PRACTICE MANAGEMENT (PcM)
Resource Management
 1.1 Determine criteria required to assemble team (37%)
 Determine what internal staff and outside consultants
will be needed to complete the project and fulfill the
contract.
 Understand fees related to the project and consultants.
 Anticipate the specific responsibilities of the team being
assembled.
 1.2 Assess criteria required to allocate and manage
project resources (3-7%)
 Assess appropriate levels of staffing relative to the
project needs and fees.
 Track the progress of the project based on personnel,
hours, fees, and schedule.
Project Work Planning
 2.1 Develop and maintain project work plan (5-9%)
 Use resources such as Gantt charts or critical path schedules
 Identify key activities and milestones in a project and how they can
be achieved
 Modify schedules and work plans to incorporate feedback or changes
to the project.
 2.2 Determine criteria required to develop and maintain
project schedule (5-9%)
 Prioritizing tasks and evaluating their impact on a balanced workload
is a critical aspect of this section. You will need to
 Assess how outside factors (e.g. client reviews, regulatory
submissions, and testing) impact work plans and schedules.
 2.3 Determine appropriate communication to project team –
owner, contractor, consultants and internal staff (4-8%)
 Determine the type and content of documents needed to
communicate during the work planning phase of a project (e.g.
agendas, meeting minutes, emails, and memos)
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PRACTICE MANAGEMENT (PcM)
Project Execution
Contracts
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3.1 Evaluate and verify adherence to owner/architect agreement (10-14%)
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3.2 Interpret key elements of, and verify adherence to architect/consultant agreement (5-9%)
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AIA Document C401
Identify contract requirements related to completing a project, additional services, and payment
schedules.
3.3 Interpret key elements of the owner/contractor agreement (4-8%)
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AIA Document B101
Differentiate between basic, supplemental, and additional services
Determine requisite billing for each phase
Recognize when a phase is completed
Select the appropriate delivery method based on standard contract requirements.
AIA Documents A101 and A201
Understand the architect’s role relative to the owner when working with a contractor across
various delivery methods.
3.4 Interpret key elements of the owner/architect agreement to integrate an owner's
consultant's work into the project (1-5%)
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Understand how an owner's consultant's work affects project deliverables
Identify how to sequence, integrate, and coordinate an owner's consultant’s work in the overall
project
 4.1 Evaluate compliance with construction budget (3-7%)
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Confirm all items in construction estimates to ensure they align with the budget
Evaluate estimates throughout the course of the project to mitigate changes in material
or scope to comply with the budget.
 4.2 Evaluate and address changes in scope of work and scope creep (3-7%)
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Analyze changes in scope to determine the impact on fees, schedules, and owner
financing.
 4.3 Evaluate project documentation to ensure it supports the specified delivery
method (5-9%)
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Determine the appropriate documentation needed for projects, including consultant
documents
Coordinate close-out and construction administration documentation.
 4.4 Identify and conform with the requirements set forth by authorities having
jurisdiction in order to obtain approvals for the project (1-5%)
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Identify which authorities have jurisdiction over projects (e.g. zoning commissions,
neighborhood review boards, or plan reviewers)
Determine what submittals are required for project approvals
Properly respond to questions or feedback from these authorities
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PRACTICE MANAGEMENT (PcM)
Project Quality Control
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5.1 Apply procedures required for adherence to laws and regulations relating to the project (2-6%)
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5.2 Identify steps in maintaining project quality control, and reducing risks and liabilities (4-8%)
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Establish review processes to be utilized throughout the project to evaluate quality control
Assess risk and liabilities
Identify level of completion at each phase of the project
Understand the different types of insurance related to architectural practice
Understand strategies for conflict resolution are also critical ways to manage risks and liabilities.
5.3 Perform quality control reviews of project documentation throughout life of project (5-9%)
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Identify the government agencies who have jurisdiction on the project
Determine what permits and procedures will be required throughout the project duration
Establish protocols to maintain compliance on the project site. In addition, you'll need to
Know the requirements for performing a code analysis
Understand the impact of building, zoning, and other jurisdictional codes on design and construction.
Carry out the review steps and procedures identified and established in the previous objective with regards to quality
control and risk
Coordinate the design work and documentation of consultants
Assess the impact of design decisions and changes on constructability
5.4 Evaluate management of the design process to maintain integrity of design objectives (3-7%)
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Ensure design objectives are continually monitored and met across all phases of design
The process of communicating the design objectives through regular collaboration with project stakeholders
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RESOURCE MANAGEMENT
 1.1 Determine criteria required to assemble team (3-7%)
 Determine what internal staff and outside consultants will be needed to complete the project and fulfill the contract.
 Understand fees related to the project and consultants.
 Anticipate the specific responsibilities of the team being assembled.
5: Organizational Development 212 Developing the Plan
10: Design Project Management 603 621 Tables 10.4-10.10: Budgets and Fee Distributions
 1.2 Assess criteria required to allocate and manage project resources (3-7%)
 Assess appropriate levels of staffing relative to the project needs and fees.
 Track the progress of the project based on personnel, hours, fees, and schedule.
10: Design Project Management 589, 621 Facilitating the Project Table 10.11: Example of a Milestone Chart
15: Project Definition 964 Types of Services
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Strategic Plan – Formation
 Team:
 Should include those who have greatest vested interest in the firm’s future – firm leadership and management, subject
matter experts (SMEs), thought leaders, future firm leaders, market and practice leaders, operations side and
admin/corporate side.
 Include those who will actively contribute to process
 6-12 people ideal size – enough minds for brainstorming while preserving a sense of intimacy
 Planning workshop, for team members to take a big step back from everyday role and take a broader, firmwide view
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Hold offsite
3rd party facilitator
Set ground rules for workshop
Think strategically, and actively participate
Prioritize the issues and initiatives on the workshop agenda
Aim for consensus (not voting, win/loss) – better for those who had differing ideas are convinced by the group to support an
action with the greater good of the firm in mind, and with the same vigor as if it had originally been their own idea.
 Involve the entire staff in developing and implementing the plan – collect staff ideas through an employee
survey, focus groups, or regular staff meetings during the preplanning stage; immediately after the team
develops the plan in the workshop, communicate its highlights to all staff members; provide a conduit for
suggestions from the staff for consideration at any time.
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Strategic Plan - Implementation
 SP implementation has the same priority as the firm’s most important projects– people’s
“day jobs” cannot interfere with the strategic plan/implementing the strategic plan is a part
of everyone’s “day job”
 Designate a champion responsible for each action item; each should carry out their assigned
actions, report progress to their own, and elevate staff input back to the planning team.
