CE - Key Terms Flashcards

(44 cards)

1
Q

When does bidding occur for:

Design-Bid-Build
Multiple Prime Contractors
Design-Negotiate-Build
CM as Constructor
Design-Build
Bridged Design-Build
Integrated Project Delivery

A

Design-Bid-Build: Bidding occurs after 100% CDs

Multiple Prime Contractors: Bidding occurs after 100% CDs

Design-Negotiate-Build: Bidding occurs after 100% CDs

CM as Constructor: No biding occurs because only one CM is chosen. Pricing, specifically a GMP for this project, is done after 100% DD

Design-Build: No bidding occurs; the owner negotiates the price with the DB entity at the very start of the project

Bridged Design-Build: No bidding occurs; the owner negotiates a price with the DB entity after 100% SDs

Integrated Project Delivery: No bidding, because it’s a group coming together and self-organizing to form a new entity with a contractor already part of that

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2
Q

What is a specification?

What is the difference between a proprietary specification (or closed specification) vs. an open specification.

For the 3 types of OPEN specifications, describe the difference:
1. Descriptive Specification
2. Performance Specification
3. Reference Specification

A

What is a specification?

A specification is a written explanation of items to be included in the project, as well as their performance requirements, tests to be performed, material handling requirements, installation requirements. They’re typically formatted in MasterSpec format, which is helpful bc it’s a universal organizational style.
__________

What is the difference between a proprietary specification (or closed specification) vs. an open specification.

Closed specifications are when the owner or architect has a very specific type of item or material they are spec’ing, and substitutions or alternates are not permitted by the contractor when they are bidding on and building the project. Closed specs are not allowed on publicly funded projects bc they can be seen as providing favoritism in certain manufacturers. An example is if the owner or architect will only accept a very specific type of roof material or floor tile or stove, in which case the architect or owner needs to list the exact manufacturer and product name they require.

Open specifications are a way for allowing bidders to provide alternatives to what was spec’ed. It allows bidders to propose products that they’re most familiar with installing, and can obtain at the best price possible. Open specifications promote lower prices, while closed specifications ensure that the owner will receive an exact product in each bid

_______

For the 3 types of OPEN specifications, describe the difference:

  1. Descriptive Specification
    if the owner and architect don’t require an exact product, the architect can prepare a specification such as a standing seam metal roof with 16 inch panel width, painted black. And that description is the only part they care about, which one the contractor chooses doesn’t matter so long as it meets that description.
  2. Performance Specification
    This describes the performance criteria the product should meet. Often used for exterior wall components and roofing membranes where the performance is super important and aesthetics are secondary or not relevant bc the item will be hidden. Ie. the architect might specify that the roofing material must meet certain criteria such as wind uplift, deflection limits, and air leakage through joints.
  3. Reference Specification
    This type of spec provides criteria as established in a REFERENCE standard, such as the American National Standards Institute (ANSI), or The American Society for Testing and Materials (ASTM), or Underwriters Laboratory (UL). Reference specs typically describe the performance desired, such as wind uplift allowed should be Class 90 per UL 580. It’s important to note that the type of specification used will affect the bidding process.
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3
Q

Describe the difference between the process of analyzing publicly vs privately funded projects.

Consider:
Open vs closed bidding
Specific protocol followed for each
How is the winning bidder decided?

A

PUBLICLY FUNDED PROJECTS:

  • done via open bidding (aka anyone can submit a bid)
  • bids are all public record. When bids are received, they are stamped with a date and time. No late bids accepted. Bids are opened one by one at the same time and read aloud to ensure the bidding process is open and transparent.
  • the LOWEST RESPONSIVE / RESPONSIBLE BIDDER is awarded the project
  • **some jurisdiction may allow the client to make a VALUE-BASED SELECTION (VBS), which allows a client to consider criteria other than the price, such as a quality of workmanship, the proposed schedule, craftsmanship, financial health, past performance, staffing. Another way of thinking about VBS is when you select a contractor based on anything besides cost.

________

PRIVATELY FUNDED PROJECTS:

  • done via closed bidding (aka only invited bidders can bid)
  • bids are not required to be made available to the public, and there is no rigorous standard by which the bids must be opened, though late bids are also not considered.
  • Uses QUALIFICATION-BASED SELECTION (QBS) to choose the winning bidder out of the pre-qualified selection
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4
Q

During the bidding process, how do Requests for Information (RFIs) work?

What about substitution requests?

Or value engineering requests?

A

RFIs DURING BIDDING:
They are used when a contractor has questions about items in the bidding documents.

Answer responses to questions from one bidder goes out to ALL bidders so that everyone is working from the same information

If the response to an RFI requires the architect to issue an addendum, all bidders should receive the addenda. Sketches to clarify a condition are an example of what would get issued in an addenda

______

SUSTITUTION REQUESTS DURING BIDDING:

A lot of information is typically required for a substitution request to be consider, such as samples, test data, reasons why the specified product cannot be provided, and so on

All responses to substitution requests should be issued as addenda, regardless of whether the architect accepts or rejects the request

______

VALUE ENGINEERING DURING BIDDING:

Since bidding requirements are typically less structured in privately funded projects, owners often entertain value engineering options that are suggested by bidders. These are typically sent along to the architect for their review as substitution requests
It is important for the architect to review a life cycle cost analysis for items suggested as value engineering alternatives. Often a product with lower upfront cost will perform worse (not last as long, require more maintenance, have shorter warranty, etc) than the item that the architect originally specified in their basis of design

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5
Q

What’s a Project Authority Matrix and when should you introduce one to a project?

