FACILITIES CONFERENCE
April 24-26, 2013
AIA A201 General Conditions
What You Don’t Know Can Help You
Minnesota State Colleges and Universities
The Minnesota State Colleges and Universities system is an Equal Opportunity employer and educator.
AIA A201
 Presenters
 Kent Dirks
 Jim Morgan
 Barry Schaub
 Jeanne Qualley
 Heidi Myers
AIA A201 - 2007
 AIA A201 is General Conditions that are included in all request
for bids and is incorporated into construction contracts.
 MnSCU revisions to AIA A201 is available at
http://www.finance.mnscu.edu/facilities/designconstruction/AIA_documents/index.html
 52 pages of fun reading excitement!
AIA A201 - 2007
 The QUIZ begins………….
 Each table will receive a question related to AIA A201 and list of
multiple choice answers.
 Goal is to determine correct answer
 This is an OPEN BOOK test!
(Hint: Use AIA A201 to look up answers)
 Bonus questions will be used at conclusion of quiz
Question 1
If College/University cleans up the site because the contractor
failed to do so, then:
A. MnSCU is entitled to reimbursement
B. MnSCU can verbally negotiate a deal with contractor to do
other work to offset costs
C. MnSCU absorbs cost of clean up
D. Do whatever Architect says
Question 1
Answer: A
Article 3.15.2:
If the Contractor fails to clean up as provided in the Contract
Documents, the Owner may do so and Owner shall be entitled to
reimbursement from the Contractor.
Question 2
If an audit is conducted on a $900,000 construction project and
identifies $10,000 of overcharges, the Owner can require
contractor to:
A. Pay back $10,000 within 30 days
B. Pay back $10,000 and 10% penalty within 90 days
C. Pay back $10,000 and cost of audit within 90 days
D. Payment to Barry
Question 2
Answer: C
Article 19.6
If an Audit discloses overpricing or overcharges (of any nature)
by the Contractor to the Owner in excess of 1% of the total
contract billings, in addition to repayment or credit for
overcharges, the reasonable, actual cost of the Audit shall be
reimbursed to the Owner by the Contractor. Any adjustments
and/or payment that must be made as a result of any Audit shall
be made within a reasonable time not to exceed 90 days from
presentation of the Owner’s findings to the Contractor.
Question 3
Contractor is required to submit schedule of values (ie AIA
G703) to:
A. The Owner, Architect and Owner’s Rep before first pay
application
B. Architect only if requested
C. The Owner, Architect and Owner’s Rep for only change
orders
D. Whenever Heidi says to do
Question 3
Answer: A
Article 9.2.1
Where the Contract is based on a stipulated sum or Guaranteed Maximum Price, the
Contractor shall submit to the Architect, the Owner, and the Owner’s Representative,
before the first Application for Payment, a Schedule of Values allocating the entire
Contract Sum to the various portions of the Work and prepared in such form and
supported by such data to substantiate its accuracy as the Architect, the Owner, or the
Owner’s Representative may require. The Schedule of Values shall show each major
item of the Work and each subcontracted item of the Work as separate line items on
an AIA Document G703, Application and Certificate of Payment, Continuation Sheet or
other form acceptable to the Owner, the Owner’s Representative, and the Architect.
This schedule, unless objected to by the Architect, the Owner, or the Owner’s
Representative shall together with on site observations by the Architect and
substantiating data as required by the Owner and the Architect be used as a basis for
reviewing the Contractor’s Applications for Payment.
Question 4
Substantial completion applies to all of the items below except:
A. The Owner can occupy area
B. Start date of one year warranty
C. The Owner can accept non-conforming work and extend
warranty
D. Certificate is signed by contractor, architect and the Owner
Question 4
Answer: C
Article 9.8 Substantial Completion
Question 5
Construction change directive applies to all of the items below
except:
A. Contractor’s signature binds him/her to terms and amount
B. Upon receipt of construction change directive, contractor
cannot proceed with work until change order is received
C. Unit prices stated in contract documents
Question 5
Answer: B
Article 7.3 Construction Change Directives
Question 6
Contractor can add what percentage to change order when work
is performed by subcontractor:
A. 5%
B. 7%
C. 10%
D. Negotiate with Jim
Question 6
Answer: B
Article 7.3.7
.6 In addition to the costs provided for above, in case of an increase in the Contract
Sum, the adjustments in the Contract Sum shall include overhead and profit at a
maximum of 10% of the cost documented in Clauses 7.3.7.1 through 7.3.7.5. If the
Work is done by a Subcontractor, the Contractor may add not more than 7% of the
costs documented in Clauses 7.3.7.1 through 7.3.7.5 for the Contractor’s overhead
and profit. The percentage for profit and overhead allowed by the Owner may be less
than the amounts above, depending on the nature, extent or complexity of the
change, where the percentage is not commensurate with the responsibility and
administration involved, such as the Contractor merely processing a substantial
Change Order to a Subcontractor or the Contractor processing an order for additional
equipment. The documentation for the adjustment in the Contract Sum for the
purposes of this Subsection 7.3.7.6 shall include the following
Question 7
What is the execution process for the Owner’s Right to Carry out
Work on a Project:
A. Deduct Change Order issued to contractor, ten-day waiting
period, written notice to contractor from Owner and Owner
corrects deficiencies
B. Written notice to contractor from Owner, deduct Change
Order issued to contractor , ten-day waiting period and
Owner corrects deficiencies
C. Written notice to contractor from Owner, ten-day waiting
period, Owner corrects deficiencies and deduct Change
Order issued to contractor
Question 7
Answer: C
Article 2.4 Owner’s Right to Carry out the Work
If the Contractor defaults or neglects to carry out the Work in accordance with the
Contract Documents and fails within a ten-day period after receipt of written notice
from the Owner to commence and continue correction of such default or neglect with
diligence and promptness, the Owner may, without prejudice to other remedies the
Owner may have, correct such deficiencies. In such case an appropriate Change Order
shall be issued deducting from payments then or thereafter due the Contractor the
reasonable cost of correcting such deficiencies, including Owner’s expenses and
compensation for the Architect’s additional services made necessary by such default,
neglect or failure. If payments then or thereafter due the Contractor are not sufficient
to cover such amounts, the Contractor shall pay the difference to the Owner. The
right of the Owner to carry out the Work pursuant to this Section 2.4 shall not give
rise to a duty on the part of the Owner to exercise this right for the benefit of the
Contractor or any other person or entity.
