activities - AIA Professional - The American Institute of Architects

Construction

Administration

activities - core*

introduction

371

372

373

374

375

376

377

378

379

380

381

382

383

370

356

 Understanding Procedures of the

Change Process

*A maximum of 40 hours of core credit may be earned in this experience area.

narrative 357

activities - elective 371

 Understanding Construction Phase Activities &

Project Communications

 Questionable Stored Materials

 Tracking the RFI Process On-Site

 Impartial Determination of Substantial

Completion

 Determining Construction Phase Workload

 Determining Construction Phase LEED

Certiﬁcation Responsibilities

 Negative Results from Late Wind Tunnel Test

 Saved by a Scope Change?

 Solutions for a One-Inch Code Violation

 Processing an Unacceptable Substitution

Request

 Certiﬁcation of Nonconforming Work

 Design Not Suitable for Use

 Forced Substitution of Skylights

exhibits

-----

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resources

Emerging Professional’s Companion | www.epcompanion.org

Download the current Intern

Development Program (IDP)

guidelines at www.ncarb.

org/Experience-Through-

Internships.aspx.

The American Institute of

Architects. Demkin, Joseph A.,

ed. The Architect’s Handbook of

Professional Practice. 14th ed.

Hoboken: John Wiley & Sons,

2008.

• Chapter 12.5 -

Construction Contract

Administration

• Chapter 13.5 -

Construction Cost

Management

The American Institute of

Architects. Demkin, Joseph A.,

ed. The Architect’s Handbook of

Professional Practice. 13th ed.

New York: John Wiley & Sons,

2001.

• Chapter 14.4 -

Construction Cost

Management

• Chapter 18.7 -

Construction

Management

• Chapter 18.9 -

Construction

Administration

The American Institute of

Architects, The Architecture

Student’s Handbook of

Professional Practice. 14th ed.

Hoboken: John Wiley & Sons,

2009.

• Chapter 8.5 -

Construction Contract

Administration

• Chapter 9.4 -

Construction Cost

Management

Introduction

By completing the activities in this chapter, you will gain an understanding

of the activities involved in construction administration. The following

information is taken from the NCARB IDP Guidelines:

Construction Administration

Minimum Construction Administration Experience: 240 Hours

Denition:Taskscarriedoutinthearchitect’sofceincludefacilitating

project communication, maintaining project records, reviewing and

certifying amounts due contractors, and preparing change orders.

Tasks

At the completion of your internship, you should be able to:

• Respond to Requests for Information (RFI)

• IssueArchitect’sSupplementalInstructions(ASI)

• Process shop drawings and submittals

• Process Change Orders

• Reviewandcertifycontractor’sapplicationforpayment

• Review material test reports

• Record changes to the contract documents

• Providesubstantialandnalcompletionservices

Knowledge Of/Skill In

• Change order process

• Conictresolution

• Constructionconictresolution

• Contractor application for payment

• Contracts (e.g., professional services and construction)

• Interpersonal skills (e.g., listening, diplomacy, responsiveness)

• Interpreting construction documents

• Managing quality through best practices

• Problem solving

• Product and material substitutions

• Project budget management

• Project closeout procedures

• Project records management

• Shop drawing review

• Site observation

• Team building, leadership, participation

notes

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Take brief notes while reading the narrative and list key resources you used to complete the activities. Note

discussion outcomes from meetings with your supervisor, mentor, or consultants. When nalizing the activity

documentation (PDF), include your notes and the EmergingProfessional’sCompanion activity description.

Narrative

Construction contract administration services are the most time-consuming and record-intensive of all

professional design services and delivering them requires patience and experience. Activities are time

sensitiveandcarryincreasedlegalramications.Efcientorganization,timelyexecution,andthorough

documentation are paramount for successful delivery.

Architects direct the exchange of project information and communications during construction and

coordinate any architecture work to be executed at this stage in the project. They provide information to the

contractorthatcannotbefullydiscernedfromthedrawingsandspecications,includinginformationfrom

other team members. In addition, the architect observes the work to determine that it conforms to the project

design and reviews submittals, acting on them within a reasonable time to avoid causing project delays.

Although architects tend to think of construction phase services as those provided on the project site,

themajorityofthisworkisperformedinthearchitect’sofce.Prociencyinandknowledgeoftheskills

andresponsibilitiesrequiredtomanagethearchitect’sconstructionresponsibilitiesareasmuchapartof

construction administration as walking the job site and interacting with the contractor.

Fortheindividualpractitioner,constructionadministrationactivitiesofferachancetogetoutoftheofce.At

thesametime,manyofthesetasksmustbeperformedintheofcealongwithotherprojectsthatmaybe

incubatinginthecomputer.Amonglargerrms,aprojectmaybetransferredfromtheprojectmanagement

teamtoarchitectswhospecializeinconstructionadministrationwhenthisphaseisreached.Firmswithout

dedicated construction administration departments typically rely on the project manager or project architect

to execute these duties.

The Emerging Professional’s Companion presents construction administration services from the design-

bid-build viewpoint, since this is the most commonly used method of project delivery. In this approach, the

architect performs construction administration services directly for the owner. In the design-build delivery

approach, on the other hand, the architect is typically a consultant to the contractor and communications

and lines of authority align with this contractual relationship. Fast-track construction scheduling requires the

architect to perform construction administration tasks more rapidly because of the compression and overlap

of project time lines. More information on delivery approaches is available in The Architect’s Handbook of

Professional Practice.

Team Relationships

The working relationship of the project team contributes to the effectiveness of construction administration

services,bothintheofceandattheprojectsite.

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resources

Emerging Professional’s Companion | www.epcompanion.org

AIA Contract Documents

are considered the industry

standard. Learn more at

www.aia.org/contractdocs.

In addition, samples of AIA

Contract Documents are

available for interns. View

the list of sample contract

documents and resources for

interns.

Within the Ofce

Projectteammakeupcanbeinuencedbythesizeandorganization

ofthearchitect’sofce.Anofcewithoutaconstructionadministration

departmentmayrealizefewerinternalteamchangesduringthe

construction phase because project staff assignments simply shift to

accommodate the required services. While the project manager begins a

regimenoftripstotheprojectsite,theteamintheofceprovidessupport

by helping with submittal reviews, document changes, and responses to

requests for information (RFIs). The project designer, who also may be

working on a new project, continues to play an essential role in design

issues and the review of design-related submittals.

Before construction commences, make sure your contract with the

owner includes required special services, such as a full-time project

representative or special consultants. Services required in the owner-

architectagreementthatinvolvethearchitect’sconsultantsmustbe

specicallycalledforinyourarchitect-consultantcontracts.TheAIA

documents family provides this pass-through of services in companion

contracts such as B101™, Standard Form of Agreement Between Owner

and Architect, and C401™, Standard Form of Agreement Between

Architect and Consultant.

Although they are not project team members, staff members responsible

formaintaininganarchitecturerm’slibraryofinformationonspecications

and materials may also contribute to construction administration tasks. In

particular, their cooperation is vital to the project team that must undertake

research when the contractor needs a quick response.

Outside the Ofce

Friendlyrelationshipsthatarebenecialboththearchitectureteam

and other project team members make for a smoother construction

administration process. If owner, architect, and contractor forge a

collaborative relationship, this attitude is likely to extend throughout the

project team. The emergence of integrated project delivery is increasing

the opportunities for a more collaborative management initiative.

Integrated project delivery involves early participation by the contractor in

design development which allows the documents to progress more rapidly.

Submittals can be prepared sooner, and documents can contain more

information,requiringfewerclarications.TheendresultisfewerRFIs,

timelier submittal review and approval, and often an earlier construction

start.

Another popular approach for achieving a collaborative relationship

between the owner, architect, and contractor is “partnering,” this is a

process in which the parties jointly confront and manage project risks and

establish and promote a nurturing project environment. This relationship is

establishedthroughstructuredmeetingsdesignedtodeneprojectissues

and goals, team responsibilities, and other essential project concerns.

Partnering sessions are typically managed by an outside facilitator

experienced in the process.

notes

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A variety of additional owner-retained participants may be involved in work at the construction site. For

example, some owners retain an in-house project manager, while others contract with a construction

manager-adviserwhospecializesinconstruction.Thebankingorlendinginstitutionmaywanttomonitor

aproject’snancialaspects.Theownermayhavecontractswithcontractorsorvendorswhoarenot

administered under the owner-architect agreement. All of these participants may have full interaction on the

projectasitisconstructed,andthearchitect’sjobwillbesimplerifheorshedevelopsgoodrelationships

with them.

