the added time and
expense required to maintain the system may result in higher-than-expected ongoing operating costs. Using
a software-as-a-service (SaaS) provider, such as a payroll management service, may reduce actual operating
expenses and reduce practice risk by providing data backup as part of the service. Since the SaaS provides
backup services for all of its customers, it can leverage economies of scale to make backup costs per client
negligible, whereas a firm would otherwise have to pay for the entire cost of this infrastructure.
Technology systems may be designed for insourced resources, those employed by the organization, or for
outsourced resources, contracted software-as-a-service (SaaS) providers. Many firms will employ a combination
of both approaches to achieve a balance of efficiency and effectiveness.
Insourced
The insourced approach requires the hiring of an IT professional to plan, procure, implement and maintain
technology systems. The advantages of the insourced approach for the firm are greater control over
operations, reduced response times in the event of urgent need, and the ability to create a custom solution
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for their unique challenges. The core competency of most architecture firms includes having architects and
architectural technologists completely conversant in the application technology for the design process. It is
now a commercial and competitive requirement that firms have an in-house BIM manager. In-house staff
also can enhance a firm’s core competence if rapid response to client need is key to competitive advantage.
Disadvantages include the time and expense of human resources committed to build technology systems,
and the constant prioritizing and reprioritizing of operations as IT staff are pulled from one urgent project to
another. Having in-house IT staff can result in a perception that resources are always available to handle any
need, leading to ad hoc or reactive management.
Outsourced – Software-as-a-Service (SaaS)
In recent years, it has become possible and economical to run a business using online SaaS providers. There
is a rich ecosystem that covers the basic functions of a business, such as accounting, financial management,
human resource management, payroll management, project management, document management,
collaborative communications, etc. SaaS providers typically focus on one area of technology systems and
become specialists and experts. They also manage system and application maintenance, and in some cases
offer free e-mail and online support, with the option of premium phone support. The advantage of SaaS is that
it allows the firm to focus on its core business – architecture. As most SaaS providers charge on a per-user,
per-period basis, costs increase as the company grows. This can be a cost disadvantage for large corporations
but could be advantageous for small and medium-sized enterprises (SME).
Managed Services
A firm may contract with a company that provides managed services. In this scenario, the firm would hire
a company to manage their technology systems. The managed services company would be responsible for
designing and procuring hardware and software, implementing and maintaining the technology systems, and
providing staff training. This approach requires strong vendor management skills to be successful.
By applying the total cost of ownership (TCO) method to compare insourced and outsourced approaches, the
firm can objectively analyze options in the design phase and prioritize their needs to match their budget.
Build/Deploy
Building and deploying the systems will require hardware, software and infrastructure. Infrastructure refers
to space, heating and cooling, and power requirements for desktop, network, server and backup equipment.
Depending on the designed approach, the systems components may include:
Hardware for project operations – design, production and contract administration:
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workstations or desktop computers, monitors and peripherals;
portable workstations or laptops with docking stations;
mobile devices such as tablets and cell phones with software that integrates with project management,
financial management, and construction management software systems;
IT infrastructure – internet services/connectivity, including:
9 servers;
9 storage;
9 networking hardware;
output devices
9 laser printers;
9 inkjet printers;
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9 large format plotters and/or printers;
9 3D printers;
9 scanners;
3D visualization hardware – VR/AR;
Software systems for the project operations;
Project management software for work, schedule, cost, quality and risk management;
CADD/BIM applications for design and construction drawings and models;
Construction contract administration software for conducting and reporting field observations and change
management;
Word processing and database software for specification and project documentation;
Collaboration/communication applications for in-house systems or SaaS option, typically via web and
mobile;
Document management systems for distributing and archiving project documentation.
Technology Systems for the Business Operations
Accounting/finance:
accounting software;
financial reporting;
Communication:
phone, e-mail, chat;
Human resources management (HRM) software:
employees’ and contractors’ time and costs need to be tracked for accounting and financial reasons;
some features to consider:
9 timesheets;
9 employee information;
9 hiring interview process;
9 performance reviews;
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9 exit interview process;
CRM – Sales and contract administration:
CRM software helps to manage the sales-related activities within the firm. Some functions to consider
include the ability to:
9 centralize client contacts;
9 track potential clients (leads);
9 track potential projects and estimated revenue:
generate reports on the “sales pipeline,” based on estimated revenue from potential projects;
Systems integration:
project information rolling up into CRM;
centralized authentication systems.
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Support and Backup
The key reason for maintaining technology systems is to ensure business continuity in all situations, particularly
when unexpected or crisis events demand immediate attention. Consider what would happen in an emergency
such as a flood, fire, or break-in. Valuable information could be permanently lost. Prior to the widespread use
of computers, financial and space resources were required for archiving paper drawings and documents.
Although data and information are now created digitally, the need for business continuity has not changed. It
has moved into the domain of technology systems rather than physical warehousing. A firm should develop
a business continuity plan that addresses possible risk events, and that documents avoidance or mitigation
strategies should risk events occur. As part of a business continuity plan, there should be preparations made
to rapidly rebuild technology systems and restore data backups.
Data Backup and Restoration
A data backup system will periodically make copies or snapshots, and is meant for short-term availability if an
issue occurs. For example, if the file share system hardware fails, then the most recent backup should recover
enough data for staff to continue work.
Security/Access Controls
Access controls are an important aspect of information compartmentalization. To protect proprietary
information, it is often segregated based on need. For example, managers or experienced staff would have
access to past projects, while new staff would be limited to active projects to avoid accidental modifications to
important documents.
Legal and Professional Requirements
For legal and professional reasons, certain types of documents must be kept in case of a dispute or audit.
This is often referred to as an archiving/retrieval system, which is different from a backup system. An
archiving/retrieval system provides for the organization of information, searchability, and outputting data and
information in a format appropriate for an intended use, such as an insurance claim or litigation.
Maintaining Productivity
Over time, computer system performance decreases with the detritus of web surfing, program installation
and uninstallation, browser add-ins, inappropriate settings of antivirus software, deteriorating physical drives,
and “bloatware” (software that is loaded with other software that robs performance). Maintenance is required
to keep a computer clean, stable and functioning properly.
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References
Dickinson, John, and Paul Woodard, eds. Canadian Practice Manual for BIM. buildingSMART Canada, 2016.
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Chapter 3.8 – Risk Management and Professional Liability
Chapter 3.8
Risk Management and
Professional Liability
Contents
Definitions 351
Introduction 351
Sources of Project Risk: Pre-agreement Phase 351
Client Selection, Project Selection and the GO/NO GO Decision 351
Project Selection 353
Assembling the Consulting Team 353
The RFP/Proposal Stage and Risk 355
Non-disclosure Agreements 355
Contracted Owner Representatives and Project Management Service Providers (PMSP) 355
Sources of Project Risk: Client-Architect Agreements 356
Contractual Clauses of Concern 358
Indemnification 358
Lender Requirements and Certifications 358
Copyright and Ownership of Documents 358
Design-Build and Public-Private Partnerships 359
Limitation of Liability 359
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Standard of Care 359
Time Is of the Essence 359
Sustainable Design and Certifications 359
Professional Fees 359
“All Other Architects Accept and Sign This Agreement, Why Won’t You?” 360
Summary 361
Sources of Project Risk: Design and Documentation 361
Integrated Project Information Systems and Building Information Modeling (BIM) 361
Composition of the Design Team 362
Method of Project Delivery 362
Project Management of the Design Project 362
Quality Assurance (QA) and Quality Control (QC) 362
Checklists 363
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Sources of Project Risk: Bidding and Contract Award 364
Sources of Project Risk: Contract Administration 364
Substitutions 365
Sources of Project Risk: Post-construction 366
Other Sources of Risk 366
Replacing Another Consultant and Being Replaced by Another Consultant 366
Records 367
Statute of Limitations 367
Getting Paid 367
Stopping Work 368
Projects in Other Jurisdictions 369
Disputes and Dispute Resolution 371
Alternative Dispute Resolution (ADR) 371
Partnering 372
Negotiation 372
Mediation 372
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Arbitration 373
Professional Liability Insurance 373
References 376
Appendix A – Record Keeping 377
Means of Communication 377
Record Keeping 378
Appendix B – Additional GO/NO GO Considerations to Assess the Degree of
Firm and Project Risk 379
Appendix C – Checklist: Contract Review 383
Appendix D – Checklist: Issues to Consider When Assembling the
Consulting Design Team 387
Appendix E – Comparison of Statutes of Limitations in Each Province and Territory 388
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Chapter 3.8 – Risk Management and Professional Liability
Definitions
Indemnification: Where one party agrees to pay certain damages or losses incurred by another party.
Liable: Legally bound; subject to penalty; under obligation to do; exposed or open to suffer something
undesirable.
Risk: An uncertain event or condition that, if it occurs, has a positive or negative effect on a project’s objectives.
(Project Management Institute, 2017)
Introduction
Risk is essential for every business enterprise. Risk includes both opportunities and threats. Management of
risk requires the identification of potential risks, an assessment of the degree of risk, a considered decision
of whether to assume the risk in order to seize opportunity, and, if the risk is assumed, what steps to take to
transfer and/or mitigate the probability and impact of any potential threats.
Risk is inherent when undertaking projects. Risk can be managed but can never be completely eliminated.
Risks occur throughout an architect’s career, in setting up a practice, during the life of the practice, and
after retirement. Inaction can sometimes be riskier than action, and either course can have unforeseen
consequences.
This chapter cannot deal with every conceivable risk in an architect’s practice, but will review certain sources
of risk and recommend appropriate business practices to assist the architect in developing both project and
practice risk management strategies.
Much of this chapter addresses sources of risk that could impact architectural practice and design projects,
and mitigation strategies for if those risks occur. A comprehensive risk management strategy will involve the
identification of risk, the assessment of risk probability and impact, the development of a plan to respond to
risk, and the monitoring of practice and project activities to foresee risk events before they occur.
Editor’s note: Readers of this chapter may find it difficult to accept the advice provided to manage practice and
project risks. For example, recommendations to remove specific conditions from client-architect agreements
may be difficult to accept in a “take it or leave it” environment. Changes to a client’s contractual conditions may
result in automatic disqualification. There are no simple answers in this situation and no governing authority
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that can force clients to accept reasonable and balanced contractual conditions. The best advice is to say “No”
to unreasonable contractual conditions. In the long run, saying “No” works.
Sources of Project Risk: Pre-agreement Phase
Client Selection, Project Selection and the GO/NO GO Decision
Risks present as threats and opportunities. Careful selection of both projects and clients is an essential part
of a practice’s risk management strategy. Each prospective client and each prospective project should be
considered in a similar fashion, whether the architect is:
pursuing a specific sector of the market;
responding to a request for proposal;
entering a competition;
negotiating with a single client for engagement of services.
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This consideration includes a rigorous appraisal of the commission against a “GO/NO GO” checklist. Such a
checklist identifies the potential threats involved if the architect decides to pursue the opportunity. Many
checklists have been developed by both large and small practices, and by management companies and
financial advisors. Some checklists are short and others exhaustive. Some use a rating formula (for example,
if five out of 20 questions score negatively, the project should not be pursued). Other checklists permit the
architect to determine the degree of risk after answering all the questions. The architect should recognize that
the honest answer to several questions may be “Don’t know.”
There is a common misconception that the GO/NO GO analysis generates only one of two responses. However,
the primary function of the checklist is to identify which issues need to be addressed in order to move from a
NO GO to a GO position, particularly if these issues are readily negotiable or can be satisfied in favour of the
architect.
One of the hardest lessons for an architect to learn is when to decline a project opportunity. A proper GO/NO
GO checklist and subsequent analysis can help make such a decision. To the extent it is possible, depending
on the size of the firm, a practice should have more than one individual involved in the analysis.
Each practice should devise its own GO/NO GO risk analysis process and use it faithfully prior to accepting a
commission. The analysis can minimize the risks of accepting a commission under poor terms or conditions.
The checklist covers important areas of consideration, including, but not limited to, the following:
alignment of project to marketing and business plan;
any actual or perceived conflicts of interest;
potential for profit and fee structure;
selection process;
cost of pursuit;
project financing, client budget (including contingency), and adequate funding in place;
client experience with project type and reputation;
internal resources, capacity and experience;
contract terms;
probability of receiving full payment for services;
subconsultants contemplated and accessible;
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the competition, and if a firm can compete with them.
See Appendix B – Additional GO/NO GO Considerations to Assess the Degree of Firm and Project Risk at the end of
this chapter.
It is an important practice to evaluate a prospective client before accepting the commission. Making this
determination before a project begins is critical and may reduce significant business risk. Evaluation of a
prospective client may include:
asking whether the new client is receptive to providing a retainer;
consulting with colleagues, including architects, engineers, cost consultants and contractors, on their past
experiences with the client regarding:
client decision-making processes: does the client make and own decisions?
payment processes: does the client have a reputation for paying for the services contracted?
evaluating client sophistication through reviewing the client’s experience with capital planning, design and
construction projects.
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Architects need to evaluate their firm’s capabilities in delivering services and whether the firm has the necessary
expertise and resources to successfully undertake the project. When a firm proceeds with a project that is
beyond its capabilities, it poses significant risks to achieving the design project’s scope, quality, schedule,
budget and stakeholder satisfaction objectives. Those risks may include:
inadequate resources available when needed, resulting in inefficient multi-tasking, excessive overtime,
and employee exhaustion, all leading to errors and omissions;
greater than anticipated resources required for research and coordination, resulting in missed deadlines;
apparent lack of capability leading to reduced commitment on the part of employees and consultants;
in the most extreme situation, a claim of professional misconduct, resulting from failing to perform
architectural services with reasonable skill and judgement.
Project Selection
In considering both opportunities and threats, some projects present greater risk than others, and this is an
important consideration as part of the GO/NO GO analysis.
One example of a potentially higher-risk project is residential condominiums, which are a frequent source of
professional liability claims against architects and other design professionals. There are several reasons for
this situation, including:
Developers may look to reduce quality as a means to increase profit. This could lead to substandard or
unacceptable construction practices and materials.
Developers may seek to reduce the scope of architects’ and engineers’ involvement during the project,
particularly during general review and contract administration. (See Chapter 6.6 – Contract Administration
– Office and Field Functions.)
In many instances when litigation is commenced on a condominium project, the developer and many of
the trades may have legally dissolved their companies, leaving the professionals as the only defendants
able to defend the claim.
The purchasers of the condominium units may have unrealistic expectations, and may be portrayed as a
sympathetic claimant.
An architect can take steps to guard against these risks through a careful client selection process. Architects
should also exercise appropriate due diligence in the negotiation of professional services agreements with
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the client, which may include an indemnity clause in the architect’s favour, or a limitation of liability provision.
Certain project delivery methods may increase the degree of risk, such as design-build, public-private
partnership (P3) projects, and other alternative delivery methods.
These alternative delivery methods may involve an inappropriate transfer of risk to the architect, well beyond
that required in law and potentially not covered under the professional liability insurance policy. Like other
projects, careful due diligence is recommended in considering the design-build entity as well as the ultimate
client/owner of the project. For these projects, the contract needs to be carefully reviewed and negotiated. The
architect should consult legal counsel and their insurance provider to review any agreement.
Assembling the Consulting Team
If the GO/NO GO checklist process leads to the GO decision, to pursuit of the project, it will be necessary to
minimize risk by assembling a consulting team appropriate for both the project and the type of client. The
architectural practice may need to hire additional staff, to form a strategic alliance with another practice, to
become a subconsultant, or to form a joint venture with another practice.
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Each of these options requires careful consideration concerning:
the competitive position of the practice;
the performance of services in the event of success in being awarded the project.
Subconsultants should be selected just as carefully as clients. Use Appendix D – Issues to Consider When
Assembling the Consulting Design Team at the end of this chapter to select the main engineering subconsultants
(structural, mechanical and electrical engineers).
Even if the client plans to engage the consultants directly through separate agreements, the architect will
usually be retained to manage and coordinate their work; therefore, the above-referenced checklist is still
relevant. The scope of the coordination role should be clearly set out in the agreement with the client, including
establishing communication protocols with the other consultants as well as the client.
In certain scenarios the client may insist that the architect retain a client-preferred subconsultant. If this
subconsultant is not a firm with which the architect has had previous experience, the architect may want
to consider adding an indemnification clause in the client-architect agreement or otherwise documenting
concerns with being instructed and compelled to use that subconsultant. The architect will need to confirm
that they are appropriately insured.
It is also important to recognize the importance of team “chemistry.” The success of a project often depends
on team chemistry, that is, the ability of all team members to work well together. The use of the same
consultants on a continuing basis may save the architect time, money, aggravation and billable time, thereby
improving overall quality, coordination, client satisfaction and project profits. On the other hand, selecting
new or different consultants for a specific project may put the architect in a better position to be awarded the
commission, particularly if special expertise or client preferences are a consideration. Each project needs to
be assessed on its own merits and unique attributes.
A written agreement should always be prepared, outlining the roles, expectations, and responsibilities as
well as payment for each consultant. Architects should avoid relying on experience as the normal method
of operating. Good relationships can be soured because of a lack of mutual understanding of routine items,
such as the scope of services, the number of site visits or the responsibility for the review of shop drawings.
Nothing should be taken for granted. The use of the Canadian Standard Form of Contract Between Architect and
Consultant: RAIC Document Nine is recommended.
The subconsultants should always be bound by the provisions of the prime agreement between the architect
and the client. It is not recommended that an architect agree to the standard terms and conditions put forward
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by a subconsultant as there may be clauses within those terms that increase the liability to the architect.
Particular attention should be paid to the insurance requirements and limitations of liability provisions when
entering into agreements with subconsultants.
In all cases, professional subconsultants must carry appropriate levels of professional liability insurance. Part
of the architect’s due diligence should include obtaining certificates of insurance from subconsultants on an
annual basis during the life of the project, and beyond if circumstances warrant. The limits of insurance should
mirror the requirements in the prime agreement. In certain scenarios some specialty subconsultants may not
have or be able to obtain the required levels of professional liability insurance.
An architect may want to consider entering into master service agreements with preferred subconsultants
that set out the key terms and conditions of a relationship. Even with a master agreement in place, each
project should be assessed on its individual requirements, and issues such as scope should be set out clearly
in writing for each project.
If a joint venture is contemplated, the contractual relationship should be properly documented and reviewed
with both legal counsel and the professional liability insurer.
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A client may request or insist that the architect retain the services of consultants responsible for the
investigation of existing assets or conditions. The owner receives the benefits of capital asset ownership and
is accountable for their associated risks. It is an owner’s responsibility to manage those risks of ownership by
retaining consultants specializing in investigation. These consultants include:
geotechnical engineers;
hazardous materials engineers;
land surveyors;
environmental engineers.
See Chapter 2.3 – Consultants for a discussion of investigation consultants.
The RFP/Proposal Stage and Risk
Once the determination is made to pursue a project, and the subconsultants have been identified and
hopefully secured, the firm will put its best foot forward and start work on the proposal. This document
involves a significant time commitment and presents an opportunity to convince the client why the project
should be awarded to the firm.
In many instances, the prospective client will include the contract terms in the proposal documents. These
need to be carefully reviewed and considered as part of the response to the proposal. Sometimes there will be
an opportunity to raise questions or propose amendments to the contract terms within a specified timeframe.
Other times, it might be specifically provided that no changes to the contract terms will be permitted. If
the proposed terms represent a marked departure from association-sanctioned agreements, an architect
should review them with legal counsel and their professional liability insurer. It may also be advisable for an
architect to engage their local professional association. The association may decide to issue a special bulletin
to members alerting other professionals to the onerous nature of the proposed contract.
In terms of the preparation of the proposal itself, an architect should be careful not to overpromise or
overcommit. In most cases, the proposal document forms part of the contract between the parties and can be
relied on during the project and thereafter.
Non-disclosure Agreements
There may be situations during the proposal stage when the client or other business partners ask the architect
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to enter into a separate confidentiality and non-disclosure agreement (NDA). These agreements can have far-
reaching obligations and, like other types of agreements, should be carefully reviewed and considered. An
architect may also wish to consult with legal counsel prior to signing the proposed NDA. In most instances the
intent of such an agreement is to maintain confidentiality about project details. These agreements may be very
broad and even an unintentional disclosure could constitute a breach, mandating the payment of liquidated
damages. In addition, if subconsultants are hired, they must enter into an NDA with similar conditions to those
of the architect.
Contracted Owner Representatives and Project Management Service
Providers (PMSP)
Facility owners may retain the services of a contracted third party to act as their authorized representative. The
role of this person or entity will vary from project to project. In many instances, having a project manager in place
can be very helpful, particularly if the owner is neither sophisticated nor experienced. An experienced project
manager with a sensibility to the design-construction industry may be reasonable to deal with. However, this
type of arrangement may have disadvantages, the most important of which are loss of direct communication
with the client and the potential for the PMSP to transfer their business risk and liability to the architect. This
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arrangement may result in an increase in the time and effort of the architect as the reporting requirements of
the PMSP could be significantly more than the architect is accustomed to. If the owner intends to hire a third-
party project manager, the architect should have a very clear scope of service in their own agreement with the
client to avoid gaps and overlap of services and to provide clarity in role definition and responsibilities.
A third-party project manager may make commitments to the owner relating to cost savings and schedule.
This could result in increased scrutiny of the architect’s design documents to find savings through reducing
quality and simplifying design features. The architect may be expected to accept the risk associated with
the application of inappropriate materials, poor details, and acceptance of substandard construction. The
architect must be aware that only the architect is accountable for the quality of services delivered.
As part of the client selection (GO/NO GO) process, the identity and role of a third-party project manager
should be investigated and considered. Any agreement with the client should be negotiated with this in mind.
Sources of Project Risk: Client-Architect Agreements
It is not only professional but also good business practice to have a clear, written agreement that outlines
the roles and responsibilities of both client and architect. There should be a policy that requires a written
agreement in place for all projects, regardless of size of the project, size of the fee, or length of relationship with
the client. The use of the Canadian Standard Form of Contract for Architectural Services is always recommended.
The RAIC Document Six was updated in 2018 after extensive consultation with stakeholders within the design
community, including owner representatives, insurers, provincial associations of architects and other interest
groups. Document Six reflects a balanced approach to the contractual relationship between client and
architect, and provides a reasonable and appropriate distribution of responsibilities and risk. These standard
forms may require some minor modifications to suit the specific architectural firm and the project.
Some architects have created their own standard forms of agreement modelled after the RAIC Document Six or
provincial or territorial architects associations’ standard forms of agreements.
Verbal agreements should never be used. Some provincial associations of architects have a short-form
agreement to be used as an interim or “binder” agreement until a full standard form of agreement can be
prepared and executed.
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An architect should never agree to a client-prepared purchase order as the only basis for a contract. Purchase
orders may be supplemental documents to a contract. However, in most instances, purchase orders are used to
procure materials and equipment as opposed to professional design services. They are typically very onerous
and usually contain many inappropriate and uninsurable obligations, including warranties and guarantees.
One of the best ways of minimizing risk is to spend time with the client at the outset and carefully discuss the
client-architect agreement, clause by clause, describing:
what services will be provided;
what the services entail;
what will not be included in the agreement;
allocation of risk;
standard of care;
payment of fees;
termination;
dispute resolution.
Contract negotiation also provides an opportunity to understand a client’s motivations and attitudes towards
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risk and other items. It is an important part of the GO/NO GO analysis.
Architects must manage expectations as well as risks. Problems often occur later in the project because the
expectations of the two parties differ. Early review of the agreement helps to avoid problems.
While minor amendments to the standard forms of agreement may be needed, significant changes and the
addition of supplementary conditions should be avoided to the extent possible. If accepted, the changes
should be signed or initialed by both parties. Changes to the standard form may create additional risk for the
architect and should be reviewed with the professional liability insurer and/or legal counsel.
If the client is a corporation, an architect should ensure that the person signing the agreement for the client
has the authority to commit the corporation. If in doubt, an architect can request a copy of the appropriate
minutes of the board of directors’ meeting which confers such authorization on the individual. Similarly, if
the client is a public entity, an architect will need to ensure that the person has authority under the relevant
body to execute the agreement (this may be found in the bylaws of that entity). If an architect is entering an
agreement with a partnership, they must determine who is authorized to enter contracts for that partnership.
In addition, if an architect is working for more than one individual (for example, a married couple), they may
want to have both parties execute the agreement.
Some corporate and institutional clients, particularly larger companies and some government departments,
will prefer to use their own “standard agreement” forms instead of the Canadian Standard Form of Contract for
Architectural Services. These agreements generally are written in favour of the client, often to the detriment
of the architect’s interests. Prior to executing such an agreement, the architect should review it carefully with
legal counsel and with the professional liability insurer to ascertain the extent of risk that is being assumed
over and above those risks in the standard forms of agreement and common law or Civil Code requirements.
Some of the risks may pose coverage concerns under the architect’s professional liability policy.
Client-initiated variations to the standard forms of agreement often include the following phrases or conditions:
architect to warrant contractor’s work;
architect to assign copyright to client;
client will not pay for reproduction of drawings;
architect will supply a stipulated number of construction drawings and specifications;
architect will guarantee building permit will be issued;
architect will guarantee construction cost estimate;
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architect will guarantee LEED or other certification;
architect will visit site only when called by client;
architect will engage surveyor, geotechnical engineer, and hazardous materials consultant;
architect will perform to a higher standard of care;
architect will be responsible for site safety and contractor means, methods and sequencing;
“time is of the essence” and guarantees of timely delivery of services as well as construction;
withholding or set-off of the architect’s fees.
Many clauses inserted in client-prepared contracts not only increase the architect’s liability but also may not
be covered by professional liability insurance.
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Examples include:
warranty of performance;
guarantee of conformity to code;
guarantee of the work of all others;
responsibility for liquidated damages and/or penalties;
indemnity.
As an additional reference, see Appendix C – Checklist: Contract Review, provided by AXA XL Insurance, at the
end of this chapter.
The architect should never warrant or guarantee any aspect of professional services.
Contractual Clauses of Concern
Indemnification
Although all client-prepared contract terms and conditions should be carefully reviewed, the indemnity clause
has the potential of posing the broadest implications from a risk perspective. Simply put, “indemnify” means
to reimburse a client following a loss. If an architect agrees to indemnify for anything beyond damages caused
by their own negligence, the architect will be contractually liable for damages that they would not have been
liable for under common law.
Any assumption of indemnity that extends beyond negligence is problematic from an insurability perspective.
Most, if not all, professional liability insurance policies have a contractual liability exclusion which would apply
in these circumstances.
In addition, the architect should not agree to “defend” the client in any legal proceedings. This is unlikely to
be covered under the insurance policy, which will generally not pay for the client’s legal defense “up front.”
Insurance policies will only reimburse the client for a portion of their fees, and only after negligence, as well as
damages, have been established.
Additional clauses to be mindful of are provided below. This is by no means an exhaustive list.
Lender Requirements and Certifications
Client-prepared agreements may require the architect to co-operate with the lenders and also sign documents
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that the lender is then entitled to rely upon. This should be avoided. The documents may include certifications
and warranties that are excluded from coverage under the professional liability insurance policy. Any
commitments to others should be deleted from an architect’s agreement with their client. Even without this
contractual commitment, an architect may be asked to sign lender-prepared documents during the life of
the project. This, too, should be avoided altogether and failing that, should be reviewed by a lawyer and a
professional liability insurer.
Copyright and Ownership of Documents
In many instances the client may seek to transfer the architect’s copyright to the client. This should be avoided.
An agreement should specifically state that copyright and ownership of documents will be retained by the
architect. If a decision is made to give away any of these rights, the architect should insist on a provision
that protects them from unauthorized changes or reuse. This can be achieved through a hold harmless and
indemnification clause.
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Design-Build and Public-Private Partnerships
Having a balanced contract as part of these alternative delivery methods is very important. All contemplated
agreements should be carefully reviewed with legal counsel and a professional liability carrier. In many of
these arrangements, other parties may look to transfer inappropriate and uninsurable risks to the architect.
Examples include warranties, certifications, and responsibility for liquidated damages.
Limitation of Liability
RAIC Document Six includes a limitation of liability clause that is recommended for all client-architect
agreements. This becomes even more important should a firm decide to accept some degree of uninsured
business risk.* Limitation of liability is considered to be a “deal-maker” during the contract negotiation process,
and is recommended for all agreements. Liability can be limited to a pre-determined dollar figure or the
amount of insurance that is available at the time of a settlement or judgement.
*
Note: Some provincial or territorial associations of architecture deem it professional misconduct for an
architecture firm to deliver services that are not insurable under a professional liability insurance policy.