 Set up a series of regular meetings
 Use action items as agenda items at regular meetings to assess implementation progress and
manage the established deadlines
 If a champion misses a deadline once, immediately reschedule it. If the champion misses the
new deadline, assign a different champion.
 Review the effects of each action plan as it is implemented.
 Report progress. Celebrate success.
 Maintain strategic planning culture.
 Update the plan 1-2 time a year
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Project Team – by Project Delivery Method
 Project delivery method will affect the
project team
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Project Delivery Method – Selection Factors
Cost
Risk
Schedule
Quality
Scope
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Project Delivery Methods
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Project Delivery Methods
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Project Delivery Method - Traditional
Design-Bid-Build
 Linear process; usually slowest method.
 Competitive bidding means lowest cost.
 Frequently used – decades of case law mitigates
some risk.
 Gives Owner a lot of control over design (especially
compared to Design-Build).
 Since Contractor involved after construction
documents are completed, lose benefit of early
input on constructability of design – issues are not
discovered until after construction has begun, when
making decisions is costly. MORE RISK FOR PROJECTS
THAT ARE COMPLEX / HAVE UNKNOWN FACTORS.
 Value engineering and Change Orders means that quality
is sacrificed.
 Segregated services = adversarial relationship
between Architect and Contractor.
 Often required for government projects.
Variations:
 Fixed Price: contractors submit fixed price bids after
construction documents completed; usually lowest
bidder wins.
 Negotiated Select Team: contractor is selected early
in the design process, and agrees to certain
contract terms BEFORE the construction documents
are completed. Once construction documents are
finished, subs are selected and contract amount is
determined based on pre-negotiated terms.
 Trade off competitive bidding price for better quality
 Cost + Fixed Fee: Contractor is selected after
construction documents completed, and is paid for
labor and material costs with overhead + a fixed fee
representing profit (does not vary with total project
cost). Incentives can be added to that fee if the
project finishes early/under original budget.
 Multiple Prime: more than one Contractor contracts
with Owner to perform work.
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Project Delivery Method – Construction Manager
Construction Management:
 Provide construction and technical device earlier on in the design
process, reduces (but does not eliminate) likelihood of problems,
increases quality – generally reduces risk.
 Reduces Owner’s general management responsibilities (better for
inexperienced owners)
 Best for complex projects or projects on a tight schedule
CMA
 While CMA provide cost guidance throughout the design phases of the
project, not a guarantee on actual cost.
CMC
 Fastest project delivery method.
 Owner has cost savings opportunity.
 GMP is good for projects where commitment to budget is critical.
 Owner can audit project costs at any time.
 Once Construction begins, CM assumes role of general contractor, and
similar tensions mentioned in Design-Bid-Build can emerge.
 CM as Advisor: CM acts only as a
constructability and cost advisor to the owner
during the design and construction process, but
will not build the building (Project is delivered
some other way)
 CM as Agent: CM provides early consulting and
acts on behalf of the owner in assembling and
coordinating the construction trades prior to
and during construction. Typically use cost + fee
(project costs for material labor, which passes
on both savings and overruns directly to the
owner + a fixed fee).
 CM as Constructor: CM starts as constructability
and cost advisor and transitions to constructor
(similar role to that of Design-Bid-Build) using
cost + fee.
 CM at Risk: CM is at risk for/must pay for the
construction costs of the Project that exceed the
GMP (Guaranteed Maximum Price).
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Project Delivery Method – Design Build
 Owner contracts with ONE entity to provide design and
construction services
 Eliminates Traditional adversarial nature between
Architect/Contractor.
 Minimizes risk since Architect and Contractor are
working together to determine a design that fits the
Owner’s budget.
 Owner is responsible for establishing the project
parameters and enforcing performance – design is not
as flexible once design build entity has been brought on
board, so not as suitable for projects that require
extensive interaction between Owner and Architect
during the design AND construction process.
Variations
 Bridged Design-Build: a design architect
contracts with the Owner and establishes
the design concept for the design build
entity to design and construct (a production
architect establishes technical criteria and
generates construction documents for the
entity)
 Typically, Contractor is the DB entity, and the Architect is a
consultant.
 While team is better suited to deliver high quality work,
Contractor-led DB might compromise quality, and
Owner has to be experienced enough to hold DB entity
to standards set.
 Doesn’t take any longer/shorter than traditional.
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Project Delivery Method – Integrated Project Delivery
 One multi-party contract with several different
groups (at minimum, Owner, Architect, and
Contractor, but can include users, engineers,
subcontractors, suppliers, etc).
 Remove adversarial nature between parties.
Can focus on optimal outcomes.
 Indemnification from litigation amongst project
delivery team.
 Different groups participate in pre-design and
collaborate through design development,
construction documents, and construction.
 Design takes longer because of all the participants,
but theoretically overall project delivery time will
be shorter because frontloading coordination.
 Shared risk and reward by all stakeholders.
 10 Principles of IPD
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Mutual respect and trust
Mutual benefit and rward
Risks identified and accepted early
Collaborative innovation and decision making
Early involvement of key participants
Early goal definitionintensified planning
Open communication
Appropriate collaboration technology
Organization and leadership
 Needs a committed Owner.
 Better suited for complex projects (e.g.
hospitals, primarily because of owner’s
familiarity with construction, complex systems,
and interest in current technologies)
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Project Delivery Methods – Other Factors
 Fixed Price/Stipulated Sum/Lump Sum: contractor gives owner set price.
Owner is not responsible for cost overruns, but does not realize savings.
 Cost Plus Fee/Time & Material, with and without a GMP: owner pays the actual
cost of the project, plus an agreed upon fee. The CM can guarantee a
maximum price (GMP). Owner receives cost savings if any.
 Hourly Fee
 Fast-Track Method (typically under CM, either as an adviser or a constructor,
but can be used with any delivery method): Construction process can begin
before the design has finished by issuing architectural and engineering
documents (aka Bid Packages) in stages. Can significantly reduce time and cost
of project, but requires many prime contracts and lots of coordination.
