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The Construction Specifications Institute
Audio Presentation
Session 4
CONSTRUCTION DOCUMENTSPart 1
Project Delivery
Education ProgramConstruction Document Technology (CDT)
Preparatory Course2011
1www.csinet.org
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 2011
The Construction Specifications Institute is a Registered Provider with The AmericanInstitute of Architects Continuing Education Systems. Credit earned on completion ofthis program will be reported to CES Records for AIA members. Certificates ofCompletion 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 anapproval or endorsement by the AIA of any material of construction or any method ormanner of handling, using, distributing, or dealing in any material or product.Questions related to specific materials, methods, and services will be addressed atthe conclusion of this presentation.
AIA
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The Construction Specifications Institute
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.
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The Construction Specifications Institute
Session OutlineSTUDY GUIDE: Subject Matter Area No. 3 – DESIGN
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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/advertb. Instructions for
Procurementc. Available Informationd. Procurement Forms
6. Contracting Requirements
a. Contracting Formsb. Project Formsc. Conditions o the Contractd. Revisions and Clarifications
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Correction
Schematic Design Documentation• Preliminary project descriptions (PPD) - UniFormat
Project Delivery Practice Guide: 9.3 5
Design Development Documentation• Outline specifications – MasterFormat
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The Construction Specifications Institute
CONSTRUCTION DOCUMENTSELEMENTS OF CONSTRUCTION DOCUMENTS
STUDY GUIDE: Subject Matter Area No. 3B. 1.B. 2.B. 3.B. 4.
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Elements of Construction Documents
• Written and graphic documents
• Prepared for communicating Project design for construction
• Construction contract administration
• Includes – Procurement documents
– Contract documents
Project Delivery Practice Guide: 11.1.2 and Figure 11.1 7Resource Drawings
Drawings
Process Equipment Subgroup(Division 40 series)
Site and Infrastructure Subgroup(Division 30 Series)
Facility Services Subgroup(Division 20 Series)
Facilities Construction Subgroup(Divisions 2 – 14)
General Requirements Subgroup(Division 1)
Conditions of the Contract
Contract Forms
Procurement Requirements
Pre-
Con
tract
Rev
isio
ns -
Adde
nda
Cla
rific
atio
ns &
Pro
posa
ls
Con
tract
Mod
ifica
tions
Elements of Procurement Documents
• Bidding (private and public), negotiating, and purchasing documents
• Instruct bidders or proposers about established procedures for preparing and submitting bids or proposals
Project Delivery Practice Guide: 11.1.6 and Figure 11.1 8Resource Drawings
Drawings
Process Equipment Subgroup(Division 40 series)
Site and Infrastructure Subgroup(Division 30 Series)
Facility Services Subgroup(Division 20 Series)
Facilities Construction Subgroup(Divisions 2 – 14)
General Requirements Subgroup(Division 1)
Conditions of the Contract
Contract Forms
Procurement Requirements
Pre-
Con
tract
Rev
isio
ns -
Adde
nda
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Elements of Contract Documents
• Written and graphic documents
• Describes proposed construction (the Work) resulting from– Performing services
– Furnishing labor
– Incorporating materials and equipment
Project Delivery Practice Guide: 11.1.2 and Figure 11.1 9
Drawings
Process Equipment Subgroup(Division 40 series)
Site and Infrastructure Subgroup(Division 30 Series)
Facility Services Subgroup(Division 20 Series)
Facilities Construction Subgroup(Divisions 2 – 14)
General Requirements Subgroup(Division 1)
Conditions of the Contract
Contract Forms
Pre-
Con
tract
Rev
isio
ns -
Adde
nda
Cla
rific
atio
ns &
Pro
posa
ls
Con
tract
Mod
ifica
tions
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
Project Delivery Practice Guide: 11.3.4.1 10
Process Equipment Subgroup(Division 40 series)
Site and Infrastructure Subgroup(Division 30 Series)
Facility Services Subgroup(Division 20 Series)
Facilities Construction Subgroup(Divisions 2 – 14)
General Requirements Subgroup(Division 1)
Conditions of the Contract
Contract Forms
Procurement Requirements
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The Construction Specifications Institute
CONSTRUCTION DOCUMENTSPROCUREMENT REQUIREMENTS
STUDY GUIDE: Subject Matter Area No. 3 - B. 5.
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Procurement Requirements• Rules and procedures for soliciting pricing for the Work
– Bidding
– Negotiating
– Purchasing
Project Delivery Practice Guide: 11.4.2 12
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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
Project Delivery Practice Guide: 11.4.2 13
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
Project Delivery Practice Guide: 11.4.2 14
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The Construction Specifications Institute
CONSTRUCTION DOCUMENTSPROCUREMENT REQUIREMENTS
STUDY GUIDE: Subject Matter Area No. 3 - B. 5.