Standard of Care
Sometimes a client will insert a standard of care clause in their agreements that elevates the standard beyond
what is otherwise required in law. Examples of unacceptable terms include “highest,” “first class” and “best.”
Another example is a client’s insistence on creating a fiduciary relationship between client and architect. Still
other clauses may require that the services be performed “to the client’s satisfaction” or be “free of defect.” All
of these potentially pose insurability concerns. The appropriate standard of care is articulated in GC 7.1 of RAIC
Document Six, which provides “standard of care ordinarily exercised by other members of their professions
under similar circumstances, at the same time and in the same or similar locale.”
Time Is of the Essence
This phrase appears in many client-authored documents and should be deleted. This clause may constitute
an elevation in the standard of care, and therefore is problematic. There are many circumstances beyond
the architect’s control that have an impact on schedule. Any contractual obligations related to timeliness of
performance should be linked with the standard of care imposed by law.
Sustainable Design and Certifications
Many clients, in the interest of being or appearing to be environmentally conscientious, may request that
their buildings meet or be certified by a sustainable building rating system, such as LEED. The architect should
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never guarantee or warrant that a building will be certified. Such certification involves not only specific design
elements but also construction procedures to be done by the builder, and certain operating and documentation
standards by the owner which are beyond the control of the architect. Furthermore, the certification is based
on an assessment by an independent review agency and it is impossible to guarantee the agency’s conclusion
in advance. Like other guarantees of performance, these are likely to create insurability concerns.
Professional Fees
If a client seeks to pay a fee that is inadequate in an architect’s professional opinion, the architect should
consider declining the project. If fees are not sufficient, it may be a red flag of future budget and payment
problems. If the fee is the primary factor in a client’s decision when securing professional design services, it
is a warning sign. Architects should avoid being influenced by the promise of future work. In some cases, an
architect may want to demand a retainer fee in advance. This is particularly advisable when working with a
new client.
If the fees for a particular project are not commensurate with the professional services required or the risk
involved, the architect should attempt to re-negotiate. If the fees cannot be re-negotiated, the experience and
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“lessons learned” should be taken into consideration when calculating fees on future projects. In any event,
the professional services must not be compromised. Do not assume that the loss will be offset by gains
during the contract administration phase; surveys indicate clearly that profits during contract administration
are generally only 50% of profits in the earlier phases of a project.
As mentioned above, the fee must always be commensurate with the scope of services required for the
project. Refer to Mastering the Business of Architecture (outside Ontario, called Mastering the Business of Design).
This publication itemizes services that the architect can provide. The client and the architect can jointly use
the publication to select the services required for a specific project, following which the two parties can readily
establish and agree upon an appropriate fee.
Refer also to the RAIC document, A Guide to Determining Appropriate Fees for the Services of an Architect.
“All Other Architects Accept and Sign This Agreement, Why Won’t You?”
Certain clients may say, “All other architects accept and sign this agreement, why won’t you?” This statement is a
“red flag,” and the architect should seriously consider whether to assume such risks by signing the agreement.
Consider the following:
the statement is likely incorrect – “all other” architects do not sign such agreements;
others may have signed against their better judgement and crossed their fingers hoping all would go well
(all may indeed go well, but is it worth the gamble?);
other architects have signed and have suffered the consequences or damages – we just don’t hear about it.
When such clauses are proposed, the prudent architect should:
discuss the questionable clause with architects who have purportedly signed it;
review the proposed agreement with legal counsel, the professional liability insurer, and the provincial or
territorial architectural association;
determine the extent to which the practice can be exposed to such risk;
attempt to negotiate contract changes with the client;
consider declining the project.
When the architect is prepared to sign a contract with such adjustments and assume the subsequent risks,
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it is strongly recommended to review the portions of the agreement that will be the responsibility of the
subconsultants and to obtain their concurrence before executing the agreement with the client. The
subconsultants may not be prepared to accept terms and conditions which may not be covered under their
professional liability policies. These issues must be resolved prior to execution of the contract, or the architect
will not be in a strong negotiating position after the agreement has been executed.
As prime consultant, an architect can be held responsible for the acts of their subconsultants through the legal
doctrine of vicarious liability; therefore, it is very important to ensure the subconsultants are bound by the
terms and conditions contained in the prime agreement.
Finally, the architect must be cautious to not promise unsubstantiated performance of sustainable design
features, such as increased employee productivity or reduced employee turnover, which could result in a
claim by a dissatisfied client.
If, during the life of the project, changes are made involving scope or other key issues, these changes should
be memorialized in writing as an amendment to the contract.
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Summary
Regardless of the size of the firm, there should be agreement review protocols in place to ensure that contract
terms are reviewed by someone with the requisite skill set and experience. In addition, the firm should
establish guidelines as to who within the firm can enter into agreements.
Some of the provincial and territorial regulatory bodies have issued bulletins related to client-prepared
agreements that pose insurability concerns. This problem has been identified as a potential professional
conduct issue, and members are warned of uninsurable business risks as well as a potentially harmful public
interest risk. Some provincial regulators have warned that entering into these agreements may result in an
assessment of unprofessional conduct.
There are several publications and learning tools available which provide a comprehensive review of issues
surrounding professional services agreements for architects and other design professionals. In addition,
most associations provide educational materials on this subject. Finally, many professional liability insurance
companies have resources available for their policyholders. Firms are strongly encouraged to inform
themselves of this important topic.
This chapter has raised some, but by no means all, of the areas that may pose a concern.
Sources of Project Risk: Design and Documentation
Three high-level risks in the design and construction documentation phases of an architectural project are:
the practice will lose money in producing the documents;
the project will be over budget;
an error or omission in the documents will result in a claim.
Integrated Project Information Systems and Building
Information Modeling (BIM)
The objective of optimal effectiveness and efficiency in design and construction is closer to realization with
the advent of building information modeling (BIM) methods supported by sophisticated software and design-
process innovation. If taken to the fullest extent, the implementation of BIM would result in an integrated
project information system where data, information and, potentially, knowledge would flow more freely
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through the design-construction-operation supply chain. BIM represents not only operation changes in design
processes but new business processes as well. Many proponents of BIM claim that these new documentation
and modeling processes will reduce conflicts between design elements and result in better coordination of
construction documents, and therefore reduce claims. The Institute for BIM in Canada (IBC) has developed
a BIM appendix, to be attached to the client-architect, architect-consultant and client-constructor contracts,
that delineates the responsibilities for the use of the building model. The Canadian Construction Documents
Committee (CCDC) published CCDC 30 – 2018 Integrated Project Delivery Contract. This multi-party contract
establishes new business relationships in the design-construction-operation supply chain.
At time of publication, there is insufficient history in the use of BIM and integrated project delivery (IPD)
projects to test these assertions or propose risks. It is premature to assess the legal consequences of these
forms of contract, and architects should review these types of contracts with their lawyer.
AXA XL Insurance has provided “BIM projects: Top 10 loss prevention recommendations”. Refer to https://axaxl.
com/-/media/axaxl/files/pdfs/design-professional/about/bimtop-10-loss-prevention-recommendations_us_
ca.pdf
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The following issues should be considered in managing risks related to design and documentation.
Composition of the Design Team
The “chemistry” among the various people on the project may require re-assessment. (Consider changing the
personnel if working relationships are not harmonious.) The relationships to be considered include the internal
relationships within the firm, the relationships with the client, and the relationships with the contractor and
trades on site.
In some instances, the client-prepared agreement will include a clause which allows for replacement of
personnel involved, at the client’s discretion. Language should be added to such clauses that any decision
regarding replacements should be made by the client, acting reasonably.
Method of Project Delivery
There are several methods of project delivery, and each has unique risks for the architect.
It is critical that the role of the architect and the scope of services for each project delivery method are
clearly understood and that the correct form of contract is used. Architects should consult their lawyer and
professional liability insurers about any contracts when they are considering entering into an agreement for a
method of project delivery with which they are not familiar.
Governments of all levels are now using alternative forms of project delivery such as public-private partnerships
or “P3s” to transfer many project and financial risks to the private sector (there is different terminology in
various jurisdictions for this form of project delivery). As most P3 projects are usually very significant and the
stakes very high, all architects are advised to ensure that all professional service contracts for P3 projects are
developed and reviewed by their lawyers and professional liability insurers. Many of these agreements could
lead to a potentially uninsured risk for the architect.
Design-build projects are another example where the architect needs to exercise proper due diligence in
terms of client selection as well as in contract terms.
Typical problematic clauses in these types of contracts include client requirements for warranties and
guarantees, as well as transferring responsibility for liquidated damages for delays to the design professional.
See Chapter 4.1 – Types of Construction Project Delivery.
Also refer to the RAIC’s A Guide to Determining Appropriate Fees for the Services of an Architect for a discussion of
the benefits and trade-off of each project delivery method and the inherent associated risks.
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Project Management of the Design Project
Firms should use a project management methodology to plan and track scope, schedule and costs. This
information will support management of project resources, keep the team on track to meet their schedule
obligations, provide ongoing cost information, and generate historical data to assist in future project planning.
Multiple project management software programs are available; however, the critical issue becomes exercising
the discipline to plan projects and execute the plan.
Quality Assurance (QA) and Quality Control (QC)
Quality assurance (QA) is the process of ensuring that quality management systems, processes and tools are
in place and being used as intended. QA is conducted largely through audits that examine quality planning
and quality control procedures. As an example, does the office validate the client requirements for each
project and ensure that a client sign-off of requirements is obtained for each project? Does the office conduct
a coordination review of all documents at the 95% completion stage of document production? The results of a
QA audit are a clear demonstration of the standards of care to which the office holds itself.
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Quality control (QC) is the process of ensuring that the output of each operation, be it design, production, or
contract administration, satisfies the requirements for which the deliverable is intended. To many clients, QC
is synonymous with document coordination.
See Chapter 5.4 – Quality Management for additional information on quality management systems.
Checklists
One of the most important elements in the management of risk is a thorough and comprehensive checking
process. Unfortunately, this is often rushed or omitted due to inadequate scheduling, insufficient resources
or unreasonable deadlines. This element may be singularly most important in mitigating the risk of
incomplete, incorrect, non-comprehensive or uncoordinated documents. Many practices develop and
use exhaustive checklists to ensure that the many items required to complete a set of drawings have been
included.
A proper checking process is highly disciplined and should be followed rigorously. A simple method is to apply
– without exception – the rule that the drawings and specifications are not to be sealed until after the checking
process has been completed.
For additional information on checklists, see Chapter 5.4 – Quality Management, Chapter 5.1 – Management of
the Design Project, and Chapter 6.4 – Construction Documents.
An employee other than the originator of the drawing or specification should check drawings. Once the
documents are assembled for checking, consider using a colour-coded checking process for paper-based
printed check sets:
Step 1: Check all notes and dimensions. Use a yellow line or note to cover the agreed-to or correct items,
circle incorrect items with a red line, and place the corrected item or information next to the red circle.
Step 2: After the “red-lined” information is corrected, draw a green line over the item on the marked-up
print immediately after the correction is made on the original. The individual who did the original checking
with red and yellow lines should be the same one to review the corrected original against the red-lined
version to confirm that all corrections have in fact been made.
Step 3: Upon confirmation, a heavy black line is then drawn across the green line on the marked-up print.
The checking process is not complete until every print is fully marked with yellow for correct items and
red-plus-green-plus-black for items requiring correction.
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For electronic document checking, many software review programs are available, each with a suite of checking
tools. Software programs such as Bluebeam are intended to not only provide coordination of the construction
documents but also facilitate the coordination of the activities of construction and construction contract
administration.
This process, known as “back-checking,” is not complete until the back-checker signs off on each print. Only
after “sign-off” are the documents ready for seal and signature, and not before.
Checking to this extent is time-consuming. However, such a rigorous check will avert problems later on, when
they are much costlier to correct. All architects should allocate and budget appropriate time and fees for this
aspect of risk and quality management.
It should also be noted that some client-prepared agreements may require the architect to have QA and
QC processes in place and to demonstrate their use and effectiveness. This clause needs to be carefully
considered, as it may elevate the standard of care otherwise required.
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Sources of Project Risk: Bidding and Contract Award
There is a long history of jurisprudence across Canada which relates to the bidding process. Architects should
familiarize themselves with the basic legal principles involved, particularly the uniquely Canadian concept in
tendering law: Contract A, the bidding contract and Contract B, the construction contract. For a comprehensive
discussion, refer to Paul Sandori and William Piggott’s book Bidding and Tendering: What Is the Law? 5th Edition.
The risk of litigation by unsuccessful bidders can be minimized by using clear and concise criteria, setting out
the method of contractor selection, and adhering strictly to these criteria. The architect should use standard
bid documents and become familiar with CCDC 23 – A Guide to Calling Bids and Awarding Construction Contracts.
All privilege clauses in the bid documents, such as “The lowest or any bid may not necessarily be accepted,”
should be reviewed and written based on Section 2.0, The Principles of the Law of Competitive Bidding in CCDC
23 – A Guide to Calling Bids and Awarding Construction Contracts.
A decision to award the contract to anyone other than the lowest bona fide bidder can potentially cause legal
action. To minimize this risk, the architect should advise the client to obtain legal advice in respect to awarding
a contract to anyone other than the lowest bidder. Providing any sort of legal advice is typically excluded from
coverage under the professional liability insurance policy.
Sources of Project Risk: Contract Administration
The contract administration phase is a critical phase of project delivery. See Chapter 6.6 – Contract Administration
for more detailed information.
This phase is prone to many risks that expose the architect to potential claims. The person(s) assigned to
the contract administrator (CA) role must possess the necessary experience relative to the characteristics
of the project. Oftentimes, the firm might assign a junior person to this task who lacks the requisite skill set.
Sometimes this is done because by the time construction is underway, insufficient fees remain to assign an
experienced person.
The architect can reduce risks by rigidly adhering to standard routines, forms and policies. Some of these
include:
pre-construction meeting procedures;
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a pre-packaged kit for field reviews;
proper safety equipment;
a checklist for field review;
pre-determined format for field review reports;
pre-set notes of site meetings;
timely response to all contractor requests, to avoid potential delays;
timely review and processing of shop drawings, samples or mock-ups;
recognition and understanding of the roles of all participants in the project:
avoid assuming issues or problems that do not fall within the architect’s scope of work, as otherwise
the contractor will readily assign responsibility to the architect;
exercise care not to give advice to the contractor in terms of construction means and methods.
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adequate assessment of the contractor’s application for payment (experienced contract administrators will
review the application with the contractor on the site before the application is finalized by the contractor);
care in issuing the Certificate of Substantial Performance:
once issued, these documents cannot be rescinded, and they activate the timing for the release of
holdback and other lien rights;
exercised impartiality between the client and the contractor;
documentation of all communications, findings and observations, in part to support future defense of
any claim.
Substitutions
There should be procedures in place and followed in relation to substitutions. Substitutions are a potential
source of claims against architects. All substitutions need to be carefully documented. Appropriate due
diligence is required in the review of all substitution requests.
In many construction projects, the contractor will advance claims for extension of time, delay, change orders
and extras. While one would expect claims in this category to be resolved between the owner and the contractor
pursuant to the terms of their agreement, it is not unusual for the architect and other consultants to become
a party to these disputes. The typical allegations will include:
insufficient detail in the tender design documents to allow for a proper bid;
ambiguities in the specifications;
design discrepancies among the various disciplines which were not apparent to the contractor;
slow or inappropriate shop drawing review;
slow responses to submittals and RFIs;
lack of impartiality on the part of the consultant.
In addition to claims advanced by the contractor, there may be claims from the clients, who seek to find the
architect and others responsible for increased construction costs due to design “errors and omissions.”
The persons assigned to the CA function must be privy to the contract terms that set out the expectations of
the parties in terms of response times, as well as any scope restrictions. In addition, they must be aware of
the obligations of the consultant that are included in the construction contract. Although in many instances
the owner will issue a CCDC standard document, there may be supplementary conditions which constitute a
PART THREE Management of the Architectural Practice
change to the consultant’s role and responsibilities.
Client-prepared agreements may include inaccurate descriptions of the contract administration obligations,
imposing a higher standard of review. An example of this is the use of the words “inspection” and “supervision.”
Other examples include obligations to “guard against defects” or a requirement of “complete conformance.”
This terminology should be deleted. Failing deletion, the terms should be defined so as to appropriately
describe the CA role, as well as its limitations.
The architect and CA team members should also be generally familiar with and aware of the nuances that
are included in the lien legislation of the province or territory where the project is being undertaken. There
have been recent changes in at least one province (Ontario) which have introduced principles of prompt
payment and adjudication. It is believed that these changes will have a dramatic impact on the architect’s
role in a construction project. It remains to be seen as to whether other provinces will adopt similar changes
in the future.
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Under the CCDC documents, the consultant has a wide range of obligations, including:
review applications for payment;
interpret the contract documents;
review claims for changes in contract price;
uphold authority to reject work;
review shop drawings;
prepare change orders;
determine date of substantial performance;
review requests for extension of time;
provide opinion to owner on contractor failure to perform so as to support potential default notice being
issued by owner to contractor.
Those responsible for the CA function should be aware of these responsibilities, as well as others that may
be imposed by supplementary conditions. The architect must be careful to undertake this role, showing no
partiality to either party in the construction contract. The architect must be sensitive to any undue influence
as they fulfill these obligations.
Sources of Project Risk: Post-construction
Most client-architect agreements provide for the termination of the agreement one year following the date
of substantial performance. The architect should maintain contact with the owner and should bring warranty
items to the contractor’s attention promptly for rectification. Provide a list of warranty items for correction by
the contractor, following a final on-site review scheduled shortly before expiry of the warranty period. Ensure
that the critical date is logged in calendars or in a “bring-forward” system to avoid the risk of missing this
final field review prior to the expiration of the warranty period. See also Chapter 6.7 – Take-over Procedures,
Commissioning, and Post-occupancy Evaluations.
Some clients may insist that the architect complete various forms and certifications at the conclusion of a
project. This is over and above what might be mandated by local, provincial/territorial and federal authorities.
The language of these documents can be over-reaching and should be carefully reviewed before execution.
Architects should likely consult with external advisors (legal counsel, insurer and association) prior to agreeing
PART THREE Management of the Architectural Practice
to sign these documents. Architects do not want to assume any unreasonable liability that may be imposed
by these documents.
Other Sources of Risk
Replacing Another Consultant and Being Replaced by Another Consultant
There may arise situations where an architect will be asked to replace another during the life of a project.
This is unusual and is generally a red flag that requires investigation and due diligence on the part of the
replacement architect as well as the architect being replaced.
If an architect is asked to replace another architect, the replacing architect should insist on being able to
communicate with the original replaced architectural firm. There may be legitimate reasons for the cessation
of the relationship on the part of both the original client and the replaced architect. Due diligence is essential.
The replacing architect will also need appropriate language in their agreement with the client such that they
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are not assuming any liability for the services performed by the previous professional. There are legal issues
to be concerned with regarding copyright and the professional requirements of the governing body. It is
recommended that an architect retain legal counsel to assist in the preparation of an appropriate agreement
to address this scenario. The architect may also decide to involve their professional liability insurer.
Similarly, if a firm is being replaced as the architect of record, it will need to take appropriate steps, which may
include notifying the authorities having jurisdiction. The replaced firm will also need to determine the status of
payments and, if not paid in full, consider the time requirements for any lien rights or collection proceedings.
Records
Irrespective of the phase of the project underway, it is critical to maintain proper and complete documentation.
In many cases, litigation is commenced several years after project completion and the individuals involved
have retired or otherwise left the practice. The written records are the sole source of reference to the project
and activities at the time. The importance of document creation and retention cannot be overstated. See
Appendix A – Record Keeping at the end of this chapter.
Statute of Limitations
Depending on the provincial statute of limitations or other regulations regarding an architect’s archives, it may
be necessary to store the large quantities of documentation, files and drawings that a practice will accumulate
over time. Accurate and comprehensive records can be invaluable when mounting a defense against a claim.
Because a long period of time can elapse between the filing of records and the need for retrieval, it is important
to establish and follow a retrieval system that can be easily understood and accessed.
“How long?” and “What type of documentation to keep?” remain a dilemma for most architects. Advice should
be sought from a lawyer and the professional liability insurer. See also Chapter 3.5 – Office Administration.
Finally, it needs to be understood by all members of the firm that all written communications (internal or with
others) are subject to production in any subsequent legal proceeding. Therefore, any and all communication
needs to be professional and carefully considered. Informal and inappropriate communication must be avoided,
including social media communication. All firms should have in place a policy that addresses these issues.
Getting Paid
One of the risks an architect faces is a client who, for whatever reason, is delinquent in honouring a contractual
obligation to pay invoices in a timely manner.
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The following tips help to reduce the risk of late payment or non-payment of invoices:
Obtain a retainer representing 5% to 10% of the total fee at the execution of the contract.
Advise the client that the retainer will be applied against the final invoice.
A retainer is especially important if the client is unknown to the architect or has a reputation for withholding
payment, perhaps indefinitely.
Ensure that the terms and conditions of the agreement have been discussed with the client, including the
right to stop rendering services in the event of non-payment of fees.
Issue invoices twice a month, every second week, or weekly, in some cases.
Although invoicing is typically a monthly operation, there is no obligation to be bound to a monthly
policy. More frequent invoicing will not only improve cash flow but will be an early alert of a delinquent
payer. Payment terms and frequency can be set out in the agreement with the client.
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Include a statement of interest on overdue accounts.
Because an architectural practice is not a financial institution, the rate of interest should never be
more attractive than that charged by those who fund projects. Even if there is no intention to charge
and collect the interest, it should be included in the agreement and its impact on overdue accounts
demonstrated in a statement of account.
Separate the fees for professional services from reimbursable expenses by using two separate invoices.
This may reduce the chances that the client may withhold payment of an invoice by questioning one
or two small items.
Follow up invoices to certain clients with a telephone call, after an appropriate period of time, asking
whether payment can be expected within the agreed-to time period.
Do not wait until the payment is overdue to make the call. Establish and implement a policy for a
sequence of “reminder” calls, perhaps one week apart. Each call should be polite but firm, and after
the first two calls, ask for a meeting if payment has not arrived by the due date.
Send a letter to the client outlining attempts to receive payment to date, if past-due payment has not
been received after three weeks of calls and a meeting. The letter should state that at no time has the
client expressed any problem with the invoices. Refer to the clause in the contract providing for the
withholding of services for non-payment and express the wish not to have to invoke this, which could
seriously affect the success of the project.
If the client agrees verbally to some form of payment plan, this should be documented in writing.
Be aware of provincial lien legislation, particularly for different time limitations for filing a lien for a
“contractor” (prime consultant) or “subcontractor” (subconsultant). Be prepared to initiate lien action
within the time periods specified in the legislation. An architect may need to consult with legal counsel
for advice on lien rights, as they vary among the provinces.
Architects should also be aware of the limitation period in their province or territory to commence legal
action to collect unpaid fees.
Non-payment and late payment are usually a red flag – either the client is having financial problems OR they
are dissatisfied for some reason with the architectural services. The earlier an architect is aware of this, the
easier it is to manage.
Stopping Work
Review the agreement in place with the client insofar as stopping work is concerned.
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If stopping work is permitted under the agreement, advise the client that non-payment or late payment is
a serious matter and that services will be stopped if payment is not received. Architects should consider
seeking legal advice before stopping services.
Stop work if necessary – if services are not halted at the first instance, there will be no credibility if late
payment should re-occur.
Consider one or more of the following actions:
send a lawyer’s letter to the client;
file a lien against the property (see also Chapter 6.7 – Take-over Procedures, Commissioning, and Post-
Occupancy Evaluations);
attempt to reach an agreement through a mediation process;
attempt to reach a decision through an arbitration hearing;
turn the collection over to a reputable collection agency;
initiate legal action.
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The final alternative to withholding services may be to resign the commission and terminate the relationship.
If this is the decided course of action, it must be properly documented and in accordance with the termination
clauses in the contract. Architects should consider retaining legal counsel to assist in this process. In addition,
the following steps should be undertaken:
Notify authorities having jurisdiction, whether the decision is to withhold services until payment is made,
or to resign the commission. These authorities rely on the architect to provide a general review of the
project, and in some jurisdictions, “letters of assurance” at the completion of a project.
Be prepared to defend a counterclaim from the client, whatever course of action is selected (mediation,
arbitration, lien action or litigation). The client may make a variety of accusations, including poor
performance and negligence. For this reason, an architect should likely consider reporting the issue to
their professional liability carrier.
Take care not to issue idle threats: if legal action has been threatened for non-payment of an invoice by a
certain date, be prepared to initiate the action in a prompt manner.
Record all communications regarding collection, including all attempts at contact for purposes of payment
(faxes, e-mail, phone calls, letters, memos, conversations). These records will be important in formal
hearings on resolving the matter of collection.
Projects in Other Jurisdictions
Architects working outside their base jurisdictions should learn about the differences in construction practices
and professional services in other jurisdictions that may increase risks. The further from home, the greater the
differences. Some differences to watch for include:
In other municipalities within the same province:
different zoning, land-use, and other bylaws;
different building code interpretation;
different processes in applications to authorities having jurisdiction;
local customs and laws.
In other provinces or territories within Canada:
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different legislation (such as lien legislation);
architectural registration/licensing and provincial policy with respect to seeking work in another province
without a licence;
applicable provincial law (for example: Civil Code in Québec vs. common law in other provinces);
local customs;
bylaws in specific municipalities.
Outside Canada:
different laws:
whether the architect can legally provide services in the jurisdiction;
whether the architect can hold themselves out as an architect in the jurisdiction;
liability laws;
tax laws which may affect profitability;
laws respecting travel, visas, and freedom of movement;
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international agreements and treaties;
applicable building codes;
differences in the statutes of limitations that will impact record retention practices;
insurance requirements which may differ:
9 Some jurisdictions may not accept the policies issued to the architect in Canada.
9 Some insurers will not provide coverage for services performed in certain countries. These issues
should be brought to the attention of the insurer and insurance broker before agreeing to the
commission. Special policies may need to be procured or endorsements added to the existing
policies.
different customs:
cultural differences;
language which may govern contracts;
payments to “sponsors” for the privilege of working in the jurisdiction;
political alliances (allies, neutral parties, and enemies);
local trade practices.
political issues:
potential for violence and/or civil unrest;
sanctions by the Government of Canada;
anti-corruption laws in Canada and the foreign nation.
forms of contract:
standard international contracts; for example, the contract of the International Federation of Consulting
Engineers (FIDIC);
uninsurable clauses such as guarantees, warranties, higher standards of performance than in Canada,
greater indemnification of owner than Canadian architects are accustomed to;
acceptance of laws of foreign jurisdiction for dispute resolution;
unusual clauses (for example: “if there is a discrepancy in the documents, that which best suits the
client will govern”).
payment:
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make payment terms very clear;
be aware of exchange rate fluctuations if payment will be in a foreign currency;
make arrangements for transfer of funds before accepting the commission because many countries
forbid local currency leaving the country;
be aware that some foreign jurisdictions require fees to be either held for performance holdbacks or
guaranteed by letter of credit;
other differences:
different time zones between the main office and the overseas location mean that there may be little
or no time in which both offices are operating simultaneously;
increased communication costs;
collaboration – many foreign clients want to deal with a firm that has a strong local presence; this could
entail an alliance with a foreign architectural practice, or the opening of an office in the jurisdiction,
either of which will require review of the architect’s status with both local and foreign associations, as
well as with the professional liability insurer.
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Disputes and Dispute Resolution
A construction project is a complex undertaking involving many different entities, each with a unique role to
play. Owners, contractors, suppliers and design consultants have separate interests and motivations before,
during and after a project is delivered. Disputes and conflicts are almost inevitable. Therefore, an important
part of an architect’s risk management strategy relates to the handling of disputes.
Such a plan should be both internal to the practice (procedures to report and share issues with others in the
firm) and externally influenced, in contract documents as well as through procedures to report disputes to the
professional liability insurer.
The architect should also be mindful of the requirements of their insurance policy not to admit liability and
not to volunteer any payments to claimants without notifying the insurer and obtaining their consent to do so.
Adjudicative
Litigation
Increasing Cost and Reduced Cooperation
Judge/Jury/Special Master
Binding Arbitration
Binding Resolutions
Private Judge
Mediation
Mini-trial
Nonbinding Resolution
Advisory Arbitration
Advisory Opinion
Non-adjudicative
Architect’s Ruling
Standing Neutral Dispute Review Board
Standing Arbitration
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Direct Negotiation
Negotiation
Step Negotiation
Risk Allocation
Prevention Incentives for Cooperation
Partnering
TABLE 1 Dispute Resolution Steps. Reprinted with permission from: DPIC - Security Insurance Company of Hartford.