Project Communications

Effective communications are necessary for project success because representatives of three entities

(owner, architect, and contractor) are working together during construction. Multiple decision-makers can

cause unnecessary work and frustration, not to mention potential miscommunication and delay. To keep

things running smoothly, it is important to establish a protocol for communications, document routing,

and lines of authority and review these procedures with all team members during the preconstruction

conference.

The AIA documents require the owner and the contractor to communicate with each other through the

architect about matters related to the contract for construction to ensure the architect is aware of all project

communications.Thisrequirementprovidesthearchitectwiththeinformationneededtofulllhisorher

contractual responsibility to administer the contract between the owner and the contractor. It also alerts

thearchitecturermtoactionsordecisionsthatcouldadverselyaffectdeliveryofitsprofessionalservices.

The architect is required to certify that the construction, when complete, is in general conformance with the

contractdocuments.Ifactionsaretakenordecisionsmadethatwouldcompromisethearchitect’sabilityto

fulllthischarge,itisimportanttobeawareofthisasearlyaspossibleandtonotifytheownerpromptly.

Indesign-bid-buildprojects,thearchitect’sprojectmanageristypicallytheprimaryprojectteamcontactwith

thecontractor.Architecturermstaffmemberscommunicatewiththeprojectmanagerregardingtheirareas

ofspecicresponsibility,andtheprojectmanagerpassesinformationontothecontractor.Anyconsultants

who work for the architect also communicate with the project manager rather than the contractor.

To clarify communications, the project manager usually asks the owner to designate a single contact for

communicationsandapprovalsduringconstruction.Otherowner’srepresentativesassignedtotheproject

and consultants working for the owner then communicate with the project manager. Nonetheless, the

architectcopiestheowner’steammembersoncommunicationsandcorrespondenceincasetheyhave

authoritythatcouldaffecttheowner’sapprovalprocess.

The contractor also typically has a single representative who communicates with the architect about the

project. Any subcontractors working for the contractor ask questions or provide information to this individual,

whothenconferswiththearchitect’sprojectmanager.

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Interaction between the project designer and the project manager is essential when submittals arrive and

critical decisions are required. Therefore, these team members are typically copied on site observation

reports and key correspondence, and they may also attend project meetings. Other team members in the

ofcewhoareknowledgeableaboutspecicbuildingcomponentsanddesignsmayalsobeincludedinthe

submittal review process.

Theaccompanyingowchartillustratesthetraditionalcommunicationsprotocolindesign-bid-buildproject

delivery. Although the owner has a contract directly with the contractor, communications between the owner

andcontractorareconductedthroughthearchitecttofacilitatethearchitect’sresponsibilitytodetermineif

the work is in accordance with the contract documents. Subcontractors and consultants, on the other hand,

communicate through the holders of their contracts when passing information to other team members. This

procedure allows the owner, architect, and contractor to be aware of and control their subcontracted work.

Preparation

Preparationinthearchitect’sofceforconstructionadministrationactivitiesincludescompilingacomplete

setofconstructiondocuments,updatingtheofcelingsystemandprojectteamdirectory,andmarshalling

rmresourcestosupporttheprojectteam.

An important management tool is the project database. This body of information contains the electronic

history of the project to date. These systems can save much time when searching for historical data. Some

companydatabasescontainnancialandlabordata,whichcanbeusedtoestimateserviceneedsonfuture

projectsandtomonitorprotstatus.Avarietyofmanagementsoftwareisavailable,andtheeffectiveness

and cost of these programs continues to improve.

Theconstructiondocumentsdenetheprojectscope,andtheowner-contractoragreementrequiresthat

thenishedworkconformtothedesign.Errorsoromissionsinyourdocumentsconveyariskthatcould

affectnancialandprofessionalstability.Therefore,itisvitalthatprojectdocumentsbekeptcurrentand

maintained in a safe and accessible location.

Project documents are only useful if you can easily locate the ones you need. It is wise to have a company

lingprotocolthatissimpleandadaptablesothatallprojectscanbeaccesseduniformly.Thiswillallowfor

notes

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easy retrieval of documents in the future and make it easy to add documents relevant to the construction

phase. Chapter 13.2 - Managing Architectural Projects, of The Architect’s Handbook of Professional Practice

providessamplecategoriesforuseinnamingles.Ataminimum,youshouldhaveprojectlescloseby

and be familiar with them. If a construction administrator will lead the project team instead of the project

manager,hard-copyprojectlesmaybetransferredtotheconstructionadministrator’sofce.

Since documents today consist primarily of electronic data on a server, necessary safeguards must be

imposedtobackupthedataandkeepitsafe.Manyrmshavedevelopedabusinesscontinuityplanfor

this purpose. However, from a practical standpoint, the hard-copy set remains a useful tool. This is typically

made up of all drawing sheets that have been published on the project since the contract for construction

was signed.

AIA Document G807™, Project Team Directory, can be used to record contact information for project

team members. When construction begins, add new participants to your project database. It is helpful to

establishalistinyoure-mailaddresslefordistributionofproject-relatedinformation.Tomakesureall

projectparticipantsareincluded,checktheowner-architectagreementforrequirementsregardingspecic

personnel.Alsoaddanynewownerrepresentativesorconsultantswhowilljointheowner’steamduring

construction.Thecontractor’steammembersshouldbeintroducedduringthepreconstructionconference.

(Activities planned for the preconstruction conference are addressed in Chapter 3C - Construction Phase

Observation, on page 388.)

Architecturermstaffmemberswhobecomeinvolvedattheconstructionphaseshouldalsobeaddedto

theteamdirectory.Internalcommunicationsandparticipationshouldbedenedearly.Firmactivitiescould

include special submittal routing, design review, and progress reporting.

Whenthecontractor’ssubmittalschedulehasbeenreceived,thearchitectreviewsitforconformancewith

contract requirements and to determine if the sequencing and timing is reasonable for review by the design

team, including its consultants. Be sure to determine if consultants in any outside specialties, such as

curtainwallorroong,shouldbeinvolvedinthesereviews.

A list of project objectives and parameters should be maintained throughout all phases of service to enable

theprojectteamtofocusontheowner’sprogram.Thiscanbemanuallydocumentedormaintainedin

a database. Either way, a list of basic project information will help you provide consistent construction

administration. AIA Document G806™, Project Parameters Worksheet, is a form designed to help maintain a

singlestandardlistofprojectparameters,includingprojectobjectives,theowner’sprogram,projectdelivery

method,legalparameters,andnancialparameters.

The most important resource during construction is the project team. For the most part, they have been

involved since the beginning of the project, and their collective knowledge can help maintain consistency in

services. It is important to keep the team involved as much as possible until project completion. This is more

difcultinlargerrms,whereteammembersmaybeassignedtootherprojects.Theconstructionphaseof

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resources

Emerging Professional’s Companion | www.epcompanion.org

AIA Contract Documents

View the list of sample contract

documents and resources for

interns.

AIA Document G709™, Work

Changes Proposal Request,

is a form used to obtain price

quotations required in the

negotiation of change orders.

AIA Document G701™, Change

Order, is used for implementing

changes in the work agreed to

by the owner, contractor, and

architect.

AIA Document G714™,

Construction Change Directive,

is a directive for changes in the

work for use where the owner

and contractor have not reached

an agreement on proposed

changes in the contract sum or

time.

a project lasts longer than the design phase, and reassignment of team

members is a normal part of business. Because smaller projects require

smaller teams, group fragmentation is less of a problem for them.

Ofceresourcessupporttheprojectteamduringconstructionadministration.

Thesecanincludeaproductslibrary,aspecicationslibrary,acompany

projectdatabase,andinlargerrms,specialistswithintheofce.Thesole

practitionermustlookoutsideforassistance,andaphoneleonexperts,

specialists, and friends in the business can be a valuable resource.

Construction Start-Up

When the owner-contractor agreement has been signed and the

construction phase begins, certain tasks are required to get things started.

If the owner-contractor agreement does not stipulate a date when the work

will begin, the owner may direct the architect to issue a notice to proceed.

This directive establishes the date of commencement of the work. From

this milestone, the date of substantial completion can be determined

byaddingthetotalconstructiontimespeciedintheowner-contractor

agreement.

Theowner-contractoragreementdenesthescopeofworkfor

construction. To avoid confusion and prevent disagreement, the general

conditions of the contract for construction require the architect to

provide the contractor with a hard copy reference set of the construction

documents. This set should consist of three copies of the documents

issued for construction, noted as the “contract set, “with signature lines

provided for the owner and contractor. After the sets have been signed, the

owner, contractor, and architect each retain a copy for reference. Be aware

that any additions to this set of documents in the form of detail sheets or

reissued drawings may result in a change order.