Question 8
What does the term “defective work” mean?
A. Work that does not fully conform to the requirements in the
Contract Documents, including but not limited to,
incomplete Work.
B. Work that the department faculty does not like.
C. Work the Architect issued a Proposal Request to change.
D. None of the above
Question 8
Answer: A
Article 3.5.2
The term “defective work” means Work that does not fully
conform to the requirements contained in the Contract
Documents, including but not limited to, incomplete Work.
Question 9
If the general contractor finds human remains, an archaeological
site or wetland markers, what should they do?
A. Notify the Owner, the Owner’s Representative and the
Architect.
B. Dig deeper or further along the edges, to confirm the
findings.
C. Call the newspaper for a ‘good scoop’ award.
D. Send a Request for Information to the Architect and/or Civil
Engineer.
Question 9
Answer: A
Article 3.7.5
If, in the course of the Work, the Contractor encounters human remains or recognizes
the existence of burial markers, archaeological sites or wetlands not indicated in the
Contract Documents, the Contractor shall immediately suspend any operations that
would affect them and shall notify the Owner, the Owner’s Representative, and the
Architect. Upon receipt of such notice, the Owner shall promptly take any action
necessary to obtain governmental authorization required to resume the operations.
The Contractor shall continue to suspend such operations until otherwise instructed
by the Owner but shall continue with all other operations that do not affect those
remains or features. Requests for adjustments in the Contract Sum and Contract Time
arising from the existence of such remains or features may be made as provided in
Article 15.
Question 10
What information or documentation is the Owner required to
provide to the Architect and/or Contractor:
A. Site and geotechnical surveys
B. Utility locations
C. One copy of the Contract Documents for purposes of
reproductions
D. All of the above
Question 10
Answer: D
Article 2.2 Information and Services required of the Owner
Question 11
If the Contract Documents require Work to be performed after
regular working hours, the additional cost of such work will be
borne by:
A. College or University
B. Contractor
C. Architect
D. Owners Representative
Question 11
Answer: B
Article 3.4.1
Unless otherwise provided in the Contract Documents, the Contractor shall provide
and pay for labor, materials, equipment, tools, construction equipment and
machinery, water, heat, utilities, transportation, and other facilities and services
necessary for proper execution and completion of the Work, whether temporary or
permanent and whether or not incorporated or to be incorporated in the Work.
Should the Contract Documents specifically require Work to be performed after
regular working hours or should the Contractor elect to perform Work after regular
working hours, the additional cost of such Work shall be borne by the Contractor.
Question 12
The Contractor is responsible to schedule Owner specified
testing and inspections and provide notice a minimum of how
working days prior to the initial start of Work requiring testing or
inspection?
A. 30 days
B. 3 days
C. 5 days
D. As soon as they can get on site after the phone call.
Question 12
Answer: C
Article 3.10.4
The Contractor is responsible to schedule Owner specified testing and inspections. A
minimum of five (5) working days notice is required prior to starting Work requiring
testing or inspection. A minimum of three (3) working days notice thereafter is
required for continuation of Work items requiring testing or inspection. These notice
times shall be incorporated into the Contractor’s construction schedule.
Question 13
The Owner awarded/fully executed a contract for start of work to occur
September 1, 2013 with substantial completion August 30, 2014. General
contractor has notified the owner of their intent to seek additional
compensation due to the fact that the total snow fall for the month of
February, in the location of the project, is five times greater than the normal
snow fall for February. The G.C.’s claim is that since they had to perform a
greater amount of snow removal on roof decks for roof installation work,
then initially planned for, they are entitled to additional compensation.
Do the general conditions of the contract favor a successful claim by the
General Contractor in this case?
A. NO
B. YES
C.