What does the Matrix look like for DBB?

A

A Project Authority Matrix outlines which party has authority over each item in a 1 page concise document. It’s good to send this out to the team so that it can be reviewed at the preconstruction conference.

For DBB the Authority Matrix says:
- Contractor responsible for work conformance, project schedule, submittals
- Owner responsible for schedule and work conformance
- Owner is only party listed who has authority to accept nonconforming work
- Architect responsible for the schedule and project budget up to the point when construction begins, after which these two crucial elements shift to eh contractor’s responsibility
- During construction, the architect is responsible for evaluating the work, advising the owner, reviewing pay apps and submittals, issuing a certificate of substantial completion, and any other outlined contracts
-Subcontractors only talk to contractor
-All communication with consultants goes through the architect
-The owner and contractor only talked to each other through or in conjunction with the architect

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6
Q

What are vs. are NOT the architects responsibilities during CA?

site visits

inspections

observing the work

means and methods

confirming quantities & all dimensions

contractor’s performance in accordance to the CDs

reviewing submittals

meeting construction schedule

A

RESPONSIBILTIIES:
-Observe the work
-Review submittals to make sure they are consistent with the CDs

____

NOT RESPONSIBILTIIES:
-Means and methods, we don’t tell the contractor how to do what they do, that’s up to them
-We do not do inspections, we just observe the work (nomenclature is important)
-Not responsible for confirming quantities nor all dimensions (you can provide a dim if you’re asked for one but we’re not looking for shop drawings, we are looking and verifying all dimensions that are given to us in shop drawings.
-We are not responsible for site safety (falls only on contractor)
-Not responsible for maintaining project construction schedule (falls on contractor during construction)
- not responsible for the failure of the contractor to perform the work in accordance with the CDs

-Site visits are not meant to be exhaustive nor to catch all mistakes being made by the contractor bc this would put an enormous burden on the architect and it would be impossible for the architect to perform under this standard. Instead, the architect shall visit the site at intervals “appropriate to the state of construction or as otherwise required” where the architect specifies a maximum number of site visits they’ve accounted for in their fee

The architect’s role is to keep the owner informed about the progress and quality of the work completed and report to the owner known deviations from the contractor documents and schedule as well as defects and deficiencies in the work

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7
Q

What are the 3 main types of construction meetings and describe each?

A
  1. Preconstruction Conference

The purpose of the preconstruction conference is to make sure all the parties are clear on who’s doing what and when. The attendees include the owner, architect, contractor, perhaps some consultants, a CM if there is one, sometimes a representative from the AHJ.

This meeting is usually conducted by the architect, who is responsible for scheduling the location, addenda, and providing an agenda in advance. Any documents to be discussed should be shared in advance, including ones from the contractor?:
- submittal schedule
- schedule of values
- list of subcontractors and vendors

COMMON AGENDA ITEMS FOR THE PRECONSTRUCTION CONFERENCE:

  1. Administrative Procedures Processes - which include submittal and RFI procedures. It’s crucial that the contractor understands the contractual amount of time that the architect has to review submittals and RFIs. USUALLY 10 business days is included in the owner-architect agreement for submittals. USUALLY 3-5 business days is included in the owner-architect agreement for RFIs.
  2. Submittal Schedule - should be reviewed to ensure that the submittals allow appropriate review time, allow for revisions as necessary, and are not all submitted around the same time.

It’s common for subcontractors to be required to provide the contractor with all their projects submittals within 30 days of signing their contract. If the contractor hires a few subcontractors around the same time, they may be tempted to dump a huge number of submittals on the architect’s desk for their review. It would be more appropriate to space the submittals out in order of priority so that the architect can review each diligently and return them before the next ones become overdue

  1. G702 Applications for Payment
    -There are a number of steps that need to occur before payment goes from owner to contractor
    -The team should discuss when the draft payment application will be submitted, how long the architect has to review the application, which is typically 7 calendar days, and when it should be paid by the owner
    -The team should discuss a regular payment schedule of payment applications, which is typically monthly
  2. G703 Schedule of Values
    -Breaks down the scope of work into portions that the team can easily track progress against
    For ex. a 1 million dollar project budget might have a concrete foundation, and in the SOV it would allocate a portion of the million towards the concrete, say 100k
    It’s much easier to know how much to pay the contractor when the concrete is 25% complete (simply multiply 25% by $100k)
  3. Review the list of subcontractors and suppliers

6.Review sustainability requirements, such as LEED

  1. Review the architect’s schedule for site observations

Review any mockups are that may be required and their schedules
Review owner requirements for site signage
Review any early occupancy plans from the owner
Review team members roles and responsibilities using project authority matrix

__________
SECOND TYPE OF CONSTRUCTION MEETINGS:

  1. Regular progress meetings

OAC meeting (Owner, architect, contractor) mtg
Regular process meetings, called owner-architect-contractor, or OAC meetings, happen throughout construction
At pre construction meeting you discuss how frequently the OAC meetings occur, typically weekly.