Alternative Dispute Resolution (ADR)
In the event of a dispute, the architect may be requested by the client, or perhaps others, to participate in some
form of alternative dispute resolution (ADR) such as mediation or arbitration. ADR is a conflict management
strategy that seeks to avoid the very costly and lengthy process of litigation. This approach is usually proposed
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when amicable negotiations fail to achieve a mutual agreement to resolve a matter under dispute. Always
discuss a proposal for ADR with a lawyer and the professional liability insurer prior to agreeing to participate.
The insurer or their legal counsel may wish to represent the architect in these circumstances.
In many instances there will be a dispute resolution provision section in the agreement with the client. RAIC
Document Six mandates amicable negotiations, followed by mediation or arbitration as per CCDC 40 – Rules for
Mediation and Arbitration of Construction Disputes.
Whatever is agreed to in the prime agreement should be passed along to all subconsultants, so all parties are
bound by the same dispute resolution proceedings.
The ideal, of course, is to avoid disputes in the first place. Clear, concise, correct, well-coordinated and well-
checked contract documents will reduce the likelihood of a dispute but cannot totally eliminate the possibility.
Equally important is regular and properly documented communication with all project participants.
Table 1 shows a sequence of dispute resolution techniques. These methods of alternative dispute
resolution (ADR) are ranked in ascending order from low to high escalation of adversity and of costs for
the parties in dispute.
Partnering
Developed as a method of dispute avoidance, partnering has the following objective: to solve problems as
they arise, in a manner that will best achieve agreed-upon collective goals rather than trying to affix blame.
Partnering involves a team comprised of owners, design professionals, and contractors (prime contractors
and subcontractors). Each participant in the process earns the trust, respect and understanding of the others
concerning the expectations, goals and objectives in implementing a construction project. This is often
accomplished through a facilitated working session or meeting. Partnering typically involves a few days of
meetings which culminate in the issuance of a “charter” stating the mutual acceptance by the partners of the
project’s common goals.
As with all contractual relationships, the “chemistry” among the participants must be compatible; partnering
can enhance the chemistry but will not likely replace it.
Negotiation
In the event of a dispute, the parties may initially attempt to resolve the matter by negotiation. A negotiation
based on strict interpretation of the terms of a contract or issue in dispute is generally less successful than one
which focuses on the underlying interests and common objectives of the parties.
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Mediation
When two or more parties mutually agree to refer their dispute to mediation, a neutral person is usually
selected to act as a mediator. The mediator acts as a facilitator, assisting the parties in their negotiations with
one another to resolve or settle the dispute. The mediator:
does not impose a settlement;
is not a decision-maker;
does not act as an expert providing a legal or other expert opinion.
Mediation is conducted on a confidential basis, and all discussions and the ultimate settlement agreement(s) also
remain confidential to the parties. Anything disclosed during this process cannot be used later in subsequent
or ongoing legal proceedings. Mediation allows for creative solutions not available in the traditional litigation
process. In many cases it also allows relationships between the parties to be preserved.
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Although the mediator does not need to have special expertise in the matter under dispute, in many cases it is
indeed warranted. There are mediators in all major cities across Canada with extensive experience in construction
litigation. Typically, the expense of this process is borne by all participating parties on an equal basis.
In many jurisdictions across Canada, mediation is mandatory, required by the rules of court. It has proven to
be an effective method to resolve disputes, and much more efficient in terms of both time and expense.
Once a settlement is reached, appropriate written documentation, which releases someone from an
obligation or from further legal action, is necessary. These releases should be prepared with the assistance
of legal counsel.
Arbitration
In arbitration, two or more parties submit a dispute to an independent and impartial arbitrator or arbitration
panel, mutually agreed upon by the parties in dispute. The arbitrator makes a final and binding determination in
a quasi-judicial manner. This process is much more formal than mediation. Mandatory and binding arbitration
might be mandated under the client-drafted agreement, and to the extent that this can be modified (stipulate
that the agreement of both parties is required), it is recommended.
The experience and qualifications required for an arbitrator are similar to those required for a judge; in fact,
many arbitrators are retired judges.
An arbitrator must have knowledge of:
statutory procedures applicable to conducting a hearing;
relevant legislation, relating to arbitration and judicial procedures.
Although specific expertise may not always be required, this will depend on the nature and magnitude of
the dispute.
The parties must pay for the arbitrator or arbitration panel as well as the venue and other costs. The arbitration
process can be both expensive and time consuming.
There are legal and professional liability insurance implications in arbitration, whether participating as a
witness or as a party; therefore, legal and insurance advice should always be obtained before agreeing to
participate in any arbitration. Most professional liability insurers for architects prefer to avoid mandatory
binding arbitration.
PART THREE Management of the Architectural Practice
Professional Liability Insurance
One method of transferring project risk is through professional liability insurance (sometimes referred to as
errors and omissions insurance). This type of insurance is mandatory in most provinces. See “Comparison
of Provincial or Territorial Requirements regarding Professional Liability Insurance” in Chapter 1.6 – The
Organization of the Profession in Canada.
All architects are required to perform their services to a “professional standard of care.” This means that
architects are required to provide service with the degree of care and skill that would be rendered by reasonably
competent architects under the same circumstances and in the same geographic location. An architect who
does not meet this standard may be found negligent, possibly resulting in a finding of professional misconduct.
As mentioned earlier in this chapter, architects should try not to accept any elevated standard of care imposed
by a client in an agreement.
An architect found liable for a negligent act, error or omission can be held responsible for the damages proven
to be attributable to said negligence. Professional liability insurance provides protection from such claims and
is intended to cover such liabilities.
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A professional liability insurance policy does not afford total protection, however, because insurance policies
have conditions, limitations and exclusion clauses which void or restrict coverage for certain specific activities,
or contractual commitments that go beyond the negligence standard.
Common exclusions under a typical policy include (but are not limited to):
fraudulent and dishonest acts;
contractual liability;
products liability;
construction activities carried out by the professional;
express warranties and guarantees.
In addition, the policy will have monetary limits per claim as well as in the aggregate for each policy period.
There may also be limits for designated projects. The architect should read and understand the policy and pay
attention to exclusions and endorsements that may be added to the policy. These may change from time to
time and need to be reviewed on a consistent basis. All firm members should be aware of the coverages and
restrictions, especially members who are entering contracts on behalf of the firm.
Insurance premiums are usually proportionate to the volume and type of work in the practice, as well as the
firm’s claims experience. It may be necessary or prudent to purchase excess coverage over and above the
basic level of protection required by the regulations or legislation of a province or territory. A client agreement
may mandate a certain level of insurance which is beyond the limits carried by the firm. This needs to be
addressed and the policy should be amended accordingly. Excess insurance coverage for a specific project is
typically a reimbursable expense, but the payment for excess insurance needs to be clarified in the proposal
or contract documents.
The professional liability policy will normally have a deductible, the amount of which will depend on the size
of the firm, the risk profile, and the firm’s own preferences. The deductible in many cases will apply to legal
fees and other claims expenses.
The policy limit may include legal fees and expenses, or may provide that those expenses are in addition to
the policy limit.
In addition, on some larger projects, an owner may insist on a project-specific professional liability policy which
provides coverage for all design professionals. If this is the case, the terms and conditions of that policy should
be reviewed and understood. It is recommended that, if several professionals are insured under one policy
of insurance, an agreement be in place regarding the responsibility for payment of the deductible obligation.
PART THREE Management of the Architectural Practice
Insurance coverage is an important item to be considered if a firm is ceasing to practice. In this scenario,
architects should speak with their professional association or insurance broker, who may recommend the
purchase of a “run-off” policy for a certain number of years.
The issue of insurance should also be part of any discussion between firms who are considering a merger,
purchase or sale of the firm. There are several options available and they should be discussed with professionals
knowledgeable in this area, including insurance brokers and legal advisors.
Architects should pay careful attention to the insurance requirements mandated under their agreement with
the client, as some of the coverages or endorsements requested may be unattainable or cost prohibitive.
Some examples include:
requirement to have the client or other parties named as an additional insured under the professional
liability policy;
maximum deductible amount;
coverage to be in place for an unreasonable number of years following substantial completion.
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The Canadian Standard Form of Contract for Architectural Services contains a clause, GC 9.1, limiting the architect’s
liability to the client to the amount of insurance coverage that is available at the time the claim is made, or an
amount agreed upon by the parties.
A limitation of liability clause is a “deal-maker” and should be included in all other non-standard, client-architect
agreements. The amount of the limitation of liability should be negotiated on a case-by-case basis, depending
on the size and complexity of the project, as well as the insurance limits carried by the architect. However, this
clause will not limit exposure to third parties; therefore, additional coverage may still be advisable. Questions
regarding appropriate limits of insurance should be discussed with an insurance advisor.
If a situation arises in which the architect believes that a claim might be made, the architect should discuss the
situation with the professional liability insurer to minimize exposure. Notify the insurer at the first indication
of the likelihood of a claim and follow the insurer’s advice to avoid putting the insurance coverage at risk.
Professional liability policies are typically written on a claims-made and reported basis, meaning a claim must
be made and reported in the same policy period.
The architect should always require subconsultants to carry professional liability insurance with the appropriate
coverage for each project. The amount of insurance for subconsultants should align with the insurance
requirements mandated by the prime agreement. All consultants should be required to verify that they have
obtained this coverage when the architect engages consultants for a project. In addition, the architect should
follow up on an annual basis with the subconsultants and obtain updated certificates. Out of an abundance of
caution, an architect may want to include a clause in the subconsultant agreement that if the subconsultant
ceases its business, it agrees to obtain a run-off errors and omissions policy for a specified time period.
Every province and territory has different statutes of limitations. These statutes of limitations usually provide
a time limit within which a claim can be made. These laws indicate the number of years after which no legal
proceeding may be undertaken following a date when the damage (or negligent act) was discovered or ought
to have been discovered (the “basic limitation period”).
In addition to the basic limitation period, several provinces have an “ultimate limitation period.” No lawsuit can
be commenced in respect of any claim after this period has expired.
There have been instances where clients have included a term in their prepared agreements that seeks to
extend the time limitations imposed by statute. This should be deleted.
In Québec, the liability of architects is based on the following articles of the Civil Code.
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Article 1457 – General Liability
Article 1458 – Contractual Liability
Article 2118 – One Year Liability for workmanship of a contractor
Article 2120 – Five Year Liability in the case of loss of work – this is joint and severable with engineers and the
contractor with the possibility of release.
See Appendix E – Comparison of Statutes of Limitations in Each Province and Territory at the end of this chapter.
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References
Atkins, James B., and Grant A. Simpson. Managing Project Risk: Best Practices for Architects and Related
Professionals. Hoboken, New Jersey: John Wiley and Sons, 2008.
“BIM projects: Top 10 loss prevention recommendations”, AXA XL Insurance, 2018. https://axaxl.com/-/
media/axaxl/files/pdfs/design-professional/about/bimtop-10-loss-prevention-recommendations_us_ca.pdf,
accessed June 16, 2020.
Hayes, R.L. (ed.) The Architect’s Handbook of Professional Practice, 15th Edition. Hoboken, NJ: John Wiley and
Sons, 2014.
Project Management Institute. A Guide to the Project Management Body of Knowledge, 6th Edition. Newtown
Square, PA: Project Management Institute. 2017.
Sandori, P. and W. Piggott. Bidding and Tendering: What is the Law? 5th Edition. Toronto: LexusNexus Canada, 2015.
Stone, David. Mastering the Business of Architecture. Toronto: Ontario Association of Architects, 2004.
(Ontario only)
Stone, David. Mastering the Business of Design. Impact Initiatives, 1999. (Outside of Ontario)
PART THREE Management of the Architectural Practice
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Appendix A –
Record Keeping
Introduction
The most valuable advice for managing any project that can be given to an architect is “put it in writing.”
This statement applies equally to:
formal documentation used in the administration of a construction contract;
other forms of communication between the architect and client, subconsultants, manufacturers’
representatives, authorities having jurisdiction, bidders, general contractors, and testing and
inspection agencies.
Accurate, comprehensive records of all communications with everyone with whom the architect discusses any
aspect of the project must be made and kept in a readily retrievable filing system. A sample system is given in
Appendix B – Project Filing System in Chapter 3.5 – Office Administration. This may be adapted to suit the needs
of each individual architectural practice.
Means of Communication
Contractual:
prequalification advertisement as required;
prequalification submissions as required;
bid advertisement(s):
CCDC 11, Contractor’s Qualification Statement as required;
bid closing date extension announcement as required;
addenda;
bids;
construction contract, including any amendments and supplementary conditions;
supplemental instructions;
change orders;
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change directives;
Certificates for Payment;
substitutions and communications relating to substitutions;
client-architect agreement and all agreements with subconsultants. This includes any scope changes and
updates.
Other hard copy documents:
letters;
memos;
minutes of meetings; may include:
face-to-face meetings;
telephone conference calls or video conferencing;
in all cases, minutes are taken and issued, preferably within 48 hours of meeting, to all participants
and other interested parties;
recommendations made by architect and confirmation of client decision.
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Frequently hand-written:
transmittals for documents or for faxes;
memos;
site instructions;
desk diary;
notes of telephone conversations.
Electronic:
e-mails
faxes:
Fax transmission of documents is becoming an obsolete method of communication; however, it
continues to be used, predominantly for reasons of security.
Oral:
teleconferencing, video conferencing, and web-based team applications;
face-to-face communications;
telephone.
Record Keeping
Record everything in writing, dated and filed in an orderly, readily retrievable system.
In specific circumstances, the time a document is issued or received may also be significant, such as: issuing
the last addendum just prior to the deadline identified in the Instructions to Bidders; receiving bids at the
architect’s office.
Most fax machines and e-mail automatically record the time; however, if hand-written transmittals are used,
time of issue or pickup should be recorded. A request for acknowledgement may be desirable for key issues.
Concise, written summaries of all voicemail messages and telephone and face-to-face conversations should
be prepared as soon as possible and filed. Circumstances may warrant these written summaries and/
or confirmations to be sent to other parties involved, particularly if they involve client directions which are
contrary to an architect’s recommendations, or if they involve scope changes.
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For ease of retrieval, use the same filing system format for hard-copy and electronic material. Generally, every
e-mail sent or received should be filed. The only exception might be a series of e-mail exchanges leading up
to a conclusion/instruction/confirmation. In this case only, it may be logical to retain only the original enquiry
and the final resolution; if there is any doubt about whether an intermediate e-mail might become relevant in
future, keep it.
Electronic records are more vulnerable to loss than hard-copy; therefore, it is essential that backup files are
routinely and rigorously created, preferably each time a document is created or received. Make duplicate
backup files and store them off-site.
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Appendix B –
Additional GO/NO GO Considerations to Assess the Degree
of Firm and Project Risk
Don’t
Issue Yes No know
Comment
Adherence to marketing plan
1. Does the project fit within the strategic plan
or long-term goals of the firm?
2. Does the project match the firm’s target
markets as defined in the marketing and
business plans?
3. Does the project match the firm’s target
services?
4. Does the project have the potential to meet
the firm’s design objectives?
5. Is the project consistent with the firm’s
minimum/maximum project size objectives?
6. Does the project recognize environmental
issues and sustainability?
7. Does the project present the firm with an
opportunity to break into a new market that
the firm has not foreseen?
8. Does the project offer repeat client
potential?
9. Are there any political overtones that could
PART THREE Management of the Architectural Practice
be contentious?
10. Are there any direct or perceived conflicts of
interest?
11. Has the firm considered public interest (and
opposition)?
12. Will the firm get publicity (good/bad)?
13. If the project is awarded to the firm, will it
preclude other opportunities?
Profitability
1. Can the firm make a profit doing this
project?
1. Are there any prevailing reasons to want the
project, even though the firm cannot make a
profit on it?
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Don’t
Issue Yes No know
Comment
Project financing
1. Are project funds secured?
2. If not, is funding likely to be in place and when?
3. Has the client included both design and
construction contingencies in their overall
budget?
4. If funded by a public sector body, what are
the funding milestones and deadlines?
5. Is there a discrepancy between the
proposed scope of services and the client’s
fee expectation?
6. Is the fee adequate to provide professional
services?
7. Can the firm propose a competitive fee or is
this a “take-it-or-leave it” situation?
8. Are there other factors that negatively
impact the project’s viability?
9. Does the client have a reputation for sound
business and payment decisions?
10. Is the project free of speculative risk and the
prospect of future sales?
Architect selection process
1. Is the process reasonable?
2. Does the architect selection process involve
working with another firm that may have
already been selected or is being considered
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for selection?
3. Can the firm compete effectively under the
conditions of the selection process?
Location
1. Is the firm’s location favourable in terms of
the client’s criteria?
Human resources
1. Does the firm have the available human
resources to produce the work in the client’s
time frame?
Marketing/Staff
1. Does the firm have the staff and time
available to pursue this project in a first-
class fashion?
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Don’t
Issue Yes No know
Comment
Client contact
1. Is the firm known to the client?
2. Is this a past client with whom the firm has
had a good reputation?
3. Does the firm have a strong marketing
channel to the client?
4. Will the firm have adequate opportunity
to research the client’s needs before the
marketing process begins?
5. Does the firm have an existing and positive
relationship with the primary decision-
maker?
6. Does the firm have an existing and positive
relationship with others involved in project
decision-making?
Competition
1. Does the firm know the likely competition?
2. Is the firm competitive against the likely
competition?
3. Does the project offer the firm an
opportunity to compete at a higher level
against firms with whom the firm would like
to identify in the marketplace?
Message
1. Does the firm have a strong value
proposition?
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2. Does the firm have a strong marketing
message?
3. Is the firm uniquely qualified for the project?
4. Can the firm compete effectively?
Making the short list
1. Is the firm likely to be short-listed?
2. Is the firm likely to be successful if placed on
the short-list?
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Don’t
Issue Yes No know
Comment
Cost to pursue
1. Will the marketing time and effort required
be in proportion to the firm’s possibility of
success?
2. Will the marketing costs be proportional to
the potential profit? (Spending the project’s
anticipated profit on marketing may be
sufficient reason to decline the project.)
Other
1. Are there specific requirements that the firm
will have difficulty in accommodating?
2. Insurance requirements?
3. Assignment of copyright to the client?
4. Engagement of specialty consultants?
5. Guarantees or assurances of performance?
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Appendix C –
Checklist: Contract Review
The checklist below is adapted and reprinted with permission from AXA XL Insurance.
Contract Information
Project Client:
Client Contact: Telephone:
Fax: Date of Draft:
Customer Provision N/A Topic/Solution Comment
Assignment
Delete unilateral right of client
to assign
Prohibit assignment without
written mutual consent
Billing and payment
Include specific payment
terms
Allow for interest and
collection of costs
Provide for suspension and
termination
Certification, guarantees and
warranties
Delete all certificates,
warranties and guarantees
Properly define as opinions
Code compliance
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Delete warranties or
certifications of compliance
Remove all; insert applicable
Construction phase services
Include observation in scope
Verify other construction
phase services
Define purpose: for general
compliance only
Delays
Allow for delays due to force
majeure
Delete liquidated damages
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Customer Provision N/A Topic/Solution Comment
Dispute resolution
Make mediation primary ADR
method
Avoid mandatory arbitration
Estimates of probable
construction costs
Define term in contract
Identify responsibility for cost
overruns and redesign
Hazardous materials
Refuse liability for unknown
site/building conditions
Secure indemnity from client
Indemnities
Avoid the word defend
Limit liability to your
negligence
Exclude parties other than
client
Inspection
Delete or define word
inspection to be equivalent to
observation
Insurance requirement
Ensure consistency with
current coverage
Remove special requirements
that are unattainable
Review with broker/risk
manager and/or attorney
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Jobsite safety
Delete responsibility for
jobsite and worker safety
Refuse responsibility for
construction means and
methods
Define safety as contractor
duty
Lender’s requirements
Avoid broad mandatory
cooperation clauses
Require sufficient time to
review lenders’ forms
Provide for your right to refuse
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Customer Provision N/A Topic/Solution Comment
Limitation of liability
Limit liability to a reasonable
amount
Negotiate limit with client
Highlight clause in contract
Liquidated damages
Delete provision entirely
(See also Timeliness of
performance)
Ownership of instruments of
service
Limit to final documents
Retain ownership of
documents, especially
proprietary details
Limit/prohibit reuse
Secure indemnity if documents
reused
Condition any transfer of
ownership upon full payment
Permits and approvals
Limit duty to assist in obtaining
List specific permits/approvals
Record documents
Avoid term as-built
Define sources of information
for record documents
Right to reject or stop work
Make sole responsibility of
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owner
Advise owner of need
Scope of services
Provide sufficient detail of
responsibilities
List responsibilities of other
key parties
Exclude services not intended
Shop drawing review
Define contractor’s
responsibility
Identify your responsibility:
general conformance
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Customer Provision N/A Topic/Solution Comment
Standard of care
Delete language that alters or
elevates the standard
Define properly
Limit to ordinary skill, care,
judgement
Avoid superlatives (highest,
best)
Termination
Allow both parties the right to
terminate
List expenses if terminated for
convenience of client
Provide for right to suspend,
then terminate if client in
default
Third-party beneficiaries
Reject third-party beneficiaries
to contract
Clarify that your services are
for client’s sole benefit
Include similar provision in all
project contracts
Timeliness of performance
Delete time is of the essence
Include reasonable time to
perform
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Reviewed with legal counsel:
Reviewed with insurance broker:
This sample Contract Review Checklist is designed to assist you in reviewing and negotiating proposed
contractual provisions. It is not to be regarded as opinion or advice for any specific contracts. If legal advice or
expert assistance is required, the services of a competent professional should be sought. You should develop
your own form based on your firm’s procedures and experience in reviewing and approving contracts written
by other parties. You may also wish to seek the advice of your professional liability insurance broker.
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Appendix D –
Checklist: Issues to Consider When Assembling the
Consulting Design Team
Don’t
Issue Yes No know Comment
1.0 General Considerations
1.1 Are the professionals with previous relevant
experience still with the engineering consulting
firm, and will they be assigned to this project?
1.2 Does the client know the proposed engineering
consultant?
1.3 Will the client object to the use of this
consultant?
1.4 Does the consultant have experience in this
project type and this client type?
1.5 Does the consultant have prior working
experience with the firm?
1.6 Does this consultant have prior working
experience with the other proposed
consultants?
1.7 Was prior working experience with this
consultant positive?
1.8 Is the consultant’s proposed fee competitive?
1.9 Does the consultant have any conflicts of
interest on this project or with this client —
either actual or perceived?
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1.10 Do the consultants all carry professional liability
insurance to the limits required for this project?
2.0 Specific Considerations
2.1 Is the client imposing a subconsultant on the
firm?
2.2 If so, should the firm insist that the client retain
the subconsultant directly?
2.3 If not, this situation needs to be otherwise
documented.
2.4 Is the subconsultant practising in a specialty
area such that it would be better practice for
the owner to retain the subconsultant directly?
2.5 Is the subconsultant a specialty consultant that
does not carry professional liability insurance?
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Appendix E –
Comparison of Statutes of Limitations in
Each Province and Territory
The limitation period to bring an action relating to negligent architectural services varies from provincial
or territorial jurisdiction to jurisdiction and with the type of damage that results. The basic rule is that the
limitation period starts to run from the date the cause of action arose. Usually, this occurs when the party
suffering the loss discovers, or ought to have discovered, that it had the right to sue for damages and knows
the identity of the person/entity it can sue. The damage may not be discovered for many years after the
construction is complete (for example, precast concrete panels may fall off after incorrectly specified anchors
have rusted or corroded and failed).
The following chart sets out the appropriate limitation periods according to whether the action is one in
contract or tort (that is, negligence) and whether the damage is to property or person.
This is a very general outline only and does not replace proper advice from professional liability insurers and
lawyers, which should be obtained as soon as possible in the event of a potential claim.
Province or Limitation Period
Relevant Legislation
Territory (Number of Years)
British Columbia Negligent design and/or construction or Limitation Act, SBC 2012, c 13, s 6
breach of contract causing damage or injury
to person or to property: 2 years.
Time will be postponed if the action is for fraud
or breach of trust.
Alberta Negligent design and/or construction Limitations Act, R.S.A
and breach of contract: 2 years after the R.S.A. 2000, c.L-12, s.3.
date on which the claimant knew, or in the
circumstances ought to have known of the
claim; or 10 years after the claim arose;
PART THREE Management of the Architectural Practice
whichever period expires first.
Saskatchewan Negligent design and/or construction: 2 years The Limitations Act, Chapter
Causing injury to a person: 2 years L-16.1 of The Statutes of
Saskatchewan, 2004 (effective
Breach of contract: 2 years May 1, 2005) as amended by
Statutes of Saskatchewan, 2007,
c.28.
Manitoba Negligent design and/or construction Limitations of Actions Act, L.R.M.
Limitations of Actions Act, causing: 1987, s.2(1)(f),(g),(i),(n)
• Injury to real property: 6 years
• Injury to personal property: 2 years
• Injury to a person: 2 years
Breach of contract: 6 years
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Province or Limitation Period
Relevant Legislation
Territory (Number of Years)
Ontario Negligent design and/or construction: 2 years Limitations Act, 2002, S.O. 2002
Breach of contract: 2 years
15 years is the ultimate limitation period
(Schedule B S15(2)) for either negligent design
or breach of contract.
Québec Negligent design and/or construction: Civil Code of Quebec
• If the work was completed: 8 years Art. 2925, 2118
• If not completed: 3 years
Breach of contract: 3 years
New Brunswick Negligent design and/or construction: 6 years Limitation of Actions Act, SNB
Breach of contract: 6 years 2009, c L-8.5
Nova Scotia Negligent design and/or construction: 6 years Limitation of Actions Act,
Breach of contract: 6 years R.S.N.S. 2014, c.35, s.8(1)(a
Prince Edward Negligent design and/or construction: 2 years Architects Act, S.P.E.I. 1990
Island Breach of contract: 6 years c.4, s.34 & Statute of Limitations
Act, R.S.P.E.I., 1988, c.S-7, s.2(1)(g)
Newfoundland and Breach of contract and/or professional Limitations Act,
Labrador negligence in design and/or construction S.N.L. 1995, c. L-16.1, ss,
causing injury to person or property: 2 years 5(a), 6(1)9c), 9
Other breaches of contract: 6 years
Northwest Negligent design and/or construction causing: Limitation of Actions Act
Territories • Injury to real property: 6 years R.S.N.W.T. 1988, c.8(Supp.)
• Injury to a person: 2 years In force July 19, 1993
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SI-008-93
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Chapter 3.9 – Architectural Services and Fees
Chapter 3.9
Architectural Services and Fees
Contents
Definitions 391
Introduction 391
The Architect’s Basic Services 392
Basic and Additional Services 393
Identification of Services 394
The Architect’s Fee 394
Methods of Compensation 394
Fee Calculation 395
Percentage of the Construction Cost 396
Time Basis (Per Diem and Hourly Rates) 397
Lump Sum or Fixed Fee 397
Trends in Architectural Services 398
Requests for Proposals 398
Client-Architect Agreements 399
References 400
Fee and Tariff Tables 401
Appendix A – Scope of Architectural Services 402
Appendix B – Checklist: Supplemental Architectural Services 403
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Pre-design Services 403
Post-construction Services 403
Site Development Services 404
Materials and Systems Testing 404
Interior Design and Design Services 404
Project Administration and Construction Management Services 405
Promotion and Public Relations 405
Documentation Services 406
Expert Witness 406
Computer Applications 407
Urban Design 407
Research 407
Architectural Conservation 407
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Definitions
Construction Cost: The construction cost is the total cost of the work to the client to construct all elements
of the project designed or specified by, or on behalf of, or as a result of coordination with the architect. This
calculation consists of the construction contract price, cost of changes to the work during construction,
construction management fees or other fees for the coordination and procurement of construction
services, and all applicable taxes, except value-added taxes, which shall be excluded. Construction cost
excludes the compensation of the architect and consultants, land cost, land development charges and
other professional fees.
In the event that the client furnishes labour or material below market cost, or recycled materials are used,
the construction cost for purposes of establishing the architect’s and consultants’ fees includes the cost of
all materials and labour necessary to complete the work as if all materials had been new and as if all labour
had been paid for at market prices at the time of construction, or, in the event that the construction does not
proceed, at existing market prices at the anticipated time of construction.
Fee: The amount of compensation paid to the architect for the provision of specific services. Reimbursable
expenses or disbursements are not included.