Aneffectivealternativeconsistentwithtoday’stechnologyisadigitalcopy

ofthecontractset.Thehardcopysignatureconrmationisreplacedbythe

requirement that the recipient acknowledge the validity of the documents

withamouseclickbeforethelecanopen.

The contractor is typically provided, free of charge, copies of drawings and

project manuals as are reasonably necessary for execution of the work.

The project manual is a volume assembled for the project, which may

include the bidding requirements, sample forms, conditions of the contract,

andspecications,amongotherdocuments.

A preconstruction conference is held to introduce project team members,

establish communications protocols, and review relevant project matters.

The architect prepares the draft agenda for the meeting and sends it to

the owner and contractor for their input. Since construction activities are

generally the same from project to project, a standard draft agenda can

beeditedforprojectspecicrequirements.Reviewtheowner-contractor

agreement and make additions or changes to the draft agenda as required.

A sample agenda is shown in the Chapter 12.5 - Construction Contract

Administration in The Architect’s Handbook of Professional Practice,

Fourteenth Edition.

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Construction Administration Activities

Thearchitect’sconstructioncontractadministrationresponsibilitiesfallintothreecategories:Document

control,submittalreview,anddesignclarication.

Maintaining Document Control

The architect is typically responsible for production of the construction documents. Part of this responsibility

is controlling the content and distribution of these documents to prevent disruption and miscommunication

among the project team. Construction documents continue to evolve during the construction process

because of imposed changes. Changes can result from owner preferences, proposed contractor

substitutions, material availability, or design errors and omissions. No matter their source, it is imperative

that document changes be executed in a timely manner to avoid delays. Keeping up with the status of the

construction documents and responding quickly to proposed changes will help to protect the architect from

liability arising from project delay.

Ifpermittedbythecontract,thecontractormayproposesubstitutionsofthearchitect’sspeciedproducts

and systems. These proposals are typically submitted to reduce the cost of the work. To avoid compromise

inthequalityofthework,thearchitectshouldincludeaspecicationprovisionrequiringsubstitutionsto

provide performance equal to or better than the product or system they supplant. Otherwise, a credit should

be given when a lesser performing product is accepted unless an appropriate deductive change order is

proposedalongwiththesubstitution.Remember,yourspecicationsweredevelopedaftermuchresearch

and trial. Consider proposed replacement products or systems carefully, and require the contractor prove to

you that the substitution is worthwhile.

Changes in the work typically require changes in the construction documents. Ideally, the architect

describes the scope of the change and its effects on adjacent work so the contractor can quote a price for

the work. The architect initiates the change process by issuing a proposal request with attached drawings,

specications,andinstructionsasrequiredtoadequatelydescribethechange.Thisprocessisundertaken

to obtain price quotations required for negotiation of change orders.

When the contractor has prepared a quotation for the proposed change, a meeting is held to discuss the

change and review the pricing. On larger projects, multiple proposals for change may be reviewed at one

time. When the price for the change is agreed upon, the architect prepares and issues a change order. The

proposal request and related pricing are usually attached along with a description of the change. A change

order may include multiple work changes and/or proposal requests.

A change order is not effective until it has been signed by the architect, the contractor, and the owner.

Thearchitect’ssignatureonthechangeordersigniesthechangeintheprojectandinthedocumentsis

acceptabletothedesignteam.Sincethedesignprofessionalsareresponsibleforthescopedenedbythe

constructiondocuments,thedrawingsandspecicationsshouldnotbechangedwithouttheirknowledge

andconsent.Thedesignprofessional’ssignaturealsoindicatesachangeconformstotheaccepted

standard of practice.

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Changes to the construction documents can be made in the form of a

descriptivenarrative,amodieddrawing,oramodiedsectionofthe

specications.Anydocumentthatischangedandreissuedmustconform

totheappropriatestatestatutesgoverninguseofthedesignprofessional’s

seal.

Changes in the construction contract sum or completion date can be

madewithoutthecontractor’sconsentbyusingaconstructionchange

directive (CCD). This document is used when the owner and contractor

have not agreed on proposed changes in the contract sum or time. It

was developed to address changes in the work that, if not expeditiously

implemented, may delay a project. Upon receipt of the completed CCD, the

contractor must promptly proceed with the change in the work described.

It is recommended that a CCD be converted to a change order after the

change in the contract sum or time has been determined.

Managing and Reviewing Submittals

Construction project submittals are prepared by the contractor and reviewed

by the architect or an appropriate consultant. They include shop drawings,

product literature, product samples, test reports, operating instructions

and maintenance manuals, warranties from product suppliers and

manufacturers, and designs or design calculations prepared in response to

aperformancespecication.Thesematerialsareusedtodemonstratehow

the contractor proposes to conform to the project design requirements.

As the holder of the prime design contract the architect is responsible for

managing the distribution of submittals to all his or her consultants. This

includes managing the routing of submittals and staying on top of time

sensitive review schedules.

It is important that the contractor be required to provide a submittal

schedule along with the construction schedule early in the project. On

some projects, providing this information is a prerequisite for processing

therstapplicationforpayment.Thearchitectreviewsthesubmittal

schedule to determine if the sequences and time allowed for review are

reasonable. A maximum time for submittal review is often stipulated in the

owner-contractor agreement, and it is important to determine if the time

allowedissufcient.Forexample,receivingalargenumberofsubmittals

at one time could make effective review impossible within the contracted

time constraints. Also, if submittals for project detailing such as doors,

frames, and hardware are not submitted at the same time, review will take

much longer. A time period commonly stipulated for submittal review is 10

business days.

Submittalsmustbeloggedandtrackedwhentheyarriveinthearchitect’s

ofce.Untimelysubmittalreviewisapopularbasisforclaimsfordelay,

andasubmittallogcanbecomethearchitect’sbestsourceforverication

of submittal activities. Such a log can be maintained in hard copy or with a

software management program. If a program is provided by the contractor,

make sure the activities and tracking protocols of all participants are

included in the log. Be sure to keep an up-to-date copy of the submittal log

in a secure location as a backup.

AIA Contract Documents

View the list of sample contract

documents and resources for

interns.

AIA Document G712™, Shop

Drawing and Sample Record,

is a standard form the architect

can use to log and monitor shop

drawings and samples.

RFIs & Supplemental

Instructions

AIA Document G716™, Request

for Information, is a 2004

addition to the AIA family of

documents, although it has been

in use in the industry for many

years. The new document is

generic and can be used by the

owner, architect, or contractor

to request information from any

other party.

AIA Document G710™,

Architect’sSupplemental

Instructions, is a form architects

can use to issue additional

instructions or interpretations

or to order minor changes in

the work that do not change the

contract sum or time.

Autodesk

Buzzsaw™isan

online project collaboration

service designed to manage

building project information. It

can be run within the Microsoft®

Internet Explorer browser or as

a stand-alone executable.

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Assignment of document control numbers is necessary for effective management of submittals. You can use

simpleascendingnumbersoramoreelaboratenumberingsystem.Thecontractorshouldafxthecontrol

number to the submittal upon receipt from a subcontractor or vendor and prior to submission to the architect.

All submittals, along with all other correspondence received by the architect, should be stamped received

andrecordedimmediatelyinthearchitect’ssubmittallogsothedatesinthelogandonthedocument

correspond.

The owner-contractor agreement and the general conditions of the contract for construction require the

contractor to review each submittal prior to submission to the architect and mark them up with corrections

and coordination notations prior to submission to the architect. Prior to the 2007 AIA Contract Documents

revisions,acontractor’sreviewstampwasrequired,howevercurrentAIAdocumentsstatethatsubmission

is a representation that the appropriate review has taken place.

When the architect has reviewed a submittal, it should be stamped with the appropriate review stamp. Such

stamps typically indicate actions such as approved, approved as noted, revise and resubmit, or rejected.

Wordingonthestampcanvary,butshouldreectthelanguageoftheowner-contractoragreementandthe

general conditions of the contract for construction.

Makesureteammembersfamiliarwithspecicbuildingcomponentsanddesigns,suchasthecurtainwall

system or doors and hardware, are included in the submittal review process. It is especially important to

includetheprojectdesigner,ifdifferentfromtheprojectmanager,inthereviewofnishmaterials.

Toavoidtakingonincreasedrisk,architectsshouldreviewonlythesubmittalsrequiredinthespecications.

However, the architect may review as-built drawings or designs by a professional hired by the contractor.

In such instances, the submittals are reviewed with respect to their effect on the design intent and not for

accuracy.

