Bidding and Contract Administration Procedures

ArchitecturalOffice OfficePractices Practicesand andStandards Standards Architectural A Practical Guide to Documentation and Project Management VOLUME 4 Bidding And Contract Administration Procedures JNX Group, LLC • 165 South Hudson Street • Denver, Colorado 80246 • 720.231.0634 • [email protected] © Copyright 2003 -- 2008 All Rights Reserved VOLUME 4 — BIDDING and CONTRACT ADMINISTRATION PROCEDURES A O P S Table of Contents JOB DESCRIPTIONS................................................................................................ 3 1.1 Construction Contract Administrator ...................................................... 3 1.2 Construction Administration Assistant: .................................................. 4 1.3 Construction Contract Administrator — On-Site.................................... 5 BIDDING AND PRE-CONSTRUCTION PROCEDURES ....................................... 6 2.1 Pre-Construction ...................................................................................... 6 2.2 Bidding Procedures ................................................................................. 6 2.3 Addenda ................................................................................................... 8 2.4 Pre-Construction Conference Agenda ................................................. 11 CONTRACT ADMINISTRATION PROCEDURES ................................................ 13 3.1 During Construction ............................................................................... 13 3.2 Applications for Payment ...................................................................... 18 3.3 Proposal Requests ................................................................................ 20 3.4 Requests for Information (RFIs) ........................................................... 21 3.5 Architect's Supplemental Instructions .................................................. 22 3.6 Construction Change Directives ........................................................... 22 3.7 Change Orders ...................................................................................... 23 3.8 Submittal Review ................................................................................... 23 Shop Drawings .......................................................................................................... 24 Product Literature ...................................................................................................... 25 Samples ..................................................................................................................... 25 3.9 3.10 Submittal Log ......................................................................................... 30 Stick Files and Record Sets.................................................................. 31 3.11 3.12 3.13 3.14 Field Observation and Reporting.......................................................... 32 Standard Punchlist Format ................................................................... 35 Certificate Of Substantial Completion .................................................. 36 Post Construction .................................................................................. 37 Stick Sets ................................................................................................................... 31 Record Drawings ....................................................................................................... 38 Job Descriptions AOPS © 2003 - 2008 Page 2 JOB DESCRIPTIONS 1.1 Construction Contract Administrator The Construction Contract Administrator administers all project related duties during the construction of a specific project. This work is carried out under the direction and oversight of the studio head, principal in charge, or/and the project manager. An architectural license and registration in the State of Colorado is desirable but not required. Familiarity with Microsoft Word, Excel, and Project are required. • Plans, directs, and supervises the architectural and administrative aspects of projects under construction • Coordinates communications among owner, contractor, and architect • Plans, schedules, and budgets the work to align with available fees • Oversees and directs the work of in-house architectural staff and contract administration assistants • Reviews and assists the Owner in enforcing the contract for construction • Negotiates changes in the scope of work and the contract amount • Responsible for reviewing contractor’s progress and alerting contractor and owner if it appears the project is falling behind schedule • Responsible for site observations, maintaining the level of construction quality and workmanship required by the specifications • Ensures construction conformance with the requirements and the design intent of the contract documents • Resolves discrepancies and conflicts within the contract documents, and maintains a cooperative working relationship with the Owner and the Contractor • Responsible for reviewing and authorizing (or reducing) contractor applications for payment • Responsible for receipt, processing, and tracking of all submittals (shop drawings, samples, and product literature) • Reviews Contractor Schedule of Values • Initiates Construction Change Directives and maintains log • Initiates Requests for Proposals from Contractor and maintains log • Reviews and verifies Contractor pricing proposals • Prepares responses to Contractor Requests for Information and maintains log • Tracks all Requests for Proposals, Construction Change Directives, and Change Orders • Prepares Site Observation Reports periodically to correspond with site observation visits • Takes photographs of the construction to document construction conditions, quality, and progress • Monitors construction set/record set posting and updating Job Descriptions AOPS © 2003 - 2008 Page 3 1.2 Construction Administration Assistant: To provide administrative support to Project Architects by:     Logging all shop submittals in from contractor, out to consultant, in from consultant, out to contractor. Maintaining accurate and complete logs of shops. Maintaining accurate and complete files of office copy of submittals. Maintaining accurate and complete records of Addendum’s, Proposal Requests., Architectural Supplemental Instructions, Construction Change Directives, and Requests for Information Secondary responsibilities:       Assist in preparing punchlist documents. Posting to office documents all relevant Addendum’s, Proposal Requests, Architectural supplemental Instructions, Construction Change Directives, and Requests for Information. Faxing documents as requested. Copying documents as requested. Typing documents as requested. Assisting with preparing Transmittals as requested. Job Descriptions AOPS © 2003 - 2008 Page 4 1.3 Construction Contract Administrator — On-Site The Construction Contract Administrator administers all project related duties during the construction of the various phases of the Crossroads Mall renovations and additions project. This work is carried out under the direction and oversight of Al Colussy, Principal in Charge and Retail Studio Head, and Keith Conrad, the project manager. An architectural license and registration in the State of Colorado is desirable but not required. Familiarity with Microsoft Word, Excel, and Project is required. The Construction Contract Administrator: • Plans, directs, and supervises all architectural and administrative aspects of the project during construction • Coordinates communications among owner, contractor, and architect • Plans, schedules, and budgets the work to align with available fees • Oversees and directs the work of in-house architectural staff and contract administration assistants • Reviews and assists the Owner in enforcing the requirements of the contract for construction • Ensures construction conformance with the requirements and the design intent of the contract documents • Negotiates changes in the scope of work, the contract time, or/and the contract amount • Responsible for reviewing construction progress and alerting contractor and owner if it appears the project is falling behind schedule • Responsible for site observations, and maintaining the level of construction quality and workmanship required by the specifications • Prepares Site Observation Reports periodically to correspond with site observation visits • Takes photographs of the construction to document construction conditions, quality, and progress • Resolves discrepancies and conflicts within the contract documents, and maintains a cooperative working relationship with the Owner and the Contractor • Works proactively with the Contractor to anticipate potential problems and determine fair and just solutions • Responsible for reviewing and authorizing contractor applications for payment • Responsible for receipt, processing, and tracking of all submittals (shop drawings, samples, and product literature) • Reviews Contractor Schedule of Values • Initiates Construction Change Directives and maintains log • Initiates Requests for Proposals from Contractor and maintains log • Reviews and verifies Contractor pricing proposals • Prepares responses to Contractor Requests for Information and maintains log • Tracks all Requests for Proposals, Construction Change Directives, and Change Orders • Monitors construction set/record set posting and updating Job Descriptions AOPS © 2003 - 2008 Page 5 BIDDING and PRE-CONSTRUCTION PROCEDURES 2.1 Pre-Construction 1. Obtain a copy of the Owner/Architect agreement to determine scope of work. Establish available fee with PIC. 2. Incorporate all addenda in drawings and specifications. Use a cross-referencing system — redline the addendum item numbers on the drawings with a cloud, and place the addenda in a notebook for future reference. Full-size addenda drawings should be interlaced into the office CA set. Indicate all accepted alternates and allowances. 3. Familiarize yourself with the drawings and the Project Manual. 4. Prepare the Project Directory. 5. Set up the paper files, the submittal files, and the network file directories. 6. Prepare customized templates for all forms and logs  Architect’s Supplemental Instructions (ASIs) and ASI Log  Proposal Requests (PRs) and PR Log  Construction Change Directives (CCDs) and CCD Log  Change Orders and Change Order Origination Log  Field Reports  Submittal Log  Substitution Log 7. Obtain submittal schedule from Contractor and review turn-around intervals 8. Obtain Contractor’s Schedule of Values and Construction Schedule 9. Schedule pre-construction conference and prepare agenda 10. Obtain list of subcontractors from Contractor 2.2 Bidding Procedures There are some simple but very important procedures we must follow during bidding. Typically, we are responsible for issuing the drawings to prospective bidders.  All sets of drawings should be numbered, and the Owner, our consultants, and ourselves should receive a numbered set.  Names, addresses, and phone numbers for everyone who receives a bid set should be recorded in the “Register of Bid Documents,” which should be kept in a separate file folder in the central files.  When the specifications require it, a deposit should be collected from all prospective bidders before drawings are released to them. Drawings may be issued to anyone willing to pay a deposit, provided restrictions are not placed on this by the Owner. When the Owner limits the number Bidding and Pre-Construction Procedures AOPS © 2003 - 2008 Page 6 of sets available for deposit, sets may be purchased by interested parties.  