Indiana University. Vice President for Capital Planning and Facilities

Indiana University Vice President for Capital Planning and Facilities DELIVERABLES REQUIREMENTS for CONSTRUCTION DOCUMENTS and AS-BUILT & RECORD DOCUMENTS Revised June 1, 2014 1

Overview of Project Document Deliverables PROJECT SIZE CATEGORIES: Deliverable requirements of construction projects for Indiana University are based on estimated projected costs associated within the scope of work. There are three categories: 1. Projects with an estimated cost at or over $5,000,000 and which would be publicly bid; 2. Projects with an estimated cost under $5,000,000 while also greater than $150,000 and which would be publicly bid; 3. Projects with an estimated cost at or under $150,000 for which invitational bidding would be solicited from pre-qualified contractors; and projects for which pricing was procured through Job Order Contracting (JOC) or other methods not qualifying for categories 1 or 2 above. STANDARD TIME POINTS: While specific requirements for deliverables associated with each of the three above categories vary, the time points establishing the submission of contractual document deliverables for these categories do not. The following time points are based on long-standing practices followed by architects, engineers and contractors. Contract Documents: The process begins with review and acceptance of the construction design documents, known as Contract Documents, or commonly referred to as CD s ; these being either prepared by architectural and or engineering design consultants performing under contract to the University, or by IU s in-house design professionals. Bid Documents: The CD documents (construction drawings, plans, specifications) along with bidding documents and any addendums, are presented as the project s bid documents to construction contractors for competitive bidding. Then the selected contractor will use these documents to effect the project s defined construction. As-built and Record Documents: During the construction phase, changes to the project that modify intent described in original Bid Documents (bid-upon set of plans and specifications) may arise. 1. As-built (or Field Data Set): Changes are recorded by the contractor, resulting in an asbuilt set (paper or electronic) documents, which are maintained by the contractor through the project s construction and then submitted by the contractor to the designer. 2. Record Drawings: The designer compiles all As-builts submitted by contractor(s) into Record Drawings and/or Record BIM model(s), with the design consultant s concurring review of what changes were denoted, why they were made (such as accepted alternate or a found condition, etc.), and where they occurred. Bid Document Deliverables are prepared for the University by a design professional (either consultants performing under contract to the University, or by the University s in-house design professionals when there is no consultant under contract for the project). Bid documents consist of construction drawings, plans, specifications, along with bidding directions and any addendums, in either or both of written and graphic formats. The design professional electronically transmits in.pdf format the full set of construction drawings, specification sections and the addenda to those documents. The University s printing contractor is responsible for paper reproduction and distribution to contractors who have registered to receive the bid documents in order to publically offer a bid proposal for construction of the project. Contract or Construction Documents Deliverables are the same issue of documents cited in the paragraph above, however these deliverables are to be submitted to the University as they were natively created - in Revit.rvt and/or AutoCAD.dwg format and in Word.docx format. These file types are commonly required for public and invitational bid contracts. Within 10 days following award of bid for contract for construction, the design consultant must provide the UAO with one set of files in digital/electronic format as follows: 2