Clarifying Construction Documents

Construction documents can never be complete enough to answer every question a contractor or

subcontractor may have. Thus, contractors often ask the architect to clarify what is expected when, for

example,theyareselectingproducts.Thearchitectmustprovidethesedesignclaricationsinatimelyand

efcientmanner.Whetheryouareansweringrequestsforinformationorissuingsupplementalinstructions,

your response timing may affect the construction schedule.

Requestsforclaricationusuallycomefromthecontractorintheformofarequestforinformation(RFI),

and e-mail is the popular medium for submitting them. RFIs are typically included in electronic document

managementsoftwareprogramssuchasBuzzsaw™,althoughtheycanbemanagedmanually.Documents

the architect may request from the contractor include the submittal schedule or a pricing response to a work

change proposal. RFIs should be logged and tracked like submittals. Since the RFI process is the most

popular basis for claims by contractors, timely management and accurate tracking are essential.

Inthearchitect’sresponsetoanRFI,thereisoftenanelinebetweenclarifyingprojectrequirementsand

addingscopetothecontractor’sworkinthearchitect’sreviewcomments.Whenarchitectssetouttoclarify

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Acronyms to Remember

• RFI - Request For

Information

• CCD - Construction

Change Directive

documents, they have to take care not to increase the scope of work.

Contractors often claim scope has been added when an architect marks up

shopdrawingsbecauseitistemptingforthearchitectto“llin”information

that should have been include originally. Ideally, the architect will provide

aclaricationthatincludesnoaddedscopewhenissuingsupplemental

information to the contractor. In the event the contractor believes a change

in contract sum or time is involved and the architect agrees, the contract

forconstructionshouldbeamendedtoreectthechange.

Documentation

Construction administration services consist of many intangible activities,

such as making decisions, giving directions, and taking actions, and

the participants are judged by the timeliness as well as the accuracy

of their performance. Accordingly, such activities are recorded in logs,

conrmedinlettersandmemoranda,orrecordedinameetingreport.This

documentation is then available to support the quality of services rendered

shouldanyone’sactionsbecalledintoquestionlater.

All important conversations in which critical information is discussed and

allimportantactionsshouldbedocumentedinwriting.Thearchitect’s

documentation can include:

• Reports (meeting, site observation)

• Certications(payment,substantialcompletion)

• Requests for information

• Additional services agreements

• Work change documents (change orders, construction change

directives,architect’ssupplementalinstructions)

• Notices (to owner, contractor, surety)

• Miscellaneous communications

Documentation generated and maintained by the contractor can include:

• Submittals (shop drawings)

• Schedules (construction, submittal)

• Requests for information

• Certications(workcompliance,paymentapplication)

• Designcalculations(ifrequiredbyspecications)

• Approvals (changes)

• Notices (to owner, architect)

• Punch lists

• Miscellaneous communications

Owner documentation can include:

• Approvals,authorizations(changes,noticetoproceed,

nonconforming work)

• Site civil information

• Requests for information

• Miscellaneous communications

A record of meetings, discussions, decisions, and approvals, if not recorded

by the documents listed above, should be recorded in a meeting report,

document log, transmittal letter, or memorandum. Finally, the architect may

choose to keep a journal to record important project communications.

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Meeting Reports

The meeting report is the most common method used to record actions taken and decisions made. If a

meetingisnotrecorded,itisdifculttojustifywhyitwasheld,asapparentlynoimportantdecisionswere

made. A meeting report should include the following information, at a minimum:

• Project name Purpose of meeting

• Project number Issues discussed

• Date Decisions made

• Attendees Deadlines

The report should be compiled and distributed as soon as possible after the meeting. For repetitive meetings

such as scheduled project meetings, the meeting report can be used as the agenda for the next meeting.

Document Logs

Repetitive tasks are best tracked by logging. A log should have all relevant information, including critical

datesforinitiation,receipt,andtransmittal;actiontaken;andnaldisposition.Logstypicallyusedby

architects during construction administration include these:

• Construction documents issue log (usually cover sheet on drawings)

• Supplemental drawing log

• Request for information (RFI) log

• Submittal log (AIA Document G712™, Shop Drawing and Sample Record, can be used for recording

submittal review data such as number of copies and dates received and transmitted.)

• Architect’ssupplementalinstructions(ASI)log

• Construction change directive (CCD) log

• Work changes proposal request log

• Change order log

Related documents such as proposals for change and change orders should be cross-referenced in each

log.Alldocumentsshouldbenumberedforefcientidenticationandtoavoidconfusion.

Transmittal Letters

Themostefcientmethodofrecordingtheowofinformationbetweenpartiesisatransmittalletter.

Transmittals document the exchange of project information and act as a checklist reminding the sender

to tell the recipient what exactly is being sent, how the material is being sent, and why. For example, AIA

Document G810™, Transmittal Letter, is designed to serve as a written record of the exchange of project

information.

A transmittal letter should contain the following information:

• Project name

• Project number (if applicable)

• Date

• Sender’snameandcompany

• Receiver’snameandcompany(canbemultiple)

• Complete description of transmitted material

• Method of delivery (courier, U.S. mail, etc.)

• Reason for sending

• Copies to others

Standard forms do not require a transmittal letter if they are tracked by a log because the forms contain the

basic project information and the document and reason for sending it are obvious. Approved methods for

delivering transmittal letters and standard forms between project team members should be discussed at the

preconstruction conference.

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Memoranda

Amemorandumcanbewrittentoanotherpersonortoyourle.Whileamemorandumcanbepresentedin

many graphic formats, the primary objective is to capture the information for future reference. At minimum,

the following should be included in a memorandum:

• Date

• Project name

• Project number

• Subject

• Recipient (if appropriate)

• Author

• Subject matter

• Persons copied

The text of a memorandum can include discussions, conclusions, facts, or observations relevant to the

subject. Sending the document to the participants and allowing them to respond with corrections or

claricationswillgivecredibilitytoyourwrittenrecord.

Journal

Another documentation tool available to the project manager or construction administrator is the journal.

Thiscantaketheformofaboundbook,aringbinder,loosepapersinale,ordatainacomputer.Whatever

itsform,ajournalcanbeusedbythedesignprofessionalforpersonalorganizationanddocumentationand

asaplacetoprioritizedailyactivities.Ifthejournaliskeptchronologicallyinabookorbinder,itwillprovide

ready reference to historic events. The architect can maintain a separate journal for each project or a single

journal that contains records of multiple projects.

Project Closeout

Theprojectcloseoutactivitiesadministeredinthearchitect’sofceareaddressedintheowner-architect

agreement.Theyincludeproductionofpunchlistmodicationsandadditions,reviewofthecontractor’s

closeoutsubmittals,andpreparationandissuanceofthecerticateofsubstantialcompletionandthe

nalchangeorder.MoredetailedrequirementsmaybeincludedinthespecicationsinSection1of

MASTERSPEC.

Punch List

Onlargeprojects,preparationofpunchlistmodicationsandadditionscanbeabigjob.Whenmultiple

projectteammembersreviewthecontractor’spunchlist,theinuxofrevisionsmayrequiremanyhoursto

publish. It is wise to discuss project completion sequencing with the contractor before project completion is

reached to anticipate punch list administrative needs.

Pre-punch items encountered on site visits can be discussed with the contractor and subcontractors to make

them aware of areas of concern and to establish the expected level of quality. This should help streamline

the punch list process.

Closeout Documents

Thecontractor’scloseoutsubmittalstypicallyincludewarrantiesandguarantees,recorddrawings,as-

builtconstructiondrawings,specicationsandsubmittals,operationsmanuals,maintenanceschedules,

operationsvideos,andatticstock(extramaterials).Theseitemsareusuallysubmittedatonce,llingup

theprojectmanager’sofcespace.Theymustbereviewedtodetermineifthecontractorhasfullledits

contractual requirements for closeout submission before delivery to the owner. The design professional does

notreviewthisinformationforaccuracy,asthatisthecontractor’sresponsibility.

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Final Change Order

Whenithasbeendeterminedthattheworkiscompletedundertheconstructioncontract,analchange

order must be issued to reconcile outstanding contract issues. These may include the following:

• Allowance balances

• Contingency balances

• Unresolved unit prices

• Contract savings

• Reimbursement for owner accepted non-conforming work

• Reimbursement for scope reductions

• Contractor bonuses

• Contractor penalties

• Liquidated damages

• Deductions for additional design services

• Additional contractor general conditions costs

• Weather related time extensions

• Delay related time extensions

Thenalchangeordermustbeexecutedandincludedinthenalapplicationforpaymentbeforenal

completion can be achieved.

Theconstructionphasebringstheowner’sprojecttoreality,anditschallengesandproblemsoftenlinger

in their mind longer than design phase experiences. The actions taken by the construction contract

administrator during construction can become good memories or bad ones. Relationships can be built or lost

by how well the architect administers and resolves the issues.