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Project Team Members
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Project Team Members
Client
 Architect selects which projects to pursue and thus which
clients to work with
 Clients have to value services offered by architect
 Architect need the time and staff to be able to do a good job
for the client
 Best projects/relationships come from repeat clients (client
already trusts and respects the architect, and architect does
not need to put in additional care at beginning of project to
promote a collaborative working relationship)
Contractor
 Neither client nor architect has much control over the choice
of builder, since contractor is chosen for the client by having
the lowest construction cost bid
 Architect may work with the client to select the construction
manager that best suits project and client (reviewing
personal/firm experience with the CM/Contractor, calling to
review references from completed projects, presenting
thoughtful questions at the interview) although the client will
make the final choice
Consultants
 Typically in Architect’s purview, although
client occasionally rejects sub-consultant,
and/or proposes a specific consultant.
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Project Team – Selecting Consultants
Selection Factors:
 Previous relationship (efficient, good working relationship already established)
 Advantage for obtaining project
 Specialized experience needed for designing project/completing work
 Creative expertise
 Office location (near project location with unique geography or stringent local codes)
 Design Process compatibility (better project outcome and working relationship)
 Iterative manner of work (e.g. high performance sustainable design project require several iterations between design team)
 Digital compatibility (modeling software, level of resolution, number of iterations, etc)
 Office location (near architect’s office to collaborate, or digital collaboration with specialty consultants that are only in specific cities)
 Size of consultant firm (do they have the staff available to do the work – typically match small to small, large to large for
subs and project)
 Digital compatibility (updated software, model resolution and timing, iterations)
 Fees (relatively minor, HIGHER FEES CAN BE WORTH COMPETITIVE ADVANTAGE)
 Location (relatively minor, since remote team communications, but sometimes consultant location close to project
important for geotechnical and projects in locales with complex local codes; location close to architect important for
collaboration; some specialty consultants only in certain cities so will have to work remotely)
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Pyramid vs. Matrix Project Management
 Pyramid: principals at the top of the
pyramid, are the project managers.
 Principals can often become a bottleneck in
production
 Because principals are frequently gone from
the office, critical information can be
missed and last-minute design changes may
be common.
 Principals don’t have time for firm
management tasks
 Matrix: Professional staff members other
than the principals are the primary project
managers.
 Principals support and mentor the project
manager.
 Gives employees more billable work
 Gives the principals more time for
marketing and firm development
 When staff assumes a project manager role,
they are given responsibility and challenge,
inevitably resulting in increased
commitment and enthusiasm.
 Training staff positions a firm for growth
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Project Team – Architectural – Large Firm Structure
Horizontal Organization
Vertical Organization
Matrix Organization
• Advantage: each department can
acquire a high degree of expertise
for a particular phase of design.
• Disadvantage: the rationale for a
particular decision early in design
can become lost in the production
or construction phases.
• Advantage: continuity of staff can
ensure clarity of design responses
to various issues.
• Disadvantage: hard to find staff
who are each equally adept at all
phases of the project, so choosing
staff requires careful analysis.
• Allows both expertise and
continuity as project remains with
a core team from beginning to
end, but office specialists join the
team at each phase.
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Project Team – Architectural – Small Firm Structure
Diverse structures, though more often use vertical or matrix model
Hierarchy is typically flatter
Architects and designers within the office take on multiple roles, including administrative tasks and marketing.
Can either have a buffer between principal and the staff, or have a design principal working directly on projects
and a managing principal to organize other aspects of office
 Flexibility key (staff able to switch from primary project to help out with deadlines)
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Project Team – Architectural – Midsize Firm Structure
 Less hierarchical than the large firms, but more structured
than the small firms.
 Project managers are responsible for several projects, and
either work directly with the architectural staff for smaller
projects, or has a project architect to organize the work
and coordinate the architects and designers.
 Architects and designers usually have one main project
assignment, but may be called on to help out with another
project as needed.
 Generally use the Matrix structure for projects—the same
core team takes the project from programming through
construction and in-house expertise is added as required,
especially in the construction documents phase.
 Can have a combo of managing and design principals or
managing and senior principals advising project managers
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Project Team – Optimizing
 Shared Values and Vocabulary
 Work Plan and Schedule
 Alliances and Synergies
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In-House Project Team Synergy
Alliances with Other Architects
Alliances with Contractors
Alliances with Subcontractors and Fabricators
 PROJECT TEAM MEETINGS
 Client Meetings
 Consultant Meetings
 Impact of Building Information Modeling (BIM)
 In-House Project Team Meetings
 Quality Management Meetings
 Design Meetings
 Office Charettes
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Project Budget – Contingency
3 types of contingencies:
 A contingency that there is no intention to spend.
This may be a way to define the initial 10% profit in a project plan.
 A contingency that there is intention to spend.
As the work effort is defined in terms of hours per phase per discipline, build a
contingency of hours into the plan. These hours will be used to adjust the plan
to actual, and to respond to variations in the delivery of the project.
10% of hours is a good starting point for this contingency.
That allows for 2-4% variances in the planned hours in each phase.
 A contingency that is there for special situations—one that there is not an
intention to spend but is there in case additional effort is required.
This contingency might be about 3% of the fee.
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Project Budget – Elements
 Elements of a project budget:
 Gross fee
 Consultant fees
 Net service revenue
 Project contingency
 Non-reimbursable direct expense budget
 Project labor budget by phase of service
 Current percent complete by phase of service
 Budgeted resource forecast by phase of service
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Project Budget – Project Managing for BIM Projects
20%
Compared to a traditional design-bid-build project, projects that use BIM will spend more time
upfront (i.e., in schematic design and design development) and less time towards the end of
the project (i.e., in construction documents and construction administration). This is because
project setup takes longer in BIM, and many choices must be made early on. Creating a useful
and thorough model takes a large amount of work up front, but that initial work directly
translates to saved time during construction documents.
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Project Budget – Initial Accounting Setup
Minimum requirements for getting a project
number and assigning staff resources to begin
work for project:
 A signed owner-architect agreement
 Alternatively, a signed letter of agreement,
with an internal time restriction in case the
fully executed owner-architect agreement is
not completed
 (less structured “handshake” approach
carries more risk)
Questions to ask at initial setup to verify that contract
has been executed / understanding with client about
scope and fee has been signed:
 Is the firm able to bill the client at this time?
 Is the firm able to recognize revenue at this time?
 Is the owner-architect agreement signed?
 If the owner-architect agreement is not signed, is
there a signed letter of agreement that establishes
scope of services and compensation?
 Are all consultant agreements signed?
 If all consultant agreements are not signed, is there
a signed letter agreement that establishes scope of
services and compensation?
 Are direct expenses reimbursable, or included in the
compensation?