_______

THIRD TYPE OF CONSTRUCTION MEETINGS:

  1. Pre-installation meetings
  • Meetings that take place between the project team at the construction site before a specific product or assembly is installed to make sure that everyone is on the same pace
  • The specifications should indicate which items require a pre-installation mtg
  • Before the contractor proceeds with the work, the architect writes the procedure for conducting pre-installation meetings into division 1 of the specifications, which typically notes that the contractor should schedule pre-installation meetings for each construction activity that affects other work, as well as for materials or systems that specifically require a pre-installation meeting per their individual specification sections
  • Pre installation meetings might only be between contractors and their subcontractors, but the owner and architect might choose to attend some of the more significant pre-installation meetings, such as an exterior wall
  • Regardless, the contractor should produce and distribute meeting minutes to the project team
  • Ex of a product that would require a pre-installation meeting could be carpet or flooring in general. Often they will start with a dry lay, then you come out and approve it
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8
Q

What is the gist of what A101 and A201 describe?

A

A101 is used to describe the project info, such as:
- a list of contract documents,
- critical start and end date,
- the contract sum,
- dispute resolution methods.

A201 contains the bulk of the clauses that will govern the project team’s actions during the construction phase, and it’s referenced in both A101 and B101

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9
Q

Why should the architect care about the A101 and A201 agreements that the architect is not partied to?

A

Even though the architect is not party to the owner-contractor agreement, they have a vested interest in it

The very first sentence in B101 describes the architect’s duties during CA and notes that the architect is responsible to provide administration of the contract between the owner and contractor, and in order to properly perform this task, you need to know what’s contained in that agreement and ideally be involved in its creation in order to address potential issues later on in construction

The architect should ensure that the Owner-Contractor Agreement is consistent with the CDs prepared by the architect, as well as with the B101, B101 typically incorporates by reference A201, the General Conditions

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10
Q

What in the B101 protects the architect?

A

It’s useful to note that B101 protects the architect from any oversight that might occur.

It states in Section 3.6.1.1 that if the owner and contractor modify A201, those modifications won’t affect the architect’s services, unless B101 is also amended. It’s best not to rely on this clause but to rather be proactive in seeking any conflicting clauses between A101, B101, A201 and amending them before they become problematic.

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11
Q

What is the architect’s role when doing site visits?

A

Architects are responsible for:
-As noted in the A201, the purpose of site visits is to ensure that, in general, the work observed is being performed in a manner indicating that the work, when fully completed, will be in accordance with the contract documents.

This is an important clause because it implies that the architect is performing a limited, non-exhaustive review of the work and is not responsible for means and methods.

___

The architect is NOT responsible for:

-Means and methods, we don’t tell the contractor how to do what they do, that’s up to them
-We do not do inspections, we just observe the work (nomenclature is important)
-Not responsible for confirming quantities nor all dimensions (you can provide a dim if you’re asked for one but we’re not looking for shop drawings, we are looking and verifying all dimensions that are given to us in shop drawings.
-We are not responsible for site safety (falls only on contractor)
-Not responsible for maintaining project schedule (falls on contractor during construction)

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12
Q

When coordinating the A101, B101, and A201, what are some of the first things the architect should coordinate the timeline of?

A
  1. The first thing to coordinate is a submittal and RFI review. Both the timeline and number of reviews per submittal are important.

If the architect has allocated 10 business days for the reviews of submittals and a max of 2 revisions for each submittal, the owner’s agreement with the contractor needs to reflect the same information. If, in the same example, the Owner-Contractor Agreement calls for a 5 business day review by the architect and an unlimited number of revisions, the owner will be exposed to relay claims by the contractor when the architect does not review within the timeframe that the contractor expects .

_________

  1. Another thing to coordinate between the contracts is the number, frequency, and purpose of site visits:

A201 notes that the architect will make site visits at intervals appropriate to the stage of construction, or as otherwise agreed upon with the owner. If this clause is revised, conflict can arise due to the contract expecting more frequent site visits than the architect is contractually obligated to provide

The PURPOSE of the architect’s site visit should be clear. As noted in the A201, the purpose of site visits is to ensure that, in general, the work observed is being performed in a manner indicating that the work, when fully completed, will be in accordance with the contract documents.

This is an important clause because it implies that the architect is performing a limited, non-exhaustive review of the work and is not responsible for means and methods.

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13
Q

During construction, if conflicts occur an Initial Decision Maker (IDM) is used. Describe who is usually assigned this role, and what it entails.

A

In order to expedite conflict resolution, an Initial Decision Maker (IDM) is selected to give their impartial opinion on conflicts that arise during construction

Using the IDM is the first step in the conflict resolution before more binding measure occur

Per b101, the architect should act as the IDM, unless otherwise decided upon in the owner-contractor agreement.

The role of the IDM, outlined in A201, states that the IDM shall render a response to a claim within 10 days after receipt, and gives guidelines as to what types of responses they can provide.

B101 lists assisting another IDM as well as evaluating an extensive number of claims as IDM as additional services

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14
Q

Before the owner-contractor agreement is signed, the contractor should provide to the team proof of what documents?

A

The contractor needs to provide proof of insurances, bonds, compliances with any required licensing laws, and perhaps, compliance with equal opportunity laws, if the project is publicly funded.

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15
Q

What is the Notice to Proceed? Who issues it and when?

A

The Notice to Proceed is a formal letter, informing the contractor to begin work. A101 says that the date of commencement of the work may be established in a Notice to Proceed. Otherwise, it’s simply noted in the A101. It’s issued after the owner-contractor agreement is signed and the contractor provides proof of insurance, bonds, compliance with licensing laws, etc.