Written by James B. Atkins, FAIA

Jim is a senior vice president/principal with HKS Architects in Dallas, where he is involved with the rm’s quality management and

education program, DoubleCheck®. He serves on the AIA Documents Committee and the AIA Risk Management Committee.

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Understanding Procedures of the Change Process

Supplemental Experience for eight (8) Core IDP Hours

Changes are made on almost all projects. They can be caused by owner decisions, errors or omissions, or

unforeseencircumstancessuchasdifferingsoilconditions.Mostprojectsrequireanalchangeorderto

reconcile allowances, unit prices or contingencies.

Changes in the contract tend to be questioned because they usually increase the contract price. Owners

often do not understand or accept the causes and circumstances surrounding a change. The construction

contract administrator must know the change process, manage it effectively, and take appropriate action so

thattheprocessitselfdoesnotpenalizetheproject.

Inthisscenario,youareprovidingconstructionphaseservicesonafourstoryofcebuilding.Theproject

deliveryisdesign/bid/buildwithaxedfeeconstructioncontract.Thebuildingframehasbeentoppedout,

and the roof and exterior skin has been completed. The project was designed for a single tenant with the

receptionareaimmediatelyoffthemainentrance.Eachoorisopenwithnocirculationcorridors.

The client calls you up and informs you that the prime tenant deal has fallen through. He now wants the

building changed to accommodate multiple tenants. This will be the third change order on the project.

Activity - Core

View and download the following sample documents for reference:

• AIA Document G701™, Change Order

• AIA Document G709™, Work Changes Proposal Request

Preparetheappropriatechangedocumentsforadministeringtheowner’srequestedchange.Therst

document that you will prepare is the Work Changes Proposal Request. If possible, review change

documents from an existing project and consult with your IDP supervisor, mentor or a senior construction

administrator. When you are preparing the document, answer the following questions:

• How soon should I request the contractor to submit the price?

• ShouldIsendanoticealertingthecontractorofthechangesothatdemolitioncanbeminimized?

• WhatfeeshouldIchargeforthissignicantchangeinprojectscope?

Youreceivethecontractor’squotationforthechange,anditistimetomeetwiththeownerandcontractor

to review the costs. Prepare a memorandum requesting a change order review meeting. As you prepare the

memorandum, answer the following questions:

• Who should attend the meeting?

• Where should the meeting take place?

• What documents should I take to the meeting?

The owner approves the change in the meeting, and it is time to prepare the change order. As you do your

work, answer the following questions:

• Which documents will be referenced in the change order?

• Towhomisthechangeordersenttorstforsignature?

• What is the distribution of the change order?

• Howwillthechangeorderbetrackedonthecontractor’sapplicationforpayment?

Prepareaowchartillustratingthechangeprocessandthedocumentsinvolvedincludingthemeeting

notice. Share your work with your IDP supervisor or mentor and make suggested changes.

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Understanding Construction Phase Activities & Project Communications

Supplemental Experience for eight (8) Elective IDP Hours

In this scenario, the client is a private company, the delivery mode is design/bid/build, the project is a

10-storyofcebuilding,andtheownerhasretainedyourarchitecturalrmtoprovidecontractadministration

services. You are planning your work to be performed during the construction phase – which meetings to

attend and the routine tasks to be performed. The project team includes the following:

Please reference the following sources:

• MASTERSPEC, Section 1

• The Architect’s Handbook of Professional Practice, 14th ed. Chapter 12.5 - Construction Contract Administration

View and download the following sample documents for reference:

• AIA Document A101™, Standard Form of Agreement Between Owner and Contractor

• AIA Document A201™, General Conditions of the Contract for Construction

• AIADocumentB214™,StandardFormofArchitect’sServices:LEED

Certication

Read the reference documents listed above thoroughly and prepare the following lists. (You may wish

to consult meeting reports and communication documents from an existing project.) List the activities

typicallyperformedbythearchitectandthecontractorduringtheconstructionphase.Categorizeyour

listing based on contractor—subcontractor interaction, contractor-architect interaction, and architect—

consultantinteraction.Prepareaowchartrepresentingthelinesofcommunication.Prepareaweekly

scheduleofthearchitect’sactivities.Answerthefollowingquestions:

• Which tasks will be ongoing?

• Which tasks will be intermittent?

• How often will the architect visit the site?

• What meetings will be held?

• Who will attend each meeting?

• How will payment applications affect the timing of site visits?

• Howoftenshouldaeldobservationreportbeissued?

List the types of communications that will occur between the following parties during the construction phase:

• Architect – Owner

• Architect – Contractor

• Architect – LEED facilitator

• Owner – Contractor

• Owner – Architect – Contractor

Most of these activities will be repetitive, such as the architect reporting the work status to the owner, but

some will be task driven, such as a construction detail resolution.

ShareyourworkwithyourIDPsupervisorormentorandmakesuggestedchanges.Documentthenal

version as a PDF.

Activity - Elective

• Owner

• Owner’sequipmentcontractor

• Architect

• Structural engineer

• M/E/P engineer

• Architect’ssiterepresentative

• Contractor’sprojectmanager

• Two contractor superintendents

• Four contractor site foreman

• Mechanical subcontractor

• Electrical subcontractor

• Plumbing subcontractor

• Contractor’sschedulingconsultant

• Test lab representative

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Questionable Stored Materials

Supplemental Experience for eight (8) Elective IDP Hours

Some ethical dilemmas may actually be illegal acts. In this exercise, you must determine whether an

unlawful condition exists.

In this scenario, you are providing construction contract administration services for the interior of a small

ofcebuilding.Theconstructioncontractisbasedonthecostoftheworkplusafee.Theshellhasbeen

completed, and your contract is approximately 80 percent complete. You visit the project to review an

applicationforpaymentandtodeterminewhethertheworkcompletedisaccuratelyreectedinthe

document.

Theoorcoveringiscarpet,andyouaredirectedtoawarehouseonsitewhereithasbeenstored.You

checkthetagsandndthat3,000squareyardsofcarpetisstored.Youlookattheapplicationforpayment,

and it matches the information on the tags.

Youreturntoyourofceandarecheckingachangethatwasmadeonthedrawingswhenyouseea

handwritten note on the corner of the drawing. It says, “2,500 square yards total.” You ask the interior design

manageraboutthenote,andshesaysthatthecarpetsupplierwasintheofce,andtheydidthetakeoff

and left the note. It is a cost-of-the-work contract, and the owner pays for all materials. It appears that more

carpet was ordered than necessary, and someone will end up with the extra carpet. Could the amount be

the overage required by the contract for stored material, or is the contractor intending to keep the excess?

Youcallthecontractorabouttheextracarpet.Hesays,“Don’tbeconcerned,it’snoneofyourbusiness.”

But it is your business. You are required to determine if the stored materials are appropriate for the work.

Although you are not responsible for measurements, you must explore the variation.

Please reference the following source:

• AIA Code of Ethics and Professional Conduct

Write out a plan for resolving the situation. There may be a legitimate explanation for the additional carpet,

butwhatmustrstbedetermined?Asyouprepareyourplan,answerthefollowingquestions:

• Does the owner want the extra carpet for attic stock?

• Could there be a separate contract in the works outside your contract?

• Could the overage be anticipated waste?

Remember that title to the product transfers to the owner upon payment, and the owner may not wish to

purchase the extra carpet.

Your plan will include communication with the owner. Prepare a memorandum to the owner and contractor

advisingofyourndingsandrequestinganexplanation.Advisethemthatifnonecanbegiven,youwill

approve for payment only the yardage needed including reasonable waste.

Request that the carpet subcontractor provide his layout sheets for carpet cuts to substantiate the

yardage.

ShareyourworkwithyourIDPsupervisorormentorandmakesuggestedchanges.Documentthenal

version as a PDF.

Activity - Elective

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Tracking the RFI Process On-Site

Supplemental Experience for eight (8) Elective IDP Hours

TheRFIistheprimarymethodforcontractorstoobtainclaricationsfromthearchitectregardingtheintent

of the contract documents. In recent years, the RFI has become a universal tool for obtaining information by

the architect and owner as well.

Please reference the following sources:

• MASTERSPEC, Section 013100

• Otherlessuchaschangeorders,meetingreports,ASIs,CCDs,andjournalentries,ifavailable.

View and download the following sample documents for reference:

• AIA Document G716™, Request for Information

TrackthefullpathofthreecontractorRFIsonanexistingprojectinyourofce.Reviewthelesandselect

RFIs that include drawing details provided by the architect.

