CONSTRUCTION DOCUMENTS Part 1
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1 Audio Presentation Session 4 CONSTRUCTION DOCUMENTS Part 1 Project Delivery Education Program Construction Document Technology (CDT) Preparatory Course 2011 The Construction Specifications Institute This presentation is protected by US and International copyright laws. Reproduction, distribution, display and use of this presentation without written permission of the speaker and The Construction Specifications Institute is prohibited. The Construction Specifications Institute AIA The Construction Specifications Institute is a Registered Provider with The American Institute of Architects Continuing Education Systems. Credit earned on completion of this program will be reported to CES Records for AIA members. Certificates of Completion for non-aia members available on request. This program is registered with the AIA/CES for continuing professional education. As such, it does not include content that may be deemed or construed to be an approval or endorsement by the AIA of any material of construction or any method or manner of handling, using, distributing, or dealing in any material or product. Questions related to specific materials, methods, and services will be addressed at the conclusion of this presentation. 2 1
2 Learning Objectives To understand how construction documents define the rights of, responsibilities of, and relationships between the parties. To gain an insight of the benefits of using standard documents created by professional associations. To introduce the definitions, purposes, and content of each of the procurement and contract documents. To understand the distinctions between procurement and contracting requirements and documents. To become familiar with the procedures for soliciting pricing for the Work. The Construction Specifications Institute 3 Session Outline STUDY GUIDE: Subject Matter Area No. 3 DESIGN B. Construction Documents 1. Elements of Construction Documents 2. Elements of Procurement Documents 3. Elements of Contract Documents 4. Elements of Project Manual 5. Procurement Requirements a. Solicitation invite/advert b. Instructions for Procurement c. Available Information d. Procurement Forms 6. Contracting Requirements a. Contracting Forms b. Project Forms c. Conditions o the Contract d. Revisions and Clarifications The Construction Specifications Institute 4 2
3 Correction Schematic Design Documentation Preliminary project descriptions (PPD) - UniFormat Design Development Documentation Outline specifications MasterFormat CONSTRUCTION DOCUMENTS ELEMENTS OF CONSTRUCTION DOCUMENTS STUDY GUIDE: Subject Matter Area No. 3 B. 1. B. 2. B. 3. B. 4. The Construction Specifications Institute 6 3
4 Elements of Construction Documents Written and graphic documents Prepared for communicating Project design for construction Construction contract administration Includes Procurement documents Contract documents and Figure 11.1 Procurement Requirements Contract Forms Conditions of the Contract General Requirements Subgroup (Division 1) Facilities Construction Subgroup (Divisions 2 14) Facility Services Subgroup (Division 20 Series) Site and Infrastructure Subgroup (Division 30 Series) Process Equipment Subgroup (Division 40 series) Drawings Resource Drawings Pre-Contract Revisions - Addenda Clarifications & Proposals Contract Modifications 7 Elements of Procurement Documents Procurement Requirements Contract Forms Conditions of the Contract Bidding (private and public), negotiating, and purchasing documents Instruct bidders or proposers about established procedures for preparing and submitting bids or proposals and Figure 11.1 General Requirements Subgroup (Division 1) Facilities Construction Subgroup (Divisions 2 14) Facility Services Subgroup (Division 20 Series) Site and Infrastructure Subgroup (Division 30 Series) Process Equipment Subgroup (Division 40 series) Drawings Resource Drawings Pre-Contract Revisions - Addenda 8 4
5 Elements of Contract Documents Written and graphic documents Describes proposed construction (the Work) resulting from Performing services Furnishing labor Incorporating materials and equipment Contract Forms Conditions of the Contract General Requirements Subgroup (Division 1) Facilities Construction Subgroup (Divisions 2 14) Facility Services Subgroup (Division 20 Series) Site and Infrastructure Subgroup (Division 30 Series) Process Equipment Subgroup (Division 40 series) Drawings and Figure Pre-Contract Revisions - Addenda Clarifications & Proposals Contract Modifications Elements of Project Manual Commonly referred to as the Specifications Collection of certain written construction documents and Project requirements Content varies with Project Delivery Method Typically includes Procurement requirements Contracting forms Conditions of the Contract Specifications Procurement Requirements Contract Forms Conditions of the Contract General Requirements Subgroup (Division 1) Facilities Construction Subgroup (Divisions 2 14) Facility Services Subgroup (Division 20 Series) Site and Infrastructure Subgroup (Division 30 Series) Process Equipment Subgroup (Division 40 series)
6 CONSTRUCTION DOCUMENTS PROCUREMENT REQUIREMENTS STUDY GUIDE: Subject Matter Area No. 3 - B. 5. The Construction Specifications Institute 11 Procurement Requirements Rules and procedures for soliciting pricing for the Work Bidding Negotiating Purchasing
7 Nature of Bid Offer to perform work or supply materials or goods at a specific price Response to a solicitation If accepted, forms basis of contract Nature of Proposal Offer of terms and conditions for Work If accepted, can form a contract Implies opportunity for more consideration Sometimes utilized when cost or other conditions determined by negotiation Response to a request for proposal
8 CONSTRUCTION DOCUMENTS PROCUREMENT REQUIREMENTS STUDY GUIDE: Subject Matter Area No. 3 - B. 5. a. Solicitation b. Instructions c. Available Information d. Procurement Forms The Construction Specifications Institute 15 Solicitation Invitation to Bid Intended to attract qualified bidders and to help prospective bidders whether to obtain procurement documents or not Implies Owner will be selective by only inviting certain bidders
9 Solicitation Advertisement to Bid Notice to all qualified bidders, not just a select few In public work, an advertisement usually required to be published as legal notice Project identification Description of Work Type of bid Time of completion Prebid meeting Bid opening Document availability Solicitation Basic Information Document availability Bidder qualifications Bid security Owner right to reject bids Laws and regulations