Fixed Fee or Lump Sum or Stipulated Price: One stated sum of money for the performance or provision of
specific services.
Percentage Fee: A method of compensation which links the fee for architectural services to a percentage
of the construction cost of the project. The percentage will vary depending on the type of building, the
construction value, and the type of construction contract.
Per Diem: Allowance or payment for each day.
Service: Work performed for, or the doing of work on behalf of, an employer or client; benefit conferred, or
exertion made, on behalf of someone; work comprised in whole or in part of labour, advice or supervision.
Introduction
Architecture is a rapidly changing, knowledge-based professional service industry. As a result, providing and
PART THREE Management of the Architectural Practice
determining compensation for architectural services is more challenging than ever. This chapter will help
architects meet the challenge by discussing how to identify appropriate services for their clients and how to
set a value for those services.
It is important to appreciate that, at a fundamental level, fees are paid to an architect for design services that
generate or create value for the client. Architects need to educate clients about the value of architectural
services and how an architect’s ideas and knowledge can result in significant increases to the real estate or
commercial value of a building as well as savings in the building’s operating and maintenance costs. Refer
to Figure 1, which illustrates that the architect’s fees are indeed a very small fraction of the total costs for
constructing and owning a building.
Several authors have provided ratios for design and construction, operation, and personnel costs. In their
2004 study of office buildings, Hughes, et.al. determined a ratio of 1: 0.4:12. However, Shanus’, early work
on daylighting presents a ratio of 2% design and construction, 6% maintenance, and 92% personnel is still
believed to apply to many building types (p. 40).
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Thirty-yearLife-cycle
Thirty-year Life-cycle Costs
Costs of
of aa Building
Building
2%
6%
Initial cost (including land, design and construction)
Operating and maintenance
Personnel costs
92%
FIGURE 1 Costs of Construction, Maintenance, and Operating a Building over a 30-year life-cycle (Shanus 1994)
The upfront investment in early, effective, and critical decision-making can lead to huge benefits in increased
building and human performance as well as reduced operating cost. The professional services of an architect
are an investment in the long-term sustainability of a capital asset rather than an expense to be minimized.
The Architect’s Basic Services
By regulation, as self-governing professionals, architects are required to provide an appropriate level of services.
PART THREE Management of the Architectural Practice
Being self-regulated means that only the architect may determine the expected quality of professional services
delivered. Fees must be adequate to enable the appropriate levels of quality and scope of services for a given
project to be maintained. Before an agreement (or interim agreement) is prepared and before beginning work
on a project, the architect must propose an appropriate complement of services to the prospective client.
The services should be based on the project requirements, the client’s own in-house competencies and the
architect’s capabilities. The client must also understand that for buildings over a certain size and of a certain
use, the building code as well as the architects act in the province or territory require that the project be
designed by or under responsible control of an architect. The architect is required to provide an appropriate
level of professional services, and consequently fees must be adequate to ensure that this level is achieved.
An architect can be held to account for the work they do regardless of the fee. Professional duty requires
attention whether an architect is working for a reasonable fee or for no money at all.
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Basic and Additional Services
Typically, architectural services are focused on the design and delivery of a building. This involves a distinct
series of steps that progress from the formulation of ideas that address the client’s program and carry on
through to the administration of the construction agreement between the builder and the client. These steps
constitute the most commonly understood activities:
schematic design;
design development;
construction documents;
bidding and negotiation;
construction phase (contract administration).
These five phases within the design and construction component are a logical progression of concepts-turned-
real and a project-based approach to delivering desired outcomes.
Linear (“Basic Services”) View
Linear (”Basic Services”) View
Pre-design Design Construction Post-occupancy
• Schematics • Bidding
• Design development • Contract
• Working drawings administration
TRADITIONAL 5 PHASES
FIGURE 2 Linear (“Basic Services”) View
Basic services are those services the client and the architect have agreed are necessary for the implementation
of the project. These services, organized by project phase, are listed in Appendix A – Checklist: Scope of
PART THREE Management of the Architectural Practice
Architectural Services at the end of this chapter.
The profession is aware that many clients require additional services beyond the basic services. As well,
circumstances may arise where a client does not require the services normally associated with a complement
of “basic” services. Omitting some services within the agreement may lead to added risk for the architect.
Professional responsibilities, the provincially mandated architects act, and jurisdictional regulations establish
minimum requirements for an architect’s involvement.
Refer to the Canadian Standard Form of Contract for Architectural Services, the RAIC publication A Guide to
Determining the Appropriate Fees for Architectural Services, and to the chapters in this Handbook in Part Five
– Management of the Design Project and Part Six – Phases of the Design Project for a full outline of architectural
services contemplated for each phase.
Additional services (as defined in the Definitions and General Conditions of RAIC Document Six) are:
“… the services that are not included as Services to be provided by the Architect in Schedule A –
Services at the time this contract is made but which, with the written agreement of the Client
and Architect, are subsequently added to the Services identified in Schedule A – Services.”
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Fees for additional services are frequently invoiced based on agreed hourly rates, or on the basis of a clearly
defined scope and the fee for that scope.
Understanding the full breadth and value of services that could generate greater value for a client is important.
This can create opportunities for additional and supplemental services on a project, and can identify new and
innovative markets.
Appendix B – Checklist: Supplemental Architectural Services at the end of this chapter identifies many types of
services that cover a broad range of expertise and activity, such as providing financial feasibility studies and
business cases, and preparing functional programs, submissions to authorities, and life cycle cost studies.
Clients are often unaware of, or choose to ignore, the distinction between architectural services and other
related professional work. Architects who also ignore this distinction may not be receiving full value for their
efforts and may be providing additional services on a pro bono basis for a significant segment of their market.
Practices may wish to prepare a briefing document to outline the types of services for which the firm has
expertise and which can be supplied to prospective clients. There are some clients who do not possess a
working knowledge of the processes that must be undertaken to deliver a building. Having a document
or presentation that takes them through that process can create the appropriate context for continued
communication and dialogue.
Identification of Services
The success of a project depends on the proper identification of services. At the outset, the architect –
together with the client – must determine the professional services required for the project. Once this is
done, the architect can prepare a proposal of fees, scope and schedule, and negotiate an agreement with the
client. Many knowledgeable clients and their project managers are experienced and understand the need to
determine professional services. Architects may need to support less experienced clients in developing an
understanding of determining service delivery needs.
Occasionally, the required services cannot be identified at the outset of the project. For example, the site may
not be selected, or a functional program may not have been prepared. In these instances, it is prudent to work
on a per diem basis until the project is better defined.
To identify required services, prepare a list of tasks to be performed and a timeframe for each. The process
also involves identifying and selecting engineers and other consultants necessary for the project. The services
outlined in the standard forms of agreement can serve as a checklist for selecting the appropriate services.
PART THREE Management of the Architectural Practice
The Architect’s Fee
In addition to the RAIC document A Guideline to Determining Appropriate Fees for the Services of an Architect,
the architect should obtain the latest fee schedule, tariff of fees, and conditions of engagement from the
appropriate provincial or territorial association of architects.
See the References section of this chapter for a list of these documents.
Methods of Compensation
Both parties – architect and client – will benefit if the architect receives adequate compensation for the
professional services provided. Compensation is usually by one of the following methods:
percentage (of the construction cost); lump sum (or fixed fee); or
time basis (per diem or hourly rates); any combination of the above.
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Occasionally, in some provinces, architects are paid on a unit basis for projects such as multiple-unit housing
or hotels, which have a repetitive element. Unit fee determinations are frequently arbitrary and do not relate
to the nature, scope and risks associated with projects or delivering of architectural services.
The standard forms of contract have been crafted to accept different approaches to compensation. Construction
cost has been clearly defined in the agreements. Fees should never be confused with reimbursable expenses
(sometimes called disbursements), which are also clearly defined in the agreements.
Fee Calculation
See also Chapter 3.4 – Financial Management.
When calculating the distribution of the fee over the traditional five phases of a project, the following
breakdown is typical:
Phase % of total fee
Schematic design 12.5%
Design development 12.5%
Construction documents 50%
Bidding and negotiation 2.5%
Construction phase
22.5%
(contract administration)
TABLE 1 Typical Breakdown of Fees Over Design Project Life Cycle Phases
In new forms of project design and documentation, such as building information modeling (BIM), more design
and documentation is completed during the earlier phases of a project. As a result, it is not uncommon for the
phased breakdown of fees on projects using BIM to resemble the following:
Phase % of total fee
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Schematic design 20-25%
Design development 20-25%
Construction documents 25-35%
Bidding and negotiation 2.5%
Construction phase
22.5%
(contract administration)
TABLE 2 Range of Fee Breakdown for Projects with Intensive Early Phases Including Building Information Modeling (BIM)
Typically, services are rendered and payments are made progressively, with final accounting (100% of total
fee) at substantial performance of the construction or after the preparation of the final Certificate for Payment
to the contractor.
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The three usual methods of compensation use the following methods of fee calculation.
Percentage of the Construction Cost
Architects should base their fees on the recommended schedules prepared by the RAIC in A Guideline to
Determining Appropriate Fees for the Services of an Architect, or schedules developed by the provincial or territorial
associations of architects. Obtain the most current schedule available, as they are occasionally updated.
Percentage fees are, to a certain extent, contingent on the size and type of project as well as the scope of
services required. For example, the schedules generally recommend:
lower percentages for simple buildings or buildings with a higher construction cost;
higher percentages for buildings which are more complex or have a lower construction cost.
The percentage fee is typically built on assumptions of basic services. Percentage fees are modified based on
adjustment factors such as project complexity or multi-phased tendering, or extensive multi-agency approval
processes. A Guideline to Determining Appropriate Fees for the Services of an Architect provides a list of adjustment
factors. By applying the fee to a known cost or approved estimate at the start of each project phase, the fee
can be accurately determined, and both the client and the architect can budget accordingly.
The base percentage fees anticipate the following project conditions:
The architect is providing full, basic services.
The project is unique, one-of-a-kind, and designed for a single client who can define the function and
scope with clarity and accuracy.
Approvals from authorities having jurisdiction are relatively straightforward.
The project will be tendered once, as a single, coordinated package of construction documents using the
design-bid-build design-construction project delivery method.
The method of project delivery is the use of a stipulated sum contract (such as CCDC 2).
The project size is not extreme (neither very large nor very small).
The project approvals are simple and straightforward.
Consultants are limited to those providing the three basic engineering services.
There are no delays, or the progress of the project is not intermittent (thereby incurring repetitive “start-
up” costs).
PART THREE Management of the Architectural Practice
The percentage fee is calculated at each phase as a percentage of the construction cost as defined in the
agreement.
In the provincial or territorial fee guidelines, percentage fees usually include the fees of structural, mechanical
and electrical engineers – the three common engineering disciplines. In some jurisdictions, “net percentage
fees” are used, which exclude the provision of engineering services. This is sometimes the case in multiple-unit
housing projects. This method can also be used when the architect is engaged under a separate agreement,
with the client engaging the engineers directly and the architect providing coordination services.
In the RAIC Fee Guide there are two charts – one with percentage fees which include basic engineering (structural,
mechanical and electrical engineering only), and one with percentage fees without basic engineering services.
Other specialist consultants are not included in the percentage fee in either chart.
In all cases, ensure that sufficient fees are allocated for complete coordination. All tariffs or fee schedules
usually include coordination services in the net percentage provided.
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However, the architect should verify this and compare the suggested percentage with the actual coordination
requirements and the team composition. Architects can use the following rule of thumb: the cost to the architect
for coordinating engineering consultants is approximately 25% to 35% of the engineering fee. Engineering
services can also be negotiated as a percentage of the total construction cost to avoid disagreement over the
amount to which the percentage is applied.
To ensure the validity of the amount, use the percentage fee method and the breakdown cost estimate of
design services as checks when calculating a fixed fee (lump sum) quotation.
Refer also to the RAIC document, A Guideline to Determining Appropriate Fees for the Services of an Architect.
Time Basis (Per Diem and Hourly Rates)
A per diem or hourly rate is often the most appropriate method for establishing a fee, when, in the early stages
of a project, final project scope and the full complement of services have not been determined. Some other
situations when this approach would be appropriate include:
pre-approved work being changed;
small projects;
pre-design or other types of feasibility studies;
undefined scope of services;
intermittent work or services.
Per diem or hourly rates are usually determined by the following:
a multiplier of direct personnel expense (payroll cost + payroll burden x a multiplier);
existing market conditions.
Provincial associations have recommended higher per diem rates for special expertise such as acting as an
expert witness or providing a unique or highly specialized service.
Lump Sum or Fixed Fee
To use the fixed fee basis, both the client and the architect must thoroughly understand and agree on all tasks
required and on the project schedule. The method also requires calculating all costs and making a comparison
with the two other methods of compensation. See Chapter 3.11 – Standard Templates for the Management of the
Practice. When preparing a fixed fee quotation, include the following:
PART THREE Management of the Architectural Practice
all direct and indirect labour costs;
all expenses, including materials;
overhead and profit;
risk factors involved with this client and this project;
consultant costs;
costs for coordination of consultants;
marketing costs;
a contingency.
Double-check the fee proposal and do a “reality check” based on market conditions by:
determining fees as though they were based on a percentage of anticipated construction costs;
re-calculating the costs to provide the fees very conservatively, using a worst-case scenario;
checking the staff utilization rates and profit history of similar projects;
ensuring that staff or partners double-check or independently verify the fee calculation.
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A “race-to-the-bottom” by reducing fees in a competitive environment does not serve the client, the architect,
or the profession well. Fees that are too low to provide professional services will expose all parties to
considerable risk. Design fees represent a tiny portion of the life cycle design-construction-operating costs
of a facility. The added value of creative, thoughtful and innovative design far outweighs the financial savings
by a client’s instigation of a fee battle. Unreasonably low fees may also result in an architect being unable to
deliver professional services to the client. This could result in a claim of professional misconduct. Ultimately,
determining a fee that is both appropriate for the services required and competitive is a business decision.
With clear parameters, including a well-defined scope of services and construction estimate and project quality,
the fixed fee can be a satisfactory approach for both the client and the architect. However, when unknown
factors or an ill-defined project are involved, the fixed fee method can cause strained relationships and lead
to substantial losses for the architect. Verify that all agreements include provision for determining the fee for:
changes in scope;
preparation of change orders;
time delays (caused by the owner or contractor).
Trends in Architectural Services
Today, the architect often provides services in a different manner, including any combination of the following:
partial services (where the requirement for basic services is more limited);
expanded services (new services not previously offered, such as facility management and 3-D computer
models and BIM);
services through different project delivery methods (see Chapter 4.1 – Types of Design-Construction
Project Delivery).
Different project delivery methods can mean an increase in both the scope of services and liabilities; therefore,
the fee must be adjusted accordingly.
The scope of services varies for each project, each client, and each form of project delivery. As a result, it is
now more common for architects and clients to identify services from a comprehensive schedule. This flexible
approach is now recognized by the various schedules which must be appended to the Canadian Standard Form
of Contract for Architectural Services – RAIC Document Six.
PART THREE Management of the Architectural Practice
Requests for Proposals
As requirements for professional services continue to change, so will the methods for engaging design
professionals.
In seeking competitive submissions from architects, clients frequently use requests for qualifications (RFQs,
especially on larger, complex projects such as public-private partnerships) or requests for proposals (RFPs) as a
method of selecting architects. When RFQs are used in the first instance, the architect is also required to respond
to an RFP that follows. In responding to an RFP, the architect must carefully evaluate all conditions within the
terms of reference to ensure that the architect will not be bound to provide services for which the architect is not
competent, or which the architect is not willing to provide, or not able to provide within regulations.
Some requests for proposals (RFPs) outline a minimum “scope of services” but permit the proponent to offer
additional services. RFPs are sometimes evaluated primarily or totally on the fee for professional services,
without careful analysis and understanding of the full scope of services offered by the proponent. However,
proposals are most often evaluated utilizing multiple criteria, including project experience, methodology,
approach, project understanding, staff qualifications, project consultant team and cost.
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The architect must clarify and understand thoroughly the client and project requirements and the level of
professional services required before providing a fee proposal.
Requests for proposals (RFPs) can sometimes be ambiguous and provide incomplete descriptions of the
project and the scope of services required, or they describe the required services and terms and conditions
as if the architect were a contractor or supplier of goods and not a service provider. Such RFPs should be
challenged, as client expectations for an unrealistic scope of services, or certain contractual obligations and
their subsequent consequences, can be very detrimental to the project and to the practice. In some instances,
the terms and conditions required from the RFP may not be insurable under professional liability insurance
policies. This may result in a possible finding of professional misconduct for the architect who enters into an
agreement to provide non-insurable services. Architects should encourage owners to change and improve
such RFPs or ask the architectural licensing authorities or the RAIC to intervene. If improvements are not
made, architects should consider not responding to the RFP.
See also Appendix B – Guidelines and Checklists: Issuing Requests for Proposals (RFPs) at the end of Chapter 2.2
– The Client.
Client-Architect Agreements
Regardless of the type of project, the architect should prepare and execute a written agreement with the
client after identifying the full scope of services and negotiating a fee. Written agreements are a requirement
in several jurisdictions.
It may be advisable to use an interim agreement, a memorandum of understanding or another form of
“binder” in order to start work while a full agreement is being prepared. In some jurisdictions it is professional
misconduct to providing architectural services without an express written contract or oral contract.
Architects should not use customized stand-alone agreements developed for the specific use of their own
architectural practice or, without legal counsel and ample due diligence, enter into an agreement based on a
client-written contract form. They stand to gain from promoting and adopting the Canadian standard forms
of agreement between the client and the architect. These are produced by the architectural profession and
accepted nationally. Furthermore, there is broad consensus on the meaning of the “General Conditions,” and
a certain amount of case law has been built up in their interpretation. These agreements are also consistent
with CCDC contracts.
PART THREE Management of the Architectural Practice
The guides contained within each of the standard contracts explain the use of the contracts and their terms as
well as how to complete the forms.
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References
American Institute of Architects (AIA). The Architect’s Handbook of Professional Practice, 15th edition. Hoboken
N.J.: John Wiley & Sons, 2013.
Hughes, W, Ancell, D, Gruneberg, S and Hirst, L. “Exposing the myth of the 1:5:200 ratio relating initial cost,
maintenance, and staffing costs of office buildings,” In: Khosrowshahi, F (Ed.), 20th Annual ARCOM Conference,
1-3 September 2004, Heriot Watt University. Association of Researchers in Construction Management, Vol. 1,
373-81.
Ontario Association of Architects “Choosing an Architect.” Ontario Association of Architects. https://oaa.on.ca/
public%20resources/hire%20an%20architect, accessed April 21, 2020.
Ontario Association of Architects. A Client’s Guide to Engaging an Architect in Ontario. 2008.
Royal Architectural Institute of Canada. A Guide to Determining Appropriate Fees for the Services of an Architect.
Ottawa: Royal Architectural Institute of Canada, 2019.
Royal Architectural Institute of Canada. “Canadian Standard Form of Contract for Architectural Services.” RAIC
– Contract Documents, 2020. https://raic.org/raic/contract-documents, accessed April 23, 2020.
Shanus, Michael D. “Going Beyond the Perimeter with Daylight”, Design and Application, (March 1984).
Stone, David. Mastering the Business of Architecture. (Ontario title only.) Toronto, ON: Ontario Association of
Architects, 1999.
Stone, David. Mastering the Business of Design. Charlotte, NC: Impact Initiatives Inc., 1999.
PART THREE Management of the Architectural Practice
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Fee and Tariff Tables
“Tariff of Fees for Architectural Services: Revision #3 February 2009.” AIBC -Tariff of Fees for Architectural Services.
https://aibc.ca/wp-content/uploads/files/2019/08/Tariff-of-Fees_Feb-2009.pdf, accessed April 23, 2020.
“Architectural and Engineering Suggested Fee and Scope of Services Reference – Consulting Architects of
Alberta and Consulting Engineers of Alberta.” Consulting Architects of Alberta, updated February 2017. https://
consultingarchitects.ca/business-advocacy/issues/scope-and-fees/, accessed April 23, 2020.
“Bylaws of the Saskatchewan Association of Architects.” Saskatchewan Association of Architects – Architects Act
& SAA Bylaws, 2020. https://saskarchitects.com/regulatory-information/architects-act-saa-bylaws/, accessed
April 23, 2020.
“What Architects Do: Determining the Cost of Architectural Services.” Manitoba Association of Architects.
https://www.mbarchitects.org/cost_of_architectural_services.php, accessed April 23, 2020.
Association of Architects in Private Practice of Quebec/Association des architectes en pratique privée du Québec.
Contrat standard édition 2019 | 2020 – version française
Contrat standard édition 2019 | 2020 – version anglaise
Guide explicatif du contrat standard édition 2019 | 2020 (en français)
Contrat simplifié édition 2019 | 2020 – version française
Contrat simplifié édition 2019 | 2020 – version anglaise
Le contrat de Consortium 2018 (en collaboration avec le Fonds des architectes)
Le Guide d’accompagnement du contrat de consortium 2018 (en collaboration avec le Fonds des architectes)
Architects’ Association of New Brunswick. “Schedule of Recommended Fees.” 2020. https://www.aanb.org/
uploads/bylaw/43/file/translations/85/6._Appendix_A_-_Schedule_of_Recommended_Fees.pdf, accessed
September 11, 2020.
Architects Association of Prince Edward Island. “Conditions of Engagement and Suggested Schedule Minimum
PART THREE Management of the Architectural Practice
Professional Charges.” https://aapei.com/architectural-services/, accessed April 27, 2020.
“Schedule D – A Guide for Fees for Architectural Services.” Nova Scotia Association of Architects, January 22, 2018.
https://nsaa.ns.ca/wp-content/uploads/2020/04/Guide-for-Fees-for-Architectural-Services-January-2020.pdf,
accessed April 23, 2020.
“Guidelines and Recommended Minimum Fees for Architectural and Engineering Projects.” The Newfoundland
and Labrador Association of Architects and The Association of Consulting Engineering Companies
Newfoundland & Labrador, June 2017. http://www.acecnl.ca/files/WebDownloads/Fee_Guideline/NLAA%20
ACECNL%20Fee%20Guide%202017_June.pdf, accessed April 23, 2020.
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Appendix A –
Scope of Architectural Services
This chart is a list of typical services offered by the architect and their subconsultants. The nature of the individual
project and the services customized to the client’s needs will determine the scope of services required.
Scope of Architectural Services
Project Project Concept Approvals from Awards of Substantial Performance of
Inception Assessment Approval Authorities Construction Contract Construction/Occupancy Permit
1.0 2.0 3.0 4.0 5.0 6.0 7.0
Construction Phase –
Pre-design Schematic Design Design Development Construction Documents Bidding or Negotiation Post-construction
Contract Administration
ARCHITECT’S ARCHITECT’S ARCHITECT’S ARCHITECT’S ARCHITECT’S ARCHITECT’S ARCHITECT’S
SERVICES SERVICES SERVICES SERVICES SERVICES SERVICES SERVICES
• Facility • Client-supplied data • Client-supplied data • Client-supplied data • Client-supplied data • Construction review • Field review
programming coordination coordination coordination coordination • Progress reports/ • Deficiency
• Space • Program and budget • Design coordination • Project coordination • Project coordination evaluation assessment
relationships/flow evaluation • Architectural design • Architectural • Issue bidding • Process Certificates • Instructions for
diagrams • Review of alternative development construction documents for Payment correction of
• Project design approaches • Design development documents (working • Issue addenda • Interpretation of deficiencies
development • Architectural drawings and documents drawings, form of • Bid evaluation contract documents • Review of
scheduling schematic design • Statement of probable construction contract • Review of shop warranties
• Construction contract
• Project budgeting • Schematic design construction costs and specifications) drawing product data/ • Total performance
• Client consultation
• Life cycle cost drawings and • Client consultation • Document checking sample inspection and
and coordination • Separate bids or
studies documents • Interior design • Change orders certification
negotiated bids
• Economic • Statement of probable development • Statement of • Substantial • Client consultation
probable construction • Services related to
feasibility studies construction costs • Special studies/reports Performance Report • Start-up assistance
costs bidders’ proposals
• Agency consulting/ • Client consultation (planning tenant or and certification • One-year warranty
• Client consultation • Project management
review/approval • Interior design rental spaces, etc.) • Client consultation inspections
• Site selection/ concepts • Promotional • Interior construction CONSULTANTS’ • Interior construction
documents SERVICES OTHER
analysis utilization • Special studies presentations inspection SERVICES
• Environmental (future facilities, • Models, perspectives or • Alternative bid • Issue bidding • Full-time project
details and special documents • Fine arts/ crafts/
studies environmental impact, computer presentations representation
bid documents graphics
• Energy studies etc.) • Project management • Issue addenda • Administration of
• Project management • Non-building
• Existing facilities • Special submissions • Agency consultation • Bid evaluation separate contracts equipment
surveys or promotional • Agency consultation • Project management
CONSULTANTS’ SPECIAL selection
• Client-supplied presentations
SERVICES CONSULTANTS’ CONSULTANTS’ • Promotional material • Building analysis
data coordination • Special models, SERVICES SERVICES
• Structural design • Record drawings and reports
• Services related perspectives
development • Structural • Issue bidding • Agency consultation • Services related
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to project or computer
construction documents to alterations and
management presentations • Mechanical design CONSULTANTS’
documents • Issue addenda demolition
• Project management development SERVICES
• Presentations • Mechanical • Bid evaluation • Life cycle cost
• Agency consultation • Electrical design • Structural inspection/
• Marketing studies construction monitoring
development reports
• Project financing CONSULTANTS’ documents • Environmental
• Statements of probable • Mechanical
• Special studies SERVICES • Electrical monitoring
costs inspection/reports
• Re-zoning • Structural design construction • One-year warranty
concepts SPECIAL documents • Electrical inspection/
assistance inspections
CONSULTANTS’ • Statements of reports
• Project promotion • Mechanical design
SERVICES probable costs • Record drawings CONSULTANTS’
concepts
SPECIAL • Civil engineering design • Certification of SERVICES
• Electrical design SPECIAL
CONSULTANTS’ development progress • Start-up assistance
concepts CONSULTANTS’
SERVICES • Landscape development • Systems
• Statements of SERVICES SPECIAL
• Legal survey • Detailed construction performance review
probable costs • Civil engineering CONSULTANTS’
• Geotechnical cost estimates or SERVICES • Non-building
SPECIAL construction
analysis quantity surveys equipment
CONSULTANTS’ documents • Civil construction
selection
SERVICES • Landscape inspection
• Life cycle cost
• Civil design concepts documents • Landscape inspection
monitoring
• Landscape concepts • Detailed construction • Detailed cost
• Services related
cost estimates or accounting
• Statements of to alterations and
quantity surveys
probable costs demolition
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Chapter 3.9 – Architectural Services and Fees
Appendix B –
Checklist: Supplemental Architectural Services
The following is a list of some of the specialized services offered by architectural practices or coordinated with
special Consultants.