*The architect may submit the Notice to Proceed to the contractor at the owner’s direction, but it’s important for the architect to carefully craft the language so as not to insinuate that the architect is the one directing the work. They can say something like, “I have been directed by the owner of the project to “issue this Notice to Proceed.”

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16
Q

There are two common tests that are performed on concrete; describe each.

A
  1. Slump test - determines the workability of concrete before each pout. This test is the first thing you do with the concrete to determine that it’s the right consistency. If the concrete is too wet, it’s likely that the aggregate in the concrete will separate from the cement as opposed to being homogenous. If the concrete is too stiff/dry, it won’t flow around the rebar ad the nooks and crannies of the formwork, leaving voids in the slab.
  2. Cylinder test - determines the strength of concrete batches at key intervals during the curing period, typically up to 28 days after the concrete has been placed, as the concrete is ready to be poured, some will be placed into cylinders and taken into a lab at regular intervals over the course of the next 28 day period

The concrete will be tested to determine how much force it requires to be broken

Concrete is generally assumed to have cured after 28 days, but the first test can occur 7 days after. An early test can give a team confidence bc concrete receives most of it’s strength by that point

In general, if the results of a test fail, the architect should refrain from direction that work stop on particular items, as the architect should never direct the work

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17
Q

What is the name/number of the contract used for documenting, as well as who is agreeing to the change, does the proposed change affect the contract sum or time?:

minor change in the work

construction change directives

change orders

A

minor change in the work (G710) & Architect’s Supplemental Instructions (ASI)

All are agreeing to the change.

Does NOT affect contract sum or time.

Ie. changing the joint pattern when installing tile (before it’s been installed) because same price and same amount of time to do

____________

construction change directives (G714)

Owner & architect agree to the change (the owner and contractor are still deciding on what the change means for adjustments to the price and time)

The proposed change DOES affect the contract sum and time

Used for the owner and the architect to order a change in the work that does adjust the sum, time, or both. Only the owner and architect sign the CCD. They can also be used to order a change in the work when the parties don’t yet agree to one or more facts of the change, but the change needs to be implemented immediately. The contractor begins the works while the team agrees to the change in price or sum.

Since CCD process is faster-moving than change order process because they don’t require the contractor’s input, CCDs are often used when the parties have agreed in advance and now just need to memorialize a change
____________

change orders (G701)

All are agreeing to the change.

The proposed change DOES affect the contract sum and time

Used to memorialize an agreement between owner, contractor, and architect (they all sign to approve) about the scope of the change and the subsequent revision when there is a change to the sum or time. G701 documents the change order and lists the original price, the adjustment in sum or time, and any other net change already authorized in previous change orders. The architect is the one who keeps a record of the change orders.

  • It lists the original contract price, the net change by previous change orders, the amount of this change and the adjust in time
    -Sometimes the change order will only affect the contract sum or time, not necessarily both
    -The change order is then signed by the owner, architect, and contractor; and the architect keeps a record of the change order
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18
Q

Things to review when looking at an RFI:

A

Who initiated the change? The contractor, or the owner? Or the architect?

Look at why the original product or assembly was originally chosen

Cross check code and performance requirements needed

Compare with the specification and try to make a fair comparison

Make sure that approving a substitution won’t have a ripple effect to other portions of the work

Ie. an ex of a proposed change that might affect another portion of the work could be almost anything that happens in the ceiling or plenum because almost every consultant is in the plenum space (mechanical, electrical, plumbing, fire protection). If the ceiling is lowered, this will likely affect all the interiors, like window line or height of doors.

19
Q

What are some reasons you might have changes to the contract documents:

A

Change in product or material because the original product that was specified is no longer available

The contractor is making a suggested change as a cost-saving substitution

The owner may change their mind about certain aspects of the design

20
Q

What are the 5 steps to respond to RFIs?

A
  1. Catalog the RFI
    -A sequential RFI numbering system should be used
    -Include a subject, date received, and the date the RFI is due
    ______
  2. Assess the validity of the question being asked
    - RFIs should NOT be used for approval of alternate materials, for revealing submittals, or for requesting changes to the scope of the project. If these types of RFIs, they should be logged and then rejected by the architect with a clear explanation why
  • RFIs SHOULD be used to clarify items in the contact documents (CDs), or to request additional info that is needed to build the project that might not be in the contract documents

______

  1. You will need to determine who needs to provide a response to the RFI (ie do consultants need to also be coordinated)

-In order to do this, you need to understand your own scope of work vs the scope of work of the various consultants
-You find this by looking in the consultant’s contracts, but a simple way to know whether a consultant should respond to an RFI is to take a look at what drawings or specification sections the contractor is referencing in their question
-If they were prepared by a consultant, you should ask for that consultant’s input. If the RFI requires input from consultants, you need to send them the RFI, explain the deadline, and review their response before sending it back to the contractor
-You need to ensure their response coordinates with other portions of the work and is consistent with the design intent
-ALL communication goes through the architect in this process

______

  1. Review the info from any consultants that are responsible for providing a response and ensure that their response is consistent with the architectural design for the project

______

  1. Prepare and catalog the final response to the rfi and submit your response to the contractor

-If the consultant provided a response, that should be included in the architect’s final response to the RFI
-Make sure to always refer back to the CDs to ensure the response is compliance with design intent and specifications
-You may need to provide additional or supplemental information.

