CE Notes
Construction and Evaluation
Section 1: Pre-construction activities 17-23%
- Understand project delivery methods and how this affects the roles and responsibilities of the different team members.
- Understand contracts, project costs, and contractor selection in order to help advocate for your client and minimize risks.
Project Delivery Methods
- Design Bid Build – Most common and should be viewed as the default on the exams.
o Cost estimation: Architect provides cost estimates throughout the project, either directly or through cost estimating consultant. The architect cannot guarantee that their price will be the same as the bid. Typical a cost update is made at the end of each major phase of design (SD, DD & CD)
o Bidding Factors:
§ Actual costs of subcontractor bids, contractor’s labor, equipment rental, indirect costs, overhead, and profit.
§ Construction marketplace conditions can influence bid amounts.
o Examples:
§ Estimating project costs in Design-Bid-Build is like budgeting for a vacation. You plan for transportation, accommodation, food and activities, but prices may vary based on market conditions and availability.
o Drawbacks:
§ Due to the lack of collaboration between the contractor and architect during the design process, there may be some issues with materials and construction techniques that are called out in the drawings.
· This leads to change orders.
§ Also the project duration tends to be longer due to the “in-series” nature of the delivery method.
- Design Build – AIA B143 – A141
o Cost Control: The extent of the architect’s involvement in cost control depends on the selected scope of services. The design-builder manages the overall budget.
§ Gives the owner the earliest fixed cost of construction.
o Risks and Contracts:
§ MINIMIZES RISK for the owner
§ The owner has the least input on design, construction management and choice of trade partners.
§ The owner only needs to form one contract to cover architecture, engineering and construction.
o Drawbacks:
§ Owners give up their control over designs and have to be willing to let contractors make most of the decisions.
o Examples:
§ In a design-build project, cost control is like organizing a large event with a single event planner. Planner manages the budget, but you work together to ensure everything stays within the agreed-upon financial limits.
§
- Construction Manager as Advisor (CMa)
o Cost Control: The CMa provides cost estimates and helps manage the budget. The architect collaborates with the CMa to ensure the project stays within budget.
o Risk: The CMa in this case assumes no risk and passes savings onto the owner.
o Examples:
§ Working with CMa for cost control is like having a financial advisor. They help you plan and manage your budget, adjusting as needed to stay on track.
§
- Construction Manager as Constructor (CMc) or CM at risk
o Cost Control: the CMc provides cost estimates and may offer a GMP. The architect assists in reviewing bid proposals but is not responsible for discovering omissions.
§ Price for the GMP is decided at early design stage due to being pre-selected by the owner and brought on towards the beginning of a project.
o Risk: The CMc acts as the advisor and the contractor on this project type and takes on FULL RESPONSIBILITY for going over budget and take all risk away from the owner.
§ Examples of budget control
· Value engineering
· Cost-cutting
· Bid scope descriptions
o Contract: The owner will only form 2 contracts, one with the designer and the other with the CMc.
o Benefits: owners can work directly with their designers; this typically leads to earlier awareness of costs and faster project delivery.
§ Owners can lock in on a final construction cost earlier in the process and any subsequent changes can be clearly quantified and priced.
o Examples:
§ The CMc’s cost control is like hiring a contractor to remodel your kitchen. They provide a price estimate and manage the project, ensuring costs do not exceed the agreed-upon amount.
- Integrated Project Delivery (IPD)
o Cost Control: The architect has limited control over costs, as adjustments are typically unnecessary in this collaborative approach.
o Risk: All parties share the risk and reward
o Contracts: A single contract for the owner, designer and contractor. C191 Multi-Party | A195 Owner, Contractor | B195 Owner, Architect
o Benefits: Leads to saved time and efforts by front loading design efforts and working collaboratively, which can deliver a higher quality building and greater value for the owner.
o Pre-construction:
§ Agency Reviews: Includes the early involvement of the AHJ during the code review process. BIM data may be shared with the agency to streamline the process.