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Project Budget – Compensation Methods
 Stipulated sum: a fixed fee for a known scope of work. This type of compensation is most appropriate when the scope is
known and fully defined, and the architect is familiar with the client, project type, the local approval requirements, and
project delivery process
 Percentage of construction cost: fees are based on the construction cost. This is not a preferred way to set fee because of
how volatile construction cost is. Interim fees may be invoiced based on estimates of the construction cost and the
percentage of completion of the phase, then when the cost of construction is known, fees are adjusted up or down.
 Architect's motivations are not aligned with the owner's - the architect makes more money if the cost of construction is higher, whereas the
owner is trying to keep the construction costs within budget.
 Hourly: invoicing for every hour worked on a project. Best for projects when the scope is undefined; hourly effort can be
used when establishing the scope, then when the scope is known the fee may be transformed into a stipulated sum fee.
 Many clients are hesitant to enter into an open-ended arrangement and prefer to limit the potential cost of services, or need to understand
the total cost of services to budget for the project.
 Hourly, not to exceed: a limit on hours worked for the project, either a hard cap with a maximum limit, or a not to exceed
without prior written approval of the client.
 Unit price, or $/SF: cost of services is defined by a measurable such as the area of the project. Can be converted to
stipulated sum fee when the scope/programming of the project is known. Prevalent in interior fit outs of space.
 Reimbursables
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Project Budget – Accounting Methods
(modified) Accrual-basis accounting:
 Revenue is based only on invoiced fee and expense amounts sent and/or
received. Most firms use this modified accrual-basis for their profit-loss
statement and balance sheet development.
 (Revenue earned and billed from fees and expenses, including outside project
consultant fees and expenses) + (all other direct and indirect expenses
incurred)
Cash-basis accounting:
 Revenue is based on when cash is collected and expenses are paid (a
checkbook approach). Most commonly used for filing and paying quarterly and
year-end taxes.
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Compensation & Scope of Services
Steps generally taken:
 Prepare Proposal for Services letter
 Clarify proposed services
 Elaborate specifics (e.g. schedule, # of design meetings, # of public presentations,
type/quality/# of renderings, # of site visits, # of progress meetings during construction,
etc.)
 Fee basis for basic and additional services
 List services not included, aka exclusions
 Negotiate final scope of services
 Assess risk
 Prepare professional services agreement (ie. B101, owner generated contracts,
etc)
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Financial Management – Project Related
 Fee basis
 Scope of services
 Scheduled invoices
 Opportunities for supplemental/additional services
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Project Compensation
When setting fees, understand the basis:
 Scope of service
 Value of service
 Effort required to provide service
 Risks in providing service
Fee Elements:
 Gross revenue
 Contingency
 Retainers
 Monthly invoicing
 Milestone invoicing
 Paid in advance
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Financial management overview AHPP 7.2
Important Documents
 Profit-Loss Statement
 Balance Sheet
 (Annual Budget)
 (Profit Plan)
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Financial management overview AHPP 7.2
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Compensation & Scope of Services
FACTORS AFFECTING THE SCOPE OF SERVICES:
 Programmatic requirements
 Project budget
 Project schedule
 Engineering consultants included in basic services
 Specialty consultants required under your agreement (e.g. outside core expertise / those usually used with basic services)
 Services (consultants or contractors) to be provided by others
 Your firm’s own internal capabilities
 Regulatory requirements and public approval process
 The client’s goals, expectations, and values
 The client’s level of knowledge and experience regarding facility development and building construction
 Whether BIM will be used
 The method of construction procurement (services for a design-build will be different than services for a traditional designbid-build project)
 The form and terms and conditions of the professional services agreement
 The level of risks associated with the project services
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Billable Rate & Net Multiplier
Billable Rate: the rate charged to clients on a project, accounting for overhead costs
and profit.
Billing Rate = (Salary) x (Net Multiplier)
Billing Rate = (Salary) x (Cost of benefits, rent for office, insurances for business,
equipment, profit )
Net Multiplier: the ratio of Net Operating Revenue to Total Direct Labor, measuring the
return of every dollar spent on direct labor. Typically Net Multiplier is 3.0, has to be
>1, should be greater than the break even rate to make a profit.
Net Multiplier = (Net Operating Revenue) / (Total Direct Labor)
Or Net Multiplier = Break Even Rate / (1 – Profit)
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Break Even Rate & Overhead Rate
Break Even: minimum rate to charge clients to break even (covers overhead
costs, but no profit). Typically 2.3 to 2.5.
Overhead rate: measure of how much is spent on the firm operations, as a
multiple of employees salaries. Typically 1.3 to 1.5
Break even Rate = Overhead Rate +1.0
Overhead Rate = (Indirect Expenses) / (Direct Labor Expenses)
Overhead Rate = (general or admin operating expenses not attributed to specific
projects) / (time spent on client projects, aka billable time)
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Net Operating Revenue
The amount of money available to run the business and realize a profit.
Net Operating Revenue = (Net Multiplier) x (Direct Labor)
Net Operating Revenue = (fees from projects) – (consultant fees + project related
expenses)
REIMBURSABLES DON’T COUNT / are canceled out
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Project Work Plan
Definitions:
 A schedule describing the tasks and milestone dates a person or team must
complete on a project.
 The means to achieve project and firm profitability, schedule project
milestones and resources, and monitor project progress.
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Project Work Plan – Components/Development
Work Plan Development:
 Marketing phase: Develop top-down budgets (past
experience) and bottom-up budget (based on simple
work plan)
 Contract discussions:
 Refine conceptual plan with more detailed task-level
planning to represent the scope of services proposed.
 Finalize the project work plan with the contracted scope
of services and the project team.
 Involve the client in the work plan schedule
development (particularly regarding timing of input and
approvals).
 Have a project kickoff meeting (discussion and buy in
of schedule developed).
 Engage program manager or CM if engaged during
appropriate design phases.
 Monitor the project work plan regularly throughout
the project duration (if NO staffing or scope changes,
monthly is acceptable)
Must include these components:
 Contractual scope of services (phases, tasks, deliverables,
and milestones for the plan
 Bar chart schedule (shows the overall, start and end dates
for phases, and special milestones)
 Staff resources and hours needed to do the work (planned
by day, week, month, or year)
 Consultant requirements for their part of the project
 Owner requirements for reviews and approvals
 Labor/billing rates, applied to staff resources (used to
track the fees, both planned and actual, to assess status)
 Non-reimbursable direct costs, earned as incurred and
part of the profit calculation
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Project Work Plan – Why it’s important
 Understand contractual project scope better.