Examples of these are
Written directions
Sketches
Materials
Details
This could result in the architect issuing

Catalogue the rfi in your tracking system
______

When a contractor is asking for approval from the architect on a substitution request within an RFI, the architect can approve it after checking that the specifications meet the requirements, but you also need to get the owners approval.

21
Q

What are the 3 valid types of RFIs and 4 INVALID types of RFIs?

What happens if you respond to an RFI that’s not valid?

A

3 types of valid RFIs:

  1. A sequential RFI numbering system should be used. Include a subject, date received, and the date the RFI is due.
  2. Another type could be a request for coordination or missing info. Ie something that hasn’t been detailed or specified in the drawings.
  3. A request confirming code or contract info. The contractor may need you to confirm that they’re building is in compliance with both the code and the terms of the contract

___

4 types of INVALID RFIs

  1. An RFI is incomplete or contains numerous errors. In this case the architect should log the RFI and send it back to the contractor to be completed or corrected
  2. It does not actually ask a question. If the RFI just states that a problem is occurring on site with no clear question, the architect should ask the contractor for further clarification.
  3. An RFI might also be invalid if it requests the approval of the contractor’s means and methods, since these are never the architect’s responsibility
  4. Items that require other forms of documentation, such as requests for approval of submittals, substitutions, adjustments to the contract sum or time, interpretations of the architect’s action on submittals.

_____

**If you do respond to a RFI that is not valid, you could disrupt the proper response channels or legal framework by responding to things like submittals or substitutions that are not valid RFIs, or assume liability and responsibility for incorrect info

22
Q

Who determines what the quantity, types of inspections and inspection procedures that are to be conducted throughout various portions of the project must be?

A

Both the architects and their consultants will determine a number of testing and inspection procedures that must be conducted on various portions of the work

Plumbing , mechanical, electrical, structural, framing, insulation, fire resistant penetrations, and other items are required to be inspected at regular intervals throughout the construction. Timing is crucial because most of the work will eventually be covered by finished work (ie walls covering plumbing pipes)

Dif parties are responsible for testing dif things. Review the project’s agreements to determine who is responsible for each portion of hte testing protocol

Owner is required to test the subsoil conditions as well as any tests required by law such as building code

The contractor shall bear the cost of testing required by the contract documents and by law. THis means that if the architect forgets to include a test in their specs, but the test is required by law, the contractor must provide the test at no additional cost to the owner. The rationale behind this is that the contractor should be familiar with testing requirements in the jurisdiction where the project is being built

Contractors must give timely notice of ALL tests being performed so that the architect may be present if they chose (since they are required to be present for all).

It’s the CONSULTANT’S responsibility to make sure those tests are taking place at the right time

**However, if certain testing procedures become necessary during the course of construction but are not legally required and were not outlined in the bid documents, the owner is responsible for such costs. The owner is also responsible for third-party testing procedures where jurisdictional requirements do not allow the contractor to pay for such tests

________

Testing and inspection protocol would typically meet ASTM and UL requirements, but there could also be unique assembly that could require an additional mockup or performance testing

It’s important that any penetrations through fire rated walls, such as plumbing pipes, maintain the required ratings of the wall. Firestopping is used for this purpose. For voids between walls, firestopping needs to be a certain thickness as required by the manufacturer and needs to cover every gap created by the hole for the pipe.

Locals AHJs may have their own requirements for these inspections

The project requirements for testing of building performance and materials are typically included in the specifications and were likely already reviewed at the preconstruction conference

The architect should assist the owner with securing any special inspectors that may be required and coordinate installation requirements with material representatives

____________

The report will be distributed to the architect from the owner or contractor

**
The architect will need to review the results and cross-check them with testing requirements contained in the specifications, and share results with any consultants that also may need to know the results.

23
Q

Who is responsible for hazardous materials found on site, as well as the mitigation?

A

The responsibility for hazardous materials found on site as well as their mitigation is squarely on the owner, not the architect, per AIA B101. The architect shall have no responsibility for the discovery, handling, removal, disposal of, or exposure of persons to hazardous materials

The owner is responsible for all hazardous materials testing, which may be required in order to obtain a building permit

If unexpected hazardous materials are encountered, the contractor is entitled to stop work in the affected area and notify owner and architect immediately

The contractor is entitled to submit a change order for a delay resulting from finding unexpected hazardous materials

A201 contains an indemnity clause in favor of the contractor, subcontractor, architect, and architect’s consultants regarding hazardous materials.

One ex of when a subcontractor or contractor wouldn’t be held liable for hazardous materials would be an unforeseen condition like an exploded ordnance

Often on renovation projects, a certificate stating that the projects is free of hazardous materials is required prior to construction commencing. This is the owner’s responsibility to coordinate the required testing and obtain a certification

A common example of a hazardous material found underground on a construction site are underground storage tanks (USTs)

Another common example is asbestos, often found in many materials on renovation projects built in the 1970s or earlier, such as caulking, roof tar, floor tiles, etc. It’s dangerous to inhale

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Q

What happens if a contractor finds a UST on site?

A

A UST is an underground storage tank, which often contain hazardous material.

If unexpected hazardous materials are encountered, the contractor is entitled to stop work in the affected area and notify owner and architect immediately

The responsibility for hazardous materials found on site as well as their mitigation is squarely on the owner, not the architect nor the contractor.

The contractor is responsible for any requirements in the contract documents regarding hazardous materials, such as handling and disposal

The contractor is entitled to submit a change order for a delay resulting from finding unexpected hazardous materials

A201 contains an indemnity clause in favor of the contractor, subcontractor, architect, and architect’s consultants regarding hazardous materials.