RFIs that involve a supplementary detail from the architect often result in a change to the contract. In this

case, the change should be administered through the prescribed change process using appropriate AIA

documents. As you review the RFIs, answer the following questions:

• Didthesenderalsoproposethex?

• Did the RFI result in a change to the contract?

• What change documents were used to effect the change?

• Was there a dispute over the resolution of the change?

• Were consultants involved with the issue?

Locatethesupplementarydetailsprovidedbythearchitectandanyrevisedcontractdocumentsreecting

the change. Answer the following:

• Didthearchitectrevisethecontractdocumentstoreectthechange?

• Did the contractor include the change in their contractor marked-up drawings?

Prepare a report on the three RFIs describing how they were administered. Include copies of all supporting

documentation. List everyone that was involved and their method of communicating. If the issue resulted

in a change to the contract, list the documents used to administer the change. If meetings were held to

discuss resolution of the issue, list the purpose of the meeting, the attendees and the resolution.

Asanalstep,answerthefollowingquestions:

• Was the RFI detail really necessary to express the design concept expressed in the contract

documents?

• Shouldthecontractorhavegeneratedthedetailasa“clarication”drawingandpartofthe

contractor’sworkplan?

• Should the appropriate subcontractor have generated the detail as part of their shop drawings for

that portion of the work?

ShareyourworkwithyourIDPsupervisorormentorandmakesuggestedchanges.Documentthenal

version as a PDF.

Activity - Elective

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Impartial Determination of Substantial Completion

Supplemental Experience for eight (8) Elective IDP Hours

AIA Document A201™, General Conditions of the Contract for Construction, and AIA Document G704™,

CerticateofSubstantialCompletion,requirethearchitecttorenderdecisionsimpartially.Thisrequirement

is without exception, and it requires open, candid communication and disclosure.

In this scenario, you are providing construction contract administration services on a project that has

substantial liquidated damage provisions for late completion as well as a generous bonus of $10,000 to the

contractor for each day of early completion.

The contractor has informed you in writing that the project is substantially complete, and you have

conductedtheappropriateinspection.Youndthattheprojectissubstantiallycompleteandavailableforthe

use intended on July 11, 2013, ten days before the contracted substantial completion date.

Theownercallsyouupandtellsyouthatthepunchlistitemswillnotbecompletedorcorrecteduntilve

days after the contracted date, and you are to certify substantial completion at that time.

View and download the following sample documents for reference:

• AIA Document A201™, General Conditions of the Contract for Construction

• AIADocumentG704™,CerticateofSubstantialCompletion

Review A201™ to determine the requirements for impartiality in providing professional services. Quote the

section with a written description of its meaning in practice.

Write a memorandum to the owner and copy the contractor citing these provisions and advise of the

accurate date of substantial completion. In the memo, advise the owner, based on the contracted bonus

clause, the total bonus amount payable to the contractor.

PrepareaCerticateofSubstantialCompletionthatindicatesthedateofsubstantialcompletion.

Rememberthatthecerticatewillrequiretwodates,thedetermineddateofsubstantialcompletion,and

the date of issuance. As you prepare your memorandum, answer the following questions:

• How can the memorandum be written to help the owner understand the requirements for

substantial completion?

• What examples can be given to show that the completed work is available for the use intended?

• Should the bonus amount be added to the construction contract by change order?

ShareyourworkwithyourIDPsupervisorormentorandmakesuggestedchanges.Documentthenal

version as a PDF.

Activity - Elective

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Determining Construction Phase Workload

Supplemental Experience for eight (8) Elective IDP Hours

A thorough understanding of the activities involved in the construction phase is necessary in order to

effectively plan and administer construction services. Knowing when activities occur will allow for load

shiftingandincreasedstafngtoaccommodateprojectdemands.

This exercise will provide an overview of the construction phase work activities of a project based on the

documents generated during the work process.

View and download the following sample documents for reference:

• AIA Document G702™, Application and Certificate for Payment

• AIADocumentG704™,CerticateofSubstantialCompletion

Examinethelesofacompletedprojectinyourrmtodetermineworkloadrequirementsbasedonthe

records listed below. Establish a graphic timeline for the duration of construction in monthly increments,

and record the activities accordingly. As you begin your research, answer the following questions:

• What was the level of complexity of the project?

• Was project completion timely or late?

• Were owner scope changes reasonable or extensive?

• Was the project location local or out of town?

• Wastheoverallofceworkloadheavyoraverage?

Examine the following project documents:

• RFIs: Review the RFI log and chart the number of RFIs processed each month during construction.

• Submittals: Review the submittal log and record the number of submittals processed each month.

Determine if a submittal schedule was provided.

• Meeting reports: Review all meeting reports and record issues that required additional labor to

accomplish or resolve.

• Payment applications: Reviewallapplicationandcerticateforpaymentforms(G702™&G703™).

Tracktheinclusionofapprovedchangeorderstodeterminethenalcontractamount,completion

duration, and date of substantial completion.

• Punch lists: Review all punch lists to determine the amount of work remaining for completion or

correction after substantial completion.

• Certicate(s) of substantial completion:Reviewallcerticatestodetermineiftheoriginally

scheduled date was met.

• Change orders: Review all change orders and related change documents to identify issues and

events that required additional labor. Record these on the timeline.

• Site visits:Reviewtheeldobservationreports,andrecordthenumberofsitevisitsconducted

each month.

• Stafng: Query personnel assigned to the project to establish the amount of labor required during

construction. Review timesheets if available. Determine the workload by total hours expended

each month.

• Personal journal/notes: Review available journals and notes to identify issues that affected work

requirements.Recordsignicantissuesonthetimeline.

ShareyourworkwithyourIDPsupervisorormentorandmakesuggestedchanges.Documentthenal

version as a PDF.

Activity - Elective

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Determining Construction Phase LEED Certiﬁcation Responsibilities

Supplemental Experience for eight (8) Elective IDP Hours

LEED is becoming widely accepted as the standard by which high-performance buildings are measured.

Thisexercisewilladdresstheresponsibilitiesoftheprojectteam’sofceresponsibilitiesforLEED

certicationservicesduringtheconstructionphase.

UsedocumentsfromacompletedprojectthathasbeenLEEDcertiedorispursuingLEEDcerticationasa

case study.

Please reference the following sources:

• Completed LEED project documents

• MASTERSPEC, Section 018113

Examinethelesofacompletedprojectinyourrmtodeterminetheconstructionphase–ofce

responsibilities of the project team. Project documents from the completed LEED project include:

• Drawings

• Specications

• LEED submittals

• Project materials cost data

• LEED action plans

• LEED progress reports

As you begin your research, answer the following questions:

• WhatistheLEEDcerticationrating?

• Didtheprojectachievethecerticationlevelthatwasoriginallypursued?

• How were LEED submittals processed compared to typical project submittals?

• What was the total number of LEED submittals?

• What was the total cost of LEED related project materials?

Examine the following project documents:

• RFIs: Review the RFI log for LEED related questions.

• Submittals: Review the submittal log and record the number of LEED submittals processed.

• Meeting reports: Review all meeting reports for LEED related communications and activities.

• Change orders: Review all change orders and related change documents to identify LEED issues.

• Sitevisits:ReviewtheeldobservationreportsforobservationsrelatedtoLEED.

• Stafng:Querypersonnelassignedtotheprojecttodeterminetheamountoftimethatwas

required to administer LEED related activities and responsibilities.

• Personal journal/notes: Review available journals and notes to identify LEED issues that affected

work requirements.

Assembleyourndingsinareportandcategorizethendingsbasedontypicalconstructionphaseofce

activities.Determinethepremiuminhoursandcoststoadministertheconstructionphase—ofceportion

ofaLEEDcertiedproject.

ShareyourworkwithyourIDPsupervisorormentorandmakesuggestedchanges.Documentthenal

version as a PDF.

Activity - Elective

Construction Administration

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Negative Results from Late Wind Tunnel Test

Supplemental Experience for eight (8) Elective IDP Hours

Building construction is not always performed in an orderly, sequential manner. In delivery variations such

as fast-track, the design and construction activities are compressed and supplementary activities such as

testing are not always performed in a timely manner. This scenario explores a complication in a building

design introduced by untimely testing.

Inthisscenario,youareadministeringtheconstructioncontractonafast-trackschedulefora20-storyofce

building.Thebuildingoorplateisrectangularwithroundedcorners.Thecurtainwallsystemissegmented

at the corners, forming sleek, curvilinear shapes.

The preparation of construction documents was accelerated; as a result, the building was not wind tunnel

testeduntilafterconstructionhadbegun.(Formoreinformationonwindengineeringandwindhazard

mitigation, see the American Association for Wind Engineering website.)