 Basis for developing fees accurately
 Project profitability is most dependent on tailoring scope of services and fees to the documents and
services delivered.
 Basis for creating achievable schedules and profit targets
 Useful for contract negotiation process, have quantitative information
 Provide information required to complete project
 Provide information required for revenue forecasts
 e.g. staff utilization, historic data for fee development, and forecasts for firm-wide operations and
financial management
 Track project team member roles and document responsibilities in a measurable way
 In parallel, need deliverable lists and cartoon sets
 Identify changes in scope and schedule that result in changes to work plan
 Provide info needed for considering additional services
 Identify non-performing projects and take corrective actions
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Project Work Plan – Breakdown Structure
Breakdown Structure:
 Level 1: Project name
 Level 2: Phase name
e.g. Design Development
 Level 3: Task name
e.g. Building Elevations
(TYPICALLY THIS LEVEL IS ALL YOU NEED
FOR WORK PLANNING)
 Level 4: Sub-task name
e.g. North Building Elevation
 Level 5: Sub-sub-task name
(getting into micromanaging)
ALL PROJECTS (no matter the scale or
complexity) need SOME kind of project work
plan, but you can let the complexity of the
project guide the level of detail in the plan.
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Design Tasks – Schematic Design Phase
 DETERMINE SIZE, SCALE, AND SCOPE OF
PROJECT
 Establish major components, their
organization, their interrelationships, and
project site orientation
 Early project understanding
 Defining project goals
 Establish generative logic used for subsequent
phases
 Explore alternatives
 Define fundamental project components
 Investigate aesthetic approaches
 Analyze preliminary systems
 Establish stance on sustainability
 Deliverables:
 Drawings (Site plan, Floor plan, Elevations, Key
sections)
 Written narrative or list of major material
components, systems, and assemblies
 Tabulation of building area relative to the
building program
 Preliminary construction cost estimate
 BIM projects requires more detail earlier in
the process than what was traditionally
delivered – as a result, the decisions made
during schematic design have increased in
importance because they now provide the
basis for the creation of a digital model.
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Design Tasks – Design Development Phase
 Design further refined/resolved
 REFINE project size, scale, and scope of
(NOT redefined)
 Identify sustainable strategies
 Develop key building details
 Select major building materials
 Refine construction cost estimate with
more detail
 Deliverables:
 Drawings (Site plan, Floor plan, Elevations, Key
sections) at larger scale/matching higher level of
resolution
 Outline specifications identifying specific products
and major assemblies
 Tabulation of building area relative to the building
program
 Preliminary construction cost estimate
 BIM projects involve a higher level of
integration than for a traditionally designed
project, but results in an increased
understanding of the impact of various systems
on the project and reveals potential points of
conflict.
 Fast Track/Package Bidding puts pressure to
have higher level of detail and resolution of
certain systems during DD to allow for more
complete cost estimating before CD.
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Design Tasks – Construction Documents Phase
 (consistent with earlier logic and design
decisions established in previous phases)
 the architects involved
 in this phase, if different from those
involved in the previous phases, understand
the
 goals, priorities, and logic that have guided
the project’s design and development. This
 knowledge will assist in consistent decision
making in preparing the fi nal construction
 documents.
 Design is fully detailed and specified –
documentation is sufficiently clear and
complete for the construction contractor to
establish the price for construction and
build the project.
 Deliverables:
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Drawings
Reference documents
Technical specifications
Contractual and administrative requirements
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Design Tasks – Contract Administration Phase
 Design team should remain mindful of the
project goals as changes are being
considered.
 Generating and evaluating alternatives
 Make changes to the work as required by
unforeseen circumstances and changing
owner requirements.
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Project Schedule – Critical Path
Critical Path Method
 Applies mathematical analysis to
interdependent activities. Shows activity lists,
duration periods, and dependencies between
the activities. Complex software.
 Used mostly for large and complex construction
projects, research and development, plant
maintenance, and others. Can seem a little too
complex for even large design projects, but it
may be useful to apply some simple
dependencies to the design and project plans.
 The architect’s scope of services and timing of
construction contract administration duties are
often incorporated into the CPM for
construction.
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Project Schedule – Milestone
Milestone Chart
 Used for short-duration projects with relatively
few tasks to track and fees under $35,000.
 Cannot be used for large projects, would not
provide the detail needed to manage the
project.
 Chart is easy to prepare, track, and
communicate to the project team before and
during project execution. Can also be shared
with client and be part of fee proposals and
agreements (if the % Complete and Earned
Value columns are hidden).
 Software solutions for project planning and
tracking can easily be set up with templates for
milestone charts with various levels of tasks and
durations, making the information available for
firm-wide tracking of financials and resources.
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Project Schedule – Bar Chart
Bar Chart / Gantt Chart
 Shows elements of the work breakdown structure
(WBS) in rows on the left side, start and end dates to
the right of each, and horizontal bars on the far right
of the schedule linked to a calendar grid for the
overall project duration above.
 Most often used schedule type in the profession.
 Easy to produce, not overly complicated, and
provide ease in communication to the design team,
clients, and contractors.
 Many computer programs available that produce
very good bar charts, either as stand-alone
documents, or linked to internal accounting systems.
 Can be made in a top-down manner—in which bars are
produced from the start and end dates entered first—or
in a bottom-up manner, where tasks are planned with
resources over time, resulting in both start and end
dates and bars produced graphically.
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Project Schedule – Wall Schedule
Wall Schedule
 Good for medium- to large-scale design projects and
the best means to produce a project work plan
integrating the tasks required for architects,
consultants, clients, and contractors involved in the
design process.
 The project time schedule is shown horizontally at
the top for all phases of the project. The architect,
all consultants, clients, and contractors as they
become involved are arranged on the left in sections
dedicated to their parts of the project across the
timeline.
 Architect’s project leaders determine the primary
tasks; consultants are then brought into the process
to review and adjust; client is then included to
review and approve the schedule; contractor or
program manager must review and add their tasks
over time. Must be monitored and reevaluated
regularly.
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Project Schedule – Monitoring Changes
 If NO staffing or scope changes, monitoring on a monthly basis is acceptable
 CANNOT control resources/hours spent on the project to-date – can only
update the work plan to control the tasks, resources, hours, etc. estimated to
complete the project.
 2 categories of work plan changes:
 Internal Design Team Changes
 Once identified, discuss with consultants affected, and take corrective actions
 Notify client of changes will affect project execution/ability to meet contractual obligations
 External changes (clients, contractors, etc.)