Pre-design Services
Description N/A Notes
1. Facilities programming
2. Feasibility studies
3. Existing site and facilities analysis
4. Traffic and parking studies
5. Existing equipment and furniture inventories
6. Energy analysis
7. Master programming and planning
8. Environmental studies
9. Space schematics/flow diagrams
10. Marketing studies
11. Financial analysis
12. Project financing
13. Advisor for architectural competitions
14. Preparation of proposal call documents
Post-construction Services
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Description N/A Notes
1. Commissioning services
2. Post-occupancy studies
3. Maintenance and operational programming
4. Building maintenance manuals
5. Post-occupancy evaluation
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Site Development Services
Description N/A Notes
1. Site analysis and selection
2. Site development planning/site plan
agreement
3. Detailed site utilization studies
4. On-site utility studies
5. Off-site utility studies
6. Environmental studies and reports
7. Zoning and land use amendments
8. Geotechnical engineering
9. Site surveying
10. Legal survey
11. Landscape design
Materials and Systems Testing
Description N/A Notes
1. Procurement of testing services
2. Review and analysis of testing
Interior Design and Design Services
Description N/A Notes
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1. Space planning
2. Adaption of mechanical and electrical systems
and other systems to tenant needs
3. Preparation of furnishing requirements
4. Bidding or purchasing procedures for furniture
5. Furniture and equipment selection and layout
6. Special furnishings design
7. Tenant-related services
8. Interior partition location
9. Furniture and finishing specifications
10. Selection of interior materials, finishes, and
colours
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Description N/A Notes
11. Procurement of furniture
12. Coordination of installation and delivery of
furniture
13. Design of interior and exterior signage and
symbols
14. Selection or acquisition of fine arts or crafts
15. Graphic design
16. Documentation of requirements and
procurement of graphics work
Project Administration and Construction Management Services
Description N/A Notes
1. Project administration
2. Disciplines coordination/document checking
3. Consulting with and review and approval of
authorities
4. Submittal services
5. Owner-supplied data coordination
6. Schedule development/monitoring
7. Testing and inspection administration
8. Project representation
9. Supplemental documentation
10. Administration of multiple contracts
11. Detailed cost estimates and quantity surveys
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12. Value analysis or value engineering
13. Life cycle cost analysis
14. Coordination of mock-ups
15. Facility management
Promotion and Public Relations
Description N/A Notes
1. Preparation of press releases
2. Preparation of promotional brochures
3. Presentations at public meetings
4. Preparation of leasing material
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Description N/A Notes
5. Preparation of models
6. Preparation of renderings
7. Condominium documentation
8. Computer presentations
Documentation Services
Description N/A Notes
1. Preparation of special certificates and letters
of assurance
2. Certified area calculations
3. As-built drawings and computer files
4. Preparation of measured drawings
5. Building inspection and reporting
6. Aerial site photography
7. Still photography of existing conditions
8. Periscope photography of models
9. Presentation photography of renderings or
models
10. Construction progress photographs
11. Architectural photography of completed
building or site
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12. Videotaping
13. Computer database
14. Inventories of materials, equipment or
furnishings
Expert Witness
Description N/A Notes
1. Testimony at court or hearing
2. Opinion on codes or regulations
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Computer Applications
Description N/A Notes
1. Computer renderings
2. 3-D computer presentations and walk-
throughs
3. Electronic communication and distribution
4. Computer analysis and mock-ups
5. Project scheduling
6. Project accounting
Urban Design
Description N/A Notes
1. Streetscape design
2. Drafting of zoning bylaws and regulations
3. Shadow studies
4. Urban design studies
5. Wind studies
6. Land use studies
7. Transportation studies
Research
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Description N/A Notes
1. Research in construction materials and
methods
2. Building envelope investigation
Architectural Conservation
Description N/A Notes
1. Historic building documentation
2. Heritage conservation district studies
3. Conservation reports
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Chapter 3.10 – Other Services Provided by an Architect
Chapter 3.10
Other Services Provided by
an Architect
Due to their knowledge, experience, and problem-solving expertise, architects are becoming involved in a variety
of endeavours within the design-construction industry that may be outside the boundaries of the traditional
practice of architecture. This chapter explores four topics beyond traditional practice.
Appendix A – The Architect as Witness 409
Appendix B – The Architect as Prompt Payment Adjudicator 425
Appendix C – The Architect as Project Management Service Provider 430
Appendix D – The Architect as Advocate Architect/Compliance
Architect/Design Manager/Researcher 440
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Appendix A –
The Architect as Witness
by Bernie McGarva and Cleo C. Kirkland
with additional content provided by Geneviève Gagnon and Léïc Godbout
Contents
Definitions 410
Differences between Factual and Expert Witness 411
Introduction 411
The Architect as a Factual Witness in a Case Involving a Project for which They
Previously Rendered Services 412
The Architect Acting as an Independent Expert Witness 413
Possible Appearances for the Architect as Either Factual or Independent
Expert Witness 414
The Work of the Independent Expert Witness 415
Accepting an Assignment 415
Conducting Investigations and Field Work 416
Defining the Problem 417
Analysis 417
Formulating Conclusions 417
Preservation of Evidence 417
Reports 417
In Court 418
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The Giving of Evidence 418
Qualification as an Expert by the Court 419
Conduct Under Examination 419
Conclusion 420
References 422
Canadian Sources 422
International Sources 422
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Definitions
Admissible: Relevant evidence not otherwise excluded.
Arbitration: A hearing to determine an interest dispute, heard by an arbitrator.
Board: A body of persons to which certain powers are delegated or assigned or who are elected for certain
purposes.
By-law: A law binding on all persons to whom it applies.
Commission: The name of a body which has the authority to administer a program or statute, manage a fund
or a public utility, investigate a matter or perform some other public function.
Conflict of Interest: Interests that conflict, and that might influence or interfere with a person’s ability to
perform a function or exercise a duty. This can occur when the person is in a position of trust which requires
them to exercise judgement on behalf of others (people, institutions, etc.), and also has interests or obligations
of the sort that might interfere with the exercise of judgement, and which the person is morally required to
either avoid or openly acknowledge.
Counsel: A barrister or solicitor, in respect of the matters or things that barristers and solicitors, respectively,
are authorized by the law of a province or territory to do or perform in relation to legal proceedings.
Discovery: Disclosure by the parties before trial of information and documents.
Escalation Clause: Clause in an agreement providing for increases in rent, wages, or other form of payment,
based on some factor such as tax increases.
Evidence: The oral and written statements and information and any actual things produced in a proceeding;
anything which may be used to prove a fact or support an assertion.
Examination: The questioning of a person under oath.
Exhibit: A document or object admitted as evidence in court.
Expert Witness: A witness whose competency to form an opinion on some subject before the court was
acquired by a special course of study or experience.
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Hearing: Generic label to describe trials, appeals, and interlocutory proceedings (proceedings which are
provisional, temporary or determined by the court prior to final judgement).
Inquest: An inquisitorial investigation, where no parties’ rights are directly affected.
Inquiry: An investigation, a hearing.
Litigation: A lawsuit and all the related proceedings; the term may refer to any proceeding before a court or
tribunal.
Notice of Appearance: A party’s written notice filed with the court or oral announcement on the record
informing the court and the other parties that the party wants to participate in the case.
Objection: A formal statement opposing something that has occurred, or is about to occur, in court and
seeking the judge’s immediate ruling on the point.
Privilege: Acts as an exception to the truth-finding process of trials. All relevant evidence is presumed
admissible but some probative and trustworthy evidence is excluded in order to serve overriding social
interests. Similarly, some communications arising out of defined relationships are exempt from disclosure in
judicial proceedings.
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Proceeding: The regular and orderly progression of a lawsuit, including all acts and events between the time
of commencement and the entry of judgement.
Provincial Court: Court constituted under s. 92(14) of the Constitution Act and constituted, maintained and
organized by the provincial legislature to administer justice in the province.
Remuneration: Payment for services provided.
Retainer: A preliminary fee given to secure services and induce them to act for the client.
Small Claims Court: An inferior court with a limited jurisdiction over civil matters, limited as to monetary
jurisdiction and as to subject matter.
Solicitor: Refers to one who does not appear in court regularly but does any of the other work of being a
lawyer.
Statute: A law or act which expresses the will of a legislature or parliament.
Subpoena: Document issued by a third party compelling a person to attend proceedings as a witness in order
to give testimony; given under the threat of penalty.
Summons: A document issued by a court, agency, board or commission, or another person authorized to
issue summonses, requiring a person to attend as a witness at a trial, hearing or examination, to produce
documents or other things, or to testify before the issuing body or person.
Testify: Give evidence by means of oral communication in a proceeding.
Testimony: The evidence which a witness gives in a court or tribunal.
Tribunal: A body or person which exercises a judicial or quasi-judicial function outside of the regular court
system.
Witness: A person who gives evidence orally under oath or by affidavit in a judicial proceeding. In a case
involving a project for which the architect has previously rendered services, they are considered a factual
witness. In a case where the architect is providing a technical opinion on a project in which they have had no
previous involvement, they are acting as an independent expert witness. In spite of some overlaps, each role
involves specific work, conduct and responsibilities.
All definitions are taken from, or based on, The Dictionary of Canadian Law, 3rd ed.
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(Toronto: Thomson-Carswell, 2004) and Black’s Law Dictionary, 8th ed.
35983225.2
Differences between Factual and Expert Witness
Introduction
There are two principal circumstances in which an architect will be called upon to testify as a witness at a trial
or before a hearing. In the first, the case will involve a project for which the architect has provided services.
The architect is then considered as a factual witness. In the second category, the case will involve a project
from which the architect is entirely independent and previously uninvolved. The architect will then act as an
independent expert witness. This article will discuss the proper conduct of an architect as a witness in both
circumstances.
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The Architect as a Factual Witness in a Case Involving a Project for
which They Previously Rendered Services
An architect may be asked by a client to appear as a factual witness in a case arising out of a project in
which the architect provided professional services. For example, the client may be involved in a dispute with a
contractor or other consultant. Alternatively, the client may find themselves embroiled in a claim brought by a
third party, as in the case of a personal injury sustained on the premises of the project.
Architects are often targeted following the failure of a building assembly due to a specific, complex, and/or
innovative design or due to the discovery of non-compliance with the applicable regulations or standards.
For this reason, in all cases where an architect is contacted in a case involving a project where they previously
rendered or currently render services, the architect must contact their professional errors and omissions
insurer to inform the insurer and to obtain guidance. An architect should never acknowledge any responsibility
nor provide any information to the plaintiff or to a third party without prior authorization from their insurer.
Otherwise, the architect’s insurance coverage may be compromised.
Cases involving clients and others may also lead to future cases involving the architect. For instance, if an
unfavourable outcome occurs in a given case, a client may look to the architect to compensate them for the
costs or damages which have been sustained in the first case. This is why it is critical that an architect contact
their insurer.
Sometimes an architect will be asked or summoned to testify by a party other than the client. The architect is
under no legal obligation to speak to a party or a lawyer representing a party other than their client. However,
if summoned, the architect will be under a legal obligation to appear in court or before the relevant tribunal.
Regardless of who has asked the architect to testify (be it the client or another party), in providing evidence in
this sort of case, the architect should remember to testify in a manner which is complete and even-handed. In
court, the testimony is under oath. The architect should not confuse their role with that of an advocate. While
the architect has specialized skills and may testify about matters in which they may be very knowledgeable
or skillful, this does not mean that the architect’s role is to promote the client’s case. The architect should
fully cooperate with their insurer, the latter’s legal counsel, and the independent architect expert hired by the
insurer to provide a technical opinion.
It is important to understand that a summons (also known as a subpoena) is a legal document requiring
the attendance of the person who is named to attend to testify in a court or before a tribunal. A summons,
in almost all cases, requires the factual witness to bring relevant documents to court. A summons requires
the attendance of the individual on a particular date and at a particular time. It may have been issued at the
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instance of any party to a proceeding (and as indicated above, not necessarily the architect’s former or current
client). In all cases where an architect has been summoned, or simply requested to testify by a party,
the architect must contact their insurer.
It may seem unusual that an architect could be summoned by or compelled to testify for someone with whom
the architect has had no previous contractual relationship. However, this does occur from time to time. The
fact that a stranger may have summoned the architect to testify does not end the architect’s obligations
and loyalties to the client. Those obligations, however, can never override the architect’s obligations to give
evidence in a truthful, complete and even-handed manner.
An architect may be called not only to appear as a witness, but also to spend time preparing for the hearing, in
consultation with the client, or with the client’s solicitor. This should be considered to be extra work, and fees
should be discussed and agreed upon before the work is undertaken.
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The Architect Acting as an Independent Expert Witness
An architect may be asked to testify as an independent expert witness in a case involving a project with which
the architect has had no previous involvement. This is generally a specialized line of work in itself, as it requires
specific skills and a highly rigorous approach. In such a case, it is expected that the architect is chosen to reflect
the special expertise which they bring to bear on a particular issue or set of issues to be decided by the court
or tribunal. In these situations, the architect’s point of contact is frequently the insurer or the lawyer of the
party retaining the architect.
Since the architect was not previously involved in the project, they will have to rely upon the evidence which
is put before them. The architect may find that they have been called upon to act as an independent expert
witness in these circumstances by an owner, by another architect, by another consultant, or by a third party
such as a contractor or a subcontractor. An independent expert witness is entitled to act for any of the above
groups, and in all cases is presumed to bring to the case expertise in an issue which is relevant to the court
or tribunal and in complete independence from any of the parties involved. Accordingly, it is inappropriate
for an architect to provide expert evidence for a close friend or relative, or on a project with which they
have previously been involved. Such evidence would be tainted by the personal relationship involved, and the
architect’s ability to provide independent evidence would be brought into question.
As in the case of architects who are called upon to testify in respect of their own projects, it remains the case
that an independent expert witness must also testify in a balanced and even-handed way. The independent
expert witness code of conduct should be respected. Misleading, complacent, overdramatized or over-
optimistic opinions or reports should always be avoided.
Although called upon to support the case of a particular party, this does not thrust the architect into the role
as advocate for that party. Experts who see themselves as advocates usually find their evidence met with
suspicion and skepticism on the part of not only opposing parties, but the court or tribunal hearing the case.
Keep in mind that the client and the client’s lawyer want to know the problems and pitfalls of their case as
well as the positives. The independent expert witness is uniquely positioned to assist in providing a balanced
approach. Furthermore, they should refrain from passing judgement on those involved in the case or on their
liability, and focus on understanding the root cause of the problem at stake and giving a technical opinion on
the matter.
In some cases, an architect will be called upon to simply provide background advice to a lawyer on a construction
matter. The architect may find themselves giving the lawyer a summary course in a particular subject (for
instance, “Roofing 101”). The architect may be asked to attend a trial or a hearing and observe evidence
from certain witnesses and provide feedback to the lawyer for cross-examination. In this more limited role,
PART THREE Management of the Architectural Practice
the architect does not perform the full services of an independent expert witness. However, the architect’s
expertise and balanced approach is nonetheless called for.
In the province of Ontario, an expert witness testifying is required to execute an Acknowledgement of Expert’s
Duty to accompany their report. That Acknowledgement includes the following text:
“I acknowledge that it is my duty to provide evidence in relation to this proceeding as follows:
(a) to provide opinion evidence that is fair, objective and non-partisan;
(b) to provide opinion evidence that is related only to matters that are within my area of expertise; and
(c) to provide such additional assistance as the court may reasonably require, to determine a matter
in issue.”
It continues then as follows:
“I acknowledge that the duty referred to above prevails over any obligation which I may owe to any party by whom
or on whose behalf I am engaged.”
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Possible Appearances for the Architect as Either
Factual or Independent Expert Witness
There are many different situations in which architects may act as a witness. A partial listing of those situations
is given below.
I. The Courts of Law
In most provinces, architects could appear in Small Claims Court, Provincial Court (Criminal Division) or a
Superior Court of Justice.
II. Public Tribunals
Public hearings are conducted by boards and commissions constituted under municipal bylaws and provincial
or federal statutes. Their purpose is to determine the rights of individuals under the particular bylaw or
statute under which the board or commission was established. Examples of such ongoing tribunals include
the Ontario Municipal Board, the Environmental Assessment Board and the Atomic Energy Control Board.
III. Judicial Inquests
The terms of the provincial or territorial legislation regarding public inquiries (such as the Public Inquiries
Act in Ontario) enable those provincial or territorial governments to establish commissions that will hold
public hearings into particular matters arising from, or concerning, provincial statutes. The objective of these
hearings is to establish the true facts of the situation; no finding of guilt is made.
IV. Royal Commissions
A Royal Commission is constituted for the purpose of conducting a public inquiry into a specific matter or
circumstance. Ordinarily, participants will prepare a formal statement to the Royal Commission and submit it
before the hearing. Appearances before such bodies are usually brief. Witnesses confine their remarks to one
or two of the instances covered in the formal brief and their availability for questioning.
V. Coroner’s Inquests
Coroner’s inquests are not intended to determine guilt but to establish a fact or facts. Procedures are similar
to those used in the courtroom, although a more informal approach usually exists. Architects are expected to
exhibit conduct identical to that exhibited when appearing in court.
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VI. Arbitrations
There are many types of arbitrations. Comments on courtroom procedure apply in principle, but must be
modified to suit the particular circumstances and the dictates of the particular arbitration.
VII. Professional Disciplinary Hearings
Under the various provincial and territorial architects acts, a discipline committee or conduct committee may
conduct hearings into the manner and the quality of a member’s practice and personal conduct. Procedures
are similar to those in a courtroom, but architects are usually allowed somewhat greater latitude in conducting
their defence than in a court of law.
In all of these various contexts, architects acting as independent expert witnesses can act for either the
prosecution or the defence in a given hearing.
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The Work of the Independent Expert Witness
Accepting an Assignment
The following quote from RIBA’s Practice Management Handbook is helpful:
“Architects are sometimes approached to act as expert witnesses. This is highly specialized work, not
to be undertaken lightly.”
This is mostly applicable to cases where the architect must testify for a project in which they have been involved.
“Expert witnessing” is an exacting phrase. Lawyers expect expert witnesses to stand up to hostile cross-
examination and then to be able to think on their feet. To have credibility in the eyes of the court, the reports
of an expert witness must be patently impartial and objective, whichever side has commissioned them. Before
agreeing to accept an assignment that may involve legal procedures, architects should first be fully satisfied
with several important issues.
I. Competence
Competence is a quality of having suitable skill, knowledge or experience for some purpose. It is a dynamic
quality that relates to the present task, assignment or activity. Architects should assess their competence
by determining that their theoretical knowledge, practical experience and reputation in their field are of a
suitable extent and depth to enable them to put forward and to defend a position that would be useful
for the client and credible to the court. Judges place considerable weight on the experience of independent
expert witnesses. This is not to say that age will in all cases triumph over youth. However, a judge will carefully
consider past relevant experience in similar projects in assessing the credibility and weight to be given to the
expert’s evidence. The architect may be denied the possibility of acting as an independent expert witness
should they lack appropriate specific experience.
II. Conflict of Interest
Architects should examine their personal involvement in the affairs of any of the parties to the action or the
inquiry, to ensure that they have no conflict of interest. The architect should also examine any relationships
with other clients who are not directly involved, and make certain that participation in the action or inquiry will
not result in a disadvantage to them. Architects in large firms will find that conflicts may abound. The party
seeking to retain the architect may be acting adversely to an existing or former client of the firm. Similarly,
in smaller communities, personal conflicts will also be frequent. All too often the party whom an architect is
PART THREE Management of the Architectural Practice
asked to testify against will turn out to be a neighbour or friend. If there appears to be any conflict of interest,
the architect should immediately consult a lawyer or their professional association for guidance.
III. Conditions
Architects should ensure that their normal business activities are not put at risk because of unexpected
or unreasonable time demands, or inadequate notices of appearances. Architects should also ensure that
informal or personal short-term commitments will not lock them into unwanted longer-term involvement.
Finally, architects should ensure that clients understand the possibility that some situations may demand
particular skill or knowledge beyond that which they possess, and that clients ought to retain the services of
specialists they judge to be necessary, such as engineers, estimators or laboratories.
IV. Restrictions
A client may impose restrictions relating to monetary matters, to confidentiality, to access to essential
information, and to certain directions which an investigation might take. The investigation may suggest that the
architect’s testimony may take a direction not in keeping with the wishes of the client. In such circumstances,
the architect has an immediate obligation to advise the client and counsel of the situation. In rare cases,
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a client or their counsel may seek to impose restrictions on access to information which makes a fair and
dispassionate opinion impossible. In these cases, it is incumbent upon the architect to either obtain relief from
the restrictions, or decline the retainer. Impressions formed about an architect’s credibility and capacity as an
independent expert witness in one case can have lasting consequences. Risking credibility for the future by
taking a retainer with which an architect is uncomfortable is a bad gamble.
V. Confidentiality
In day-to-day practice, the architect has an ethical and often contractual obligation to keep secret and confidential
any conclusions reached during any investigation undertaken on behalf of a client. However, the court has
the authority to overrule or alter the original obligation. There is a rule of evidence termed “privilege,” which
permits a witness to refuse to answer a particular question or produce a particular document. Relationships
between architects and their clients do not qualify for such “privilege.” As a result, the architect who is asked
to keep the source or the nature of secret information or trade secrets fully confidential and protected cannot
extend such assurances in most court cases. It will be up to the court or tribunal to decide whether architects
should be forced to violate a promise of confidentiality. Architects should always label reports as “privileged
for the advice of counsel” when they are not meant for the court. This assumes, of course, that the reports
have been requested by the client’s counsel. Architects should also be sure to include a clause that specifies
that the report was produced for that particular litigation.
VI. Agreement and Fees
To protect the architect and their client, a written contract setting out the nature of services and defining
the scope of inquiries should be prepared. The contract may take the form of a detailed letter outlining
the architect’s understanding of the commission. Any agreement should make it clear to the client that the
architect must remain impartial and is to be reimbursed for professional services, no matter what the outcome.
Architects should adequately address issues relating to fees and disbursements. The agreement should set
out the services to be provided, the rates of payment applicable, the times and terms of payment, and the
desired guarantee of fees. Progress payments and escalation provisions should be included for extended
periods of investigation or activity. As these services are very difficult to estimate beforehand, it is useful
to divide the work into clearly defined stages, and/or to bill at an hourly rate. Changes and additions to the
original terms of the contract may be initiated by the client, legal counsel or the architect. It is important that
careful documentation and accounting be made for all “extras.”
Conducting Investigations and Field Work
Before architects can give any evidence at all, they must have made an investigation which involves an
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examination of the matter in dispute in the field and any analysis that might be required in order to reach
their conclusions.
I. Degree of Thoroughness
The architect must be fully aware of the client’s needs, address only these in the report and avoid unnecessary
investigation. A personal inspection of the site is usually considered to be essential. Professional quality
photographs, preferably in colour, will assist with later descriptions of the site or of site materials, and help
refresh the memory of the architect should the proceedings extend over several months or years. These
photographs should be accompanied by documentation and witnessing to make sure they are admissible in
court. The architect should review and become familiar with all pertinent documentation, manuals, standards,
specifications, contracts, hardware or other materials and design drawings. A search of available technical
literature and identification of related commentary can be useful.
II. Documentation
It is important that all pertinent information, especially information that may be unavailable at a later time, be
properly identified and recorded. The architect should record where, when and from whom information was
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obtained; what the information is; where it came from and when; names and descriptions of things; and time,
place and location of site investigation(s).
Defining the Problem
Clients may ask for something without knowing precisely what they want, or the implications of the request.
The architect must know what the client’s strategy is, and what the course of action is expected to be in order
to judge the usefulness of the request. Architects must restrict both interest and activity to architecture. They
should avoid attempting to solve the case by departing from their field of expertise, keeping their opinion to
architectural matters, and avoiding speculation or subjective opinion.
Analysis
It is important that the architect acting as independent expert witness did the work themselves, in order to
be able to answer questions that will arise from consideration of the analysis. Mastering the topic at hand is
the best way to ensure the confidence needed to express opinions and answer questions with precision and
credibility.
The report is generally written by the expert who is testifying, but the underlying investigative work will
have been conducted with a small team, and the results of the analysis discussed with the same team. The
involvement of any person other than the expert witness should be disclosed in the report. It is important not
to mislead anyone as to the precise nature of the retainer and background involvement.
Formulating Conclusions
The architect must assess the information gathered during investigations to determine if it is sufficient to form
a conclusion. If it is, the conclusion may be written; it should be carefully worded, so that it may be read in a
positive sense. The use of disclaimers can dilute, if not negate, the effect of the report, but the wording should
accurately reflect the degree of certainty of the architect’s opinion.
The architect should not hesitate to express an opinion in the conclusion, but it is very important to show how
the opinion was formed from the data presented.
If it is not possible to state an opinion (for instance, in the event of insufficient information), the architect
should clearly state that no final opinion was reached and the reasons why.
Preservation of Evidence
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It is important that data and material which may become official evidence in a hearing or court procedure
be held safely under the architect’s control until required to be produced. Evidence should be identified by
marking and/or tagging it with information about where, when and under which circumstances it was taken.
It should be retained until appropriate clearance or permission for destruction is given.
Calculations not in the report, test results and file data should be kept confidential, but in such a “presentable”
form that they can be used at an appropriate time and on the understanding that they may become a part of
court documentation.
Reports
Architects tend to use drawings as their principal means of communication; however, in work done for legal
purposes, it is customary to use a written report as the primary means of conveying the sense of the work.
The language and writing style should be simple and direct, and the use of abbreviations and technical terms
should be avoided where possible. This said, drawings, pictures and graphics are also very helpful to explain
a technical matter to the judge, and to ensure his or her grasp of the subject.
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I. The Preliminary Report
The preliminary report serves only one purpose: it is a means of apprising the client about the progress of the
investigation. When the client is an insurer or a lawyer, the document also allows them to assess their risks,
and may guide a negotiation strategy to accelerate an out-of-court settlement.
II. The Final Report
Before preparing the final report, it is desirable to discuss the findings and conclusions with the client and
their counsel to obtain guidance about the precise issues the client wishes to have included. Nevertheless, the
architect must accept final responsibility for the report and must not permit the client to exert influence on its
final form or substance.
The final report must deal with the agreed-upon terms of reference, i.e., the client’s needs. The introduction
should explain who hired the architect, what the terms of reference were, and what was done to fulfill the
commission. It should be complete and impartial. (These should be addressed in the report.)
While the body of the report must be simple and couched in non-technical language, appendices are permissible
and may cover specialty subjects intended to be read by knowledgeable individuals.
In Court
The Giving of Evidence
Architects acting either as factual or independent expert witnesses will be considered to bring “expert”
knowledge to proceedings primarily involving people who do not share that knowledge. Architects are strongly
advised to consult with counsel before engaging in such proceedings and to receive advice and instruction
about all of their actions.
I. Preparation for the Appearance
Architects acting either as factual or independent expert witnesses should know their subject thoroughly.
They should review all file documents to the point where they are fully familiar with the contents and believe
they can answer questions relating to them. Architects should be aware that opposing counsel will attempt to
confuse witnesses by asking questions sufficiently different from those anticipated. This can be counteracted
through conducting the preparation with assistance from legal counsel.
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Usually, the architect and the counsel of the client meet several times during the proceedings so that they both
understand the implications of the testimony and the weaknesses of the case. The architect helps the counsel
in his or her understanding of the case while the counsel helps the architect prepare for the testimony.
Under all circumstances, architects should remember to confine their answers to those matters with which
they are thoroughly familiar, and avoid non-architecture-related opinions.
Architect witnesses have an obligation to choose their words carefully so that those at the hearing understand
the technical information being conveyed. It may be useful to rehearse the presentation. It is important
that architect witnesses remember that the testimony being given is not directed to the examiner, cross-
examiner, or client, but to the “court” with the objective of enabling the court to make the best judgment
possible. The witness should not speak as an advocate, or as a debater, but should present facts, expert
observations and conclusions.
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II. What to Expect in the Courtroom
When waiting to be called as a witness, it is important to be careful in conversations with strangers or those
whose particular interests in the proceedings are unknown. While politeness is expected, and safe topics may
be treated in a light vein, discussion of evidence must be avoided.
Sometimes counsel will ask the architect acting as an independent expert witness to attend all of the court’s
proceedings in order to provide advice about other testimony and what questions should be asked.
III. Procedures and Rules
Witnesses are usually called in a previously agreed upon order (factual witnesses of the plaintiff, independent
expert witnesses of the plaintiff, factual witnesses of the defence, independent expert witnesses of the defence).
They will be subject to direct examination, cross-examination, re-direct examination and, very occasionally, re-
cross-examination, in that order.
Witnesses should take instructions from the officials of the court, such as the judge and the lawyers involved;
they should follow their lead, and observe with care the customary courtesies. It is not desirable to be moving
about when not actively involved. A discreet silence should be maintained.
Notes may be taken during the proceedings.
Once called and sworn, witnesses under examination are not customarily allowed to discuss the case with
anyone until asked to stand down. However, on occasion, they may properly discuss with their counsel matters
which have not been covered in the examination up to that time, but it is inadvisable for witnesses to initiate
such discussions. Between completion of examinations-in-chief, commencement of cross-examination, and
commencement of re-examination, no discussions relative to any aspect of the proceedings are permitted.
Witnesses before tribunals will usually find that many of the usual courtroom procedures will apply. However,
the conduct of the hearing will follow the rules laid down by the chair; these must be observed without question.
Qualification as an Expert by the Court
In giving oral evidence as to qualifications, the witness should concentrate on only those qualifications which
relate to the case at hand. Prepared listings of qualifications or curricula vitae are always required. Such
documents should be concise and should be shown to counsel well in advance of the hearing.
In the case of an architect acting as an independent expert witness, qualifications may be included in the final
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report as an appendix. In Québec, as required by the Code de procédure civile, a formal “statement relating to
the performance of the expert’s mandate” must be filled in by the architect to confirm their commitment to a
certain standard of practice and ethics.
Conduct Under Examination
I. Examination-in-Chief (extremely rare in Québec since January 2016)
The witness will be first examined by the client’s lawyer, who will ask a series of questions similar to those
discussed in private. It is important that the answers given are consistent with previous replies and limited
only to exactly what was asked. Witnesses must be careful to avoid being “set up” for trouble during cross-
examination by saying things that may be inconsistent with their general testimony.