Partial sets should not be issued. Too often a supplier’s work is affected by other work shown elsewhere in the drawing set. The specifications require the Contractor to provide a complete project based on all the drawings. However, if we issue partial sets, a sub or a supplier could make a claim that we should have known what drawings he would need, and should have provided them even if he didn’t ask for them. Don’t do it.  Frequently, a select group of bidders will be invited by the Owner to bid on the project; when this is the case, a limited number of sets is usually made available (for deposit) to each bidder.  When drawings are issued for competitive bidding, there is some very important protocol that we must follow to ensure that we are not responsible for giving a competitive advantage to any bidder.  First, all of our specifications should state a point in time prior to the bid after which no further clarifications can be issued (for example, 48 hours prior to the bid). Sufficient time must be allowed for all bidders to receive the addendum before they must submit bids.  Some projects may warrant a requirement for all questions to be in writing, but more commonly, we allow questions to be asked over the phone. • It is very important that no questions be answered over the telephone, even if you think you know the answer.  All questions should be carefully recorded in your telephone log, and answers or clarifications should be issued in written or graphic form through appropriate channels to all plan holders. Plan holders are listed on the AIA document “Register of Bid Documents,” with addresses and telephone numbers.  Questions may also be submitted in writing, or the Project Manual may require that they be submitted in writing. You should check to see what is required. E-mail may also be acceptable, but it should be spelled out in the Project Manual if we are going to allow this form of communication, along with any caveats about the possibility that we may not receive email communiqués.  We have an electronic template in Word of the addendum format, a copy of which is included later in this manual. • Contractor communications during the bidding phase can be simplified by using a web site or other forms of electronic communications (e-mail). These options may not be readily available because an argument could be made that they discriminate against contractors who do not have access to this technology. But if a list of select bidders can be created with owner approval, Bidding and Pre-Construction Procedures AOPS © 2003 - 2008 Page 7 and those bidders have web access or other necessary technology, then this would be an acceptable way to communicate with them. 2.3 Addenda Addenda are changes made to the drawings anytime after the drawings are formally issued for bidding and before bids are received from bidders. • Occasionally, drawings may be issued formally prior to the Bid Issue; for example, drawings may be issued to the Building Department or to the Owner before they are issued for bidding.  Any changes made to the drawings after a formal issue of any kind must be recorded.  If these changes are made prior to issuing the drawings to a contractor for pricing, an addendum is not necessary. However, the changes should be “clouded” on the originals, and a revision symbol included at each change. The revision symbol (delta) should have a number, and the revision number should be dated in the titleblock. All revisions issued on the same date should have the same number. Usually a description or “title” of the revision is also included on the sheet in a conspicuous location. • Questions invariably come up during bidding that must be answered prudently and promptly (see the section on “BIDDING”).  Addendum dates should be scheduled at the time the drawings are issued, usually allowing weekly intervals for each addendum spread out over the bid period. Do not issue any Addendum later than 72 hours prior to bid opening.  Addenda should be issued on our standard Addendum form.  Addenda are numbered sequentially, beginning with “Addendum #1.”  Addendum items that are described verbally must be given an item number. This number begins with “AD” (a two-letter designation for the type of form), followed by the addendum sequence number, then a single letter designating the discipline responsible (use the same discipline designations as are used on the drawing sheets), and then the item number. This would appear as follows:  AD01–A–01 Item sequence number Discipline designation Addendum sequence number Form type designation Bidding and Pre-Construction Procedures AOPS © 2003 - 2008 Page 8  Addendum items should be sequenced to follow the same order as the drawings which they modify. Items which modify the specifications should be first, and should also be sequenced in numerical order.  Addendum drawings should be listed in the verbal portion of the addendum, and should be given a number in numerical sequence.  Addendum drawings that modify one of the original drawings should be identified with the addendum number and the number of the drawing. The first change to a given drawing should be labeled “a,” the second “b,” etc. (for example, AD01– A3.1a).  Any new drawings which do not modify one of the original drawings are labeled as follows: AD01–A–01 AD01–A–02 etc.  Addendum drawings should be issued on 8½ x 11 titleblock wherever possible. When this is not possible, use 11 x 17 title block. When neither of these sizes will work, use 24 x 36 or 30 x 42 (whichever size the original drawings were produced on). Usually the specifications require that requests for substitutions for any products must be made during the bid period. Requests should come through the architect and be distributed to consultants if necessary. Since substitutions must be recorded in the record drawings, each request should include an additional services fee for the architect to cover the costs of making these changes. • All such requests should be duly recorded and either approved or rejected.  Requests for substitutions should be recorded in a format similar to the AIA shop drawing log. This should facilitate tracking the status of each submittal.  All approved requests for substitutions should be indicated in the addenda; any item which is not approved should be disapproved for “cause”; that is, you should have a good reason for disapproving it. “Cause” may be that the item does not compare favorably with some significant specification requirement, or it may even be that insufficient information was received on which to make a determination. Typically we do not include items which are not approved in our addenda; we prefer to communicate disapproval as an act of omission in order to avert confrontations or accusations from manufacturers. • Any changes made to the drawings by way of addendum should be recorded on the office CA set for reference. We should keep this set in the stick files when we are not actively using it. See the section “STICK FILES/RECORD SETS”.  Addenda should also be recorded in the electronic record documents, reserving an intact copy of the 100% CD issue. Addendum bubbles and notes should be placed in paper space. Delta ( ) tags should be placed Bidding and Pre-Construction Procedures AOPS © 2003 - 2008 Page 9 in model space at the spot of the change. This should expedite creation and development of the electronic record set.  If changes must be made after bids are received, it is very important that an appropriate change instrument be issued to the apparent low bidder so that he or she may have an opportunity to modify the bid before signing a contract. Many contractors refer to this kind of instrument as a Bulletin.  The Owner should also receive all addenda, along with an explanation of why changes are necessary.  We should clarify distribution of Addenda to contractors, subcontractors, consultants, building departments, etc., to make certain that everyone understands how important it is that all concerned parties receive all addenda.  Changes may be made after bids are received and a contract is signed, if this is the method preferred by the Owner. It will then become a Change Order. We have provided our own standard addendum format, which is patterned after the AIA Change Order document. This form should be prepared by the Project Architect, and then reviewed and signed by the Principal in Charge. The Addendum form is available in Microsoft Word as template. Templates are available when you select “new” under the “file” pulldown menu. Sometime during the B/N phase, a CA Kick-Off meeting should be scheduled. This meeting should focus on our in-house staff, and should include the Design Principal and the Project Architect. The purpose of this meeting would be to discuss ideas such as the design concept, values important to the project or owner, a general walk-through of the documents and the design, and any issues which are still outstanding, either from a design or a project standpoint. Areas still unresolved because of time or budget constraints should be identified, and any potential problem areas should be discussed. Click here for link to: Addendum Form Bidding and Pre-Construction Procedures AOPS © 2003 - 2008 Page 10 Click here for link to: Receipt for Return of Bid Documents Bidding and Pre-Construction Procedures AOPS © 2003 - 2008 Page 11 2.4 Pre-Construction Conference Agenda The pre-construction conference serves the same purpose for the members of the construction team (owner, architect, consultants, and contractor) that our inhouse kick-off meeting serves for the design team. Roles, procedures, performance standards, communications, and the like are spelled out in advance so there will be a minimum of misunderstanding. This agenda should be prepared by the Project Architect in advance of the meeting. It may be altered to suit the requirements of the project or the client. A copy for each member of the team who will be in attendance should be prepared prior to the meeting, and distributed several days in advance if possible. The agenda may also be used as a place to record discussion and decisions so that the record of the meeting can be distributed to all concerned parties later. Click Here for Link to: Pre-Construction Conference Agenda Bidding and Pre-Construction Procedures AOPS © 2003 - 2008 Page 12 CONTRACT ADMINISTRATION PROCEDURES 1.1 During Construction 1. Attend project meetings as established in the Owner/Architect agreement. Arrange for our consulting engineers to arrange and attend meetings as established in the Architect/Consultant agreement. Consulting engineers should be available at all times; however, attendance at project meetings should occur at least once a month, and should preferably correspond with the monthly Applications for Payment to review construction progress and materials. Meeting topics and agenda should follow the requirements outlined in the Project Manual. 2. Perform periodic (or full-time) site observation as required by the Owner/Architect agreement. Prepare an Architect’s Field Report for each site observation visit, and distribute them on a regular basis. Have all major consulting engineers perform site observations as stipulated in the Architect/Consultant agreement, but preferably at least once a month when the trades of their respective disciplines are active. Each consultant should prepare a Field Report for each observation visit. 