 Immediately document external changes and identify the effect on scope, schedule, fee, and any need
for additional service requests (do not allow rework giving impressions that project is proceeding
normally to be done without notifying).
 Formally amend contract. Update work plan to reflect change.
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Project Schedule – Monitoring Changes
Terminology:
 Planned cost: Labor hours and dollar amounts planned
at project initiation
 Job-to-date (JTD): Labor hours and dollar amounts
spent as of current date
 Estimate-to-Complete (ETC): Labor hours and dollar
amounts estimated from current date to project
completion
 Estimate-at-completion (EAC): JTD plus ETC labor hours
and dollar amounts estimated at project completion
 Planned estimate at completion: Over/under
calculation indicating labor hours and dollar amounts at
project completion relative to planned estimates
 Percent complete: Current work in place for the
project, phase, or task, expressed as a subjective
percent complete and not based on the percentage of
labor hours or dollar amounts spent
 Net service revenue (NSR): Net fee determined by subtracting
consultant fees from the gross fee for the project
 Multipliers:
 Break-even: (direct labor + overhead)/direct labor
 Overhead: overhead/direct labor
 Effective multiplier: current, subjective percent complete/direct
labor
 Target: firm-wide standard target multiplier, including profit target
 Planned multiplier: net service revenue/planned cost
 Estimate-at-completion (EAC) multiplier: total NSR/EAC labor dollars
 Billed/invoiced amounts: Amounts billed to clients based on
contract compensation amounts and percent complete
 Earned revenue amounts: Revenue recognized in the accrual
accounting system based on subjective percent complete
times net service revenue
 Billed-not-earned (BNE): Amounts billed to the client but not
recognized as earned revenue in the accrual accounting
system
 Earned-not-billed (ENB): Amounts recognized as earned
revenue in the accrual accounting system but not billed to the
client
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Project Schedule – Monitoring Changes
Example of a project in good condition:
 Project shows progress ahead of both the
Contract and Spent amounts.
 Reported % Complete indicates project is 72%
Completed or $53,280.
 RPC minus Spent indicates the project is
$13,150 ahead in this comparison, and $6,624
ahead compared to the Contract Amount.
$53,280 – $40,130 = $13,150
$53,280 – $46,656 = $6,624
 This project is in good condition relative to
hours also.
 57% of budget hours have been spent (442
hours spent out of a budget of 774 hours),
compared to the RPC of 72%.
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Project Schedule – Monitoring Changes
Example of a project in bad condition:
 The Progress Graph shows the Spent and
Reported % Complete significantly behind
the Contract.
 The RPC minus the Spent is a negative
amount, indicating that the project has
spent more fee dollars than it is able to
recognize for an earned revenue value.
 The Snapshot Dollars and Hours show
corresponding Spent amounts behind
Billed, plus WIP amounts and budgeted
hours for the project.
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Project Definition - Basic Services
Basic services, per AIA docs:
 Structural, mechanical, and electrical
engineering services
 Conceptual Design Phase Services
 Schematic Design Phase Services
 Design Development Phase Services
 Construction Documents Phase Services
 Procurement Phase Services
 Construction Phase Services
Phases covering basic services:
 Schematic Design
 Design Development
 Construction Documents
 Bidding and Negotiation
 Contract Administration
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Project Definition – Additional Services
Some project don’t require Basic Services
 Studies/Reports:
Services to help client begin to understand the
scope and cost of a project without the expense
of full Basic Services.
 May include programming, preliminary design, an
estimate of probable construction cost, and a
preliminary project schedule.
 Can also include site analysis that considers site
conditions, zoning requirements, and the project
to determine the maximum use of a site; test fits
for interior development; or comparative site
studies.
 Other Services
 May include helping clients select artwork or
plants, planning for temporary events, graphics for
signage, environmental graphics, event planning,
set design/stage design, product design,
commissioning, and post occupancy evaluations.
 Some add services are agreed to in advance, and some arise
as a need while providing basic services.
 It is not uncommon during the course of providing services
that clients will need
 services beyond those defined in the contract. These kinds of
additional services can be
 contentious. An open dialogue with the client is
recommended. Help the client understand
 the scope of basic services in the contract. Clearly defi ne the
limits of services
 and the status of the project with regard to those limits as
part of the ongoing dialogue
 with the client
 Seek and receive approval for additional services before
providing the service.
 Architects that remain in dialogue with their clients have
much better opportunities
 for receiving fair compensation for all of their services.
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Project Definition – Additional Services

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Programming
Multiple preliminary designs
Measured drawings
Existing facilities surveys
Site evaluation and planning (AIA Document B203™–2007)
Building information modeling
Civil engineering
Landscape design
Architectural interior design (AIA Document B252™–2007)
Value analysis (AIA Document B204™–2007)
Detailed cost estimating
On-site project representation
Conformed construction documents
As-designed record drawings
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As-constructed record drawings
Postoccupancy evaluation
Facility support services (AIA Document B210™–2007)
Tenant-related services
Coordination of owner’s consultants
Telecommunications/data design
Security evaluation and planning (AIA Document
B206™–2007)
Commissioning (AIA Document B211™–2007)
Extensive environmentally responsible design
LEED® Certifi cation (AIA Document B214™–2007)
Fast-track design services
Historic preservation (AIA Document B205™–2007)
Furniture, furnishings, and equipment design (AIA
Document B253™–2007)
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 15: Project Definition 964 Types of Services
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HR / managing resources
 The Architect's Handbook of Professional Practice, 15th edition, 8.1 Human
Resources Management, pp. 448-450
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Risk/services & compensation
 The Architect's Handbook of Professional Practice, 15th edition, Chapter 15.2
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Project billing
 The Architect's Handbook of Professional Practice, 15th edition, Chapter 10.3,
pp. 637-638
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Role of PM
 The project manager does not personally
produce the major project deliverables
(some exceptions for small assignments and
in smaller offices).
 Primary role is to direct the work being
done by others (must know who can
produce the required services, when those
services must be carried out, and how those
services fit into the overall project delivery
scheme).
PM activities:
 Organizing the project
 Facilitating the work
 Managing client expectations for project
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Organizing the Project
 Maintain a work plan, including:
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Project description and client requirements
Statement of deliverables
Team organization
Responsibility matrix
Preliminary project schedule
Preliminary staffing needs
Project directory
Internal project budget and profit plan
Code information (optional)
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Facilitating the Work
 Manage the team – understand what the
team is to accomplish; who on the team has
the skills to do what tasks, and where
additional resources may be needed; foster
a communications environment in which all
parties are kept informed of what is
expected of them and when their
assignments are due.