If a witness recalls additional relevant information after they have answered, they can retrace previously
covered steps, provided the lawyer and court agree. After providing an initial answer, a witness may request the
opportunity to offer the further explanation. The lawyer and the court will direct the witness on how to proceed.
While on the stand, the use of notes should occur only if such a procedure has been agreed to beforehand by
the parties involved, including legal counsel, since there is the possibility that the notes could be forced into
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evidence as exhibits. When testifying as “experts,” it is essential that witnesses give only their own opinions;
reliance on other experts or text books is self-defeating.
II. Cross-Examination
This stage will be conducted by lawyers representing other parties. Their objective may be to discredit
witnesses by questioning their competence, or by trying to find inconsistencies in their testimony in order
to cast doubt on the whole testimony. It is most important to preserve credibility. This may be accomplished
by maintaining consistency in answers, by reasonable and logical explanations where possible, by asking for
clarification when necessary, and by acknowledging that one does not know, if that is the case.
Lawyers use many techniques to put witnesses off guard. They may suggest variations of what was originally
said by witnesses, and ask them to agree to increasingly narrow generalizations until witnesses are unable to
prevent themselves from being shown to be inconsistent.
Architect witnesses should listen closely to the exact question put by the cross-examiner and, unless fully
satisfied that the proposition correctly expresses their views, use their own language instead. If asked why
they are reluctant to agree to the cross-examiner’s proposition, witnesses can reply that they can never quite
be sure what the cross-examiner means, but can at least be sure of what they themselves have in mind when
using their own words to express opinions.
Witnesses should be careful attempting to justify their testimony. If the cross-examiner attacks in an accusatory
fashion, implying that something is wrong, the witness should listen carefully to the questions, and answer as
directly as possible, consistent with previous testimony. If the cross-examiner demands a “yes or no” answer,
the witness should assess whether the question cannot be answered in that way without misleading the court.
If it is not possible, simply advise the court. Architect witnesses should scrupulously maintain an attitude of
professionalism, accompanied with sincerity and honesty. It is important that witnesses avoid losing their
temper, or displaying any rudeness toward cross-examining counsel; otherwise, they may appear to be less
sympathetic and less credible.
III. Re-Direct Examination
Re-direct examination may follow cross-examination. Counsel for the witness’s client may ask additional
questions on points not previously raised by the witness, and on which clarification is needed. The additional
questioning may also be necessary to correct impressions the client’s lawyer suspects may have been made
during cross-examination. While under re-direct examination, follow the usual guidelines and testimony as
outlined above.
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Conclusion
The preceding guideline has been prepared to provide architects who become involved in court proceedings
or tribunals with suggestions on how to proceed as a witness. It is hoped that these suggestions will lead to
making the architect’s performance as a witness more effective. In any case, it should also serve as a caution to
architects who are considering becoming witnesses or who are already involved in proceedings, of the pitfalls
and concerns which may arise.
In conclusion, the following basic guidelines are worthy of review:
1. When an architect is called upon to act as a witness in respect of a project on which they have previously
provided architectural services, they should always contact their professional errors and omissions insurer
for advice.
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2. If an architect is called upon to act as an independent expert, they should be sure that they have adequate
expertise and experience with respect to the issues on which they are being asked to testify.
3. Architects should always remember that whether they are an independent expert, or are testifying on
behalf of an existing client, they are a witness and not an advocate. Architects should leave the advocacy
to others and concentrate on giving accurate and complete evidence.
4. In all situations where an architect will be testifying in court, they should prepare thoroughly, familiarize
comprehensively with the information base on which they may be questioned, and in circumstances where
an architect is an independent expert, request an opportunity to review evidence with counsel in advance.
5. During testimony, architects should avoid arguments and personalities. Architects should maintain
composure, answer the questions which they are asked directly, and not attempt to anticipate the next
question.
6. Whether an architect is retained as an independent expert, or in the capacity as the current or past
architect for an existing client, architects should satisfy themselves with the contractual arrangement in
place with respect to their testimony. Litigation proceedings are notoriously lengthy and an architect’s
involvement may take much longer and be at a greater personal cost in terms of time and other resources
than anticipated.
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References
Canadian Sources
Corbett, Marie. “The Ontario Municipal Board: Planning and Zoning Cases.” Osgoode Hall Law Journal 14.1
(1976).
Glazer, Lawrence E. “Architects Can Provide Expert Advice in Construction Cases.” Lawyers Weekly 18.11, 9(2)
(1998).
Roman, Andrew J. Guidebook on How to Prepare Cases for Administrative Tribunals, 1st ed. Ottawa: Consumers’
Association of Canada, 1997.
International Sources
Aidlin, Samuel S. “The Expert Witness Prepares for Court.” Professional Engineering Economics and Practice.
Pelex, 1953.
Beggs, Gordon J. “Novel Expert Evidence in Federal Civil Rights Litigation.” American University Law Review 45.1
(1995).
Bickley, John A. “The Engineer and Litigation.” International Construction Law Review 8:398 (1991).
Black, John P., and Richard A. Long. “The Engineer as an Expert Witness: Perspective and Performance.”
Environmental Claims Journal 11:83 (1998).
Brown, Harvey. “Eight Gates for Expert Witnesses.” Houston Law Review 36.743 (1999).
Couture, J.L. “Tort Law – Municipal Building Inspector’s Actions Fall Within Special Duty Exception to the Public
Duty Doctrine – Quality Court Condominium Ass’n v. Quality Hill Development Corp., 641 A. 2d. 746 (R.I.1994).”
Suffolk University Law Review 29:655 (1995).
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Fain, Constance Frisby. “Architect and Engineer Liability.” Washburn Law Journal 35.32,34 (1995).
Dukelow, Daphne A. The Dictionary of Canadian Law, 3rd ed. Toronto: Thomson-Carswell, 2004.
Gagen, Andrew B. “What Is an Environmental Expert? The Impact of Daubert, Joiner and Kumho Tire on the
Admissibility of Scientific Expert Evidence.” UCLA Journal of Environmental Law & Policy 19.2:401 (2002).
Garner, Bryan A., ed. Black’s Law Dictionary, 8th ed. St. Paul, MN: Thomson/West, 2004.
Ghosh, Shubha. “Fragmenting Knowledge, Misconstruing Rule 702: How Lower Courts Have Resolved the
Problem of Technical and Other Specialized Knowledge in Daubert v. Merrell Dow Pharmaceuticals, Inc.” Chicago-
Kent Journal of Intellectual Property 1 (1999).
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Gisleson, John K. “Testimony of Engineers and Other Non-Scientific Experts – Evidentiary Reliability
Consideration.” Pennsylvania Bar Association Quarterly 70.74 (April 1999).
Gordon, J. Houston. “The Admissibility of Lay and Expert Opinions.” Tennessee Law Review 57:103 (1989).
Groscup, JL, Steve Penrod, Christina Studebaker, MT Huss, and KM O’Neil. “The Effects of Daubert on the
Admissibility of Expert Testimony in State and Federal Criminal Cases.” Psychology Public Policy and Law 8:339
(2002).
Gross, Samuel R., and Jennifer L. Mnookin. “Expert Information and Expert Evidence: A Preliminary Taxonomy”
at the Expert Admissibility Symposium: What Is the Question? What Is the Answer? How Should the Court
Frame a Question to Which Standards of Reliability Are To Be Applied? Seton Hall Law Review 34:141,143 (2003).
Haney, William P., III. “Scientific Evidence in the Age of Daubert: A Proposal for a Dual Standard of Admissibility
in Civil and Criminal Cases.” Pepperdine Law Review 21.4:1391 (1994).
Hayward, Jeffrey J. “The Same Mold Story: What Toxic Mold Is Teaching Us About Causation in Toxic Tort
Litigation.” North Carolina Law Review 83.2:518 (2005).
Hyett, Paul. “Architect as Expert.” Solicitors Journal 48.138,s.30(1) (1994).
Kennedy-Grant, Tomas. “Expert Evidence in Construction and Engineering Cases.” International Construction
Law Review 20 Part 3:401 (2003).
Kern, Janine M., and Scott R. Swier. “Daubert v. Merrell Dow Pharmaceuticals, Inc: ‘Gatekeeping’ or Industry
‘Safekeeping’?” South Dakota Law Review 43:566 (1998).
Kerr, Paul G. “The Costs of Consulting Engineers in Civil Litigation: The Basis of Charge.” Northern Ireland Legal
Quarterly 41:123 (1991).
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Lusvardi, Wayne C. “The Real World of Forensic Engineering.” Environmental Claims Journal 13:103 (2001).
Lyons, Thomas. “Frye, Daubert, and Where Do We Go From Here?” Rhode Island Bar Journal 45.5 (1997).
Macguire, Richard R. “Experts in Low Speed Impact Litigation.” New York State Bar Association Bulletin 77.1:43
(2005).
“Marnette v. Morgan: When Other Evidence Contradicts the Expert Testimony – Admissibility or Credibility?”
South Dakota Law Review 38:763 (1993).
Masterson, Leslie R. “Witness Immunity or Malpractice Liability for Professionals Hired as Experts?” The Review
of Litigation 17:393 (1998).
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McClellan, Edson. “Sharpening the Focus on Daubert’s Distinction Between Scientific and Non-scientific Expert
Testimony.” San Diego Law Review 34.4:1719 (1997).
McDowell, Christopher M. “Authorizing the Expert Witness to Assassinate Character for Profit: A Re-examination
of the Testimonial Immunity of the Expert Witness” University of Memphis Law Review 28:239 (1997).
Miller, Phillip H. “Cross-examining a Biomechanical Engineer.” Trial 37.38 (2001).
Nischwitz, Jeffrey L. “The Crumbling Tower of Architectural Immunity: Evolution and Expansion of the Liability
to Third Parties.” Ohio State Law Journal 45.1:217 (1984).
Nolte, David. “Semiannual Guide to Expert Witnesses: Improving Cross-Examination of Expert Witnesses.” Los
Angeles Lawyer 28.41 (2005).
Nolte, David. “Semiannual Guide to Expert Witnesses: Ten Rules.” Los Angeles Lawyer 27.50 (2004).
Ross, Barry A. “Eminent Domain and the Community Association.” Orange County Lawyer 45.28 (2003).
Ryan, L.D. “The Fiction of Technical Peer Review.” Trial 39.68 (2003).
Shoebotham, Leslie. “Protecting Juries From Themselves: Restricting the Admission of Expert Testimony in
Toxic Tort Cases.” Southern Methodist University Law Review 48.103 (1994).
Spero, Joseph B. “Much Ado About Nothing – The Supreme Court Still Fails to Solve the General Acceptance
Problem Regarding Expert Testimony and Scientific Evidence.” Journal of Law and Health 8.245 (1993).
Vigilante, Miles J. “Screening Expert Testimony after Kumho Tire Co. v. Carmichael.” Journal of Law and Policy
8.2:543 (2000).
Wright, Murray H., and David E. Boelzner. “Quantifying Liability Under the Architect’s Standard of Care.”
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University of Richmond Law Review 29:1471 (1995).
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Appendix B –
The Architect as Prompt Payment Adjudicator
By Allen Humphries, OAA, MRAIC, and Christie Mills, OAA
Contents
Preamble 426
Introduction 426
Adjudication 426
Adjudication under the Ontario Construction Act 426
Authorized Nominating Authority 426
The Adjudicator’s Role 427
What Does Adjudication Mean for Canada? 427
Adjudication and the Profession of Architecture 427
The Architect as Adjudicator 428
References 429
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Preamble
At the time of publication of the Canadian Handbook of Practice for Architects 3rd Edition, prompt payment
legislation had been enacted only in the province of Ontario. However, this discussion of the architect as
prompt payment adjudicator is included as provincial legislatures and the federal government are exploring
their own approaches to prompt payment legislation. Prompt payment legislation is anticipated to become
common in many jurisdictions in the future.
Introduction
Adjudication
Adjudication is a form of alternative dispute resolution. It is intended to be quick in order to keep the money
flowing in the construction industry. In comparison with mediation, arbitration or litigation, it has been likened
to rough-and-ready frontier justice – get it done and move on.
Adjudication under the Ontario Construction Act
The Construction Act (CA) in Ontario came into force on July 1, 2018, replacing the Construction Lien Act (CLA)
for new projects. Adjudication is intended to provide a quick and inexpensive binding interim resolution of
construction disputes. A party to a contract may refer to adjudication during a dispute with the other party to
the contract with respect to any of the following matters:
valuation of services or materials provided under the contract;
payment under the contract, including with respect to a change order, whether approved or not, or a
proposed change order;
disputes that are the subject of a notice of non-payment under Part I.1;
amounts retained under Section 12 (set-off by trustee) or under Subsection 17 (3) (lien set-off);
payment of a holdback under Section 26.1 or 26.2;
non-payment of holdback under Section 27.1; or
any other matter to which the parties to the adjudication agree, or that may be prescribed. 2017, c. 24, s.
11 (1).
Architects may find themselves involved as a party to adjudication of a dispute under the client-architect
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agreement, or may be asked by an owner to help prepare the owner’s defense where the owner is a party to
adjudication of a dispute under a construction contract. In either case, there will be very limited time available
to understand the item in dispute, review the material submitted by the claimant, collect pertinent information
from the project files, and compose a response.
The decision in an adjudication is enforceable in court and is binding until the end of the project.
Authorized Nominating Authority
Designated to oversee the appointment of adjudicators and the adjudication process, the Authorized
Nominating Authority (ANA) is charged with developing and supervising training and qualifications for
adjudicators and maintaining a registry of qualified adjudicators. Architects with 10 years of experience
are eligible and are encouraged to apply for this opportunity. One must meet the criteria set out in the
regulations, and complete both a training course and an online quality evaluation process. The latter requires
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video submittals to demonstrate adjudication ability. Applicants also provide the ANA with a completed form,
adjudicator declarations and a resumé with details about relevant working experience in the construction
industry. Determinations will be made based on qualifications, need and the results of the evaluation process.
In Ontario, the ANA has also established five tiers of adjudication to guide all participants about what to expect
in terms of process, timing and costs. As outlined by the ANA, the cost of an adjudication is shared by the two
parties and is expected in total to be slightly less than 10 percent of the amount in dispute, with the minimum
tier costing $800. It remains to be seen how this will impact the resolution of disputes over small dollar values.
The Adjudicator’s Role
The adjudicator (with the consent of the parties) is free to determine the procedures and process of each
adjudication. There is no requirement to conform with the processes outlined by the ANA.
It is anticipated that most adjudications will involve the adjudicator receiving and reviewing written submissions
only, with no statements being given in person. Unlike a formal judicial proceeding, witnesses are not sworn
in. The parties simply tell their stories to the adjudicator. Unlike a judge, the adjudicator does not need to
be a legal expert. Also unlike a judge, an adjudicator may be an inquisitor, asking questions, visiting the site,
and pursuing answers where appropriate. After evaluating written and any oral submissions, the adjudicator,
relying on their experience in the construction industry, writes a decision and presents it to the ANA and the
parties.
In Ontario, an adjudicators cannot be found liable for a decision rendered in good faith.
What Does Adjudication Mean for Canada?
It is difficult to predict how adjudication will be received and the role it will ultimately play. Although
adjudication has been used with varying success in other countries, each piece of adjudication legislation, and
each construction environment, is different. In England, for instance, it was nine months after the legislation
came into effect that the first adjudication took place, because no one wanted to be the first. This is despite
the fact that England does not have legislation for construction lien rights.
Under the proposed federal legislation, only fee disputes may be adjudicated. This is a much narrower scope
than is permitted in Ontario. Architects will need to become familiar with the legislation applicable to the place
of the work.
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No legislation is perfect as first implemented. A number of issues have been raised with respect to the Ontario
legislation. To remain current, architects will need to monitor any revisions to the legislation, any regulations
enacted under the legislation, and any court decisions that impact the legislation. Often, this is best done by
speaking with a lawyer specializing in construction law.
Adjudication and the Profession of Architecture
Adjudication and prompt payment (with which it is often paired) should benefit the entire construction industry
in the long run by keeping the money flowing. In the short term they will both be disruptive, as they are new
and they change long-standing processes and expectations.
They will require close attention until working with the time frames imposed and the notifications required
becomes routine for consultants, clients, contractors and all those further down the chain.
Architects should ensure that assisting owners with adjudication is part of the scope of services in the contract
with the client. Given that the scope of services required on a project is unknowable at the time of contract
signing, a fixed fee is inappropriate. An hourly rate or carrying a cash allowance may be more appropriate for
this work.
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Architects should also consider that timing is crucial for interim adjudication. In order to respond effectively, it
may be necessary to pull someone familiar with the project being adjudicated off their current project to deal
with the adjudication. This will disrupt not only the project being adjudicated, but also the other projects in
the office as staff and effort are adjusted to be able to respond to any adjudication. The tight time frames may
require overtime work and should be appropriately compensated.
Architects should be aware that any new legislation is likely to be dynamic, as amendments are made to address
ambiguities and omissions, and court rulings impact the application and interpretation of the legislation. While
architects may assist clients, architects should not provide legal advice and should require the client to obtain
legal advice regarding time frames that apply and notices that may be required.
In addition to assisting with adjudications under a construction contract, architects may find themselves
party to adjudications of disputes in relation to the client-architect agreement. It has been recommended
that architects seek out and retain the services of a lawyer to advise about adjudications well before any
adjudication is commenced, as there will not likely be any time to find a lawyer once an adjudication is started.
The Architect as Adjudicator
Concerning the progress of the reports and legislation in Ontario, some of the top construction law minds in
the country have expressed that adjudication will work better if architects and engineers become adjudicators
rather than the field being left just to lawyers.
Architects are well suited to the role of adjudicator for the following reasons:
their established role in the industry as impartial interpreters of construction documents and construction
progress;
the public interest mandate for architects related to their enabling legislation, the architects acts;
architects must understand the long-term decision ramifications related to all disciplines that form part of
the project’s design and also the broad implications of changes during construction;
professional accountability.
The question has been raised as to whether adjudication should be considered part of the “usual and customary
services” of the practice of architecture. In Ontario, it is recognized that architects have traditionally acted in
many ways as informal adjudicators and are well suited to the role. However, a formal role as an adjudicator
operating under separate enabling legislation, requiring separate training and appointment by an ANA, is a
separate business enterprise from the provision of architectural services to the public.
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Despite formal adjudication services not being part of the normal practice of architecture, architects providing
such services can be subject to complaints and/or discipline under their professional licensing legislation for
the performance of those duties, as they remain professionals licensed by the provincial regulator. Moreover,
the ANA has their own complaints process which must be adhered to for their adjudicators with their own
code of conduct. One does not trump the other. Architects would be responsible under both.
The tight time frames affect the provision of adjudication services. While adjudicators are free to accept or
reject appointments to act in any dispute, once an appointment is accepted, the legislated and agreed-upon
schedules must be complied with. The impact of this must be considered in relation to maintaining professional
standards in the provision of architectural services to clients of the architectural practice.
Architects should consider potential conflicts of interest between their role as a formal adjudicator and that of
architect in deciding which adjudications to take on. Consider past and present relationships with the parties
to the adjudication in order to avoid the appearance of conflict of interest or bias. This is more of a concern
where the adjudicator is appointed by the ANA than when the adjudicator is selected jointly by the parties to
the adjudication, provided any relationships are known to both parties.
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References
Construction Act, R.S.O. 1990, c. C.30, October 1, 2019, https://www.ontario.ca/laws/statute/90c30, accessed
May 28, 2020.
O. Reg. 306/18: Adjudications Under Part II.1 of the Act, October 1, 2019, https://www.ontario.ca/laws/
regulation/180306, accessed May 28, 2020.
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Appendix C –
The Architect as Project Management Service Provider
By Donald Ardiel, OAA, MRAIC
This discussion on project management service providers (PMSP) has been adapted from an unpublished work
created by a multi-organization task group initiated and supported by the Canadian Construction Association in
2017 and 2018. It has been adapted with the permission of the Canadian Construction Association.
Contents
Preamble 431
Definitions 431
Introduction 432
Projects, Project Management and the Project Manager 432
Key Players and Definitions 432
Owners and Clients 433
Consultants 433
Construction Forces 433
Project Management and the Project Manager 434
The Project Organization 434
Owner-Managed 434
PMSP – Advisor Relationship 435
PMSP – Principal Relationship 436
Owner Responsibilities in the Project Organization 436
Project Management Service Provider 437
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Responsibility, Liability and Risk – Keeping Relationships Clear 438
Qualifications of the Project Management Service Provider and Project Manager 438
References 439
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Preamble
This appendix is intended to provide the reader with an overview of the architect’s role when acting as
project management service provider (PMSP) for design/construction projects. It will discuss how project
management service is integrated into the project organization and compare several project organizational
structures. The appendix does not compare the use of an in-house project manager with engaging a PMSP.
For this introduction, it is assumed that the client has assessed the benefits and drawbacks of the in-house
versus outsourced project manager function and a decision has been made to engage a PMSP.
The term “project” is used in this appendix to refer to the entirety of the client’s capital planning, design,
construction, commissioning, and operating endeavour. However, this “project” is actually a “program”
comprised of many distinct but interrelated projects and operations, managed as a coordinated undertaking.
It is this coordinated undertaking that the PMSP is responsible for managing, not merely the business case/
feasibility project, the design project, or the construction project.
This introduction is neither a minimum nor a comprehensive description of project management services
and is not intended to be specific or limiting. Neither is it a guide to project management knowledge nor
a replacement for policies and procedures of project delivery. In a market-driven environment, each client
may require different services and each provider organization may present different services to differentiate
their value proposition in the marketplace. As well, each provider organization may offer a different basket
of services for project management depending on their professional licensure and expertise. Clients and
PMSPs are advised to develop project-specific requirements that reflect the scope of services required for
each unique project.
In offering project management services, the architect is advised to consult with their provincial or territorial
regulator to discuss issues, including conflict of interest and scope of practice.
Definitions
Adaptive Project Management: An approach to managing projects, driven by rapid change, that is iterative
and incremental, allowing for improved outcomes and decision making.
Agent: A person or organization providing project management services to a client as a consultant without
contractual relationships with a design consultant(s) or constructor.
Hybrid Project Management: A project management method that combines both adaptive and predictive
PART THREE Management of the Architectural Practice
project management approaches.
Predictive Project Management: An approach to managing projects that relies on determining the project
outcomes, scope, quality, cost and schedule, and developing a plan to achieve those outcomes. Predictive project
management then focuses on adjusting the work to align with the project plan and/or revising the plan.
Primary: A person or organization providing project management services who retains the services of and
enters into contractual relationships with a design consultant(s) and/or constructor on behalf of the owner.
Program: Related subsidiary programs, projects and operations, managed in a coordinated manner.
Project: A temporary endeavour intended to create a unique outcome.
Note: The definition of a project must be placed within the greater context of operational management.
Whereas projects have a defined end and create a changed state, such as a new building, operations do not. A
manufacturing assembly line produces a consistent product repeatedly. It neither produces a unique outcome
nor has a defined end.
Stakeholders: Any person or group that may impact or may be impacted by project outcomes.
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Introduction
Every project must be managed, and the role of the project manager is pivotal to the project’s success. In-
house staff or outsourced organizations can provide project management services. This appendix describes
the role and responsibilities of the project manager from an outsourced organization, their relationship to
sector stakeholders including owners, consultants and contractors, and the process of project management
service delivery.
The scope of projects has become more complex in Canada as demands have increased for shorter delivery
time frames, reduced costs, increased performance and risk realignment. The field of project management
has realized tremendous growth, resulting in a recognized need for project management services. Many
owners have embedded structured project management approaches within their organization’s operations,
including both predictive and adaptive methods, and require that their design and construction teams engaged
in capital projects implement similar full-scope, structured management approaches. This has resulted in
owners seeking expert support for their project endeavours.
Projects, Project Management and the Project
Manager
For owners, a project can be defined as an endeavour to deliver a new facility or space that achieves the
project objectives and requirements. In this context, the project is more than just design or construction,
but a larger program that involves the services or work of business case and feasibility analysts, realtors,
developers, planners, consultants, contractors and regulatory authorities. Each of these parties is working
on its own deliverables within the scope of the project. The project manager’s role is to bring together these
deliverables to create a successful project.
Project management is the application of knowledge, skills, processes, tools and techniques to this program,
to bring together these program elements in a timely and cohesive manner to achieve the project’s objectives.
Managing a project with a detailed strategy, pre-determined tactics, and appropriate resource allocation is
paramount to its successful delivery. In the case of a project to which adequate management resources have
not been assigned, often decisions are made in an ad-hoc fashion, resulting in changing objectives throughout
the project and oftentimes delays, cost overruns and unmet quality expectations. While success is not a
certainty through a well-managed project, it is a much greater probability.
Key Players and Definitions PART THREE Management of the Architectural Practice
The list of terms below describes the key players in ownership, design, construction, project management,
and use of buildings and infrastructure. It also provides context in which each player operates. The terms
are provided to build a bridge between traditional definitions used in the design-construction industry, and
definitions used in contemporary project management.
The challenge of discussing and defining the players in the design/construction industry is that each player
views the others in a different way. To the contractor, “consultants” refers to the architects and engineers,
while the project management service provider is an “advisor.” To the architects and engineers, anyone who
provides advice to the owner and does not make decisions on the owner’s behalf is a “consultant.” To the
owner, particularly in public sector procurement, everyone hired by the owner is a “contractor.” PMSPs do
not consider themselves consultants nor contractors but, if they make decisions for the owner, they are the
“primary.”If they are advisors, they consider themselves the “agent” even though they do not have agency. The
definitions below attempt to bridge the gaps between understandings.
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Owners and Clients
The term “owner” refers to the owner of the project’s ultimate outcome and someone who has the authority to
make decisions and delegate project decision-making, including the hiring of the consultants and contractors.
The term “client” has two definitions that are differentiated in context. In the first definition, the term “client”
refers to a person or organization that pays for and receives services. In a capital design and construction
program, there will be multiple “clients” just as there are multiple contracts. The owner of a facility is the
“client” in any agreement that they may have with those delivering services to the project. In the case where
a project management service provider (PMSP) hires the consultants and contractor, the PMSP is the “client.”
The second definition reflects the traditional project delivery where the term “client” is synonymous with
“owner.”
The term “owner representative” refers to an entity that is primarily responsible for communication between
the owner and all other stakeholders. The owner representative may be an employee of the owner, a
contracted individual, or the project manager. In government projects, the owner representative is often
another government department tasked with delivering the project to a “client” department or directly to the
federal, provincial or municipal governments themselves. The level of authority of the owner representative
may vary as delegated by the owner.
The term “stakeholders” refers to all parties that have an interest and/or can influence the project. This includes
the owner, architect, engineers, constructor, authorities having jurisdiction, community, building users, etc.
The term “user stakeholders” refers to a subgroup of stakeholders who define project requirements and may
ultimately be the end users of a new facility.
Consultants
The common term “consultant” can refer to anyone involved in the project retained to fill a consultative role.
There may be many consultants within a project’s organizational structure, and their roles and responsibilities
vary widely. The consulting design team of provincially or territorially regulated architects and engineers is
responsible for the design of the building and site, and for confirming that the built outcome is consistent
with the design and applicable building regulations. Other regulated consultants include land surveyors,
geotechnical engineers or scientists, and hydrology engineers. Both regulated and non-regulated consultants
may offer a range of services such as functional programming or interior design. The prime consultant is an
architecture or engineering firm that takes responsibility for coordinating the design and construction review
work of the project.
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Both regulated and non-regulated consultants may provide project management services. When project
management services are provided by an architecture or engineering firm, design services and project
management services may be offered together or separately.
Construction Forces
The term “contractor” refers to an entity that is responsible for performing construction work and related
services. A “general contractor” is an entity that coordinates the work of multiple construction trades
hired by the general contractor and accepts the transfer of the financial risk from the client in return for
financial reward.
The term “construction manager” refers to an entity that is responsible for providing advisory services (e.g.,
scheduling, budgeting, constructability, and health and safety) to the owner during the pre-construction phase.
The construction manager’s roles may vary during construction phase. Most often, the construction manager
remains engaged with the project through to project completion by assembling and managing the design and
construction team. See Chapter 4.1 – Types of Design-Construction Program Delivery.