§ Buyout: involves selecting suppliers and finalizing prices from any reaming subcontractors and vendors that are not part of the IPD process. There is no bidding on this delivery type due to all the stakeholders (contractors, subcontractors, vendors, etc) having already been selected. (Architect reviews bidders to make sure their work matches the design intent.)
o Examples:
§ Cost control in IPD is like a group of friends planning a road trip together. Everyone contributes to the budget and shares expenses, making decisions collaboratively to ensure a smooth and enjoyable journey.
Contractor Selection
- Evaluating bids and reviewing important criteria.
- The owner can use AIA A305 “Contractor Qualification Statement” to gather detailed information about the contractor.
o This also must be notarized.
Bidding Procedures
Duties of the Architect
- Responsibilities are outlined in the B101
- A701 Instructions to bidders
Prequalification of Bidders:
Private (Invited) Bidding: The owner invites select contractors to bid.
Qualification Based Selection: Allows the owner to make their choice based on project scope, rather than the lowest bid. This is typically seen in privately funded projects.
Public (Open) Bidding: Any contractor can submit a bid.
o Publicly funded projects, the owner typically rewards the bid to the lowest responsible bidder.
o Bids must be opened publicly, the advantage being is its open to all qualified bidders, which reduce bias in the selection process.
§ Posted in newspapers, trade journals, or online platforms
§ Bid opening for public projects, are read publicly and usually by the architect.
§ Architect prepares a bid log, which is a spreadsheet listing bidders, their bids, and any alternates.
§ The architect should not disclose the lowest bids to other bidders but inform them that a decision will be made within 7 -10 days.
Evaluation and Awarding of Bid:
- The bids are reviewed by the owner and architect to determine which is the best fit for the project.
- Architect will notify all bidders of the outcome
- If all bids exceed the project budget, several options are available.
o The owner may choose to rebid the project, but the architect can not request additional fees from the owner (B101)
o The owner may increase the construction cost
o The owner and architect may work together to reduce the construction cost without additional fees from the architect.
o The owner may decide to cancel the project altogether if no feasible solution is found.
Terms:
- Substitutions- Contractors may suggest alternatives when proprietary items are specified by the architect.
o This allows for flexibility in materials and methods while ensuring the project’s quality and requirements are met.
- Pre-Bid Conference:
o Provides an opportunity for contractors to ask questions and seek clarifications.
o Answers given during this meeting are recorded and typically issued to all prospective bidders in the form of an addendum, ensuring everyone has the same information.
§ Even if the bidder did not attend the meeting
§ Items discussed include project time and phasing requirements, goals, work restrictions and use of the site during construction.
- Design Bid Build – Contractor Selection
o Typically the selection process often focuses on the lowest cost. But that’s not always true, typically super lower bids that are far under most other bids are a result of the bidder missing something in their proposal.
o Architect’s Role: The architect assists the owner in the selection process.
§ Provides professional insight
§ Evaluation of potential contractors.
§ Owner makes final decisions
- Selection Criteria
1. Previous Experience
a. Access the contractors experience with projects similar in scope and complexity
2. References
a. Check feedback from past clients
3. Experience of Personnel
a. Evaluate the qualifications and experience of the contractor’s team members
4. Sufficient Personnel
a. Enough staff for workload
5. Financial Qualifications
a. Can the contractor financial handle the project
6. Bonding Capacity
a. Confirm the contractor can obtain performance and payment bonds.
7. Ability to obtain required insurance
a. Confirm the contractor can obtain the necessary insurance to cover the project
8. History of past claims/disputes
a. Also view legal or contractual issues
9. History of working with subcontractors and vendors
a. Always evaluate the contractor’s relationship with past subcontractors and vendors
10. History of completing projects on time
a. Can the contractor meet deadlines
11. Knowledge of special methodologies
a. Does the contractor have expertise in any special construction methods required for the project.