1. CAD Files; one file each - representing every sheet in the bid documents and with Addenda incorporated. Native CAD files shall be in.dwg format, one file for each sheet in the complete set with all xrefs fully bound. These documents must comply with University Architects Office CAD Standards. Use of AutoCAD e-transmit is recommended to bind each file. 2. Word processing files: all specifications shall be in native Word docx format (other than those provided by IU Business Office for Divisions 0 & 1). 3. Revit files: a design model for each discipline. Refer to Indiana University BIM Guidelines and standards for Architects, Engineers and Contractors. 4. COBie design submittal: When the design of scope of work designates installation of operating building equipment requiring on-going regular maintenance, a COBIE Design submittal is also required to be submitted in standard COBie xlsx workbook format with worksheet info completed for each of the following tabs at a minimum: (Tab2) Facility-ies referenced in the design; (Tab3)(Floor) description of vertical levels; (Tab4) Spaces referenced in the project; (Tab5) System- systems referenced in the project; referenced in the project; (Tab6) Register-material or equipment types(submittal register); (Tab7) Component Individually named materials and equipment. As-Built Deliverables are revisions to the construction documents based on changes that occur in the field. Contractor marks changes onto a field set of prints of the construction plans (required by their contract to be kept on site) as a log, denoting what and where the changes were made. The entire field set of plans denoting the changes are either scanned or created electronically by the contractor such that they clearly show and differentiate changed elements from originally intended. The resultant contractor s field set drawing files (.pdf format file) must then be submitted to the design professional for review and to allow for producing necessary revisions to the native design program, whether created in a Revit Model or AutoCAD.dwg files. Changes may be indicated by either graphics or notations. The revised version recording all the changes in the field to the original construction documents is called a Record Drawing, created by the design professional. The submission of the contractor s field set scans and the revised native design files must be in accord for acceptance by the University of these two as-built documents. The University requires electronic project deliverables be submitted via hard copy (CD or DVD). The deliverable should include:.dwg files for each document sheet, and all addenda & specification files. Use of AutoCAD e-transmit to bind all.dwg files is recommended to insure that no x-ref files, text files, or plot styles are lost in the submittal. Refer to the Document Deliverables Matrix below for additional deliverables and their format(s). Specific requirements for Contractor s field record of changes to contract drawings: The Contractor shall keep at the construction site a complete set of full size prints of the contract drawings, reproduced at Contractor expense. During construction, these prints shall be marked to show all deviations in actual construction from the contract drawings. The color red shall be used to indicate all additions and green to indicate all deletions. The drawings shall show the following information but not be limited thereto: a. The locations and description of any utility lines and other installations of any kind or description known to exist within the construction area. The location includes dimensions and elevations of permanent features. b. The locations and dimension of any changes within the building or structure, and the accurate location and dimension of all underground utilities and facilities. 3

c. Correct grade or alignment of roads, structures, and utilities if any changes were made from contract plans. d. Correct elevations if changes were made in site grading from the contract plans. e. Changes in details of design or additional information obtained from working drawings specified to be prepared and/or furnished by the Contractor including, but not limited to, fabrication erection, installation, and placing details, pipe sizes, insulation material, dimensions of equipment foundations, etc. f. The topography and grades of all drainage installed or affected as part of the project construction. g. All changes or modifications from the original design and from the final inspection. h. Where contract drawings or specifications allow options, only the option actually used in the construction shall be shown on the as-built drawings. The option not used shall be indicated as deleted. These deviations shall be shown in the same general detail utilized in the contract drawings. Markings of the prints shall be pursued continuously during construction to keep them up to date. This information shall be maintained in a current condition at all times until the completion of the work. The resulting field-marked data shall be referred to and marked as As-Built Field Data and shall be used for no other purpose. They shall be made available for inspection by IU s representative whenever requested during construction and shall be jointly inspected for accuracy and completeness by IU s representative and a responsible representative of the Contractor prior to submission of each monthly pay estimate. Failure to keep the As-Built Field Data (including Equipment-in-Place lists in the COBIE spreadsheet) current shall be sufficient justification to withhold a retained percentage from the monthly pay estimate. Close-out / As-Built Documents Deliverable Requirements Indiana University requires that the As-Built Documents Deliverable be submitted via hard copy (CD or DVD and Paper). The electronic portion of this deliverable should include:.dwg files for each document sheet,.pdf files for each document sheet, As-built Field Data Set (a.pdf of each sheet), and O & M Manuals. When a sheet has no changes, it still must be included along with a notation of no changes on it. Use AutoCAD e-transmit to bind all.dwg files; this is the best way to insure that no x-ref files, text files, or plot styles are lost in the submittal. Follow the As- Built Document Matrix below to determine the responsible party for each deliverable, and in what format. O&M (Operations & Maintenance) Manuals The contractor shall submit to Indiana University one pdf of the O&M manuals along with the Construction Operations Building Information Exchange (COBIE) file; which shall include: (1) the make, model and serial number of each piece of installed equipment, (2) the location of any equipment installed in the building. As-Built and Record Document Deliverable Matrix The following matrix outlines the various As-Built and Record Documents deliverables that are required on two different project categories with the associated responsible parties that will be in place for contracts entered into as of February 1, 2014. All deliverables indentified in this article are to be provided as indicated. Document Deliverables Matrix The following matrix outlines the Document deliverables required on three different project categories; indicating the associated responsible parties. All deliverables identified in this article are to be provided as indicated. 4