Bythetimethewindtunneltestresultsaremadeavailable,thebuildingframeisattheeighthoorlevel

andtheunitizedcurtainwallsystemisatthesixthoorlevel.Testresultsindicatenegativepressureson

the building of 115 psf at the rounded corners caused by an “airplane wing effect.” The original curtain wall

design allows a maximum of 90 psf negative pressure. If the corners are not reinforced, wind pressure will

overstress the curtain wall attachment to the building frame.

The structural engineer evaluates the impact on the increased pressures at the corners of the building and

determines that braces must be placed above the ceiling at those locations. The braces are large, and they

encroach on the perimeter slot air diffuser boots and ductwork.

Prepare an agenda for a meeting with the contractor, structural engineer, MEP engineer, curtain wall

consultant, curtain wall subcontractor, and the owner. List the topics to be discussed and the decisions

that must be made for designing and implementing the change while construction continues. As you

prepare your agenda, answer the following questions:

• How will the mechanical and electrical systems be affected?

• Is involvement required by the curtain wall consultant?

• What elements of the building may need to be revised in the construction schedule, ceiling grid and

tiles, interior framing?

• What other systems may be affected?

The meeting must address the impact of the change on existing building systems, as well as the

contractor’sconstructionsequencing.Theoverallobjectiveistoaddtherequiredadditionalbracing

without negatively impacting the construction schedule. Ask yourself; what measures can be taken to

complete the task as quickly as possible? How should the results be documented? What AIA documents

should be used to implement the resulting change in the contract?

Prepare a schedule for developing a corrective design, issuing scope change documents, pricing the

change, and issuing the change order. Include a request that the contractor be prepared to discuss time

frames for implementing the change and coordinating it with the ongoing work.

ShareyourworkwithyourIDPsupervisorormentorandmakesuggestedchanges.Documentthenal

version as a PDF.

Activity - Elective

Construction Administration

378

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Saved by a Scope Change?

Supplemental Experience for eight (8) Elective IDP Hours

Architects have both an ethical and a contractual duty to design projects that conform to applicable codes. In

some cases, issues of nonconformance may become moot as the result of changes in scope. In this activity

a mistake was made, but the scope was revised before construction. However, complications involving

allocation of cost lead to an ethical dilemma.

In this scenario, you have been commissioned to design an addition to a junior high school. The addition

consists of a basketball gymnasium with a weight room, locker rooms, and toilets. Your complete your

drawings and issue them for bidding. The bids are opened, and a contractor is selected. The successful

bidder’spriceissignicantlybelowthebudget.Aconstructioncontractisexecuted,anda“Noticeto

Proceed” is issued.

Asyouprepareforthepreconstructionconference,yourealizethatthetoiletroomsdonotmeetADA

requirements. The changes required to make them compliant will add scope to the project and increase

the cost. Although you have found the problem before the toilets are constructed, the additional costs for

bringing them into compliance will exceed the budget.

The next day, the owner informs you that the school board has decided to allow the nearby high school to

use the new gym. She asks you to give her a fee quote for revising the drawings to make the toilet rooms

larger.YourealizethatyoucancorrecttheAIAnoncomplianceasyouredesignthetoiletrooms,andnoone

will be the wiser. No harm done or is there?

The owner mentions that the change in scope is possible because the bids came in under budget. She

believes the extra money will allow her to enlarge the toilet rooms to accommodate the high school students.

View and download the following sample documents for reference:

• AIA Document B101™, Standard Form of Agreement Between Owner and Architect

• AIA Document G701™, Change Order

• AIA Document G709™, Work Changes Proposal Request

Prepare a narrative outlining action you should take in this scenario. Include an explanation to the owner

regarding the ADA noncompliance and its potential impact on the completed construction. List each step

in order of priority. Assume that the cost of enlarging the toilet rooms to accommodate the high school

students will cost less than enlarging them to meet ADA requirements.

As you prepare your work, answer the following questions:

• Are substitutions available that could reduce the overall cost?

• What can you do to attempt to keep the project on schedule?

• What can you ask the contractor to do to help you with the changes?

• Iftheoriginofthenon-compliantdesignwasthearchitect’serror,shouldthearchitectabsorbthe

cost to re-design?

ShareyourworkwithyourIDPsupervisorormentorandmakesuggestedchanges.Documentthenal

version as a PDF.

Activity - Elective

Construction Administration

379

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Solutions for a One-Inch Code Violation

Supplemental Experience for eight (8) Elective IDP Hours

Inthisscenario,yourrmhasdesignedanddetailedavocationaltechschoolbuildingonwhichconstruction

is nearing completion. The building inspector has discovered that the ceiling in a hallway serving as a means

of egress is 1 inch lower than the 7-foot minimum height dictated by 2000 International Building Code

Section 1003.2.4. It appears that the various subcontractors could not get all the utilities (e.g., structure,

ducts, drains, sprinkler piping, conduits) into the space provided in the architectural working drawings. They

are packed as tight as possible. There is no way to get a higher ceiling with all the utilities shown in the

various engineering drawings. The bottom element is a duct that occupies 60 percent of the width of the

hallway and runs its full length (45 feet), with branch ducts into adjacent rooms. Although the architectural

drawingsshowa7’6”ceiling(wellabovetheminimum),thecontractorinstalledthehighestacousticalboard

suspendedceilingpossibleat6’11”withoutconsultingthearchitect.

You have been directed to investigate the circumstances and make recommendations for action that will

eliminatethissituationasanobstacletogettingacerticateofoccupancy.

Answer the questions below as part of your investigation:

• Will your recommendation vary depending on who (if anyone) is responsible for the impasse? If so,

why? If so, recommend a solution for each party that might ultimately be assigned responsibility for

theerror.Todothis,youwillhavetoidentifyallthetypesofrmsassociatedwiththedesignand

installation of utilities typically located above a hallway ceiling.

• What documents would you examine to identify the responsible party (if any)?

• What should the documents say or show that would help identify any party that might be

responsible? Suggest statements and types of drawings that would have been appropriate to

include in the various documents to avoid this situation. Who should prepare such drawings or

statements?

• Develop three solutions to physically solve the problem. Ask colleagues how tight space above

hallway ceilings has been addressed in the past during the design phase. Past strategies might

suggestaretrotsolution.Whichofyourthreesolutionsdoyoupreferandwhy?

Writeanarrativeofthendingsfromyourinvestigationandincludetherecommendationyouwouldgiveto

your supervisor.

ShareyourworkwithyourIDPsupervisorormentorandmakesuggestedchanges.Documentthenal

version as a PDF.

Activity - Elective

Construction Administration

380

Emerging Professional’s Companion | www.epcompanion.org

Processing an Unacceptable Substitution Request

Supplemental Experience for eight (8) Elective IDP Hours

It has become somewhat common practice for owners to solicit substitution requests beyond contract award

in an effort to further reduce project costs. These requested changes do not always take into consideration

quality or impact on adjacent materials. The architect may determine that the proposed substitution is

unacceptable for use in the project.

Although the owner may elect to accept it, the architect is not required to change their drawings or

specicationsandtakeontheincreasedriskforaproducttheydidnotspecify.Ifthearchitectrevisestheir

drawingsandspecicationsandtheproductorsystemfailstoperform,thearchitectcanbeheldresponsible.

In this scenario, you are providing construction phase services on a small retail center. The budget is

tight, and the owner has solicited substitutions from the contractor after the construction has begun. The

contractor has requested a substitution for the aluminum and glass storefront system. It is a brand that

doesnotconformtoyourspecications,andyouhaveexperiencedproblemswithitinthepast.Youhave

determined that it is not acceptable for use on the project.

Please reference the following source:

• MASTERSPEC, Section 1

View and download the following sample document for reference:

• AIA Document A201™, General Conditions of the Contract for Construction

Prepare a memorandum to the contractor and owner explaining your position. In 500 to 800 words,

explain why you do not want the product used on the project and recommend an alternate system that

conformstoyourspecications.Contactanapprovedmanufacturerlistedinyourrm’sspecicationsto

obtain supporting information to include with the memorandum. As you prepare the memorandum, answer

the following questions:

• Howcanthebenetsofthespeciedsystembebestexplained?

• Whatotherstorefrontsystemcanbeidentiedthatwillreduceprojectcosts?

• How can I style my memorandum to be helpful instead of combative?

• What other building components could be substituted to reduce costs?

• Should you offer to allow the rejected substitution if the owner agrees to indemnify you?

Assume the owner is persistent in accepting the substitution and directs you to include it in the project.

Note: Be mindful that you are not obligated to change your drawings as that would increase your risk for

the substituted system. If this approach is taken, the system will become owner accepted nonconforming

work.AssuchyoushouldnoteitasanexceptiontotheCerticateofSubstantialCompletion.These

actions will require a detailed explanation to the owner.