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What are some instances when you might need to consider the project's sustainability goals?
Some instances when you might need to consider the project’s sustainability goals are during site visits, when reviewing substitution or value engineering requests, and when reviewing submittals. Since not everything is covered in a CD set, architects can keep in mind sustainability goals when responding to RFIs to the contractor. The architect should keep in mind thermal bridging and air flow through facades or ensure material compatibility of items that come in contact with each other. Often during construction and bidding, contractors will suggest value-engineered alternatives to specific materials. Aside from considering durability, aesthetics, and applicability of the proposed material, you should also keep in mind where the material is coming from. Locally sourced products require less shipping to arrive to the site, which reduces fossil fuel emissions. Embodied energy - the amount of energy to produce those materials. Ie stainless steel requires about a quarter of the embodied energy than aluminum. However, aluminum is cheaper than stainless steel Division 01 of the specifications often contains waste management and disposal requirements, and these may be required by the project’s sustainability objectives. It’s important that the contractor is aware of and follows these guidelines
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What are the approximate steps to determine who needs to respond to the RFI?
In order to do this, you need to understand your own scope of work vs the scope of work of the various consultants You find this by looking in the consultant’s contracts, but a simple way to know whether a consultant should respond to an RFI is to take a look at what drawings or specification sections the contractor is referencing in their question If they were prepared by a consultant, you should ask for that consultant’s input. If the RFI requires input from consultants, you need to send them the RFI, explain the deadline, and review their response before sending it back to the contractor You need to ensure their response coordinates with other portions of the work and is consistent with the design intent ALL communication goes through the architect in this process _________________ Preparing and cataloguing the final response to the RFI If the consultant provided a response, that should be included in the architect’s final response to the RFI Make sure to always refer back to the CDs to ensure the response is compliance with design intent and specifications You may need to provide additional or supplemental information. Examples of these are Written directions Sketches Materials Details This could result in the architect issuing an ASI or Architect’s Supplemental Instructions Catalogue the rfi in your tracking system _______________ When a contractor is asking for approval from the architect on a substitution request within an RFI, the architect can approve it after checking that the specifications meet the requirements, but you also need to get the owners approval.
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What are typically part of submittals and who prepares them? How does that work?
On larger projects, submittals are often prepared by the subcontractors, vendors, or suppliers, not always the contractors themselves Submittals usually consist of: -Product data -Shop drawings -Physical samples that show the contractor’s detailed plans for what they plan on installing and how they plan to do it ____ How it works: The contractor should prepare their submittal schedule in conjunction with the construction schedule. They need to work backwards from the date that they need material on site in order to figure out how long before that date, they need to provide submittals to the architect The submittal schedule is crucial for the architect to appropriately staff the project. The architect should review the submittal schedule to ensure that submittals are properly spaced out so that there is not an inundation of submittals one week, and then none for the next 3 weeks The contractor should then submit his schedule to the architect for review prior to the start of construction. . The contractor should include adequate time for review by the architect as well as their consultants, as well as time for revisions, and re-submittals as well as some contingency time to allow for the unexpected
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Why are submittals necessary?
The architect’s drawings are design intent drawings, and not a full set of instructions to build the project. Instead, the architect includes in their specifications a number of submittals that they require the contractor to submit showing exactly how they plan to build the project Therefore the purpose of submittal review by the architect is twofold: 1. To finalize details of certain portions of the work that are beyond the scope of the design intent drawings 2. For the contractor to submit drawings to the architect, demonstrating their understanding of the contract documents
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What are the contractor’s submittal responsibilities?
1. The content of the submittals: - Quantities - Dimensions - Conforming to contract documents - Means & methods 2. Reviewing & approving the submittal from their subcontractor, vendor, supplier, etc, before submitting it to the architect 3. The contractor needs to include their stamp 4. The accuracy of the submittal and complying with the CDs - **Ultimately, the contractor is responsible for the contents of the submittals. A201 is extremely clear that the contractor is not relieved of responsibility for errors or omissions contained to submittals just because the architect approved them. - Another way to drive this point home: it’s important to remember that submittals are not contract documents. This is clear in A201 because it means that even if a contractor submits a submittal for the design that does not comply with the contract documents and the architect fails to realize this and then approves the submittal, the contractor still contractually owes the owner the item that was included in the contract documents - The only time submittals are allowed to deviate from the contract documents is if the deviation is clearly noted on the submittals and the architect responds to the specific deviation and approves it, and the deviation is further memorialized as a minor change to the work or with the change order - For example, field dimensions might be dif than the CD drawings, but the field dimension is okay to be approved as the final
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What are delegated submittals?
They are used when the architect notes in the specifications that the contractor shall hire a design professional to design specific portions of the work Essentially the architect is delegating the design of the aspect of the work to the contractor who would delegate it further to a design professional’s of their choosing Ex. often used for miscellaneous metal items like an affixed ladder or handrail A201 notes that the architect should be allowed to rely on the delegated design professional’s expertise, and the architect is not liable for the design of the delegated design professional When using a designated design professional, the architect is still responsible for defining all the design criteria such as wind speed or seismic criteria
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How should the architect review submittals?