3. Log and review applicable submittals. Forward submittals to consultants indicating the established turn-around time in order to prevent any Contractor delay claims. • Accept only submittals bearing the Contractor’s stamp and signature indicating that the submittal meets the intent of the contract documents. Any submittal submitted that does not bear the contractor’s stamp or does not meet the specifications should be returned to the Contractor unchecked. Do not make substantive (cost) changes on submittals; initiate the appropriate change instrument and track changes that way. When review of submittals is complete, they should be stamped, signed, logged, and returned to the Contractor. Check the Owner/Architect agreement to determine how reproduction and delivery costs are handled for the project. Preferably, these costs should be reimbursable expenses, and should be tracked in order to receive payment from the Owner. The default methods of delivery should be as follows: • Contractor to Architect..............................Paid by Contractor • Architect to Consultant .............................Reimbursable expense incurred by Architect, paid by Owner • Consultant to Architect .............................Reimbursable expense incurred by Consultant, paid by Owner • Architect to Contractor..............................Reimbursable expense incurred by Architect, paid by Owner • Contractor to Subs....................................Paid by Contractor Contract Administration Procedures AOPS © 2003 - 2008 Page 13 Submittals A. When a Submittal is received from General Contractor (GC) the date should be stamped (on the transmittal and the first page of the submittal) by the designated CA support person. Sometimes things get missed, so verify that transmittal is stamped. We stamp only those pages/sheets/documents that are stamped by the GC, so this language should be included in the specifications, and we should confirm that the Contractor has indeed reviewed and stamped each submittal. B. Verify project name and architects project number. C. Verity that the submittal is required by the specifications. D. Verify that the submittal includes all of the required copies (prints, plus a reproducible). E. The submittal should include an indication of the applicable section of the specifications, and the relevant drawing sheets. This requirement should be spelled out in the Project Manual. F. Log-in and give a number to submittal. Ideally, we could get our numbering system and the contractor’s numbering system to match. • CA forms and logs are created as templates in Microsoft Word and Excel. MS Word templates are located in [enter location of these electronic files]. You should set Word to look for them there (tools/options/file locations tab/workgroup and user templates). Choose “new” from the “File” pulldown and select the form type you need (an ASI, for example). DO NOT select “Open” because you run the risk of changing the template itself, which you do not want to do. You will probably want to create your own templates customized for your project, with the project name and number, the owner’s name, contractor, etc. To do this, create a “new” document, and “save as” a template ( .dot or .xlt rather than .doc or .xls). You can (and should) put it in a new location, as long as you tell Word where to look for it. You can put your Excel templates in the same spot. Again, choose “new” to create a new worksheet (an ASI Log, for example). You can make customized templates again in the same manner as for Word. If you select “open” instead of “new,” and you want to create a new document rather than a new template, you will have to remember to do a “save as” and save it as a .doc (or a .xls for Excel). Do this right away, first thing, before you do anything else and forget. Your log is already setup to calculate turnaround and due dates. If you are setting up a new log, be sure to check your Specifications for actual turnaround requirements. For example, for JEFCO schools, it is generally Contract Administration Procedures AOPS © 2003 - 2008 Page 14 21 days, or 15 work days (whichever is longer). Some projects, however, only allow for 14 days, or 10 workdays • Submittals are numbered according to the following system: CSI section, the sequence number of the submittal ranked within that division, and whether or not it is a resubmittal. For example: The second painting submittal received an action of “revise and resubmit.” The original would be numbered 099002. The resubmittal would be numbered 09900-2-A. The next original submittal in this section would be numbered 09900-3. G. Stamp the transmittal, and place it in the accordion file. We used to keep a copy of the transmittal in a log book of transmittals, but this is no longer necessary (assuming the transmittals are created in MS Word and named in a manner that would allow easy identification of the items being transmitted. H. Check to see whether or not the submittal should be reviewed by a consultant. • If no: Proceed to step f • If yes: Retain one copy of the submittal in the office (safety copy) and send the remaining copies, and the reproducible if there is one, to our consultant with a transmittal. The photocopy of the GC’s transmittal will remain with the safety copy, and be kept in an accessible place. • Make a transmittal to accompany the submittal to our consultant and a copy that stays with the safety copy of the submittal. • When submittal is returned by consultant, check for date stamp, and log-in. Throw away safety copy of submittal. Make a copy of the consultant’s transmittal to be filed with the submittal in the accordion files. I. Review submittal. Copy any redlines and/or comments onto all copies of submittal. Stamp with office CA stamp, indicate action, date, and sign. If any dimensions are indicated in drawings as part of the submittal, stamp with the Dimension stamp as well. It would be a good time-saver if you can create a standard review sheet that can be used to record your review comments on. J. Log-out and indicate the action taken. Keeps one copy of the submittal (NOT the reproducible), and retain all photocopies of past transmittals. Prepare transmittal to send back to General Contractor and make two copies (or as required by specific owners or clients). Original goes to GC with copies. Keep one copy of transmittal with file copy of submittal. Staple all transmittals to submittal and put in accordion files. One copy of transmittal goes into binder. 4. Prepare and issue all instruments that amend or modify the contract documents, and maintain separate logs for each instrument (as outlined above). Give copies of all changed drawings and specs to members of the Contract Administration Procedures AOPS © 2003 - 2008 Page 15 design team to help prevent re-use of the drawings and repeating the same mistakes on future projects. Note that all instruments that change contract sum and/or time must be authorized by a written change order approved by the Owner, the Contractor, and the Architect. Review Contractor’s proposals for accuracy, and ensure that they are fair and reasonable. Prepare a formal response letter to the Owner indicating the Architect’s recommendation as to whether the proposal should or should not be accepted. RFIs: • We should specify (in the project specifications) the kinds of information and the format that RFIs (typically produced by the GC) should take. Ideally, we would get the Contractor to use an electronic form that can be distributed via e-mail. • Log-in RFI, and date stamp all RFIs upon receipt. If RFI needs to be reviewed by consultant, fax to consultant. Make a note of date needed by, if one is indicated. Make a note of cost if any is indicated. (If a cost is indicated, the price portion must be handled by a Proposal Request). • Review RFI. Indicate response from us, or from consultant on RFI, date and sign (or have Garey date and sign). • FAX RFI to general contractor. • Log-out. ASIs: • ASIs (Architect’s Supplemental Instructions) are documents used to issue changes or clarifications which do not have a cost impact. • Put together ASI, using format outlined in Word template. • Check boxes at top of ASI for each person to receive a copy. Copies are always sent to our firm, the owner, and the general contractor. Copies will also be sent to any consultants affected by the changes. • Sign and date (or have Garey sign and date). • FAX, with original to follow, to GC, and owner. Mail to consultants. Keep original signed copy in binder. • Log-in. Contract Administration Procedures AOPS © 2003 - 2008 Page 16 Proposal Requests: • Proposal Requests are documents, which outline changes requiring additional money from the owner. This is a request for pricing, not an indication to proceed with changes. Pricing and back up will be submitted by the GC, and reviewed by the Architect and/or consultants. If the submitted price is approved by the owner, this change in the contract will be issued as part of a Change Order. • Put together PR, using format outlined in the Word template. • Check boxes at top of PR for each person to receive a copy. Copies are always sent to our firm, the owner, and the general contractor. Copies will also be sent to any consultants affected by the changes. • Have PIC or PA sign and date. • FAX, with original to follow, to GC, and owner. Mail to consultants. Keep original signed copy in binder. • Log-in 5. Prepare Change Orders with the Architect’s signature and distribute to the Contractor for his signature. Have Contractor submit Change Orders to the Owner for approval and signature. Obtain one fully executed Change Order for our records. 6. Review Contractors Application for Payment and compare to the Schedule of Values. Have consulting engineers review work within their respective disciplines. Verify percentage of work completed versus amount requested, and quantities of work stored on-site or off-site in bonded warehouse. If, in your opinion, the Application for Payment cannot be justified based on your observations of the work completed and stored, then make the changes you think are necessary to bring it into line, and return it to the Contractor for corrections. Approved Applications for Payment should be signed by the Architect and then forwarded to the Owner with a letter recommending payment as indicated on the Application. 7. Review testing laboratory reports, and notify Owner and Contractor of deficiencies and any required remediation. 8. Keep Owner informed of overall progress and any significant events. 9. Obtain written notification from the Contractor that it is his belief that the work is substantially complete, along with a list of items to be completed or corrected by the Contractor. Observe (Architect and consultants) the work for substantial completion, and respond to the Contractor’s request for certification. Make sure the work is ready for punchlist. Often, it is helpful to punch a sample room to give the Contractor an idea of the kinds of things that must be completed before you perform the final punchlist review. When you return for the final punchlist, you should leave if you find more than 20 items requiring remediation. Inform the Contractor that you will return (at your convenience) when he has completed the work. Contract Administration Procedures AOPS © 2003 - 2008 Page 17 Issue the Certificate of Substantial Completion only when the punchlist items have been addressed in a manner that allows the Owner to occupy the building without undue disruption to the Owner’s activities. 