Responsible Parties A/E = Architect/Engineer C = Contractor Category 1: for Bid Projects with an estimated project cost at or over $5 million: Construction Documents Deliverables Resp. Party Quantity Format Due Date IU BIM Proficiency Matrix A/E 1 set.xlsx Prior to selection as required IU BIM Execution Plan A/E, C 1 set.docx 30 days after contract awarded Design BIM Model(s) A/E 1 set.rvt 10 days after construction contract is awarded Construction Document CAD Drawings A/E 1 set.dwg &.pdf 10 days after construction contract is awarded Addenda A/E 1 set.docx &.pdf 10 days after construction contract is awarded Specifications A/E 1 set.docx &.pdf 10 days after construction contract is awarded COBie Data (COBie setup) A/E 1 set.xlsx 10 days after construction contract is awarded As-built and Record Documents Deliverables Resp. Party Quantity Format Due Date Record Document CAD Drawings and all project Affidavit(s) A/E (see note) (see note) * 1 set each.pdf &.dwg on CD or DVD as well as 2 sets hard copy (paper). Prior to Final Payment As-Built Field Mark-ups - Files and/or Scans C 1 set.pdf & hard At Substantial Completion & Prior to Final Payment Operations & Maintenance Manuals (O&M) C 1 set.pdf & hard At Substantial Completion & Prior to Final Payment COBie Construction Data C 1 set.xlsx Prior to Final Payment As-Built BIM Model(s) A/E 1 set.rvt Prior to Final Payment Category 2: for Bid Projects with an estimated project cost under $5 million: Construction Documents Deliverables Resp. Party Quantity Format Due Date Construction Document CAD Drawings A/E 1 set.dwg &.pdf 10 days after construction contract is awarded Addenda A/E 1 set.docx &.pdf 10 days after construction contract is awarded Specifications A/E 1 set.docx &.pdf 10 days after construction contract is awarded COBie Data (COBie setup) A/E 1 set.xlsx 10 days after construction contract is awarded As-built and Record Documents Deliverables Resp. Party Quantity Format Due Date Record Document CAD Drawings and all project Affidavit(s) A/E (see note) (see note) * 1 set each.pdf &.dwg on CD or DVD as well as 2 sets hard copy (paper). Prior to Final Payment As-Built Field Mark-ups - Files and/or Scans C 1 set.pdf & hard At Substantial Completion & Prior to Final Payment Operations & Maintenance Manuals (O&M) C 1 set.pdf & hard At Substantial Completion & Prior to Final Payment COBie Construction Data C 1 set.xlsx Prior to Final Payment 5

Category 3: non-public bid Projects at or under $150,000 of invitational bidding from contractors, or procured through job order contracting (JOC), or other methods not qualifying for categories 1 or 2: Construction Documents Deliverables Resp. Party Quantity Format Due Date Construction Document CAD Drawings A/E 1 set.dwg &.pdf 10 days after construction contract is awarded Addenda A/E 1 set.docx &.pdf 10 days after construction contract is awarded Specifications A/E 1 set.docx &.pdf 10 days after construction contract is awarded As-built and Record Documents Deliverables Resp. Party Quantity Format Due Date Record Document CAD Drawings and all project Affidavit(s) A/E (see note) (see note) * 1 set each.pdf &.dwg on CD or DVD as well as 2 sets hard copy (paper). Prior to Final Payment As-Built Field Mark-ups - Files and/or Scans C 1 set.pdf & hard At Substantial Completion & Prior to Final Payment Operations & Maintenance Manuals (O&M) C 1 set.pdf At Substantial Completion & Prior to Final Payment Responsible Parties A/E = Architect/Engineer C = Contractor Responsible Party shall not be relieved of responsibility when files delivered do not meet established requirements or are defective. Indiana University shall verify all files and the Owner s Representative shall be notified of acceptance. Submittal Standards BIM (Building Information Modeling) - refer to requirements in The Indiana University Building Information Modeling (BIM) Guidelines For Architects, Engineers, and Contractors at: http://www.iu.edu/~vpcpf/consultant-contractor/standards/bim-standards.shtml CAD (Computer Aided Design) - refer to the Indiana University and National CAD Standards as outlined at: http://www.iu.edu/~vpcpf/consultant-contractor/standards/cad-standards.shtml COBIE (Construction Operations Building Information Exchange) - for spreadsheets, instructions, and guidance go to: http://www.wbdg.org/resources/cobie.php?r=om COBie 2.26* is the version to be used. (*8-9-15: made correction in bold) GIS/SITE for Site, Civil, Landscape and Utilities guidance go to: http://www.iu.edu/~vpcpf/consultantcontractor/standards/site-landscape.shtml File Format Standards BIM - Autodesk Revit.rvt - Revit version should closely be coordinated with entire team and Owner and indicated in IU BIM Execution Plan CAD - Autodesk AutoCAD.dwg - format should be AutoCAD version 2014.dwg (AutoCAD release 2014) and each file named for each individual drawing sheet PDF - Adobe pdf format should be configured to allow for text searches and printing. Pdfs should also be rotated to drawing/sheet orientation. Files should be named to match the individual sheet/drawing number. RVT (see BIM above). 6