1. Architect receives submittal from the contractor 2. Architect catalogues it with a unique number (similar to RFI’s, web-based programs are incredibly being used to log and distribute submittals to take some of the logging burden off the architect’s plate). 3. Architect should then assess the validity of the submittal and whether or not it should be reviewed. - You know it’s valid if it’s identified in the specifications as a required submittal. If NOT valid, it should be returned to the contractor and marked as not reviewed with an explanation of why. - A submittal might be valid BUT missing certain info like the contract’s stamp or other info, in which case the architect should mark it as “revise and submit” or “rejected” 4. Determine who will be responsible for responding to the submittal, aka whose scope it falls under (architect or consultant or contractor) - The architect is responsible for making sure things are sent back in a timely manner - If the architect assigns the wrong consultant or delays are caused, the architect may be liable for an issue that should be under the consultant’s scope of work - The architect needs to review the work that the consultant has done - Ie. if a kitchen consultant needs to revise the location of several pieces of equipment, this has impact on plumbing and electrical connections so you would need to forward the kitchen consultant’s revisions to the plumbing and electrical engineers for their coordination 5. Once the architect receives what they need from all the consultants, they prepare for the architect’s review - Here, the architect is checking the review for compliance with the design intent of the contract documents - What the architect show NOT review: the architect does NOT verify or determine fasteners, dimensions, material gauges - Ie. if reviewing product data for a light fixture, you should open the specification for that fixture and compare the features that you specified with what was submitted 6. The architect provides an appropriate submittal action, you need to know what each action means - Typically the action is noted on a submittal stamp - The submittal stamp contains legal language confirming the limited scope of the review - “No exceptions taken” means the contractor can move forward with the work as submitted and no members of the design team have provided any comments to the submittals. Some firms use “approved” instead of “no exceptions taken” - “Exceptions as noted” or “approved as noted” or “make corrections as noted” means that the contractor needs to make changes as noted on the submittal review by the architect and consultants. The contractor can make the changes but does not need to resubmit to the design team, as the changes requested are minor and easily understood. Ie the architect might mark the submittal as “approved as noted” if their only comment was that the selected color by the contract should have been black, not gray - “Revise and resubmit” - the contractor must resubmit the submittal with the info as noted by the architect and consultants. This could also be when there is any missing info as we discussed when determining the validity of the submittal. Ie this would be used if the contractor chose the wrong color or diameter of a fixture. The contractor should revise the submittal according to the architect’s comments and then resubmit the submittal for the architect’s approval - “Rejected” means the submittal is so incomplete or inaccurate that it’s unable to be reviewed. The contractor must then provide a new submittal with the correct and complete info - “Not reviewed” means that a review is not required as outlined in the specifications. 7. The last step is to catalog the reviewed submittals in the appropriate project log, and return copies of the final submittal responses to all appropriate parties. You need to document the correct submittal action, and document the date that you and the consultants each responded, and then update the submittal status in the log - The architect is the one who returns the final submittal response back to the contractor
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What do the following submittal actions mean? "No exceptions taken" "Exceptions as noted” or “approved as noted” or “make corrections as noted” “Revise and resubmit” “Rejected” “Not reviewed”
Typically the action is noted on a submittal stamp The submittal stamp contains legal language confirming the limited scope of the review “No exceptions taken” means the contractor can move forward with the work as submitted and no members of the design team have provided any comments to the submittals. Some firms use “approved” instead of “no exceptions taken” “Exceptions as noted” or “approved as noted” or “make corrections as noted” means that the contractor needs to make changes as noted on the submittal review by the architect and consultants. The contractor can make the changes but does not need to resubmit to the design team, as the changes requested are minor and easily understood. Ie the architect might mark the submittal as “approved as noted” if their only comment was that the selected color by the contract should have been black, not gray “Revise and resubmit” - the contractor must resubmit the submittal with the info as noted by the architect and consultants. This could also be when there is any missing info as we discussed when determining the validity of the submittal. Ie this would be used if the contractor chose the wrong color or diameter of a fixture. The contractor should revise the submittal according to the architect’s comments and then resubmit the submittal for the architect’s approval “Rejected” means the submittal is so incomplete or inaccurate that it’s unable to be reviewed. The contractor must then provide a new submittal with the correct and complete info “Not reviewed” means that a review is not required as outlined in the specifications.
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What is the difference between Action vs Informational submittals?
Specifications will note which kind of submittal it is __________ Action submittals - - Require review by the architect (or perhaps consultants too) to check against the contract documents - A majority of submittals are action submittals - If it looks good, mark as “approved as noted” - Ie. elevators, doors, curtain wall, flooring ___________ Informational submittals - - Do not require action by the architect - A lot of times, a contractor will submit those, and they will be simple like a bubble around the VOC level - Ie. product data like paints or adhesives
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What is the risk of responding incorrectly to a submittal?
If you respond incorrectly to a submittal, you risk assuming responsibility and liability for something that may be incomplete or incorrect. Ie. products could end up being used to have not been approved, or things could be constructed incorrectly
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What is MasterFormat?
A common specification organization system, developed by the Construction Specifications Institute (CSI), to provide a standardized method of organizing project info. It breaks specifications down into divisions.
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What are specification Divisions? What are divisions 00 through 14, and 21 - 28? What Division would electrical wiring be categorized as?