 Project staffing – balance of the staff needed to
do the work against the project staff the fee can
sustain (balance quality and profit – firm
principals should establish stance that can be
incorporated into the firm’s culture, as the PM
should focus on the quality of services provided
to the client.
 Manage project meetings
 Hold meetings at regular intervals (same day/time on schedule)
 Ensure people attend the meeting when their input is required and
stay away when it is not. Discussions will run more smoothly and
time will be used more efficiently.
Create a meeting management plan that divides meetings into
executive sessions; project design meetings; general project
meetings; coordination sessions; and redline work sessions.
 Create meeting agendas
 Report out after meetings
 Narrative meeting reports – detailed explanation of issues that may
not require follow up action.
 Action item meeting reports – unique keyed item that is assigned
to an individual/entity and not removed until resolved, with a
begin/due date.
 Memoranda: provide the necessary level of detail about
assignments that team members need to proceed toward
delivering the project in the same orderly direction. More
abbreviated description than might appear in a meeting report.
 Document key project decisions (reasonably thorough)
 Project documentation is both the basis for effective communication;
and a defensive procedure protecting architect if dispute arises.
 All correspondence, drawings, and sketches should bear a date and
identify the project.
 Document all conversations that meaningfully affect project
 Organized project filing system
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Client Relationships
 Understand and manage client expectations
for project (help client understand the
capabilities of the firm and set more
relevant/reasonable expectations)
 Project tracking
 Don’t deviate from Agreement – monitor
whether contract provisions are being met
 Exercise Standard of Care
 Monitor how design meets client’s
objectives; accommodates intended
program; is compliant with client budget
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Consultant Coordination
Better projects often involve finding a better solution when coordinating with
the work of consultants.
Project managers must allot time and resources to address challenges:
 Reaching the finish line at about the same time to avoid disruption when
documents are issued for bidding or construction
 Making sure all parties are using the same versions of the plan backgrounds
 Uncovering and coordinating conflicts between the work of different disciplines
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Quality Management
 PM must know the status of the work at all
times and must oversee and direct quality
management controls as they are
performed.
 QA/QC measures are NOT a substitute for
thorough coordination or creation of a
reference set prepared by the project team
 Internal Review – by spec writers, managers
from other projects, etc.
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Working Redline Sets.
Project team member check in
Task checklists
Peer Review
 External review of the project documents –
by owners, contractors or subcontractors,
agencies to which applications have been
made for building permits, or architects or
engineers specializing in plan checking.
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Managing Expectations
 Help set expectations early on
 Discuss issues associated with expectations directly with client/other project
participants.
 Understand different perceptions of issues. Debate issues within context of
what’s best for project and for client.
 Discuss potential consequences of decisions/changes and express concerns
WHEN REQUESTED, NOT AFTER the change is completed/the decision made
 Avoid absolute expectations/unqualified language (e.g. 100% construction
documents, first-class building, etc)
 Adopt objective attitude (not biased toward architect) focusing on keeping
project running smoothly and client satisfied
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PM Qualities (Beyond Task Management)
Desired qualities:
 Careful and objective use of authority
 Reliable performance
 A friendly and approachable demeanor
 Not being defensive
 Promptness in returning phone calls or e-mail
 Prompt arrival at meetings
 Being well-prepared for meetings
 Issuing timely reports and other documentation
 Being candid and honest
 Being accessible and available
 Being a good listener
 Being responsive to questions
 Using lay terms rather than industry jargon
 Ability to get along with others
 Understanding of what clients expect and
appreciate
 Ability to see the big picture and keep problems
and issues objectively in context
 Strong leader
 Belief in others performing work
 Be prepared for what could go wrong
 Patience to teach others how to
view/participate in project
 Neutral
 Good at managing conflict at getting along with
people
 Behavior sets tone for project leadership
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Procurement/Bidding/Negotiation - Terms
 Addendum: a modification to the procurement documents issued for bid or negotiation. Addenda can be issued any time before the owner-contractor agreement is
executed, but are typically issued until some predetermined time before the bid opening.
 Allowance: an amount of money or quantity of materials identified by bidders for work that is not completely defi ned in the procurement documents.
 Bid Alternate: a portion of the work defined in the procurement documents for which separate pricing is to be identifi ed in bidders’ proposals.
 Base Bid: the construction cost proposed by a contractor for the full scope of the work, without any bid alternate pricing.
 Bid Bond: should the low bidder withdraw after selection but before the execution of the contract, the owner will be reimbursed by the low bidder for the difference
between the low bid and the next lowest bid.
 Payment / labor and materials payment bond: an amount of money guaranteeing that the contractor will pay subcontractors, vendors, and suppliers for their work. This
protects owners against potential mechanic’s liens and construction delays.
 Performance bond: a guarantee by an entity which ensures that, should the contractor default during construction, there are sufficient funds to complete the project.
 Project delivery method: the manner in which the owner contracts for design and construction services.
 Privately funded project: project for which none of the funding is provided by a public agency.
 Publicly funded project: a project that has a portion of the funding provided by a public entity, such as federal, state, or local government.
 Responsible Bidder: bidder who demonstrates financial capacity to perform the contracted work.
 Responsive bid: bid in which all bidding requirements, including all the elements of the bid form, have been satisfactorily completed.
 Qualifications-based selection (QBS): the owner selects a contractor solely on the basis of the contractor’s qualifications.
 Value-based selection (VBS): the owner selects a contractor based on the weighted values of multiple criteria, including construction cost or fee and proposed schedule,
as well as qualifications-based criteria such as past experience on similar projects and proposed personnel.

Low bid: lowest price proposed for performance of the work, including SELECTED alternates if any (between two or more bidders; may not necessarily be a responsive bid)
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Procurement/Bidding/Negotiation – Project Manual
 Written documents created for the purposes of procuring and constructing the
work. Includes bidding and contracting info like:
 Invitation to bid
 Instructions to bidders
 Bid forms
 Bid requirements
 Information available to bidders (e.g. soils investigation report)
 Samples of owner-contractor agreements (general conditions, supplementary
conditions)
 Specifications
DOES NOT INCLUDE CONTRACT DRAWINGS (PACKAGED SEPARATELY)
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Specifications
 Specifications: Product data, material properties,
testing requirements, quality assurance, and other
details that are too cumbersome to include in
drawings.