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Project Management and the Project Manager
The term “project manager” refers to a person who is responsible for project planning, executing, and
monitoring and controlling to achieve project outcomes. Complicating the situation, a project may have many
project managers, each one within their own firm or organization. For the purposes of this introduction, the
project manager is the individual designated by the owner to oversee the project on the owner’s behalf. In
the context of this discussion, the project manager may be the owner, an employee designated by the owner,
a person contracted individually, or a designated individual within a project management service provider’s
(PMSP) organization. PMSP refers to any entities, either regulated or non-regulated, that provide project
initiation, project planning, plan execution, monitoring and controlling of the plan, and closing services to the
owner. The PMSP’s relationship with the owner may vary:
In a consultative or agent relationship, the owner engages the project manager as an advisor with limited
authority as defined by the owner for each project.
In a principal relationship, the owner engages the PMSP for advisory service and construction work. The
PMSP enters a contract with the owner. The PMSP then hires and enters into contracts with the prime
consultant and possibly other design professionals, the general contractor and/or trades, and takes full
responsibility for the delivery of the project.
The PMSP may take on other roles and responsibilities depending on the project delivery method.
Note: The PMSP cannot assume the legal responsibilities for design services or make design decisions if it
is not also a regulated professional, such as an architect, in the jurisdiction of the place of the work. A clear
definition of role and responsibilities for the PMSP will avoid gaps in service delivery or overlaps with the
prime consultant or the contractor. All stakeholders should be aware of the limitations of the PMSP’s role
and responsibilities. A PMSP’s scope of service should be carefully integrated with that of the contracts of the
prime consultant architect and the contractor.
The Project Organization
The term “project organization” refers to the temporary organizational structure of individuals and firms
brought together to undertake the project endeavour. The project organizational chart is like a traditional
organizational chart except it describes the authority, reporting and communications relationships across
organizational boundaries.
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There are several structures that may be used when an owner employs a PMSP. Project organizational
structures will vary with project delivery method. Project delivery methods will vary for design-build, various
forms of construction management, and alternative funding projects. For the following illustrations when an
owner employs a PMSP, the project delivery method is assumed to be design-bid-build.
Owner-Managed
In the owner-managed project organizational structure, the owner retains control of the project, thereby
assuming both the risks and opportunities associated with ownership. This traditional approach is most
commonly used in the following conditions:
when the project’s scope or requirements are simple and well understood;
when the owner is sophisticated with in-house project management staff.
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Owner
(Owner representative)
User
Stakeholders
Other Prime Other
Contractor
Consultants Consultant Contractors
Sub- Sub-
consultants contractors
FIGURE 1 Owner-managed project organizational structure
The owner-managed project organizational structure includes the owner, prime consultant and contractor.
The prime consultant and contractor communicate directly with the owner representative. Managing the user
stakeholders is the responsibility of the owner representative. The owner must be able to communicate across
departmental boundaries within the organization.
PMSP – Advisor Relationship
In the PMSP – advisor relationship project organizational structure, the decision-making authority of the PMSP
is typically limited to altering the project plan to maintain schedule and costs, accommodate risk, monitor and
control project activities and outcomes, and manage communications. The PMSP will not make decisions on
behalf of the owner regarding requirements, scope and quality. If the PMSP is also acting in the role of the
owner representative, the project manager will manage the communications within the owner organization,
manage stakeholder engagement, and monitor all aspects of project progress. The PMSP may participate in
the procurement of the consultant and the contractor on behalf of the owner. However, the owner will be the
one contracting respectively with the consultant and the contractor.
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Owner
User
Stakeholders
PMSP acting Other Prime Other
in consulting Contractor
role Consultants Consultant Contractors
Sub- Sub-
consultant contractor
FIGURE 2 Owner-managed project organizational structure with PMSP acting in an advisory capacity
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The function of the PMSP – advisor relationship project organizational structure is to support the owner
with expert resources in integrating the project endeavour and to reduce project risk by providing planning,
monitoring and control functions. This approach is often taken when the owner organization does not have
internal capital project management resources in-house but wants to retain a measure of project control.
PMSP – Principal Relationship
In the PMSP – principal relationship project organizational structure, the PMSP may engage the prime consultant
and contractor directly. The owner does not have any contractual relationship with the prime consultant or
contractor. The PMSP’s role is to make decisions on behalf of the owner and assume the opportunities and
challenges associated with ownership.
Owner
(may or may not be an
owner representative)
PMSP having
decision-making
authority
(primary)
User
Stakeholders
Other Prime Other
Contractor
Consultants Consultant Contractors
Sub- Sub-
consultant contractor
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FIGURE 3 PMSP having decision-making authority acting in principal relationship in the project organizational structure
The function of this organizational structure is to allow the owner to focus on their core business and transfer
a maximum amount of project risk to the PMSP. The PMSP assumes the financial risk of project ownership.
Owner Responsibilities in the Project Organization
Whether an owner uses in-house or contracted resources for project management, the owner remains as
the beneficiary of the project’s outcome. They may, therefore, enjoy the benefits of ownership but must also
assume the risks. The owner has a responsibility to sustain engagement over the project life cycle and should
not assume that they can be divested of all project risk by retaining a PMSP.
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Project Management Service Provider
The service offered by a PMSP covers activities from project inception to completion. The fundamental service
includes but is not limited to:
defining project requirements and establishing the management plans, including project’s scope, schedule,
milestones, cost, quality requirements, procurement and risk;
building or advising on the project organizational structure;
developing the integrated project plan for all project life cycle phases;
implementing the project plan through defining the scope and orchestrating the work of the prime
consultant, regulated and non-regulated consultants hired directly by the owner or PMSP, and contractors
using an established set of policies and procedures;
developing and implementing a system for monitoring and controlling the work;
gathering and analyzing project performance data and reporting on project performance;
managing project communication;
managing project risk and making changes to the project plan to accommodate uncertainty;
performing scope validation and quality control to ensure project requirements are met.
Depending on the scope of service, the resources the owner brings to the project, the make-up of the project
organizational structure, and the project delivery method, the PMSP may also be responsible for:
structuring the pre-design, design, construction and commissioning programs into manageable project
phases or sub-projects;
advising on construction costs and constructability;
identifying and analyzing alternatives, and making recommendations to the owner;
analyzing the impact of changes to the project and making recommendations to the owner;
assisting in securing financial resources;
supporting the owner in the procurement of the prime consultant and their subconsultants, and the
contractor, or procuring them directly;
advising the owner of assumptions, limitations and constraints of the project;
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advising the owner of legal and liability concerns including zoning, approval processes and insurance, and
securing counsel to advise the owner when required.
Project management is not the execution of a series of mechanical steps. Although the effective application of
processes, tools and techniques is a foundation of project management, the ability to influence stakeholders to
commit to project objectives without the use of direct authority is paramount to a project manager’s success.
Key steps to managing stakeholder engagement in the project may include:
gather, analyze and validate stakeholder requirements;
negotiate project requirements among conflicted stakeholder groups;
build commitment toward project objectives in all project stakeholder groups;
navigate project approvals through negotiations with authorities having jurisdiction.
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Responsibility, Liability and Risk – Keeping
Relationships Clear
The provision of project management services may be undertaken by a PMSP in an advisor or principal
relationship with the owner.
In an advisor relationship (see “PMSP – Advisor Relationship” above), the PMSP advises the owner and oversees
project activities. Their level of authority in making decisions on behalf of the owner will be as defined by the
owner. The owner will contract respectively with the prime consultant, other regulated and non-regulated
consultants, and the contractor. The integration of the project management activities provided by the PMSP
into the owner’s operations is negotiated based on the project scope and complexity of requirements.
In a principal relationship (refer to “PMSP – Principal Relationship” above), the PMSP has management
and decision-making responsibilities for the project. This relationship is for owners who desire to transfer
substantive risk for project outcomes or who have no capability or desire to be involved in project management.
The PMSP will contract respectively with the prime consultant, other regulated and non-regulated consultants,
and the contractor.
It is important to differentiate the responsibilities of the PMSP from those of the owner, the prime consultant,
the subconsultants, and the contractor. At a minimum, the owner must provide the financial resources, and
own the business case for the project and the project requirements. The PMSP oversees the organization
of the project effort. The responsibility and legal liability for the design services remain with the regulated
consultants, and construction work remains with the contractor. Not all risks can be transferred from one
party to another through a contractual relationship. An insurance and liability framework must be established
for a fair and balanced distribution of risk. Architects may be restricted from assuming certain liabilities and
risks through regulation or insurability. A successful project will be one in which the responsibilities of each
party are respected, and the party in the best position to manage project uncertainty assumes that risk.
Qualifications of the Project Management Service
Provider and Project Manager
Project managers should be selected based on their experience, knowledge, expertise and accountability.
The experience is gained through working with the owner, user stakeholders, consultants and contractors.
Knowledge and expertise are gained through education, skillset affinities and experience.
PART THREE Management of the Architectural Practice
Project management is within the scope of the practice of both architects and engineers. Certification may be
offered by for-profit or not-for-profit organizations and is not equivalent to licensure granted by a legislated
regulating body. If services are not delivered by a regulated consultant, there are no regulatory requirements
for the qualification of the project manager or the PMSPs. A supplemental certification is a demonstration that
the project manager has achieved a level of competency in the field and maintains that competence through
continuous learning. Certifications in project management are offered by several organizations, including the
Canadian Construction Association’s Gold Seal Certification program and the Project Management Institute’s
Project Management Professional certification program. Certification may be specific to the construction
industry or signify general knowledge in project management. Advanced programs of post-secondary studies
offer degrees, diplomas and certificates in project management and construction project management. Those
interested in obtaining certification and owners interested in procuring project management service should
investigate the credibility of the certificate with industry stakeholders.
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References
Fewings, P. Construction Project Management: An Integrated Approach, 2nd Edition. London: Routledge, 2013.
Project Management Institute. Government Extension to the PMBOK® Guide, 6th Edition. Newtown Square, PA:
Project Management Institute, 2017.
Trentim, M. H. Managing Stakeholders as Clients: Sponsorship, Partnership, Leadership, and Citizenship. Newtown
Square, PA: Project Management Institute, 2013.
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Appendix D –
The Architect as Advocate Architect/Compliance Architect/
Design Manager/Researcher
By Cliff Harvey, OAA, FRAIC and Jason Robbins, MAA, MRAIC
Contents
Preamble 441
Advocate Architect 441
Owner’s Project Requirements 441
Pre-design 441
Advocate Architect – Scope of Work 442
Design Phase Services 442
Construction Phase Services 443
Other Advocate Architect Services 443
Advocate Architect Fees 443
Advocate Architect Phased Activities 443
The Evolving Role of the Advocate Architect: Compliance Architect 445
The Development of the Contract Document: Output Specifications 445
Evaluation and the Role of Conformance 445
Design Manager 446
Design Research 446
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Preamble
For the purposes of this chapter, to provide clarity in the text, the architect acting in the capacity of advocate to
the owner in the design-build delivery project is referred to as the advocate architect. The architect providing
design services, either to a design-builder or design-build-finance-maintain (DBFM) entity, or through an
intermediary such as a project management service provider, is referred to as the consulting architect.
The term compliance architect refers to the expanded role of the advocate architect in alternate funding plan
(AFP) or public-private partnerships (P3) delivery projects. The terms compliance architect and conformance
architect are synonymous.
“User stakeholders” refers to anyone who uses the building following construction. “User stakeholders” refers
to those employed by the owner, such as clinical, support, and administrative staff of a hospital, and the public
who enter the building.
Advocate Architect
The role of the advocate architect is to provide support for the owner and the user stakeholders within a
complex project when there is no direct relationship between the owner and the consulting architect.
In a traditional design-bid-build project, the consulting architect has a contractual relationship and direct
communication with the owner. In this situation the services of an advocate architect are redundant. As
projects become more complex with new models of project delivery, including public-private partnerships
(P3s), integrated project delivery (IPD) and bridging design-build or modified design-build, the relationship
between the consulting architect and owner is mediated by other parties, and the responsibilities of the
architect to the owner become less clear. This is especially true when complex funding models are introduced
to a project, or with complex project management relationships. The advocate architect ensures the user
stakeholder requirements are gathered and communicated to the design team when the consulting architect
does not have a direct line of communication with the owner.
The advocate architect will often work with the senior leadership of the client organization at the outset of a
project before beginning to work directly with the design team and the user stakeholders. It is important for
the advocate architect to represent the interests of the organization faithfully and to refrain from interfering
in the consulting architect’s design process. The advocate architect may set up the parameters of the design
intent, including some illustrations and imagery, but it is the consulting architect’s role to design the project.
PART THREE Management of the Architectural Practice
Owner’s Project Requirements
Ideally, the advocate architect is engaged by the owner to represent the owner and user stakeholders at the
pre-design phase of a project through to post-construction. However, the advocate architect can be brought
in at any stage.
Pre-design
Through the pre-design process, the advocate architect will work with the owner and user stakeholders to
explore options and create a clearly defined project vision and description known as the owner’s project
requirements that link back to the needs expressed in the business case/feasibility analysis for the project. The
owner’s project requirements are created through collaboration, critical thinking and timely decision-making.
The project vision and description will be a combination of prescriptive and performance requirements specific
to the operations and priorities of the user stakeholders. The information in the prescriptive and performance
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requirements may include common pre-design documents such as building condition assessments, and
functional programs with spatial relationship diagrams and detailed room data, but can also include conceptual
plans, sections, and elevations, outline specifications, or even product cut sheets. The level of complexity and
amount of detail will vary with each project.
Advocate Architect – Scope of Work
Activities of the advocate architect during pre-design include:
analysis of client/user group needs;
owner and user stakeholder requirements and expectations, assumptions and constraints;
functional program development;
furnishings, fixtures and equipment (FF&E) inventory and requirements;
review of the design and construction program budget and the initial construction cost estimate;
review of the construction budget, schedule and project delivery method.
Design Phase Services
During the schematic design and design development phases of the project, the advocate architect works
with the consulting architect and design team to ensure the requirements are being met. Through the design
process, the advocate architect helps by defining and reviewing details, spaces, and illustrations with guidance
from the owner’s project requirements. The advocate architect will provide an independent and unbiased
review of the design and construction documents. It is also important for the advocate architect to provide
critical and honest advice to the owner about the impact of any changes that occur during design. The advocate
architect will identify issues early in the process before they become owner-initiated change orders.
The activities of the advocate architect during the design phase are heavily weighted to schematic design and
design development, with less emphasis placed on construction documents.
Activities of the advocate architect during schematic design include:
communicating the owner’s requirements to the consulting architect and design team;
validating that the consulting architect’s schematic design has captured the project’s requirements;
reviewing Class ‘D’ construction cost estimates as prepared for each concept design;
reviewing the schematic design documents with the owner;
PART THREE Management of the Architectural Practice
recommending approval or amendments as required prior to proceeding to the design development phase.
Activities of the advocate architect during design development include:
validating that the consulting architect’s design development has captured the project’s requirements;
reviewing Class ‘C’ construction cost estimates as prepared;
reviewing the project schedule for critical path and major project milestones;
reviewing the design development documents with the owner and any adjustments to the construction
cost estimate;
recommending approval or amendments as required prior to proceeding to the construction
documents phase.
During the construction documentation stage of the process, the priority of the advocate architect is to review
the consulting architect’s drawings for consistency with the owner’s requirements and to identify changes
that would cause an owner-initiated change. Quality management of the construction documentation is the
responsibility of the consulting architect.
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Activities of the advocate architect during the construction documents phase include:
reviewing submitted construction documents for consistency with the design development documents;
recommending approval or amendments as required prior to proceeding to the bidding/negotiation
phase;
reviewing the updated project schedule for critical path and major project milestones;
reviewing the construction cost estimate.
Construction Phase Services
During the construction phase, it is the advocate architect’s role to provide technical observation of the
construction process as well as reviews undertaken by the consulting architect and other consultants. The
advocate architect will then provide input as required and report activities to the owner to ensure prompt
responses to any questions, reviews or notices.
Activities of the advocate architect during construction include:
attending site meetings organized by the consulting architect, constructor and consultants;
reviewing and commenting on meeting minutes as required;
reviewing and taking appropriate action with reasonable promptness on all constructor and consulting
architect documentation as required, including:
requests for information (RFIs), contemplated change notices, change orders and change directives,
supplemental instructions, submittals, shop drawings, etc.;
conducting reviews in addition to the consulting architect’s general review at intervals as appropriate and/
or required;
evaluating substitutions proposed by the constructor with the consulting architect;
reviewing the constructor’s list of outstanding and deficient work with the architect.
Other Advocate Architect Services
Throughout the project there may be other opportunities to support the owner if they do not have internal staff
with capital asset project experience or expertise. These might include post-construction or post-occupancy
PART THREE Management of the Architectural Practice
activities. Other tasks include project management-focused activities, including project phasing, change
management and funding reconciliation, as well as last-minute events requiring proactive risk management.
Advocate Architect Fees
Fees for the advocate architect are typically billed at a fixed or hourly rate. Pre-design and other services
are typically hourly, while design and construction phase services may be fixed. For a fixed fee, the advocate
architect can base their estimate on a multiplier of the construction budget. Depending on the size of the
project and level of involvement, the multiplier can range between 0.6% and 1.2%.
Advocate Architect Phased Activities
The activities for the advocate architect are heavily weighted towards the beginning of the project to ensure the
user stakeholders’ requirements are included in the early stages of design to have the greatest impact. Once
the project has completed design development, opportunity to affect changes reduces substantially. (See the
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MacLeamy Curve in Chapter 6.1 – Pre-Design). During the construction phase, the advocate architect observes
the constructor, consulting architect and design team consultants, but also aids the owner in decision-making
to keep the project on schedule.
Phase % of total fee
Schematic design 12.5%
Design development 12.5%
Construction documents 50%
Bidding and negotiation 2.5%
Construction contract administration 22.5%
100%
TABLE 1 Typical distribution of fees for consulting design team
Phase % of total fee
Schematic design 12.5%
Design development 32.5%
Construction documents & tender 15%
Construction contract administration 22.5%
100%
TABLE 2 Typical distribution of fees for advocate architect
Construction Budget: $10,000,000
Phase % of Budget % of Effort Advocate Fee
0.75% 100% $75,000
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Design phase Schematic design 22.5% $16,875
Design development 32.5% $24,375
Construction docs 15% $11,250
Construction admin 30% $22,500
Pre-design 0.15% $15,000
Other services 0.1% $10,000
TABLE 3 Example fee and activity breakdown for advocate architect
The above table illustrates the potential fee for a project with a $10,000,000 construction budget using a fee
scale of 0.75% of construction estimate/construction cost. Pre-design and other services are in addition to
the 0.75%.
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The Evolving Role of the Advocate Architect:
Compliance Architect
The introduction of alternate funding plan (AFP) procurement methods and public-private partnerships (P3)
has expanded the traditional role of advocate architect in the practice of architecture. Increasingly, firms
are involved in P3 projects filling roles on the “compliance” team. The compliance team is comprised of
architects, engineers, interior designers, and other specialists who support the owner through pre-design
and early design phases until a proponent is selected to undertake the complete design, construction and
operation of a facility. The compliance team on a P3 project provides services like those of the advocate
architect, but the scale of the services is often greatly expanded. These services may include the preparation
of an extensive project brief including conceptual design of all building systems, operating specifications,
and proponent evaluation services. Evaluation services may involve viewing evolving conceptual schemes
prepared by multiple proponents competing for the project, and evaluation of submissions using a
comprehensive assessment rubric.
The advocate architect’s role may be further supplemented by the role and responsibilities of a design manager
(see below), which may be part of the P3 procurement models sometimes used to deliver more complex
building types, such as hospitals. Such projects may require several sophisticated contractual deliverables in
addition to design briefs and programs. As such, the advocate architect’s role may be rolled into that of the
compliance architect.
The Development of the Contract Document: Output Specifications
The main deliverable created by the compliance team of architects, engineers and specialist consultants for a P3
procurement process is the output specifications (OS). This document generally contains the planning, design,
construction, facilities management and operating requirements for the specific project. The OS generally
forms part of the request for proposal (RFP), and is given to the proponent teams who will use the information
to create their proposals. With such a large volume of information required to bid on these projects, and
information which is primarily words and not drawings, the role and responsibility of the compliance architect
challenges the traditional notion of the advocate architect and moves the responsibilities towards those
associated with knowledge transfer and information management.
That said, there is still an important role for the compliance architect in the creation of the OS when standard
design information (i.e., codes, standards and guidelines) are not available to match a design problem (e.g., new
workplace environments). These design problems may require the compliance architect to undertake design
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research (see below) to document requirements which must then be translated into written requirements. As
these requirements are not guided by standard design information, the wording and approach to procurement
(particularly on the Open RFP Period) require the compliance architect to be fully engaged in the review and
reporting during the Open Period and after Financial Close.
Evaluation and the Role of Conformance
Another major role of the compliance architect (in fact, where the title comes from) is the role and responsibilities
during the Open Period, after RFP Close, and after Financial Close to evaluate proponents’ designs against the
requirements of the OS as well as to advise how well each design performs against the evaluation criteria that
support the project’s goals and objectives.
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Design Manager
The role of the design manager is distinctly defined and distinctly different from that of the project architect.
This role is emerging primarily from the evolution of procurement models (i.e., P3, D-B). The design manager’s
role is to monitor and report on the performance of a design to achieve project goals and objectives. Unlike
a project manager – who is primarily focused on performance according to traditional project management
goals and objectives (i.e., on time, on budget, on scope) and on ensuring a project is well managed – the design
manager is focused on reporting on the performance of the design. Reporting is based on evaluation criteria
established early in the project and continuous improvements throughout the project.
The role and responsibilities of a design manager are generally to ensure the project’s goals and objectives can
evolve into measurable outcomes and clear inputs into the design process.
It is still the responsibility of the compliance architect to develop project goals and objectives; the design
manager’s role is to monitor and report on the agreed-to outcome measures.
Design Research
Design research is an emerging trend that is increasingly referenced in requests for proposals (RFP), as
organizations strive to improve their performance based on research in their field, such as workplace and
performance strategies. Design research is also occurring on an industry level in a collaborative manner as
the industry responds to social issues like climate change. Design research is a process to investigate a design
solution where there is limited or no guidance to a solution from existing codes, standards or guidelines.
Architects who respond to a request for design research, and clients who request design research, should
ensure they understand the work effort, resources and evaluation criteria to successfully undertake design
research.
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Chapter 3.11 – Standard Forms for the Management of the Practice
Chapter 3.11
Standard Forms for the
Management of the Practice
Contents
Guide to the Use of the Forms 448
Purpose of the Forms 448
Office Manual 448
Practice Forms 448
1. Forms for Human Resources Management 449
1.1 Typical Job Description 449
1.2 Application for Employment 449
1.3 Interview Form: Telephone or Face-to-Face 450
1.4 Interview Evaluation Form 451
1.5 Performance Evaluation Form 451
2. Forms for Financial Management 452
2.1 Invoice 452
2.2 Fee Calculation 453
2.3 Project Cost Control Chart 454
2.4 Time Report 454
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2.5 Expense Claim Form 455
2.6 Purchase Order 456
3. Forms and Stamps for the Management of the Practice 456
3.1 Project Directory 456
3.2 Office Stamps 457
3.2.1 Received/Routing Stamp 457
3.2.2 Other Stamps 457
Appendix A – Employment Agreement 458
Appendix B – Financial Forms 463
Appendix C – Stamps 470
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Guide to the Use of the Forms
Purpose of the Forms
The forms in this section of the Handbook are templates provided to assist the architect in the overall business
administration or management of the practice. Standardized forms within an architectural practice are an
essential management tool. Most architects customize forms for their own operations. Forms provided for
reference at the end of this chapter are examples of actual or suggested forms used by architectural practices
in Canada.
Many offices, large and small, now invest in software programs or platforms that integrate some or all of
their financial, operational and project information systems, enabling them to plan, monitor and control their
firm’s human, financial and physical resources. Web-based, server-based, and stand-alone applications are
available that are both scalable and affordable for any size of firm. This Handbook cannot capture all possible
functionality and features of these software programs. The forms provided in this chapter reflect a basic level
of information needed to understand fundamental aspects of practice.
Office Manual
All employees should be familiar with the forms adopted by the practice. The architect should include the forms
in an office manual (see Chapter 3.5 – Office Administration). Directions for the use of the forms, particularly
for time reports and expense claim forms, should be included in the office manual. One trend in practice
management, increasingly possible with web-based platforms, is to integrate instructions for the use of forms
and templates with the forms themselves, in addition to or in lieu of a separate office manual.
Practice Forms
This section provides samples of some of the most basic forms used by most architectural practices, be they
part of a practice management software system or individual forms. Certain practices may require other
forms, including:
Forms for human resources management
Job description
Application for employment
Interview evaluation form
Letter of acknowledgement (for job application)
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Letter of regret (for unsuccessful job applicants)
Forms for financial management
Statement of account (outstanding invoices less payments)
Record of drawing reproductions
Record of telephone calls (long distance and fax charges)
Purchase order
Forms for marketing
Letter of introduction (to prospective clients)
Typical résumé (for proposals)
Project data sheet (for proposals)
Client contact data sheet (for marketing)
See Chapter 6.8 – Sample Forms for the Management of the Project, Forms for General Communications, for forms
such as a memorandum or transmittal form.
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1. Forms for Human Resources Management
See Appendix A – Employment Agreement at the end of this chapter.
1.1 Typical Job Description
Purpose
Job descriptions:
assist in recruiting staff and preparing advertisements;
assist staff in understanding their responsibilities;
clarify the organization of the practice and lines of reporting;
assist in performance evaluation of staff;
assist in identifying human resource overlaps or deficiencies within the practice.
Content
Job descriptions should contain the following basic information:
job title or name of position;
employment status (i.e., permanent, temporary, part-time, independent contractor, etc.);
reporting and relationship within the architectural practice;
description of duties and responsibilities;
educational requirements;
experience requirements;
requirements for membership in professional or technical associations;
special conditions of employment related to the position (special skills, travel requirements, languages, etc.).
1.2 Application for Employment
Applicants for employment at architecture firms typically submit a cover letter, a personal résumé or
curriculum vitae, and a portfolio of work if appropriate. An application for employment is not a common form
used by architectural practices; however, it may be used by larger firms, multi-office/multi-disciplinary firms,
or recruitment agencies.
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Human rights and employment standards legislation in most Canadian jurisdictions prevents employers from
requesting the following information:
age;
marital status;
family status (e.g., single parent);
disabilities;
record of offences;
citizenship, race, ancestry, place of origin;
colour or ethnic origin;
creed;
sex or sexual orientation.
Ensure that if an application form is used, it complies with the requirements of the applicable jurisdiction.
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1.3 Interview Form: Telephone or Face-to-Face
Ideally a firm would use consistent interview guidelines for a specific employment opportunity for all applicants.
This limits the possibility of discrimination due to inconsistency of questions and content.
Purpose
assist in guiding the interviewer to gather comparative information from prospective employees;
establish a set of essential criteria that are needed to satisfy the firm’s human resources requirements;
prevent the interviewer from asking inappropriate questions or questions that may violate human rights
or employments standards legislation.
Content
Name:
Date:
Mode: [Telephone interview] [Face-to-face interview]
1. Tell me about yourself. Describe yourself.
a. I have your resume but please highlight specific information that you think is most important in your
education and work experience.
b. What do you value?
c. What are you passionate about?
2. What interests you about this position?
3. This is a [maternity replacement] [temporary] [life-of-the-project] position with a defined term of
employment. Is that an employment situation that interests you?
4. What do you know about [the firm]?
5. What interests you about working with [the firm]?
6. Describe the working environment that suits you best.
7. Scenario: Provide a scenario(s) that the candidate is most likely to experience in their routine operations.
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The question is best applied when the situation(s) demonstrates conflict or stress that the candidate can
expect to manage. For example:
“This role involves working with a design project’s user-stakeholders. In many cases they
are experienced professionals who will know a great deal about the operations of their
organizations but little about the design process, and may have limited patience and time for
your inquiries. Some can be difficult and opinionated, occasionally even rude. How would you
handle a teleconference situation in which there are four people involved, the discussion is
getting heated, and you perceive that you are not respected due to your status as not being a
member of their professional group?”
8. When can you start?
9. What are your salary expectations?
10. Do you have any questions for us?
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1.4 Interview Evaluation Form
This form can be appended to the applicant’s submission and interview form; however, it may be preferable
to separate the two forms for purposes of confidentiality.
Purpose
This form is used to make:
a record of the interview;
a record of the interviewer’s personal notes and observations;
an appraisal of the applicant.
Content
The Interview Evaluation Form should contain the following information:
date of interview;
name of applicant;
name of interviewer;
interviewer’s personal notes and observations;
salary expectations;
verification of references.
1.5 Performance Evaluation Form
See Chapter 3.6 – Human Resources for information on performance reviews and evaluation.