Divisions categorize commonly used construction products by either material or function. There are 50 divisions each with a 2-digit number, beginning with Division 00. 00 - Procurement & Contracting Requirements 01 - General Requirements 02 - Existing Conditions 03 - Concrete 04 - Masonry 05 - Metals 06 - Woods, Plastics, and Composites 07 - Thermal & Moisture Protection 08 - Openings 09 - Finishes 10 - Specialties 11 - Equipment 12 - Furnishings 13 - Special Construction 14 - Conveying Equipment 21 - Fire Suppression 22 - Plumbing 23 - Heating, Ventilating, Air Conditioning (HVAC) 25 - Integrated Automation 26 - Electrical 27 - Communications 28 - Electronic Safety and Security ________ While electrical wiring is mostly metal, it will not be categorized under Division 05 but instead under Division 26 because that's where electrical equipment is found.
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What are specifications?
Specifications - describe the actual products that the contractor must use, and outline many of the processes they must follow Many architects spend a long time on their drawings but outsource specifications, or fall back on using the standardized set of specs. They are typically organized in MasterFormat, and specification numbers should be included in submittal names when they’re being prepared by the contractor Having a proper set of specifications for the project is critical in providing the level of detailed instructions that the contractor needs, and for the architect when reviewing RFIs and submittals While drawings may simply call for half-inch sheetrock, the specifications will into into detail about the properties of that sheetrock, perhaps the density, allowable composition of the material, and the level of finish required after it is installed Are further broken down into sections and identifiers, each of which is represented by two digits Therefore each specification contains a 6-digit number, the first two representing the division, the middle two representing the section, and the final two representing the identifier Specification numbers should be included in submittal names when they are being prepared by the contractor. This makes it easier for the architect to locate the applicable specification when performing their review Ie. cast-in-place concrete is 03-30-00
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What are the 3 parts that specifications are broken down into?
1. General - provides a brief description of the products covered in the introduction paragraph and reference documents used in the specification, required submittals, and a list of related specifications - Ie the cast-in-place concrete specification found in 03-30-00 might reference specifications 03-20-00 (concrete reinforcement), 03-10-00 (forms and formwork) __________ 2. Products - lists the required tests that the material must meet. The materials that should be used or the acceptable properties depending on the type of specification. Ie. the cast-in-place concrete specification might list the required type of Portland cement, any allowable or requirable admixtures, the aggregate requirements, and placement criteria in the part of the specification __________ 3. Execution - lists the field quality control measures that must be taken such as testing procedures, material, and surface preparation, conveying, and placement requirements Ie. for cast-in-place concrete, the requirements for the cylinder and slump test will be found in this part of the specification, as well as requirements for mixing, temperature, placement, and conveying of the material during pouring, and curing requirements, how it should be protected from weather, and what happens if defective concrete is poured, allowable tolerances. For concrete you might specify that the slab is considered flat if it has a maximum pitch of 1/8th inches in 10 feet
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What's an example of what each submittal comes with?
Each submittal comes with a cover sheet from the contractor that shows that they’ve reviewed it. And then the content of the shop drawings show overall scope, finishes, as well as some key dimensions that are noted by the contractor. After the architect has reviewed the submittal we will fix our own cover sheet to the submittal that shows our disposition and how we’ve reviewed it
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True or false, even if the contractor submits a submittal for a portion of the design that does not comply with the contract documents and the architect fails to realize this and then approves of the submittal, the contractor still contractually owes the owner the item that was included in the contract documents
true
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What happens if you as the architect respond incorrectly to a submittal?
You risk assuming responsibility and liability for something that may be incomplete or incomplete. For ex, products could end up being used that have not been approved, or things could be constructed incorrectly. This could add to the cost and timeframe of construction.
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What are the 6 digits that make up a specification?
Specifications are further broken down into sections and identifiers, each of which is represented by two digits. Therefore each specification contains a 6-digit number, the first two representing the DIVISION, the middle two representing the SECTION, and the last two representing the IDENTIFIER. Specification numbers should be included in submittal names when they're being prepared by the contractor. It makes it easier for the architect to locate the applicable specification when performing their review Cast in place concrete is 03-30-00
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Changes to the Contract Documents can be made in 3 ways, describe each (the contract used, who is agreeing to the change) 1. Change orders 2. Construction change directives 3. Minor changes in the work
1. Change orders (G701) - Used to memorialize an agreement between owner, contractor, and architect (they all sign to approve) about the scope of the change and the subsequent revision when there is a change to the sum or time. G701 documents the change order and lists the original price, the adjustment in sum or time, and any other net change already authorized in previous change orders. The architect is the one who keeps a record of the change orders. The owner, contract, and architect are all agreeing to the change at once. __________ 2. Construction change directives (G714) Used for the owner and the architect to order a change in the work that does adjust the sum, time, or both. Only the owner and architect sign the CCD. They can also be used to order a change in the work when the parties don’t yet agree to one or more facts of the change, but the change needs to be implemented immediately. The contractor begins the works while the team agrees to the change in price or sum. Since CCD process is faster-moving than change order process because they don’t require the contractor’s input, CCDs are often used when the parties have agreed in advance and now just need to memorialize a change Since CCD process is faster-moving than change order process because they don’t require the contractor’s input, CCDs are often used when the parties have agreed in advance and now just need to memorialize a change. _________ 3. Minor changes in the work (G710) Ie. changing the joint pattern when installing tile (before it’s been installed) because same price and same amount of time to do The proposed change does NOT affect the sum or time
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What is the Certificate of Occupancy and who issues it?
A document issued by a local jurisdiction which certifies that a building, in whole or in part, complies with code and is suitable for occupancy.