10. Keep a log of “lessons learned” for continuing staff education. 1.2 Applications for Payment Applications for Payment (aka Pay Requests) are a contractor's lifeline; they are more important to him than anything else on the job. When we receive the Application for Payment, it should be processed as quickly as possible. It should not be delayed for any reason. A delay in the processing of a pay request can lead to a claim for extra time (and money), and the Architect can be held responsible for that delay. Besides that, it will make the contractor even grumpier than usual, and none of us wants that. The time allowed for us to review the Application for Payment is specified in the General Conditions of the contract documents, and is usually stated as a minimum of 10 days. In reality and practice, this becomes a maximum of 10 days. The date of issuance of each progress payment is specified in the Owner/Contractor agreement. Usually, this date is the 15th of the month; that means that the pay request has to be submitted no later than the 5th. That allows the contractor 5 days from the 1st to prepare the information for the pay request, which is based on the previous month's activity, starting on the first day and ending on the last day of the month. If the contractor is late in submitting the pay request, you should warn him that payment may also be late, but don't use that as an excuse to delay processing. Frequently, the specifications require a preliminary pencil version of the Application for Payment. This is reviewed at the regularly scheduled job-site progress meeting closest to the end of the month. When we review the pay request, we look for several things. First, we must give our opinion as to whether the amount of money requested is in alignment with the amount of work done, as of the end of the period covered by the pay request. This is a judgement call, and should be made by or under close supervision by the Principal in Charge. Part of this assessment is a judgement as to whether the money left unpaid is sufficient to finish the project if the contractor went bankrupt or to jail (both of which have happened) while the project was still under construction. We also check the arithmetic, and we use a computer program to do that for us almost automatically. Updated figures should be plugged in for each successive application. Generally, the contractor is required to submit a Schedule of Values at least seven days prior to submitting the first pay request. The Schedule of Values breaks the work into several subcategories, and assigns the portion of the contract sum allocated for each portion of the work. This will make it easier for you to judge completeness of the work. Look at the Schedule of Values when you receive it; if you don't think the breakdown is detailed enough, ask the contractor to redo it. Almost invariably, it is a problem to get an appropriate Contract Administration Procedures AOPS © 2003 - 2008 Page 18 Schedule of Values. Contractors like to continue to negotiate with subs right up until the last moment before they have to sign them up. That keeps the Schedule of Values in flux. But it’s not your problem. Insist on getting a Schedule of Values at the appropriate time. Make it clear that processing of pay applications depends on timely submission of the Schedule of Values. Once it has been submitted, it should not change. The contract documents commonly require the contractor to submit partial waivers of lien along with the pay request. A lien waiver is a legal document that says the owner has fulfilled that portion of his financial obligation to the contractor represented by the pay request, and the contractor agrees not to put a lien on the property. Make sure the lien waiver is attached when required. The amount stated in the lien waiver should match the amount of the pay request, with retainage subtracted. The contractor may be uncomfortable or unwilling to submit a lien waiver that is current with the pay request. This is understandable, since he has not yet received payment. If this is the case, the contractor should submit a conditional lien waiver that is subject to payment of the amount requested. Or, with owner approval, lien waivers for the previous month's application may be submitted. The Supplemental Conditions specify the amount of retainage that should be withheld on each pay application. This could vary, so make sure you understand the requirements. A common arrangement for retainage would be to withhold 10% of each pay request until final payment. Possibly more common would be to withhold 10% until the work was 50% complete, and then not withhold any more. Make sure you know what the retainage requirements are, and verify that the pay request complies. When the arithmetic is checked and the remainder of the pay request appears to be in order, the Partner in Charge will sign the cover letter for it. It then becomes a Certificate for Payment. It is forwarded to the owner for signature and payment. Make sure the owner understands when he is obliged to make payment. The contractor should submit three copies of the Application for Payment. Keep an unsigned copy for our files until a copy signed by all parties is returned. Make sure the owner knows he should return a signed copy to us. When the contractor, the architect, and the owner have signed all three copies, one copy goes to the contractor, one to the owner, and one to the architect. Sometimes, other parties, such as the lender, will get copies, too. Check the contract documents in the Project Manual. The Certificate of Payment cover letter is prepared by the Project Architect who is responsible for the contract administration of the project. It must be signed by a Principal in the firm. Historically, close-out is probably the most difficult period in the project. Even though you have retained a percentage of the construction sum to use as leverage, it frequently isn’t enough to actually give you leverage. Nevertheless, you have an obligation to the owner to recommend withholding retainage until certain matters are concluded. This would apply to punchlist remediation, O+M Contract Administration Procedures AOPS © 2003 - 2008 Page 19 manuals, and the like. Given our experience, we must recommend to the owner that retainage be withheld until the contractor has forwarded the marked up record drawings to us for final issue. We can’t close out our portion of the work (and get paid the last of the fee) until we have completed the record documents process. If we can’t get the documents from the contractor, and monies haven’t been withheld to apply leverage, this could drag on for months and months (and it has). 1.2 Proposal Requests Proposal Requests can kill us. Like an RFI, they should be processed and returned to the contractor immediately. Due to the fact that most of us were trained as architects, we may not have a handle on how much things cost. We do have resources available to us to help us figure it out, though. • Some over-pricing is submitted from the get-go. If you can find it, you can inhibit over-pricing practices right from the beginning. • Do it right the first time. If you are lazy and approve something that is overpriced the first time, proposals will show up at the inflated price every time. • We have several resources available to us to try to confirm pricing. We have Means Cost and Pricing books in the Library. We also have a CD version of those books, which speeds up the process dramatically. We can also contact subs, material suppliers, manufacturers, and product reps (preferably from companies who are not involved with the project at hand). All of these things will help you get a handle on what a reasonable price should be. Don’t expect it to be exact. If you can get within 10-15% of the price shown on the Proposal Request, you are doing well. We use an electronic Proposal Request form to request a written proposal (price) from the contractor in order to determine in advance the cost of additional work. It is available as a template in Microsoft Word. This form should be prepared by the Project Architect, and then reviewed and signed by the Principal in Charge. Approval of all proposals should be obtained in writing from the owner, and then incorporated by reference in a subsequent Change Order. Keep in mind that not all items on a proposal request will be approved. Each item should be numbered sequentially, using the following naming convention: XXXX–PR01–A.12 In this example, the “XXXX” indicates the project number (ours, not the contractor’s), PR indicates the document type; in this case, a Proposal Request. The 01 indicates that this is the first Proposal Request for the project, and the A indicates the responsible discipline, and. The .12 indicates that this is item number 12 of the first Proposal Request. Contract Administration Procedures AOPS © 2003 - 2008 Page 20 All approved proposals (which then eventually become change orders) should be recorded in the CA record set of documents and in the PR Log, which is available as a template in Microsoft Excel. The scope of work described in a PR should be reviewed by the contractor, and he should confirm that the schedule can accommodate this change. Otherwise, the contractor should indicate the impact of this change on the schedule. The amount of time the contractor is given to respond to proposal requests should be established in the Project Manual and reviewed at the preconstruction conference. 1.3 Requests for Information (RFIs) RFIs can get architects in trouble. It is a wonderful thing when a contractor asks us for help, because most of the time we can identify the problem quickly and issue a reply knowing we did our job the first time. But they can also be a nightmare. If we don’t have the answer immediately, and we need to involve a consultant or do a fairly intense drawing, it will consume precious time. If we hold up the project because of a tardy response to an RFI, we can be held responsible and liable for the costs associated with that delay. So, the obvious message here is to get them out fast! There is no formal document which standardizes Requests for Information (RFIs). These requests originate with the general contractor, and require a response from us. Therefore, our specifications should stipulate (or include a sample form) all of the information that needs to be included on the RFI form. This response may be written or graphic (but they may not be solely oral). RFIs should have an origination date, and each should be date stamped upon receipt. When we find a receptive contractor, we should try to do all of this kind of communicating electronically. The ease with which we can do that depends on the technology setup the contractor has, the savvy of his personnel, and their willingness to use electronic methods in a world dominated by paper. This may require some heavy technology, in the sense that approved RFIs should have an electronic signature attached. Our technology people can take care of that for us, but whether that will be acceptable to the contractor will have to be determined at the pre-construction conference. RFIs should be tracked using the attached Log format. The Project Architect is responsible for completing this form, although this responsibility may be delegated to another member of the