Purpose
This form:
describes an employee’s attributes;
identifies career and professional goals;
measures productivity;
adjusts salary or pay scales;
assists as a tool to improve performance.
Content
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The content of this form varies, based on the approach of the architectural practice to employee performance
evaluation. Some possible information includes:
name of employee;
existing job description;
review of current workload;
assessment of competency — the fulfilment of duties and responsibilities;
career and professional goals;
communications and interpersonal relations;
professional development or training;
objectives:
a specific outcome or “deliverable”;
a method of measurement;
a time frame for completion;
signatures of employee and employer.
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2. Forms for Financial Management
The recommendations and forms that follow are largely for illustrative purposes. Note that many firms use
spreadsheet or other financial management programs; however, these should nonetheless include the
information recommended below.
See Appendix B – Financial Forms at the end of this chapter for sample forms.
2.1 Invoice
The invoice is the document which lists professional services rendered, together with prices and charges,
based on the client-architect agreement. The invoice should indicate the basis for the fee (fixed, percentage
of construction cost, per diem, etc.), and provide an orderly calculation of the fees itemizing the services
rendered and fees for same. Where additional services are provided, these should be detailed. Reimbursable
expenses may be included in the invoice; however, some practices prefer to bill reimbursable expenses and/
or additional services separately so that if there are any disputes around these amounts, generally much
less than the basic fees, then the resolution of those disputes should not affect the prompt payment of basic
services fees. Expenses may be supported by receipts or proof of the expense.
Sophisticated and institutional clients may require the architect’s invoices to include specific information
needed for processing payment. The architect is advised to review the client’s requirements carefully and
augment invoices to meet clients’ information requirements.
Content
The invoice should contain the following information:
name of client;
date;
project name and number;
Business Number issued by Canada Revenue Agency (Goods and Services Tax [GST] number or Harmonized
Sales Tax [HST] number);
list of professional services rendered;
fee earned for services rendered to date;
list of reimbursable expenses (this may be a separate invoice or appended to the invoice);
previous payments;
PART THREE Management of the Architectural Practice
appropriate taxes (such as GST, HST or TVQ);
current amount due and payable.
Architects are advised to ensure that their invoices meet the requirements of any prompt payment legislation
in their jurisdiction.
See the sample invoices Forms 2.1 and 2.2 in Appendix A of this chapter.
Form 3.11 Form A represents an invoice submitted at 60% of the completion of the construction contract.
In the example, the estimated cost of construction at the design stage was $200,000; at the working drawing
stage (construction documents phase), the estimate was $220,000. The successful bidder’s tender of $218,000
was accepted, and change orders during the construction adjusted the contract amount to $226,000.
An example of additional services, in this case billed hourly for design and documentation involved in the
preparation of the change orders, are shown on the sample invoice (as per Schedule B, Additional Services,
of Canadian Standard Form of Contract for Architectural Services Document Six). In this sample case, only the
contract administration services for the change orders are covered in the percentage fee which is based on
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the revised contract amount. The architect’s fee is 8%. The fee during the construction administration phase is
applied to the current contract amount. Consistent with the definitions of construction cost in both Canadian
Construction Documents Committee (CCDC) contracts and RAIC Documents Six and Nine, value-added tax,
either GST or HST, is not applied to the contract value in calculating fees.
To facilitate payment, cash flow, and cost control, it is sometimes preferable to issue separate invoices for:
fees for basic services;
fees for additional services;
reimbursable expenses.
Refer also to Chapter 3.4 – Financial Management, and to Chapter 3.9 – Architectural Services and Fees.
2.2 Fee Calculation
Except in the case of an hourly-fee based project, the practice must determine the costs of providing the
necessary services before submitting a proposal or fee quotation. This calculation is sometimes called a fee
forecast. The calculation is based on a projection or estimate of costs using the life cycle phases of the design
project. The calculation requires an estimate of the number of effort hours required to do the work of each
life cycle phase, i.e., schematic design, document production, etc., and the blended hours’ rate of the firm. This
approach applies to projects from simple to complex.
For complex projects, each life cycle phase or “deliverable” can be broken down into subdeliverables and then,
if required, into tasks. The key to the effective use of this calculation method is being able to access historic
data of the actual effort hours expended on a deliverable-by-deliverable, subdeliverable-by-subdeliverable, or
task-by-task basis from past projects.
Purpose
A fee calculation sheet is necessary to:
determine the payroll cost and other costs of providing the service;
identify appropriate personnel and consultants for the service;
assist in scheduling work within the office;
assist in fee negotiations with the client.
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Content
The sheet should provide the following information:
project name and number;
construction value for the project;
list of professional services required;
fee forecast:
payroll costs;
consultants’ fees;
overhead and profit.
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2.3 Project Cost Control Chart
This form can serve as a tool for tracking payroll costs related to a specific project.
Purpose
The form can be used as:
a status report on each project;
a performance evaluation tool;
a reference for future fee calculations;
a warning to indicate when payroll costs have exceeded the budgeted amount;
a project planning tool.
Content
The form should include the following information:
project name and number;
construction value of the project;
percentage of architectural services completed to date;
staff involved, including project manager;
effort-hours expended to date;
budgeted effort-hours remaining;
payroll and other costs to date;
fee billed to date;
fee remaining;
budget comparison (comparison with Fee Calculation Sheet).
2.4 Time Report
Time reports are an essential management tool. Effort hours should be completed on a daily basis by
employees and submitted weekly by every partner, shareholder, and employee in the practice as well as by
billable independent contractors. Where reports are generated weekly, it remains a best practice for everyone
to capture time use continuously. This produces the most accurate historical reports as well as capturing
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events such as telephone calls and impromptu meetings, which are often, in fact, additional services.
Purpose
Time reports are:
a basis for remuneration to employees and independent contractors;
an historical reference for project scheduling and allocation of human resources;
a record for monitoring payroll costs and scheduling;
an evaluation tool for employee performance;
a documented record of services and additional services provided to clients;
a management tool for analysis of work activities;
a record to assist in the completion of the Canadian Experience Record Book for intern architects.
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Content
Every time sheet, whether in manual, spreadsheet or work-management application, should include the
following information:
employee name (and number for larger firms);
time period;
project name and number;
type of work activity;
tabulation of daily and weekly activities by fractional hours—capture to the nearest 1/10th hour is
recommended.
employee and supervisor signatures.
2.5 Expense Claim Form
The use of the expense claim form must be coordinated with the office procedures to ensure that allowances
for travel (rate per kilometre), meals, etc., are fair and current. Receipts for expenses are usually attached to
the form in order to substantiate expense claims.
Purpose
Expense claim forms are used as:
part of normal accounting records, which may be subject to audit;
a record to prepare invoices for reimbursable expenses;
a management tool for project budgeting.
Content
Expense claim forms should include the following information:
name of claimant;
time period;
approval signature (if required);
purpose of expense;
project name and number;
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itemized list of expenses (with receipts):
travel (mode, distance, and destination);
parking;
meals;
lodging;
other out-of-pocket expenses;
amount of any advances;
total amount claimed;
signature of claimant.
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2.6 Purchase Order
This form is not normally used by architectural firms, although it may be commonplace in larger organizations
or institutions where architects are employed. A purchase order should never be used in lieu of a contract,
to secure architectural services.
Purpose
A purchase order creates a simple contract between the organization practice and the supplier. It also:
outlines the terms and conditions of the purchase;
helps control overhead costs within the firm;
provides a record of material and equipment (reconciliation or a type of partial inventory).
Content
A purchase order form should contain the following information:
name of supplier and purchaser;
purchase order number;
method of shipment;
quantity and description of product;
unit price and total price, including taxes;
conditions of purchase (warranties, support, delivery schedules, etc.);
project name and number (if applicable).
Purchase order forms are often pre-printed and may be sequentially numbered to control purchases. Some
organizations advise their suppliers that invoices will not be paid without an authorized purchase order.
3. Forms and Stamps for the Management of the Practice
3.1 Project Directory
The project directory is an internal document used for a variety of marketing and management functions. It
may be a single document or a database that summarizes information for all projects or a separate document
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for each project. Increasingly, much project directory content is taken from a common practice database so
that project information is available to a project team without providing all information to all teams. A project
directory has many functions:
a list of information to use as a filing reference;
identification of staff responsible for each project;
a list of project consultants, contractors and perhaps major suppliers;
a reference for key dates, such as the date of project commencement;
a management tool for a variety of functions;
a financial management tool, if it provides the following additional information:
construction value;
indication of the percentage of completion for the project.
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3.2 Office Stamps
Each architectural practice should have a series of electronic or traditional ink stamps or notes which are
used to indicate the status of a document or drawing. In the past it was common to apply these notations
using rubber stamps with a separate ink pad or self-inking stamps, and this is still applicable for paper
communications received or sent by mail, as well as scanned paper documents.
The following are some common stamps used in an architectural practice:
3.2.1 Received/Routing Stamp
Purpose
This stamp registers the date of receipt of all incoming documents (correspondence, trade journals, catalogues,
transmittals, drawings, etc.).
This stamp can also be used to indicate the routing or circulation of the document.
See Appendix C – Stamps for two sample illustrations—the second example allows for the insertion of a
sequential list of recipients as well as their initials indicating review.
3.2.2 Other Stamps
Examples of other useful stamps are:
For Deposit Only
Day File
Copy
See Appendix C – Stamps for illustrations of the stamps listed above.
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Appendix A –
Employment Agreement
See Chapter 3.6 – Human Resources for a discussion of employment agreements and a checklist of considerations
when writing an employment agreement.
The use and benefits of an employment agreement are discussed in Chapter 3.6 – Human Resources.
Purpose
The agreement:
creates a contract;
outlines terms and conditions of employment;
identifies probationary periods, if any;
prevents misunderstandings.
Content
A sample employment agreement is provided as a template.
Instructions:
1. Complete the form using the following aids.
2. Replace BOLD CAPITALIZED text with appropriate information.
3. If multiple options for text are presented (square brackets), select the appropriate text, delete non-
appropriate options and delete square brackets.
4. Delete notes in italics.
5. Initial each page.
6. Principal and candidate sign on the last page.
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PERSONAL AND CONFIDENTIAL
DATE:
FULL NAME OF OFFEREE:
ADDRESS OF OFFEREE:
Dear NAME,
We are pleased to offer you employment with our firm as [full-time] [part-time] [temporary] for the
position of POSITION TITLE commencing DATE.
Note: If the offer is for a specified period, note the expected end date.
This offer letter provides information with respect to our firm, your proposed position, and the terms
and conditions of your employment with FIRM NAME.
POSITION:
Note: Include the position title, an overview of the position and highlights about the key responsibilities and
deliverables. If the position requires ongoing travel or requires the candidate to possess a valid driver’s licence
or professional registration as an architect, include these details here.
WORK SCHEDULE:
Note: Include regular work hours and expected hours in a standard work week (e.g., 40 hours). If flexible work
hours are available or attractive to candidates, indicate expectations around core hours, etc. If a candidate is
being hired with the expectation of variable hours with no guarantee of hours, specify this here.
SALARY/HOURLY WAGE:
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[Your annual salary will be $ANNUAL SALARY.] [Your hourly wage will be $HOURLY WAGE.] You will be
paid on a [monthly] [semi-monthly] [bi-weekly] basis.
OVERTIME WORK:
You may be required to work overtime hours from time to time to ensure project deadlines are met.
Note: If this is for a manager or registered professional, include the following:
[As a professional, you will not be paid for overtime.]
Note: If you allow employees to bank time in lieu, indicate this here and identify the rate of banked time, e.g.,
straight time.
[Time off in lieu may be banked at a rate of [straight time] [time plus one half].]
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Note: If this is for a position that is eligible for overtime pay according to provincial employment standards,
include the following:
[You will be compensated for overtime hours worked, based on the provincial employment standards.]
Note: Include details if you permit banking of time in lieu if permitted in your province, and how you will
compensate an employee for extra time worked that is not considered “overtime”.
PROBATION:
Note: If you have a probationary period that you would like to include, ensure you do not include a period
longer than what is permitted in your provincial employment standards as it will not be compliant and will not
be enforceable.
Your employment will require that you successfully complete a LENGTH OF PROBATIONARY PERIOD
IN DAYS day probationary period. During this period, the firm may terminate your employment without
notice.
BONUS ELIGIBILITY:
Note: If you offer a discretionary bonus to your employees for this type of position, you can add a clause that
identifies this, such as the following:
[Your total compensation will be based upon performance and project profitability. At the discretion of
the Principal/s, the firm may pay a bonus from time to time. You must be actively employed at the time
that bonuses are paid out to be eligible to receive a bonus payment.]
BENEFITS:
Note: If your firm provides health/dental and any other group insurance benefits, indicate what is included and
when the employee is eligible for the benefits. Some firms have a wait period for benefits, and most companies
have a requirement of employees to work a minimum number of hours per week to be eligible for benefits.
Identify if there is any requirement for the employee to share the cost of premiums with the firm. For example:
[As a full-time employee who works a minimum of HOURS PER WEEK hours per week, you will be
PART THREE Management of the Architectural Practice
eligible to participate in the firm’s group benefits plan effective DATE. Group benefits include: [health],
[dental], [prescription drugs], [life insurance], and [long-term disability] coverage. If you choose to
participate in the group benefits plan, you will be required to cost-share the premiums on a [50/50]
[OTHER PERCENTAGE RATIO] basis.]
VACATION:
Note: Identify the employee’s vacation entitlement based on your firm’s vacation policy. If you have given the
candidate credit for prior work experience, you can note this as well. For example:
[We will recognize your ten years of relevant work experience at PREVIOUS EMPLOYER NAME to count
towards your vacation entitlement. Your vacation entitlement will be as follows:
[0-1 year service = 2 weeks annual vacation]
[1 yr plus 1 day to 5 years of service = 3 weeks annual vacation]
[5 years plus 1 day to 20 years of service = 4 weeks annual vacation]
[20 years plus one day of service or longer = 5 weeks annual vacation]
RAIC.ORG | Royal Architectural Institute of Canada 460
2020 EDITION
Canadian Handbook of Practice for Architects
Chapter 3.11 – Standard Forms for the Management of the Practice
Note: Indicate when the employee is eligible to take vacation, and if there are any limitations to the amount of
vacation that may be taken at one time. For example:
Your vacation accrual begins upon commencement of employment. Vacation time may be taken as it
is accrued and must be taken within one year of being earned. In order to ensure we provide excellent
service to our clients, no more than ENTER NUMBER OF WEEKS vacation can be taken at one time unless
approved by a Principal.
ADDITIONAL TIME-OFF:
Note: If your firm provides any additional time off (paid or unpaid) during the summer (e.g., summer hours)
or Christmas office closures, you can mention these in the letter as they will be an attractive perquisite. For
example:
[Our firm allows all full-time team members to enjoy “summer hours” in July and August and provides
every third Friday off. In addition, the firm’s office closes during the Christmas holidays each year, and
employees will receive additional days during the holiday office closure. These additional work days
off will be [paid] [unpaid] and are subject to change at the discretion of the Principals. Dates will be
confirmed on an annual basis.]
LEARNING & DEVELOPMENT:
Note: If your firm commits to supporting required intern hours or any other hours or costs related to professional
development, you can include this in the section here. For example, choose either paragraph below:
[Our firm supports your professional development. Our Principals will meet with you each year to set
professional development goals and determine development activities that the firm will fund or co-fund
during the fiscal year.]
[Our firm supports your professional development. During your first six months of employment, we
will develop a plan for you to obtain your necessary internship hours over a period of 2-3 years. The
firm will also provide you with unpaid time off to study for exams and attend interviews related to your
registration, and will cover the cost of your exams once you can show proof of passing.]
DUES AND MEMBERSHIPS:
PART THREE Management of the Architectural Practice
FIRM NAME will reimburse you for pre-approved, business-related, annual professional membership dues.
CONFIDENTIALITY:
Client, project and corporate confidentiality must be maintained at all times.
FREELANCE WORK:
Note: If your firm will not allow employees to provide any private services while employed by your firm, it is
advisable to include this in the offer letter.
[Freelance work in the field of services provided by FIRM NAME, namely architectural services, is not
permitted due to the possibility of potential professional liability claims against the firm.]
TERMINATION OF EMPLOYMENT:
Note: You cannot extend the period of notice beyond what is permitted in employment standards. This period
of notice to be given by the employee to the employer must be carefully established. The period of notice to
461 Royal Architectural Institute of Canada | RAIC.ORG
2020 EDITION
Canadian Handbook of Practice for Architects
Chapter 3.11 – Standard Forms for the Management of the Practice
be given by the employer to the employee must also be carefully established. Verify what length of notice
period is required in provincial legislation. For consistency, a common notice period should be established
for all employees. A longer notice period for a senior employee, owing to contribution to the practice, might
be considered. However, consideration should be given to agreeing to a notice period the same as that from
employer to employee.
If you resign from your employment with FIRM NAME, you agree to provide FIRM NAME with at least
[two (2)] weeks’ notice of your resignation.
Should FIRM NAME find it necessary to terminate your employment without cause at any time during
this contract period, its sole obligations are to: (i) pay you all accrued but unpaid wages and vacation
pay earned up to the date of termination; (ii) provide you with the minimum notice of termination, or
pay in lieu thereof; (iii) provide you with any severance pay as required by the PROVINCE Employment
Standards Act, and nothing more.
RESTRICTIVE COVENANT:
Note: A restrictive covenant clause in the employment agreement is included to protect the employer’s legitimate
business interests. The employee should carefully consider this section. In a small or remote location, this clause
(if the time period is too lengthy) may effectively prevent an employee from quitting and establishing his or her
own architectural practice. However, Canadian courts are reluctant to uphold a restrictive covenant or non-
competition clause that prevents a former employee from finding competitive employment in a community. In
the event of a court action, employers are required to validate the need for these restrictions.
NAME acknowledges that the restrictions contained in this section are reasonable and necessary to
protect the legitimate business interests of FIRM, and will not impair or infringe upon your right to work
or earn a living after your employment with FIRM ends.
[INSERT RESTRICTIONS]
NAME, we look forward to working with you. If you are in agreement with the terms and conditions
of our offer of employment, please sign and return one copy as your formal acceptance and mutual
agreement of the terms outlined.
This offer is open for your acceptance until end of day, DATE.
PART THREE Management of the Architectural Practice
If you have any questions, please contact NAME OF HUMAN RESOURCES OFFICER at EMAIL ADDRESS/
PHONE NUMBER.
Sincerely,
FIRM NAME
PRINCIPAL SIGNATURE:
PRINCIPAL NAME:
CANDIDATE SIGNATURE:
CANDIDATE NAME:
DATE ACCEPTED:
RAIC.ORG | Royal Architectural Institute of Canada 462
PART THREE Management of the Architectural Practice
463
Invoice
FORM 3.11 Form A
Name of Project: File #:
Invoice:
Appendix B –
Financial Form
O.C. 2402 Class II Building fee excluding expenses $86,582
from $1,300,000 to $3,200,000
Overall Work Fees: Basic Service $86,582 1082
Estimated cost of work $1,718,290
including taxes under sec. 21
Fees: plans and specifications
for the first 1,300,000 $47,325
plus 3.19%
on remaining funds $418,290 $13,343
$60,668 758
Royal Architectural Institute of Canada | RAIC.ORG
Preliminary design 40% $24,267 114 15% Preliminary Design
190 25% Design Development
Plans and specifications 60% $36,401 455 60% Plans and Specs
Fees: field review services
up to 1,300,000 $20,225
Chapter 3.11 – Standard Forms for the Management of the Practice
plus 1.36%
on remaining funds $418,290 $5,689
$25,915 324
Forseable additional fees $0
Surveys maximum $0 $0
Preparatory studies maximum $0 $0
Programming maximum $0 $0
Change order services provision $0 $0
Specialized equipment $0 $0
Phasing (on fees for plans and specifications, and supercision) 0$ on $86,582 $0
Eligible expenses $0
Specific Expenses $0 $0
Travel O.C. rate maximum $0 $0
Canadian Handbook of Practice for Architects
2020 EDITION
FORM 3.11 Form B
2020 EDITION
Canadian Handbook of Practice for Architects
Chapter 3.11 – Standard Forms for the Management of the Practice
Invoice
Logo or Name of Architectural Practice
To: Acme Co. Ltd. INVOICE No.: 19094
77 Skyway Drive Project: Acme Office Addition
Anytown, ON Project No.: 19051
Y2K 2Y2 Date: 26 November 2020
GST No.: R109976007
For Professional Services Rendered:
• Reference: Client-Architect Contract
RAIC Document Six, dated March 31, 2019
Fees to: 31 October 2020 • Earned to date:
Design 100% of 25% of 8% of $200,000 $4,000.00
Contract Documents 100% of 50% of 8% of $220,000 $8,800.00
Contract Administration Services 60% of 25% of 8% of $241,820 $2,901.84
Additional Services
Change Orders 1, 2, and 3
6 hours @ $220/hour = $1320
15 hours @ $120/hour = $1800
$3,120
Total fee earned to date $18,821.84
PART THREE Management of the Architectural Practice
Less previously invoiced $16,084.76
TOTAL FEE DUE THIS INVOICE $2,737.08
Reimbursable expenses due (excluding GST) $104.60
(see Schedule A attached)
Sub-total $2,841.68
GST $142.08
TOTAL DUE THIS INVOICE $2,983.76
RAIC.ORG | Royal Architectural Institute of Canada 464
FORM 3.11 Form C
2020 EDITION
Canadian Handbook of Practice for Architects
Chapter 3.11 – Standard Forms for the Management of the Practice
Schedule A
Logo or Name of Architectural Practice
Invoice (continued)
To: Acme Co. Ltd. INVOICE No.: 9094
77 Skyway Drive Project: Acme Office Addition
Anytown, ON Project No.: 19051
Y2K 2Y2 Date: 26 November 2020
GST No.: R109976007
Reimbursable Expenses:
• Previously invoiced $754.55
• Current Expenses
Travel $26.50
Photocopies (39 @ $0.15 ea) $5.85
Printing (11 prints @ $1.25 ea) $13.75
Long distance calls $27.66
Postage and delivery $17.20
• Sub-total $90.96
Administrative charges (15% of $90.96) $13.64
PART THREE Management of the Architectural Practice
Total Expenses to date $859.15
Expenses due this invoice $104.60
465 Royal Architectural Institute of Canada | RAIC.ORG
FORM 3.11 Form D
2020 EDITION
Canadian Handbook of Practice for Architects
Chapter 3.11 – Standard Forms for the Management of the Practice
Fee Calculation Sheet
Logo or Name of Architectural Practice
Project No.: Date:
Client:
Sub-consultants
DISCIPLINE Firm NAME FEE
Structural
Mechanical
Electrical
Other
Sub-total
In-house Costs
PHASE HOURS and Rate* Payroll Cost Sub-total
Pre-design 1.
2.
Schematic Design 1.
2.
Design Development 1.
2.
Construction Documents 1.
2.
3.
4.
Bidding & Contract Negotiations 1.
2.
PART THREE Management of the Architectural Practice
Construction Administration 1.
2.
Post-construction 1.
Other 1.
Total Payroll Cost
Other costs
Sub-consultant’s fees
TOTAL FEE Estimate
Comparison with percentage fee of construction cost:
Estimated Construction Value:
*Hourly rates include overhead and profit
RAIC.ORG | Royal Architectural Institute of Canada 466
FORM 3.11 Form E
2020 EDITION
Canadian Handbook of Practice for Architects
Chapter 3.11 – Standard Forms for the Management of the Practice
Project Cost Control Chart
Logo or Name of Architectural Practice
Project: Addition & Renovations to Brooks Clinic
Project No.: 20-07
Date: 26 November 2020
Fee available to project (budget): $144,650
CODE ACTIVITY % DOLLARS HOURS $/HOUR
1. Pre-design/meetings 5.0% $7,200 30 $240.00
2. Programming/analysis 3.5% $5,000 25 $200.00
3. Schematic Design 17.7% $25,600 160 $160.00
4. Design Approvals 0.0% $0 0 $100.00
5. Design Development 17.7% $25,600 160 $160.00
6. Construction Documents 30.40% $44,000 400 $110.00
7. Specifications 0.0% $0 0 $120.00
8. Building Permit/Approvals 0.0% $0 0 $85.00
9. Tendering/Negotiations 2.4% $3,500 35 $100.00
10. Contract Administration 21.6% $31,250 250 $125.00
11. Client Revisions 0.0% $0 0 $120.00
12. Extra Services - BIM model 1.7% $2,500 25 $100.00
13. Post-construction/occupancy 0.0% $0 0 $100.00
14. Construction/Management 0.0% $0 0 $180.00
15. Estimating 0.0% $0 0 $120.00
PART THREE Management of the Architectural Practice
16. Interior Design 0.0% $0 0 $110.00
17. Drawing and Document Assembly 0.0% $0 0 $85.00
18.
19.
20.
TOTALS 100.0% $144.650 1,085
Note: This example includes line items with a $0 entry. This indicates that for this particular invoice, there
were no services provided related to that line item, NOT that those services are provided free of charge.
467 Royal Architectural Institute of Canada | RAIC.ORG
FORM 3.11 Form F
2020 EDITION
Canadian Handbook of Practice for Architects
Chapter 3.11 – Standard Forms for the Management of the Practice
Time Report
Logo or Name of Architectural Practice
Name: John Doe No.: 164 Dept.: Production Week Ending: 20 Nov. 20
Project: Project No.: Activity Code: Sat. Sun. Mon. Tues. Wed. Thurs. Fri. Total
Statutory Holiday 2
ACME Offices 19-175 8 6 5 4 1 7.5 23.5
9 1.5 3 4.5
19-175 13 1.5 1.5
Miller Addition 19-192 6 2.5 2 4.5
Tyler Clinic 20-040 10 6 6
PART THREE Management of the Architectural Practice
Regular 7.5 7.5 7.5 7.5 7.5 37.5
Overtime 1 1.5 2.5
Total 7.5 7.5 8.5 9 7.5 40
Activity Codes
1. Illness/Absent 8. Working Drawings
2. Vacation/Holiday 9. Specifications
3. Office Overhead 10. Contract Administration —
4. Promotion Office Functions
5. Pre-design/Requirements 11. Contract Administration —
6. Schematic Design Field Functions
7. Design Development 12. Post-construction
13. Additional Services
Signature of employee Signature of supervisor
RAIC.ORG | Royal Architectural Institute of Canada 468
FORM 3.11 Form G
2020 EDITION
Canadian Handbook of Practice for Architects
Chapter 3.11 – Standard Forms for the Management of the Practice
Expense Claim Form
Logo or Name of Architectural Practice
Claimant: John Doe Period covered by report:
Approved by: From: 2 Nov. 20 To: 13 Nov. 20
Date: Project No.: Details: R* Expense
2 Nov. 20 19-034 Travel to site, 20 KM @ .62¢/KM R 12.40
3 Nov. 20 19-034 Travel to Millwork shop to
inspect cabinets, 35 KM @ .62¢/KM R 21.70
9 Nov. 20 19-032 Travel to site, 15 KM @ .62¢/KM R 9.30
10 Nov. 20 20-075 Plane fare to Ottawa R 468.50
10 Nov. 20 20-075 Lunch 19.50
10 Nov. 20 20-075 Taxi R 24.75
11 Nov. 20 20-035 Travel to site, 20 KM @ .62¢/KM 12.40
12 Nov. 20 20-040 Travel to ACME, 25 KM @ .62¢/KM 15.50
PART THREE Management of the Architectural Practice
Total $ 584.05
R*: Recoverable from Client. Invoice reimbursable expenses for this amount.
Settlement:
Personal Charges: Magazine Renewal $ 18.00
Temporary Advance: Plane ticket plus $40.00 $ 508.50
Subtracted from Expenses: $ 526.50
Payment: $ 57.55
Cheque No.:
469 Royal Architectural Institute of Canada | RAIC.ORG
2020 EDITION
Canadian Handbook of Practice for Architects
Chapter 3.11 – Standard Forms for the Management of the Practice
Appendix C –
Stamps
Logo or
Name of Architectural Practice
Date Received:
File or Project No.:
Routing:
Action:
Logo or
Name of Architectural Practice
Date Received:
File or Project No.:
Routing:
PART THREE Management of the Architectural Practice
FOR DEPOSIT ONLY
DAY FILE
COPY
RAIC.ORG | Royal Architectural Institute of Canada 470
2020 EDITION
Canadian Handbook of Practice for Architects
Chapter 3.11 – Standard Forms for the Management of the Practice
PART THREE Management of the Architectural Practice
471 Royal Architectural Institute of Canada | RAIC.ORG
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