Definitions Affidavit Signed letter affirmation to the University. A Code Affidavit would be the Architect/Engineer s assurance of project s design meeting current required restrictive codes and laws (such as ADA), and will also list any/all unique deviations allowed by the State to be taken, such as any variance(s). Environmental Affidavit would be the Architect/Engineer s assurance of project s design meeting current required environmental codes and laws, and will also list any and all unique deviations that may have been allowed by the legal jurisdiction. Check with Team Leader for required affidavits on project. As-Built Documents - As-built documents are the collection of paper drawings or electronic drawings that typically reside in the contractor s onsite trailer that contain mark-ups, annotations, and comments about changes that have been made to the contract documents during the construction phase. As-Built Model - Design Intent Models that have been updated throughout the construction process. These changes and updates have been communicated from the Contractor to the Design Team through the comments, annotations, and markups from the As-Built Documents. These typically, but not always, are discipline-specific models. Building Information Model (BIM) - A digital representation of physical and functional characteristics of a facility; a shared knowledge resource for information about a facility forming a reliable basis of decisions during life-cycle, which is defined as existing conception to demolition. BIM Execution Plan (BEP) - A plan that is created from Indiana Universities BIM Execution Plan Template that is to be submitted thirty (30) days after contract award. The BEP helps to define roles and responsibilities within a project team. BIM Proficiency Matrix (BPM) - A matrix that was designed to measure the expertise of a firm as it relates to using a BIM process on projects. It will be used by Indiana University as one of the many selection criteria during the selection process. C.O.B.i.e. Construction Operations Building Information Exchange COBIE spreadsheet replaces submission of multiple copies of paper documents delivered at the conclusion of construction. The data required by COBIE is the same information as is currently required by project handover/o&m data. The contractor is to insert installed equipment data in the spreadsheet that will link into designer provided space, and installation information. Operations and Maintenance Manuals (O&M s) Includes all manufacturers warrantee information, product data and maintenance requirements and recommendations as would be required to properly and safely maintain installed building elements and equipment and maintain the warrantee status of same. Also shall include all temperature control drawings, fire protection system documents, security system documents, and Interior Finishes binders (in format as required by UAO Interiors Dept.) Record Drawing - The production of Record Drawings is the capturing of the As-Built Documents annotations, comments, and mark-ups in a drawing format only. This requirement is separate of any updating of any models. Related Documents (for others see VPCPF website: http://www.iu.edu/~vpcpf/consultant-contractor/index.shtml) Building Design Standards - http://www.iu.edu/~vpcpf/consultant-contractor/standards/building.shtml CADD Standards http://www.iu.edu/~vpcpf/consultant-contractor/standards/cad-standards.shtml G.I.S. Drawing Procedure - http://www.iu.edu/~vpcpf/consultant-contractor/standards/site-landscape.shtml Engineering Deliverables - http://www.indiana.edu/~uao/docs/standards/iu%20engr%20consultant%20design%20deliverables.pdf Interiors Standards (web page under construction as of date of this edition of this document) Site and Landscape Standards - http://www.indiana.edu/~uao/docs/standards/iu_landscape.pdf Space Planning Guidelines - http://www.indiana.edu/~spacepln/docs/iu-space-planning-guidelines-office-space.pdf [End of Document] 7