contract administration team. If RFIs result in changes to the documents, they must be recorded on the CA record set. This means that the change should be clouded on the office CA set, with a note indicating the PR item number. This refers to the PR itself, which will be documented in the PR Log; a copy will be kept in a notebook for ready reference (the original goes in the central project files). The manner in which we Contract Administration Procedures AOPS © 2003 - 2008 Page 21 handle this kind of record keeping electronically will depend on the requirements of our agreement with the owner. If we are obligated to provide electronic versions of the record documents, we may as well begin this process immediately. The firm’s CAD Standards Manual provides information about the proper procedures for accomplishing this task. RFIs should be discussed at the pre-construction conference, and it should be determined whether an RFI is an acceptable instrument to effect changes in the work. The AIA provides several other documents for this purpose, and we discourage the use of ASIs (the typical document used to respond to RFIs) to make changes for that reason. There are many pieces of paper required to track activities during construction that cannot be eliminated. We should simplify the tracking procedures wherever and however we can. 1.4 Architect's Supplemental Instructions We use our own electronic document to provide written instructions to the contractor for minor changes in the work that do not involve a change in the contract sum or the contract time (this document is available as a template in Microsoft Word). This form should be prepared by the Project Architect, and then reviewed and signed by the Principal in Charge. Approval of all Supplemental Instructions should be obtained in writing from the owner. Each item should be numbered sequentially, using the following naming convention: ASI 01–A–12 In this example, the ASI indicates the document type (in this case, a Supplemental Instruction). The 01 indicates that this is the first Supplemental Instruction for the project, the A indicates the responsible discipline, and the .12 indicates that this is item number 12 of the first Supplemental Instruction for the project. When preparing the written descriptions of changes in the contract documents, be sure to also include a cross-reference to any other documents that may have been involved in the process to date. It is important to be able to follow a clear and complete paper trail for every change. All ASIs should be posted on the CA record set of documents. Click here for link to: Architect’s Supplementary Instructions Form 1.5 Construction Change Directives We use our own electronic form of the Construction Change Directive as the formal instrument for changes which may involve a change in the contract sum Contract Administration Procedures AOPS © 2003 - 2008 Page 22 or contract time, but for which there is insufficient time to solicit a proposal from the contractor and to get the owner's approval in advance. However, the contractor should not get carte blanche. He must begin immediately to determine any changes in the contract sum or contract time. An agreement should be reached on these issues before the Construction Change Directive is converted into a change order. The Construction Change Directive replaces the former Construction Change Authorization, which in turn replaced the former Field Order. Both of the prior documents are now obsolete and should not be used. The Project Architect is responsible for completing these forms, although this responsibility may be delegated to another member of the contract administration team. Construction Change Directives should be carefully tracked using the CCD Log attached here for your reference. Click here for link to: Construction Change Directive Form 1.6 Change Orders Change order requests are usually originated by the contractor. Our specifications should require that the contractor use the AIA Document G701 for this purpose. Any approved proposal requests should be incorporated into this document. Change orders should include any changes in the contract time, as well as changes in the contract sum. Three copies of each change order should be required from the contractor. They should be signed by the contractor before he forwards them to us. We should review them to make sure they include only approved proposals, and that the change order accurately reflects the approved information shown on the proposal. We should then sign it and forward three copies with original signatures to the owner, keeping a non-original copy for our files until a signed copy is returned to us. We should make sure the owner is aware of his responsibility to sign all three copies, and then return one of them to us, and one to the contractor. He should keep one for his own records. Construction Change Directives should also be incorporated into the change order. 1.7 Submittal Review While it is the purpose of the working drawings to clearly, completely, and accurately describe and define a project, it is not their intent to function as fabrication drawings for the contractor. Each element of the work is subject to Contract Administration Procedures AOPS © 2003 - 2008 Page 23 layout and fabrication criteria that are solely in the domain of the contractor and his subs. These layout and fabrication criteria are spelled out in precise detail in the shop drawings, based on what is shown in the contract documents. Shops comprise a fundamental step in translating architectural design into built reality. Whereas construction documents combine the ingredients of architecture to communicate design intent and one way of realizing that intent, shop drawings indicate the way specific components of a building are to be fabricated and assembled. Our contracts for professional services usually include provisions requiring us to review shop drawings submitted by the general contractor. This offers us significant opportunities: • To continue guiding design execution by confirming that our drawings have been correctly interpreted and that proposed materials conform to the requirements of the specifications. • To further protect ourselves from claims by checking for errors or omissions in the construction documents. • To learn from exposure to new techniques and materials. We have developed certain submittal standards that should be incorporated in the specifications. You should also be aware of what these requirements are, and why they were established as they were. Of primary importance is the need to receive the Submittal Log from the contractor before receiving the first submittal. This allows us to plan adequate staff to meet the anticipated needs of the submittal review process. It also allows us to monitor the submittal sequence to determine whether it allows adequate time to process high-priority submittals. Each submittal should have the correct specification section indicated, and should also list the relevant drawing pages. This requirement should be spelled out in the specifications. The submittal filing system should be set up to reflect the same level of specification sections for ease of retrieval. Our submittal standards are as follows: • shop drawings .....................1 reproducible (sepia) and 3 bluelines • product literature .................1 original and 3 copies • samples................................2 each Shop Drawings We will return only the marked up sepia to the contractor. The 3 bluelines are required only to facilitate the review process, but none are returned to the contractor. The typical distribution of these materials is as follows: Assuming consultant review is required, send the sepia and one blueline to the primary consultant. This consultant will use the blueline as a worksheet to draft his or her review comments. These comments are then transferred to the sepia, Contract Administration Procedures AOPS © 2003 - 2008 Page 24 which is returned to us. The primary consultant makes a print of the sepia for his or her own records, and either keeps or discards the worksheet copy. If a secondary consultant is involved, send the third blueline to the secondary consultant at the same time as for the primary consultant. We probably will not be able to negotiate extra review time just because there is a second consultant involved, so we have to do everything in our power to expedite the review process. The procedure for the secondary consultant is the same as for the primary consultant. If review by a secondary consultant is not required, the second blueline may be discarded. When the secondary consultant has returned the marked-up sepia, we will then perform our review. We will use the third blueline as a worksheet to record drafts of our comments. When our review is completed, we will transfer our comments to the sepia, and then we will make prints for each affected consultant, as well as ourselves. The sepia is then returned to the contractor, bearing an imprint of our rubber stamp indicating the required action. The consultant’s stamp should also appear on each submittal. Remember, we should stamp everything that goes through our office, even if it already bears the stamp of our consultant. And by stamping it, we are obligating ourselves to review it, as well. Our “action required” should never be less stringent than the action required by our consultant; however, it may be more stringent. The worksheet blueline should be retained if it contains comments made by the reviewer that are not needed by the contractor, but that might facilitate review of resubmittals. Product Literature The original and 3 copies of product literature are to be handled in the same manner as the shop drawings. Samples We approve the use of selected materials based upon the qualities exhibited by the samples of those materials as submitted by the contractor. The owner has a right to receive the same level of quality— color, color variation, texture, finish, etc.