12. Possession of special licensing (if required)
a. Verify if the contractor holds any special licenses necessary for the project.
- Architects Preconstruction conference check list
o Review Admin procedures
§ Contractor’s construction schedule
§ Contractor’s submittal schedule
§ Contractor’s required submittals
§ Schedule of values
§ Quality control/ testing procedures
§ Allowances/contingencies
§ Bond requirements
Section 2: Construction Observation 32-38%
- What is the architect’s role during construction and what is outside your responsibility?
o This is important to minimize risk and not accidentally take responsibility for something that is outside your jurisdiction.
- Learn to determine project progress and ensure it is being built how you designed it.
- Understand details so when you’re walking a site you know what to look out for.
o Ex: waterproofing, sheet metal, parapets. Etc
Architect’s Responsibilities During Construction:
Communication between Parties
- Construction can only begin on a project when the owner notifies the contractor that they are authorized to proceed with the work.
- CA Services – Provided by the architect are decided after the architect had reviewed the agreement between the owner and contractor.
o This is make sure that the agreement is fair to the owner and demonstrates good construction practices.
§ Examples that can affect the architect’s ability to provide CA services.
· Unreasonably short submittal time
· Change order execution without architect’s approval
· Excessive site visit requirements
· Deletion of submittal review
Site Visits and Field Reports
- Purpose of site visits
o To become familiar with the progress and quality of work
o To keep the owner informed about the project status
o To guard the owner against defects and deficiencies in the work
o To determine if the work is progressing according to the contract documents (CDs)
- Conducting site visits:
o The number of site visits are determined by the architect based on project size, complexity and type of construction, and schedule.
§ B101 states additional site visits outside of the 2 required site visits at the substantial and final completion are additional services.
o Owners tend to think that the more site visits that an architect does, the more potential mistakes by the contractor may be caught, yielding a higher-quality project. More site visits does not mean that the architect will detect all nonconforming work.
o Architect will make observations and notes in a field report.
o Reports made need to reflect what is observed on the site.
§ Ex: If you observe a roof that is not completely finished but in your report you say it is completed , a reader could come to a erroneous conclusion.
- Field Reports:
o Field reports should include the following:
§ Project number (organization tool)
§ Field report number
§ Date and time of observation
§ Weather conditions
§ Work currently in progress
§ Number of workers present
§ Observations made (including problems and photos)
§ Assessment of conformance to schedule
§ Percentage complete
§ List of items to verify
§ Action items
§ Any attachments
§ Name of the person making the report
- Communication:
o The General Conditions of the Contract establish the lines of communication. In most cases the owner and contractor will communicate through the architect unless otherwise specified in the general conditions.
Uncovering and Correction of Work
- Uncovering Work:
o If the architect requests to examine work that has been covered, the contractor is responsible for uncovering it. The contractor bears the cost of uncovering and re-covering the work if it does not conform to the CDs.
- Correcting Work:
o If non-confirming work is discovered, the contractor must correct it. The owner pays if the work conforms to the CD’s but was requested to be uncovered by the architect.
o If non-conforming work is due to the owner or their subcontractors, the owner must pay for the corrections.
o If the contractor refuses to make corrections for defective or nonconforming in a reasonable time frame, the owner can (after written notice) correct the work and then charge the cost to make the correction to the contractor.
- Safety:
o The contractor is solely responsible for safety on the site. If the architect suggests any precautions, they carry liability for those suggestions.
o If the architect notices a safety violation, they should notify the contractor and owner and follow up in writing. (Send an email to the contractor and copy the owner on it.
o The architect should not suggest how to remedy the violation. If the problem is not corrected, the architect should notify the owner and contractor in writing.
- Field Tests:
o The contractor arranges and pays for field tests. If additional testing beyond the norm is required, the architect instructs the contractor to arrange it after receiving written authorization from the owner, who pays for these tests.
o If a test reveals non-conforming work, the contractor must pay for corrections and re-inspections. The contractor may also pay the architect if any additional work arises from the test.
o For special inspections, the architect must submit a Statement of Special Inspections to the city for review. The owner engages a special inspections firm, and the owner pays for the costs. Results are submitted to the city for evaluation and approval.