Prepare a memorandum to the owner explaining why you cannot accept the product and explain that a

qualicationtotheCerticateofSubstantialCompletionwillberequired.Baseyournarrativeonfactual

information; refrain from emotional statements. Approach the memorandum as a chance to educate and

enlightentheowner,andfocusonperformanceandlife-cyclebenets.Reviewanddiscussyourworkwith

specialistssuchasaspecicationswriteroraseniorconstructionadministrator.

Share your work with your IDP supervisor or mentor and make suggested changes.

Activity - Elective

Construction Administration

381

www.epcompanion.org | Emerging Professional’s Companion

Certiﬁcation of Nonconforming Work

Supplemental Experience for eight (8) Elective IDP Hours

TheCerticateofSubstantialCompletionisanimportantlegaldocument.Itisarepresentationthatthe

architecthasdeterminedthattheworkordesignatedportionissufcientlycompleteinaccordancewiththe

contract documents so that the owner can use it for its intended use.

Ifworkiscertiedbythearchitectthatislaterdeterminedtobenonconforming,thearchitectmaybe

determined to be in breach of their contractual responsibilities. It is therefore important that the architect

documents all observed nonconforming work.

Typically, such work will be on the attached punch list, and the contractor will correct or complete it. Should

theownerelecttoacceptthenonconformingwork,itmustbeexcludedfromthecerticateonanattachedlist.

Inthisscenario,youareprovidingconstructionphaseservicesonanofcebuildingtenantnishout.You

haveissuedaCerticateofSubstantialCompletionfortheproject.Thecerticateincludesanattachpunch

list of items remaining for completion or correction and an attached list of owner accepted nonconforming

workthathasbeenexcludedfromthecerticate.

Thecontractorhasnotiedyouinwritingthattheprojectisnallycomplete,andyouareperformingthe

inspectionfornalcompletion.Whenreviewingthework,younoticethatthewrongtypeofwoodtrimhas

been used in the reception area. The area is complete and ready for occupancy.

Please reference the following source:

• The Architect’s Handbook of Professional Practice, 14th ed. Chapter 12.5 - Construction Contract Administration

View and download the following sample documents for reference:

• AIA Document A201™, General Conditions of the Contract for Construction

• AIADocumentG704™,CerticateofSubstantialCompletion

ReviewAIADocumentG704™tounderstandthedenitionofsubstantialcompletion.Reviewthesection

inA201™ontheowner’sacceptanceofnonconformingwork.Prepareamemorandumtotheowner

explaining your subsequent discovery of the nonconforming work. Explain the condition thoroughly. As you

prepare the memorandum, answer the following questions:

• Will the replacement of the work delay owner occupancy? If so, the project is not substantially

complete.

• Is the work of a quality and appearance that it could be accepted?

• Should you recommend acceptance of the nonconforming work to the owner?

• Isthenonconformingworkofsuchscopethatre-issuanceofthecerticateisnecessary?

Then,

• Assume the Owner rejects the work. Prepare a memorandum to the owner and contractor

amending the attached punch list, adding the nonconforming work.

• Assume the Owner accepts the work. Prepare a memorandum to the owner and contractor

amending the attached exclusions of owner accepted nonconforming work.

• Assume the Owner rejects it and remediation will delay occupancy. Prepare a memorandum to the

owner and contractor advising that the work is not substantially complete and rescinding the issued

certicate.Waitforthecontractor’swrittennoticethattheworkissubstantiallycomplete.

Share your work with your IDP supervisor or mentor and make suggested changes.

Activity - Elective

Construction Administration

382

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Design Not Suitable for Use

Supplemental Experience for eight (8) Elective IDP Hours

This exercise involves a design that complies with code but is not suitable for the intended use. Unlike

designs that can be checked in a code book, the adequacy of this design must be measured by anticipating

how it will be used. This activity underscores the importance of continuous scrutiny of the documents to

determineifthedesignmeetsthefunctionalneedsoftheuser.Italsoemphasizestheimportanceofhaving

theappropriatequalicationsandexperiencetoworkonyourdesign.

In this scenario, you are administering a construction contract on an emergency room addition to a hospital.

The scope of the contract includes a covered emergency entrance with automatic biparting entry doors

allowing a 5-foot clearance, a 10-foot wide entry corridor, and six emergency treatment rooms.

Project construction is nearing completion, and the contractor is ahead of schedule. You are getting an early

start on our substantial completion inspection and have invited the owner to accompany you. As you inspect

the entry doors, the owner informs you that the 5-foot width is inadequate to allow easy passage of a gurney

with attendants. The owner demands that you correct the problem and expects you to pay for the change.

Develop a plan for addressing this design error. Consider the construction schedule, delay costs,

occupancyofthebuilding,cityapprovalofthecorrection,spacelimitations,possiblemodicationstothe

existing door, your staff time for drawing changes, the change order to the contractor, and educating your

staff for future designs. As you approach this problem you must ask yourself the following questions:

• How can this issue be approached with the least impact to ongoing construction activities?

• How can the submittal approval process be accelerated?

• How can the fabrication and delivery process be accelerated?

• If a temporary door is required, what type is most suitable?

• Whatwillbethecityrequirementsforatemporarycerticateofoccupancy?

• Whatactionsarerequiredtopreservetheowner’scondenceinmyrm?

Prepare the following:

• List the steps involved in replacing the door with one that will suit the purpose.

• Prepare an agenda for a meeting with the contractor, and determine who should attend the

meeting.

• Find out if approval is required in this jurisdiction to install a temporary door if another door cannot

be delivered by the occupancy date.

• Writealettertothecityrequestingatemporarycerticateofoccupancyuntilthenewdoorcanbe

installed.

ShareyourworkwithyourIDPsupervisorormentorandmakesuggestedchanges.Documentthenal

version as a PDF.

Activity - Elective

Construction Administration

383

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Forced Substitution of Skylights

Supplemental Experience for eight (8) Elective IDP Hours

Substitutions have become a popular means of reducing the project cost after the construction contract has

been executed. Many owners allow substitution proposals until project buyout has been completed.

Substitutions during construction almost always result in a reduction in quality as well as cost. Owners are

often enticed by lower costs, and they are not always as concerned about the reduction in quality – that is,

untilthesubstitutionfailstoperformasexpected.Thenitoftenbecomesthearchitect’sproblem.

In this scenario, you are providing shell and core construction contract administration services on a

corporate headquarters building for a top 100 corporation. The budget is large, and the project was hard bid.

The successful contractor was almost two million dollars lower than the budget, and the talk around the jot

siteisthey“leftmostofitonthetable.”Thismeanstheyunderbidtheprojectsignicantly.

The elated owner relished in the found money and gave the interiors architect an open ticket. Finished were

upgraded to Italian stone and exotic wood paneling. The desperate contactor began a vicious substitution

assault to lower the project cost, with very little credit given back to the owner.

Thebuildinghasanelaborateskylightsystemthatisacentralfeature.Theskylighthasacustomprole,

whichisttingfortheoverallbudget.Asthebuildingenclosureiscompleting,thecontractorsubmitsshop

drawingsfortheskylights.Thesubmittedproleisanoff-the-shelfmodelwithmanycompromisesin

features and quality. You immediately reject the submittal.

Thecontractorrespondsthatifheisrequiredtosubmitthecustomprole,hewillmissthefabricationwindow

andtheprojectwillbedelayed.Heoffersamodestcreditforthecustomprole,andtheowneracceptsit.

Please reference the following sources:

• MASTERSPEC, Section 013300

View and download the following sample documents for reference:

• AIA Document A201™, General Conditions of the Contract for Construction

Prepare a memorandum to the owner and contractor rejecting the proposed skylight system. Cite the

requirementsfromA201™andMASTERSPECforadheringtothespecicationsandcoordinating

submittals with other activities such as fabrication and construction.

Advise the owner that you will not accept the substitution or change your drawings. Advise that the

CerticateofSubstantialCompletionwilllistthesubstitutedskylightasexclusion,anditwillbedesignated

as, “owner-accepted nonconforming work.”

Prepare a summary of the events that led up to the event, and list the actions that your construction

administration group will take to avoid such an incident in the future. As you prepare the summary, answer

the following questions:

• What contract requirements were not followed or enforced?

• What indications were apparent that would warn of such an incident?

• What actions could you have taken to avert the incident?

• How can you tactfully explain to the owner that they did not receive full value for money spent?

Share your work with your IDP supervisor or mentor and make suggested changes.

Activity - Elective

Construction Administration

384

Emerging Professional’s Companion | www.epcompanion.org

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