— that we have observed in the submitted samples. The only manageable way we have to assure the owner of this level of quality is to review and accept two samples of each material. One sample is returned to the contractor, whose job it is to make certain his suppliers provide materials that are comparable in quality to that sample. We use our sample to compare with materials actually installed in the work. If we observe discrepancies, deviations, or significant variations, we should call them to the attention of the contractor, and require replacement of the defective product. Our sample is always retained in our internal CA files until the project is completed. You may encounter a subcontractor who requests (demands) a blueline copy of a shop drawing or a copy of product literature with a wet ink stamp and our original signature. Sometimes, this sub may request an original wet-stamped print for any number of suppliers, sub-subcontractors, etc. Obviously, this request is the result of some legal entanglement that this sub has experienced. Contract Administration Procedures AOPS © 2003 - 2008 Page 25 However, we should take a hard line against this. This effort requires much unnecessary extra work that we do not get paid extra to do. The specifications should make it clear what we will do and what we won’t. Besides, it should be in the contractor’s domain to make copies for his subs. Our owner-architect agreement should always indicate that prints, xerox copies, or other reproductions made of submittals are expenses incurred on behalf of the owner in the interests of the project, and that we will be reimbursed for them, in accordance with the contract language regarding reimbursable expenses. Theoretically, the responsibility for the content of the shop drawings lies with the general contractor. His agreement with the building owner requires him to provide products, materials, and construction in strict conformance with the contract documents. It also makes him solely responsible for the methods and sequencing of construction. The architect's review (remember, theoretically) is a convenience to the general contractor. The architect looks for conformance with the intent of the construction documents as indicated in the language included in the rubber stamp, which is applied to every submittal: CHECKING IS ONLY FOR GENERAL CONFORMANCE WITH THE DESIGN CONCEPT OF THE PROJECT AND GENERAL COMPLIANCE WITH THE INFORMATION GIVEN IN THE CONTRACT DOCUMENTS. ANY ACTION SHOWN IS SUBJECT TO THE REQUIREMENTS OF THE PLANS AND SPECIFICATIONS. CONTRACTOR IS RESPONSIBLE FOR: DIMENSIONS WHICH SHALL BE CONFIRMED AND CORRELATED AT THE JOB SITE; FABRICATION PROCESSES AND TECHNIQUES OF CONSTRUCTION; COORDINATION OF HIS WORK WITH THAT OF ALL OTHER TRADES; AND THE SATISFACTORY PERFORMANCE OF HIS WORK. The general contractor is responsible for the detailed review of shop drawings. He is to verify that the shop drawings are consistent with the architectural drawings, field conditions, construction tolerances, etc., and he must verify that information shown on one set of shop drawings is fully coordinated with other shops, and with other trades. The contractor indicates that he has completed this review by stamping and signing the submittal and noting any action to be taken. In reality, the procedure varies with each contractor. For this reason, our reviews must be considerably more thorough than for general conformance with design intent. But in no case should we accept submittals that do not bear the contractor’s stamp indicating his review. If we get one, send it back immediately, and explain the requirement for the contractor to review all submittals. We review only those submittals (a submittal is a shop drawing, a sample, or manufacturer's literature) that are required by the specifications. Any submittals not required by the specifications should be returned to the contractor unreviewed, with a letter indicating that it was not required and it was not reviewed. The specifications require the contractor to review submittals before he submits them to you, but this is not done uniformly by all contractors. Be on the lookout for this, to make sure the contractor performs his review. The contractor can look for coordination issues that you may not be aware of. Require the contractor to stamp each submittal, and to approve it before he sends it to you. Contract Administration Procedures AOPS © 2003 - 2008 Page 26 If he doesn’t, return it to him as above. (It should be made clear at the preconstruction conference that we expect thorough checking and stamping by the general contractor. This is for his benefit in coordinating the work). Do not accept partial submittals. Frequently, a contractor will ask you to begin your review before he can provide complete shop drawings. This is intended to get a preliminary reaction from you on the level of completeness and accuracy of the submittal. It is possible that this could save the contractor time, but it will double your time. Don’t do it. Return any partial submittals to the contractor immediately upon receipt, along with an explanation of why you have not reviewed them. Incomplete submittals should be brought to the attention of the contractor. In certain situations, it may be desirable to negotiate review of partial submittals with the contractor. Most of the time, this will apply to long-lead items. This can be considered and negotiated on a project by project basis. But keep in mind that it costs us extra time and money, so don’t feel compelled to do this simply because the contractor asks you to do it. The review period should not begin until complete submittals are received. However, judgment and fairness must be used regarding this. The specifications should spell out the time we require for review and return of submittals. Keep in mind the review process described above. If a primary and a secondary consultant is involved, we need time to distribute the submittal to each, they need time to review and return it to us, and we need time to review and return it to the contractor. Put in a couple of weekends, and your time could be used up before you even have a chance to look at a given submittal. We like to require a turn-around time of 15 working days, to ensure everyone of the necessary time to do a responsible review. Of course, this will not please the contractor, who will say that every other architects with whom he does work turns shops around in 10 calendar days. Don’t buckle. Instead, tell the contractor that you would be more than willing to review selected shops in a shorter time period, if he can convince you that that is necessary. But with only rare exceptions, hold the line on the 15 working days. Be sure to remind the contractor that if his submittals are not timely, the review period may need to be extended. A submittal schedule (as required and described in the specifications) is to be provided by the general contractor. Where numerous shops are to be submitted under one transmittal, the contractor should indicate which ones are to receive priority. Dimensions should be checked, and corrected if necessary. A rubber stamp is used to mark the shops, placing full responsibility for correctness of dimensions shown on the contractor, as follows: Contract Administration Procedures AOPS © 2003 - 2008 Page 27 GENERAL CONTRACTOR'S DIMENSIONS RESPONSIBILITY FOR Dimensions shown on this drawing have been reviewed (and revised, if necessary) by the Architect, solely as a convenience to the General Contractor. This in no way releases the General Contractor from his responsibility for providing correct dimensions on the shop drawings, in accordance with the construction documents, or from his responsibility to coordinate such dimensions with the work of other trades, and any field conditions which may affect the dimensions indicated here. Our action is to be indicated by stamping the submittal with our shop drawings "ACTION" stamp. Submittals reviewed by consultants must have the consultant's action indicated as well. We should review and stamp all submittals, even if they clearly pertain to one of our consultant's disciplines. Our review should be for general conformance with the design intent, as indicated in the shop drawings stamp. Prior to receipt of any shop drawing submittals, the reviewer should have the shop drawings log and filing system in place. A sample of the log is included with this handout. It should be filled out as required. The filing system consists of one or more accordion files (11" x 17" minimum size) placed in a file storage box. Organize the files according to CSI Division number (1-16), and use a numerical sequence within each division. The shops log is to be kept in space number one, along with the first submittal. Upon receipt of a submittal (which should arrive with a transmittal describing the complete contents), check to be certain all items were received as specified. Confirm that the submittal is one that is required by the specifications. Then: Use a submittal numbering system to record each submittal. The contractor should indicate which specification section applies to each submittal, and you should use that number to identify each submittal. For example: 03300-1.0 (to identify the first submittal received in section 03300) 03300-1.2 (to identify a resubmittal of the first submittal) 03300-2.0 (to identify the second submittal in section 03300) 03300-2.1 (to identify the first resubmittal of the second submittal) 03300-2.2 (to identify the second resubmittal of the second submittal) et cetera Let the contractor know that a group of submittals received as a package (under one transmittal) will be processed as a package. Accordingly, any “action” taken Contract Administration Procedures AOPS © 2003 - 2008 Page 28 will apply to each of the contents of the package. To avoid an action of “rejected” on all items within the package, the contractor will have to submit them separately (with separate transmittals). Assign a consecutive log number to the submittal. Separate submittals must receive separate log numbers. The log numbers must correspond to the number of the slot in the accordion file in which the submittal will be filed. File the transmittal in the central submittal file, attached to the submittal. Log in the submittal. Fully describe each item included. For example, instead of "Door Hardware," log in "Door Hardware" and a description of each specific hardware item submitted. Be sure to record the date on which the submittal was received, and the quantity. In logging in a resubmittal, use the same log number as the original submittal, but with a letter suffix added (for example, 23, 23A, 23B). During the construction phase, the architect typically serves as a central point through which all submittals from the contractor flow. We review those pertinent to our areas of responsibility, and then return them directly to the general contractor. Others relating to the engineering disciplines must be forwarded immediately to the appropriate consultant, checked, and returned to the architect. We review those submittals as well, and stamp them with our shop drawings "ACTION" stamp. We may require more stringent action than our consultants require, but never less. Then we return them to the contractor. A transmittal must accompany the submittal on each leg of its journey. Prepare for review of submittals by reading pertinent specification sections and familiarizing yourself with the applicable portions of the drawings. Review the shop drawings with the Shop Drawings Checklist (attached). Answer each question on the checklist, and make certain the submittal is complete and in order. Then begin a methodical review of the shops. Look for: • Conformance with approved manufacturers and products • Consistency with the design intent • Conformance with specified levels of quality • Conformance with referenced standards • Conformance with applicable code requirements Usually during construction, the temptation will arise to correct a deficiency in our drawings by changing shop drawings. Resist this temptation. No changes to the contract documents should be made in this manner. Always follow the typical procedure for identifying, pricing, and executing changes. Contract Administration Procedures AOPS © 2003 - 2008 Page 29 A copy of any rejected submittals (or submittals marked “revise and resubmit”) should be kept in the accordion file until a revised version is received. That way, the revised submittal can be easily compared with your original review comments to make sure the appropriate corrections have been made. 1.8 Submittal Log The Submittal Log is prepared by the Contract Administration Assistant assigned to the construction phase of the project. Actual data entry may be accomplished by support staff. A submittal log is not something we use only to track documents. It should be used also as a way to monitor the contractor’s activities and sequence of events. If the paint