Maybe
Question 13
Answer: C
Article 15.1.5.1 and 15.1.5.2
§ 15.1.5.1 If the Contractor wishes to make a Claim for an increase in the Contract
Time pursuant to Section 8.3, written notice as provided herein shall be given. The
Contractor’s Claim shall include an estimate of cost and of probable effect of delay on
progress of the Work. In the case of a continuing delay, only one Claim is necessary.
§ 15.1.5.2 If adverse weather conditions are the basis for a Claim for additional time
pursuant to Subsection 8.3.1.4, such Claim shall be documented by data
substantiating that weather conditions were abnormal for the period of time, could
not have been reasonably anticipated and had an adverse effect on the scheduled
construction.
Question 14a
The General Contractor successfully completed a project, on time, per contract agreement; and, the Owner has been
permitted to occupy. However, completion and closeout of punch list items has extended far beyond what are
reasonable expectations for punch list completion. The Owner has continually coordinated room scheduling, as per the
General Contractor’s request to ensure that rooms are available for multiple punch list items to be worked on and
completed. The Owner has witnessed only very small amounts of progress on the part of the General Contractor and
his subcontractors. What’s more, each time the Owner is notified by the General Contractor that, “the punch list is now
complete”, the Architect has come out to the project site to re-inspect, only to find that remaining items in fact are not
complete or, are only partially complete. Now, after seven ‘recall’ visits by the Architect to re-visit an incomplete punch
list. The Architect has presented the Owner with a claim for additional compensation to cover the costs of his
additional time which by now has exceeded what was planned for in the Architect’s contact Project Closeout phase of
services.
Within the terms of the contract, what is the Owner’s preferred method to get the remaining work completed?
A.
Issue a letter terminating the contract with the General Contractor and use the remaining retainage to complete
the work.
B.
Issue a deductive change order, equal to the value of remaining punch list items and self-perform the work.
C.
Issue a letter to the General Contractor notifying him of the Owner intent to terminate the contract due to poor
performance, the letter will influence the Contractor to complete the work as soon as possible, prior the contract
being terminated.
D.
Issue a letter notifying the contactor of the Owner’s intent to self-perform the remaining work if no action is taken
within 10 days after receipt of the letter. If no action by the General Contractor taken within 10 days, the Owner
self performs and issues deductive change order equal to the value of completing the remaining work.’
Question 14a
Answer: A or D
Article 2.4 or 14.2.1
§ 2.4 If the Contractor defaults or neglects to carry out the Work in accordance with the Contract Documents and fails within a
ten-day period after receipt of written notice from the Owner to commence and continue correction of such default or neglect
with diligence and promptness, the Owner may, without prejudice to other remedies the Owner may have, correct such
deficiencies. In such case an appropriate Change Order shall be issued deducting from payments then or thereafter due the
Contractor the reasonable cost of correcting such deficiencies, including Owner’s expenses and compensation for the Architect’s
additional services made necessary by such default, neglect or failure. If payments then or thereafter due the Contractor are not
sufficient to cover such amounts, the Contractor shall pay the difference to the Owner. The right of the Owner to carry out the
Work pursuant to this Section 2.4 shall not give rise to a duty on the part of the Owner to exercise this right for the benefit of the
Contractor or any other person or entity.
§ 14.2.1 The Owner may terminate the Contract if the Contractor
.1 refuses or fails to supply enough properly skilled workers or proper materials;
.2 fails to make payment to Subcontractors for materials or labor in accordance with the respective agreements between
the Contractor and the Subcontractors;
.3 disregards applicable laws, statutes, ordinances, codes, rules and regulations, or lawful orders of a public authority; or
.4 files a bankruptcy petition or has a bankruptcy action commenced against it that is not discharged within 30 days of its
commencement, makes an assignment for the benefit of creditors, has a receiver appointed to manage its assets, or
otherwise becomes insolvent;
.5 fails to provide or maintain any schedules required under the Contract Documents; or
.6 otherwise is guilty of substantial breach of a provision of the Contract Documents.
Question 14b
Within the terms of the contract, can the Owner issue a
deductive change order to the General equal to the value of the
Architect’s increased fee associated with added time for project
closeout?
A. YES
B. NO
C. Maybe
Question 14b
Answer: A
Article 2.4
If the Contractor defaults or neglects to carry out the Work in accordance with the Contract
Documents and fails within a ten-day period after receipt of written notice from the Owner to
commence and continue correction of such default or neglect with diligence and promptness, the
Owner may, without prejudice to other remedies the Owner may have, correct such deficiencies.
In such case an appropriate Change Order shall be issued deducting from payments then or
thereafter due the Contractor the reasonable cost of correcting such deficiencies, including
Owner’s expenses and compensation for the Architect’s additional services made necessary by
such default, neglect or failure. If payments then or thereafter due the Contractor are not
sufficient to cover such amounts, the Contractor shall pay the difference to the Owner. The right
of the Owner to carry out the Work pursuant to this Section 2.4 shall not give rise to a duty on
the part of the Owner to exercise this right for the benefit of the Contractor or any other person
or entity.
Questions
Provide feedback to
Heidi Myers
651-201-1773
Heidi.myers@so.mnscu.edu