Documentation and Communication
Maintaining Documentation:
- The architect should maintain complete document of the job, including:
o Standard forms: change orders, certificates of payment
o Correspondence
o Memoranda
o Meeting Notes
o Emails
o Telephone Logs
o Written/Electronic notes related to the project
- Communication Protocols:
o All communication should be dated, and copies sent to those affected. Using a project website can be a useful tool for managing documentation and communication
Conformance with Sustainability Requirements
Sustainability Requirements:
o The architect responsible for advising and consulting with the owner about progress towards achieving sustainable measures. Any deviations that might impact these measures must be reported.
o If a proposed design change may affect the sustainable objective, the architect must notify the owner.
o Responding to RFI’s from contractors about how products/materials/equipment meet sustainable measures is also a responsibility of the architect.
o The architect must register the project with the certifying authority, with registration fees deemed reimbursable expenses.
o Collecting and managing sustainability documentation from the owner and contractors to confirm it is in good format, and submitting these documents to the certifying authority is crucial.
o The architect must appeal any ruling that denies sustainability certification.
Accelerated Schedules
Types of Acceleration:
- Directed Acceleration:
o When the owner instructs the contractor to expedite work and pays for the costs
o . This is directed through a change order.
- Voluntary Acceleration:
o When the contractor decides to accelerate work to keep on schedule or for other reasons.
- Constructive Acceleration:
o When an event causes an unavoidable delay, the contractor must determine how to speed up the work. The contractor can file for damages if additional time is warranted and needs extra money to cover expenses incurred to complete the project on time.
Determining Construction Process
Section 3: Administrative Procedures & Protocols 32-38%
- What additional documents are you responsible for?
o When you and how you administer additional documents (certificate of payments, submittal evaluations, change orders, etc.)
Administrative Responsibilities
Applications for payment: AIA A702
Purpose:
- Ensures the contractor is paid for work completed and materials ordered/stored according to the progress of the project.
Procedure:
- Submission: Contractor will submit a notarized application for payment to the architect at least 10 days before the payment date established in the owner-contractor agreement.
- Contents: Application includes the value of work completed up to the date of the application.
o Value of materials bought and stored but not yet used
o Materials storage is typically on site, unless the owner agrees in writing to off-site storage.
- Verification: The architect verifies the application for payment, confirming that the work is being performed in accordance with the contract documents.
o Does not include a review of construction methods, techniques or the contractors’ use of funds.
- Schedule of Values: All payments to the contractor are based on this, which breaks down the contract sum into various areas of work.
o This helps track progress and predict time and the money required to complete tasks.
Retainage:
- A portion of the payment, known as retainage (10%), is withheld until the project is complete. This provides the owner with leverage to ensure the project is finished satisfactorily. The retainage may be reduced as the project nears completion.
Withholding Payment:
- The architect can withhold payment if:
o The requested payment does not represent the work done
o Defective work has not been remedied
o Third party claims exist
o The contractor fails to pay subcontractors
o The remaining contract sum appears insufficient to complete the work
o Damage to the owner’s property occurs
o The work will not be completed on time
o The contractor repeatedly fails to perform according to the CD’s.
Prevailing Wages:
- Public projects often require proof of payroll records to ensure compliance with prevailing wage laws.
Final Payment:
- Punch List: The contractor completes a punch list of remaining items
- Final Inspection: The contractor submits a final application for payment and notifies the architect that the work is ready for final inspection. If the inspection is satisfactory, the architect issues a final certificate of payment to the owner, releasing all retainage.