is going on and we haven'’ seen a CMU submittal, we need to know. But how do we track all of these items? Painfully. A master log should be created according to specification section. This log should list all items we have specified to receive as submittals and O+M Manuals. Once the list is prepared, take it the weekly meetings. That way, you’ll be better prepared to respond to situations that come up during those meetings, especially discussions that pertain to the status of submittals, and possible accusations about holding up the contractor’s work. Click here for link to: Standard Submittal Log Contract Administration Procedures AOPS © 2003 - 2008 Page 30 1.9 Stick Files and Record Sets Stick Sets The office stick files are reserved for complete record sets of drawings for any project in the Bidding/Negotiations or Contract Administration phases. Since we often use duplicate sets for reference, these reference sets should also be kept in the stick file boxes. Half-size sets should be used wherever possible, since full-size sets can be exceedingly difficult to extract from the stick file box. • The CA record set is available to the Project Architect or the Job Captain (or CA Assistant) for reference in receiving telephone queries about the project. • As addenda are issued, notes are made on the stick set referencing a specific addendum number. Each written or graphic change is recorded on the record set. That is, the addendum number and item number is written on the record set in the appropriate location. New addenda or change information which supersedes older ones should be marked next to the original change, along with the appropriate change reference. The older change should be crossed out, but should remain legible. If full sheets are issued as addenda, the new sheet should be inserted into the set in front of the superseded one. • During construction, further clarifications or changes to the drawings are inevitable. • When Supplemental Instructions, Change Orders, Construction Change Directives, and the like are issued, they should also be recorded on the record set on the stick file. • When drawings in the stick set are changed, the changed drawing should be marked "Superseded," and reference to the new drawing should be given. • Normally, our record drawings must be updated to reflect any substitutions that have been submitted for approval by the contractor, and are approved by us. Therefore, any requests for substitutions which are submitted by the contractor should include a fee to the architect for updating the record drawings and specifications. This should be spelled out in the “Substitutions” section of the Project Manual. • If we are required by our agreement with the owner to provide electronic versions of the record drawings, we must adhere to certain procedures for this process outlined in the CAD Standards and Procedures Manual. This requires a significant amount of work to accomplish. Therefore, you should make sure the fee negotiated for the CA phase of the work is adequate to cover the time of doing this work. This is an aspect of the profession that is very different now than it was when the traditional “cost and price-fixing data” was originated by the AIA many years ago. It is a valid reason for our fees to be higher than they used to be then, but we need to be attentive to this issue when we negotiate our fees today. We also need to be mindful of Contract Administration Procedures AOPS © 2003 - 2008 Page 31 the fact that we are often required to provide mylar reproducible plots of the entire record set. If the cost of providing these mylars at $20 a sheet is not negotiated in advance, we often eat this cost. This is also different than it was in the old days, when we updated the manually drawn mylar sheets and gave them to the owner. So keep that in mind as well. When construction is complete, this record set should be saved in the tube storage system. 1.10 Field Observation and Reporting We have the responsibility during construction to make sure the construction is proceeding in conformance with the contract documents (all of them, not just the drawings). This is done through observation rather than inspection (the designprofessional liability insurance people have stricken the word "inspection" from the minds and mouths of modern—and postmodern—architects everywhere), and through review of submittals. This chapter deals with our observation responsibilities. The time you spend observing construction in-progress is likely to be some of the most educational time you will ever spend in this business. However, the opportunities to do it as part of your job responsibilities are just as likely to be few and far between. You should look for opportune times to visit job sites, even if you have to do it on your own time. The dividends this will pay in your daily work will be enormous. If you are fortunate enough to be selected to participate in construction observations as one of your assignments, you will also probably be fortunate enough to be selected to write the field report which must follow every visit. Here are some things to keep in mind: Prepare yourself before visiting the job site. • Find out what construction activities will be going on during your visit; then, review the drawings and specifications to familiarize yourself with that portion of the work. • Familiarize yourself with the General and Supplementary Conditions; know your rights and duties in administering the contract. Know also what you are not responsible for. • Familiarize yourself with the "execution" sections of the specifications in particular; remember that construction methods and techniques are the responsibility of the contractor. • Be familiar with any standards referenced in the specifications. Verify that the completed work is consistent with the Application for Payment. Contract Administration Procedures AOPS © 2003 - 2008 Page 32 • Generally, this judgment will be made by the Partner in Charge, but your knowledge of the project will make your opinion valuable to him or her. • Keep in mind the purpose of your observations. • Your purpose is to verify that the construction is proceeding generally according to the contract documents. That doesn't mean you need to measure the distance between caissons, but it does mean that you should see caissons rather than spread footings. • Think about construction that comes later, and look for some assurance that the contractor is thinking about it too. Sequencing of the work is the contractor's responsibility, but if drywall is going up and there is no backing to receive the shelving standards later, you should query the contractor about it. • Make sure you get the quality of workmanship the owner deserves. Contractors are touchy about this, so you'll have to be careful about how you present any questions about workmanship. Keep in mind that the first subcontractor on the site sets the standard of performance (and the prevailing mindset) for all those who come later. You may want to choose your battles here carefully. For example, would you rather have footings that were perfectly straight, or would you rather that the joints in the rosewood veneer be perfectly tight and smooth? Remember that you aren't going to find perfection everywhere, just as your drawings aren't going to be perfect. But you do have the right (and the responsibility) to insist on highquality workmanship. • While you are at the job site, invariably you will be asked questions seeking clarification of design intent. The architect is the final authority on questions of artistic effect, so wield this power cautiously. Remember that the contractor views you as much the architect (when it serves his purpose) as he does the Partner in Charge. Anything you say can and will be used against you in a kangaroo court. Do not give direction directly to subs; always communicate through the superintendent. • The architect has the right to reject the work, but this decision rests with the Partner in Charge. Never stop the work unless directed to do so by the owner. • Record your observations, and document them in a report. • Create standards for documentation; use a three-ring binder for notes, with graph paper for sketches. • Always check in with the superintendent before touring the site. Try to get the superintendent to accompany you (this will not be difficult), and try to review your observations and comments with him before you leave the site. • Describe in general the progress and quality of work at the site; avoid being overly detailed. Contract Administration Procedures AOPS © 2003 - 2008 Page 33 • Try recording your observations on a hand-held tape recorder. This method will keep you on track in objectively reporting what you see, rather than editorializing, particularly if a 300-pound superintendent is escorting you through the project. Of course, hand-written notes always work, too. • Follow-up your visit with a report. Always give a copy of each report to each member of the design team. • Note all conversations, including those with the subcontractors. • Note deviations from the contract documents—be meticulous. • Note questions from the contractor. • Always take a camera with you; photograph the general progress of the work, and specific details of interest. • Include selected snapshots with your report; refer to them specifically in the text of your report when convenient. And remember, they may be very educational for people back at the office. Using Job Site Photographs The use of job site photographs is one of the best timesavers, quality control tools, and staff training devices you can find. Photo memos as jobsite feedback are among the best multi-purpose timesavers and quality control tools of all time. Here's how to do it: 1. Require that anyone who visits one of your job sites or completed buildings take a camera with them and photograph the work to document the status of the work, the weather conditions, and any problem areas. A simple digital with a date recorder is the simplest and perhaps the most convenient. 2. Start with a small thumbnail sheet of photos, and select a few to enlarge to bring out detail. 