10 Instructions for Procurement Requirements with which bidders must comply before and during submission of bids Forms prepared and published by professional associations frequently used Instructions for Procurement Basic Information Documents identified Examination of documents, site, and local conditions Procedures for interpretations during bidding Procedures for substitution Type of bid Bid preparation requirements Bid security information Performance bond and payment bond requirements Subcontractor listing requirements Continued on next slide
11 Instructions for Procurement Basic Information Continued from previous slide Requirements for identification and submittal of bid Modification or withdrawal of bid procedures Disqualification of bidders Special applicable laws Prebid meeting notice Liquidated damages Opening of bids Evaluation and consideration of bids Execution of contract Available Information Various types of information made available to Bidders, Proposers, and Contractors Available during procurement and execution of the Work however, they are not Contract Documents
12 Available Information Types Preliminary schedule Budget information Existing conditions Property survey Environmental assessment Existing material information Existing hazardous material information Geophysical data Geotechnical data Permit application requirements Procurement (Bid) Forms Documents prepared for use by bidders Requests specific information so that bids can be evaluated evenly and fairly
13 Procurement (Bid) Forms Basic Information Project identification Name and address of party to whom bid is directed Entity submitting bid Acknowledgments Amount of time for bids to be held open Identification of addenda Prices Combined bids Alternates Allowances Unit prices Completion time Liquidated damages Supplements Closing Procurement (Bid) Forms Supplement Types and Forms Bid security Alternates Allowance Unit prices Substitution request (during procurement) Estimated quantities Proposed products Proposed subcontractors Minority business enterprise statement of intent Wage rates Proposed schedule of values Proposed construction schedule Proposed work plan schedule Bid submittal checklist
14 Representations and Certifications Various single purpose forms that might be required to supplement the procurement forms of accompany a proposal REPRESENTATION We certify the representations made are true and accurate Representations and Certifications Types Bidder s qualifications Proposer s qualifications Non-collusion affidavit Statement of disposal facility Workers compensation certification schedule Non-segregated facilities affidavit Equal employment opportunity affidavit Minority business enterprise affidavit Corporate resolutions Governmental certifications
15 CONSTRUCTION DOCUMENTS CONTRACTING REQUIREMENTS STUDY GUIDE: Subject Matter Area No. 3 - B. 6. a. Contracting Forms and Supplements b. Project Forms c. Conditions of the Contract d. Revisions and Clarifications The Construction Specifications Institute 29 Contracting Requirements Various forms used to establish the contractual relationship Some forms prepared and published by professional associations frequently used
16 Contracting Requirements Forms and Supplements Notice of award Agreement forms Agreement form supplements Supplementary scope statement Allowances schedule Unit price schedule Notice to proceed Performance and payment bonds Lien bond Maintenance bond Retainage bond Special bond Maintenance bonds = guarantee against defects for a specific time period following a project's completion. Retainage bond = a bond in lieu of Owner retaining a percentage of the contractor s fees Project Forms Bond Forms
17 Project Forms Certificates and Other Forms Submittal transmittal Certificate of insurance Infection control Construction waste diversion Products Recycled content of materials Minority business enterprise certification Continued on next slide Project Forms Certificates and Other Forms Continued from previous slide Schedule of values Application for payment Stored materials Construction schedule Work plan schedule Construction equipment
18 Project Forms Clarification and Modification Forms Request for information Clarification Substitution request (during construction) Supplemental instruction Field order Written amendment Construction change directive Continued on next slide Project Forms Clarification and Modification Forms Continued from previous slide Work change directive Request for proposal Proposal worksheet summary Proposal worksheet detail Change order request Change order
19 Certificate of compliance Certificate of substantial completion Certification of completion Warranty Statutory declaration Project Forms Closeout Forms Conditions of the Contract Defines basic rights, responsibilities, and relationships of parties involved in performance of contract Inherent part of Owner-Contractor Agreement
20 Supplementary Conditions Insurance requirements Health and safety requirements Existing purchase contracts Assigned contracts Non-segregated facilities requirements Equal employment opportunity requirements Wage rate requirements Wage determination schedule Labor stabilization agreement Anti-pollution measures Security requirements Statutory requirements Revisions and Clarifications Before receipt of bids Addenda Substitution requests Between receipt of bids and contract execution Post-bid addenda (AIA not EJCDC) Negotiations Substitution requests After contract execution Change orders Substitution requests Requests for interpretation Supplemental Instructions Written amendments Construction change directive Field Order 40 20
21 Review Outline STUDY GUIDE: Subject Matter Area No. 3 DESIGN B. Construction Documents 1. Elements of Construction Documents 2. Elements of Procurement Documents 3. Elements of Contract Documents 4. Elements of Project Manual 5. Procurement Requirements a. Solicitation b. Instructions for Procurement c. Available Information d. Procurement Forms 6. Life Cycle Costs and Value Analysis a. Contracting Forms b. Project Forms c. Conditions o the Contract d. Revisions and Clarifications The Construction Specifications Institute 41 21
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