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a. Solicitationb. Instructionsc. Available Informationd. Procurement Forms
SolicitationInvitation 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
Project Delivery Practice Guide: 11.4.3 16
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SolicitationAdvertisement 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 Delivery Practice Guide: 11.4.3 17
SolicitationBasic Information
• Project identification
• Description of Work
• Type of bid
• Time of completion
• Prebid meeting
• Bid opening
• Document availability
Project Delivery Practice Guide: 11.4.3 18
• Document availability
• Bidder qualifications
• Bid security
• Owner right to reject bids
• Laws and regulations
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Instructions for Procurement• Requirements with which bidders must comply before and
during submission of bids
• Forms prepared and published by professional associations frequently used
Project Delivery Practice Guide: 11.4.4 19
Instructions for ProcurementBasic 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
Project Delivery Practice Guide: 11.4.4 20
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Instructions for ProcurementBasic 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
Project Delivery Practice Guide: 11.4.4 21
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
Project Delivery Practice Guide: 11.4.5 22
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Available InformationTypes
• Preliminary schedule
• Budget information
• Existing conditions
• Property survey
• Environmental assessment
• Existing material information
• Existing hazardous material information
• Geophysical data
• Geotechnical data
• Permit application requirements
Project Delivery Practice Guide: 11.4.5 23
Procurement (Bid) Forms• Documents prepared for use by bidders
• Requests specific information so that bids can be evaluated evenly and fairly
Project Delivery Practice Guide: 11.4.6 24
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Procurement (Bid) FormsBasic 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
Project Delivery Practice Guide: 11.4.6.1 25
• Prices
• Combined bids
• Alternates
• Allowances
• Unit prices
• Completion time
• Liquidated damages
• Supplements
• Closing
Procurement (Bid) FormsSupplement Types and Forms
• Bid security
• Alternates
• Allowance
• Unit prices
• Substitution request (during procurement)
• Estimated quantities
• Proposed products
• Proposed subcontractors
Project Delivery Practice Guide: 11.4.6.3 26
• Minority business enterprise statement of intent
• Wage rates
• Proposed schedule of values
• Proposed construction schedule
• Proposed work plan schedule
• Bid submittal checklist
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Representations and Certifications• Various single purpose forms that might be required to
supplement the procurement forms of accompany a proposal
Project Delivery Practice Guide: 11.4.6.4 27
REPRESENTATION
We certify the representations made are true and accurate.
Representations and CertificationsTypes
• 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
Project Delivery Practice Guide: 11.4.6.4 28
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The Construction Specifications Institute
CONSTRUCTION DOCUMENTSCONTRACTING REQUIREMENTS
STUDY GUIDE: Subject Matter Area No. 3 - B. 6.
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a. Contracting Forms and Supplements
b. Project Formsc. Conditions of the
Contractd. Revisions and
Clarifications
Contracting Requirements• Various forms used to establish the contractual relationship
• Some forms prepared and published by professional associations frequently used
Project Delivery Practice Guide: 11.5.1 30
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Contracting RequirementsForms and Supplements
• Notice of award
• Agreement forms
• Agreement form supplements– Supplementary scope
statement
– Allowances schedule
– Unit price schedule
• Notice to proceed
Project Delivery Practice Guide: 11.5.2 31
Project FormsBond Forms
• Performance and payment bonds
• Lien bond
• Maintenance bond
• Retainage bond
• Special bond
Project Delivery Practice Guide: 11.5.3.1 32
Maintenance bonds = guarantee against defects for a specific time period following a project's completion. www.suretybonds.com
Retainage bond = a bond in lieu of Owner retaining a percentage of the contractor’s fees
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Project FormsCertificates 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 Delivery Practice Guide: 11.5.3.2 33
Project FormsCertificates and Other Forms
Continued from previous slide
• Schedule of values
• Application for payment
• Stored materials
• Construction schedule
• Work plan schedule
• Construction equipment
Project Delivery Practice Guide: 11.5.3.3 34
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Project FormsClarification 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 Delivery Practice Guide: 11.5.3 35
Project FormsClarification and Modification FormsContinued from previous slide
• Work change directive
• Request for proposal
• Proposal worksheet summary
• Proposal worksheet detail
• Change order request
• Change order
Project Delivery Practice Guide: 11.5.3.3 36
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Project FormsCloseout Forms
• Certificate of compliance
• Certificate of substantial completion
• Certification of completion
• Warranty
• Statutory declaration
Project Delivery Practice Guide: 11.5.3.4 37
Conditions of the Contract• Defines basic rights, responsibilities, and relationships of
parties involved in performance of contract
• Inherent part of Owner-Contractor Agreement
Project Delivery Practice Guide: 11.5.4.2 38
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Supplementary Conditions• Insurance requirements
• Health and safety requirements
• Existing purchase contracts
• Assigned contracts
• Non-segregated facilities requirements
• Equal employment opportunity requirements
Project Delivery Practice Guide: 11.5.4.3 39
• 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
Project Delivery Practice Guide: 40
• After contract execution– Change orders
– Substitution requests
– Requests for interpretation
– Supplemental Instructions
– Written amendments
– Construction change directive
– Field Order
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The Construction Specifications Institute
Review OutlineSTUDY GUIDE: Subject Matter Area No. 3 – DESIGN
41
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. Solicitationb. Instructions for
Procurementc. Available Informationd. Procurement Forms
6. Life Cycle Costs and Value Analysis
a. Contracting Formsb. Project Formsc. Conditions o the
Contractd. Revisions and
Clarifications