3. Insert the photos electronically into your Field Observation Report, choosing only a few to illustrate the salient points you wish to make Add descriptive notes to explain or clarify the photo 4. If you discover problems, you may choose to present the photos to your staff back in the office. Pin up larger printouts of the problem areas, and provide a brief description of the problem. Include a summary of the cost of solving the problem in change orders, reconstruction, inconvenience, etc. Add your recommendation(s) for avoiding the problem in the future. Contract Administration Procedures AOPS © 2003 - 2008 Page 34 KEEP ALL COMMENTS MATTER-OF-FACT AND INSTRUCTIVE. Tempting as it may be sometimes, don't allow your remarks to be blaming, insulting, or punitive. Those who do otherwise have gotten resentment, sabotage, and worse problems instead of a better-informed staff. Anyone who visits the jobsite is supposed to carry a camera and photograph any problem spots they see. The photos go to [the Director of Quality Control and the Project Architect] and, besides taking corrective action, (s)he photocopies the pictures on a memo sheet and adds comments of explanation, correction, and prevention. The Jobsite Feedback Memos are used to make corrections in the standard detail file and as educational memos available office-wide. We should try to keep the feedback remarks good-natured to avoid hard feelings among those responsible for errors. On the other hand, nobody wants to see their decisions and drawings end up as examples of what not to do, so they take extra care. Click here for link to: Standard Field Report Form Our role during construction is to make sure the owner receives the project that is described in the contract documents. Even though we are being paid by the owner, we must always remain objective in interpreting or enforcing the requirements shown in the documents. Obviously, the owner wants the best project possible for the money. And so do we. But we must remain ever mindful of the realities of the construction process. There may a difference between good or acceptable workmanship, and perfection. If the owner is demanding perfection, you may have to express your opinion that the work is of an acceptable level of quality. Remember, the owner is paying for the level of quality described in the specifications, which has been tailored to the owner’s needs and budget; it could be a long way from perfection. If the contractor is being a bit sloppy, you must be on top of that as well. But, first and foremost, you must be objective and fair. You are not on the owner's side, and you are not on the contractor's side. You are on the side of the project, and you must do what you have to do to make the project successful. 1.11 Standard Punchlist Format The following punchlist format has been developed and refined over many years of use. Please conform to this format when you create punchlists. You may find it to be time-conserving to dictate punchlist comments into a handheld tape recorder. If you do, take a copy of this format along with you so that you will be able to dictate according to the prescribed format. Alternatively, you may want to consider using half-size copies of the floor plans, and then recording code numbers on the plans. These code numbers refer back to a standardized list of deficiencies. Contract Administration Procedures AOPS © 2003 - 2008 Page 35 Each punchlist visit should be scheduled with you by the contractor in advance (preferably at least a week in advance). You can help determine how much of the project can be punched in a day or in the time allowed. Work this out to your convenience (within reason). Often, the contractor will ask you to make a premature punchlist visit. This multiplies our work many times. Resist this temptation. Demand that the contractor complete the work before you make the trip. Also, require the contractor to do his own punchlist before he asks you to come out to the job site. Then use his list for reference when you go. The punchlist should not be used as a "Items to be Finished" list. Try to get language in the general conditions that informs the contractor that any punchlist that includes more than, say 50 items, will result in additional services compensation for the architect, and the amounts will be deducted from the contractor’s retainage. Review the schedule several weeks in advance of the punchlist timeframe. Make sure the contractor understands our expectations, and that he allows adequate time, both for us to perform the punchlist activities, and for him to take remedial action on any punchlist items. Sometimes, the owner will ask us to do a post-punchlist visit. This is a visit to make sure all of the items on the punchlist are satisfactorily addressed. Make sure the general contractor and each affected subcontractor has personally inspected and addressed each item on the list before they ask you to come out. The punchlist format should include a column for each contractor and sub to sign off the work within their area of responsibility. Click Here for Link to: Standard Punchlist 1.12 Certificate Of Substantial Completion The AIA provides Document G704 Certificate of Substantial Completion to establish the date of Substantial Completion for the project. The AIA has developed a legal definition of the term substantial completion, and this definition should be used to determine the actual date. As a practical matter, the date of substantial completion is usually defined as the date that the client or owner can begin to use the building for its intended purpose. Because of this, it would be wise to include in the Project Manual a definition of when the building becomes usable for the owner’s intended purpose. This means that the date will usually occur after final punchlist items have been addressed. Occasionally, the schedule for occupancy of the building demands that this date be interpreted a bit more loosely, and this should be discussed with the Principal in Charge. You should be mindful of the fact that the date of Substantial Completion is the date when warranties begin. Contract Administration Procedures AOPS © 2003 - 2008 Page 36 This form should be prepared by the Project Architect, and then reviewed and signed by the Principal in Charge. The Certificate of Substantial Completion should not be issued before the Certificate of Occupancy (or the Temporary Certificate of Occupancy) has been issued by the Building Department. Once the Certificate of Substantial Completion has been issued, the owner then becomes responsible for operating the building, for maintaining it, and for repairing any damage discovered after issuance. The owner (and the owner’s agents and representatives) must be trained in the proper methods, techniques, and intervals for running the building. O+M manuals should have been approved and received. Make sure the owner is comfortable with the status of the work and for assuming these responsibilities. Blank copies of this form are available from the AIA. The necessary information should be redlined on these blanks. The support staff will then either type this information directly on an original AIA document, or it will be incorporated into a computer format. 1.13 Post Construction 1. Refer to contract documents for closeout documents required. 2. Obtain closeout submittals from the Contractor • Warranties and guarantees • Operating and Maintenance manuals • Record drawings and specifications • Extra maintenance stock, etc. 3. Review closeout materials, and have consultants review materials that fall within their respective disciplines. Obtain resubmittals from the Contractor as necessary. 4. Submit approved closeout materials to the Owner. 5. Review Contractor’s Final Application for Payment, along with release of liens, debt, etc. 6. Prepare Owner’s electronic Owner/Architect agreement. record drawings if required in the 7. Prepare project files and contract documents for off-site storage. Refer to the Records Retention Matrix for direction on what to do with what kinds of things. 8. Schedule warranty walk-through with the Owner and the Contractor (before the warranty period expires, but close to the end of the warranty period). Report any remediation required to the Contractor and the Owner. 9. Record observations about project systems and durability of materials, and prepare a report for distribution to the Project Team and staff for future reference. Contract Administration Procedures AOPS © 2003 - 2008 Page 37 Record Drawings The contractor is frequently required by the specifications to maintain a set of blueline prints at the jobsite, showing all “as-built” conditions. This set should be posted in the same manner in which our office record set is. RFIs, ASIs, accepted PRs, etc., should be recorded in appropriate locations on the set, or, if adequate space is not available, on the back of the preceding sheet. Other changes should be recorded in red ink in the appropriate locations on the drawings. You should review this set each time you visit the jobsite. This set should be kept clean, undamaged, and legible at all times, because this is the “as-built” set for the project, and it is very, very important. The specifications should indicate that payment may be withheld in the event of the contractor’s failure to do this. However, the set of as-built drawings is not the “record drawing” set that our contracts often require us to provide. Record sets are generally required to be electronic copies or/and in a reproducible form that can be reproduced on a diazo print machine. But, beyond that, our experience has shown that an accepted industry standard for what constitutes a “record drawing” is very difficult to come by. In the days before CAD, some owners required that architects change the original mylars to reflect all changes in the project. However, this does not permit a realistic way to deal with the myriad kinds of changes recorded throughout the project from a variety of sources (such as the PRs, ASIs, RFIs, etc.). Owners are now requiring that these kinds of changes be done on CAD, and then plot new mylars. This seems to be the accepted norm, even though this method also does not permit a realistic way to deal with all of the changes made to the drawings via other kinds of instruments of change. If you are lucky (very lucky), you may be able to convince your clients that drawings, whether CAD or hand-drawn, are merely instruments of service, and not databases for facilities management purposes. If you are that fortunate, a better way to create “record drawings” would be to make full-size mylar xerox copies of the contractor’s as-built drawings. If you are not that fortunate, then you have to make sure you can be compensated for the duplicative (and some might say redundant) effort required to change the original mylars or CAD drawings that were changed once already by some other method. If you have extremely good foresight (and equally good CAD skills), you may be able to change CAD drawings on the fly, to create drawings plotted in small windows to make changes for RFI (etc.) purposes. In that event, you wouldn’t have to do it again later, obviously. But the safest way to protect yourself against having to do work that you hadn’t negotiated a fee for is to clear all of this up in the contract. That way, at least you have an opportunity to negotiate a fee; whether or not you are successful depends on you. Another source of potential disagreement is the manner in which changes are documented on the record set. Let’s say your original design included a bell tower which was deleted during construction. Your change drawings might cloud the tower, with a note that says “delete; PR08-A.12.” However, your client may feel justified in saying that the tower was not built, and record drawings should be modified so that they no longer show the tower. Again, we could find Contract Administration Procedures AOPS © 2003 - 2008 Page 38 no industry standard to govern this kind of thing. It is better to include some language in your owner-architect agreement that states specifically what you intend to do. An example might be: The architect shall provide the owner with a reproducible set of record drawings for the project. This record set will be in the form of full-size xerox copies on mylar of the contractor’s as-built drawings, which shall include all changes made to the project, whether by written or graphic means. Changes to the original mylar drawings or the original CAD files shall be performed as an additional service at the hourly rates outlined in Article __ of this agreement. Always remember to require a signed return receipt when transmitting either asbuilt or record drawings to the owner, or anyone else. Contract Administration Procedures AOPS © 2003 - 2008 Page 39