- Submission Requirements: Before issuing the final certificate, the contractor must submit:
o Affidavit stating that all payrolls, materials, and debts have been paid (use G706 “Contractor’s Affidavit of Payment of Debts and Claims”).
o Certificate of insurance coverage
o Written statement ensuring the renewal of insurance
o Consent of surety for final payment (use G707 “Consent of Surety for Final Payment”)
o Any other date required by the owner
- Partial Payments: If final completion is delayed, the owner may make partial payments without terminating the contract.
Non-Conformance with Contract Documents:
- If the architect notices deviations from the CD’s, they must notify the owner and contractor in writing. Non-conforming work needs to be tracked for correction.
Rejecting Work:
- The architect has the authority to reject non-conforming work under A201. Rejections should be documented as they impact time and cost.
o The architect can request inspections or testing if they suspect non-conforming work, with costs borne by the contractor.
Accepting Non-Conforming Work:
- The architect can approve non-conforming work with the owner’s approval.
o Deviations should be recorded, and if the deviation is less expensive than the original work, the owner may request a credit from the contractor.
§ If the deviation costs more, the contractor bears the cost.
§ If the owner accepts a deviation against the architect’s advice, the deviation is noted on the certificate of substantial completion as a “non-conforming exception”
Submittals
Purpose:
- Submittals are documents and samples provided by the contractor to demonstrate how they intend to conform to the CD’s.
Types:
- Shop drawings: Detailed drawings showing how subcontractors or suppliers propose to install their products.
- Samples: Physical examples of materials to be used
- Product Data: Brochures, chart, instructions, and other information related to the products.
Process:
- Vendors, suppliers, and subcontractors submit these documents to the contractor, who reviews them and forwards them to the architect.
- Submittals are not part of the contract documents but serve as a reference for the architect.
- The architect reviews the submittals for conformance but does not verify dimensions or completeness of details. This review does not relieve the contractor of their responsibilities.
Deadlines:
- Submittals must adhere to the schedule set by the architect. The architect’s review also has a deadline as established by the contractor’s schedule.
Approval:
- The architect approves, asks for modifications, or rejects submittals.
o Approved submittals allow the contractor to proceed with work at their risk. If submittals require changes impacting cost or time, the architect initiates the change order process.
Documentation:
- The architect keeps a log of submittals, including dates received, actions taken, and communications. This ensures transparency and accountability.
Meetings and Administrative Activities
Pre-Construction Meetings:
- Organized and conducted by the architect in a traditional design-bid-build project. Key attendees include the architect, owner, contractor, major subcontractors, and design consultants.
- Agenda: Communication protocols, construction and submittal schedules, site access, insurance requirements, submittal procedures, handling RFI’s, changes in the work, sustainability requirements, site visits, reporting requirements, coordination among contractors, and other relevant topics.
Project Meetings:
- Regularly scheduled meetings to discuss project progress, issues, and coordination. The architect typically organizes these meetings, and attendance includes the same key participants as the pre-construction meeting.
Changes in the Work and Supplemental Documentation
Minor changes in the work:
- Changes that do not affect the contract sum or time. The architect issues an order directing the change without needing approval from the owner or contractor.
Construction Change Directives:
Used when a change needs to be made immediately, but the owner and contractor are still deciding on time and cost. The architect issues a constructive change directive, allowing the work to proceed. The directive must be signed by the architect and owner and is later formalized into a change order.
Change Orders:
Authorize variations from the original CDs, affecting price, time, or both. Change orders are prepared by the architect and must be approved by the owner, architect, and contractor.
Process: The architect submits a proposal, the contractor responds with a price and time estimate, and the architect reviews and recommends approval, modification, or rejection to the owner, who makes the final decision.
Supplemental Contract Documentation:
- G716 – Request for Information (RFI) – For questions about a project
- G710 – Architect’s Supplemental Instructions
o Minor changes; which provides written and drawing instructions.
Disputes and Claims
Section 4: Project closeout & evaluation 7-13%
- When is a project complete?
- Know your role as an architect during the finishing phase of construction.
- Evaluate building design and performance.