 Must be well-coordinated with drawings.
 Methods of construction contracting can affect the
means and methods of preparing specifications.
 Creating competition among manufacturers is an
important part of preparing specifications, so owner
can receive maximum benefit.
 Different ways to write specifications:
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Descriptive
Performance
Reference
Proprietary
“basis of design”
Short-Form vs. Full-Length
Types of Specifications
 Outline specifications – simple definition of building
components at the schematic level, typically
organized by CSI division (should include material
descriptions and quality level, as well as actual
proposed product data whenever possible)
 Performance specifications – description of products
by how they are to perform rather than narrowly
defining a manufacturer or material. Good for
technically driven subcontracts, such as air handlers,
chillers, transformers, and other mechanical or
electrical equipment.
 Narrative specifications – description of work in
words rather than in drawings or in the more
technical language of the CSI format (e.g. describing
finishes in the various rooms of the building without
providing a complete room finish schedule). Good
for early cost estimates.
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Specifications
Two different types:
 General Requirements, aka Division 1:
Intended to communicate the
administrative and procedural requirements
that govern all of the technical sections (e.g.
payment procedures, submittals, quality
control, substitution requests, and contract
closeout documents)
 Technical Sections:
Organized around a 16-division format and
5-digit numbering system; generally
organized by the sequence of introduction
of materials on the project
(e.g., Division 2—Sitework; Division 3—
Concrete; Division 7—Thermal and
Moisture Protection; Division 9—Finishes).
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Specifications: Construction Divisions
 Division 00 - Procurement and Contracting Requirements
 Division 25 - Integrated Automation
 Division 01 - General Requirements
 Division 26 - Electrical
 Division 02 - Existing Conditions
 Division 27 - Communications
 Division 03 - Concrete
 Division 28 - Electronic Safety and Security
 Division 04 - Masonry
 Division 31 - Earthwork
 Division 05 - Metals
 Division 32 - Exterior Improvements
 Division 06 - Wood, Plastics, Composites
 Division 33 - Utilities
 Division 07 - Thermal and Moisture Protection
 Division 34 - Transportation
 Division 08 - Openings
 Division 35 - Waterway and Marine Construction
 Division 09 - Finishes
 Division 40 - Process Integration
 Division 10 - Specialties
 Division 41 - Material Processing and Handling Equipment
 Division 11 - Equipment
 Division 42 - Process Heating, Cooling, and Drying Equipment
 Division 12 - Furnishings
 Division 43 - Process Gas and Liquid Handling, Purification and Storage
Equipment
 Division 13 - Special Construction
 Division 14 - Conveying Equipment
 Division 21 - Fire Suppression
 Division 22 - Plumbing
 Division 23 - Heating, Ventilating, and Air Conditioning (HVAC)
 Division 44 - Pollution and Waste Control Equipment
 Division 45 - Industry-Specific Manufacturing Equipment
 Division 46 - Water and Wastewater Equipment
 Division 48 - Electrical Power Generation
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Specifications: Construction Divisions
 UniFormat is a system for classifying specifications.
 Uniformat system breaks down broject by system or assembly rather than material or
method; useful for estimating construction costs during schematic design
 AHPP p109
 MasterFormat is a system used to classify specifications.
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Contract Basics
Legal Prerequisites (contract enforceability is affected)
 A mutual agreement (AKA “meeting of the minds”) of identical terms
 Consideration: Each party must be giving some benefit/detriment of legal value (AKA
“consideration”). Past considerations or preexisting obligations do NOT count.
 Capacity: whether or not the party is able to enter a contract
 Legal purpose: contracts CANNOT require performance of an illegal act (if do,
unenforceable)
 Intent: parties cannot be under duress, must enter contract willingly
 Writing: only some contracts are required to be in writing to be enforceable (e.g.
transfer of copyright). Bast practice is to have contracts in writing, but if not, contract
is still enforceable.
 Some states require contracts for architectural design services to be in writing.
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Contract Basics - Terms
Express vs Implied Terms
 Express: specifically agreed upon terms of
contract (can be verbal or in writing)
 Implied: not specifically mentioned and
have to be inferred (e.g. terms that are a
necessary consequence of what parties
have expressly agreed to do)
Standard of Care is an implied term—should
avoid express terms that create a higher
standard of care that go beyond what is
covered by professional liability insurance.
Essential Terms
 Services to be provided
(ie. describe the project, location, building
and construction type, approximate size,
quality, estimated cost; define deliverables;
contract language should reflect how client
is purchasing services.)
 Compensation
 Time of performance
 Parties’ written signatures (signifying
acceptance)
 Additional terms and conditions.
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Types of Agreements
 Oral/Handshake agreements (hard co confirm what terms were actually agreed
to without written record)
 Letter agreements: written agreement covering services, price, time of
performance, and signature (ie. meet most legal requirements of a contract)
but leave out a lot of detail.
 Can be a follow up to an informal verbal agreement, or a precursor to a formal
agreement (e.g. detailed proposal letter that describes the project, scope of services,
compensation, but leaves out the terms and conditions found in AIA agreements)
 Can be executed, or parties can counteroffer and replaced with final agreement.
 Formal written contracts
 AIA standard documents
 Client standard documents, etc.
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Contracts
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AIA Documents
 A-Series: Owner/Contractor Agreements
 A101–2017, Standard Form of Agreement Between Owner and Contractor where the basis of payment is a Stipulated Sum
This contract is used when project price is based on a fixed price. It is suitable for large or complex commercial construction
projects.
 A201–2017, General Conditions of the Contract for Construction
This contract sets the rights, responsibilities, and relationships of the owner, contractor, and architect. Various design-bidbuild agreements incorporate and reference this “umbrella” document.
 B-Series: Owner/Architect Agreements
 B101–2017, Standard Form of Agreement Between Owner and Architect
Contract typically used with large projects in conjunction with A201. Services listed are divided into basic, supplemental, and
additional services. It may be used with a variety of compensation methods, including percentage of the budget for
construction cost and stipulated sum.
 C-Series: Other Agreements
 C101 Joint Venture, C102 Teaming, C132 Construction Manager, C141 Design Build, C19x Integrated Project Delivery,
C401 Consultants, C403 Design Assist
 D-Series: Miscellaneous Documents
 E-Series: Exhibits
 BIM, Sustainability, Matrix of Architect Scope/Responsibility
 G-Series: Contract Administration and Project Management Forms
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AIA Documents, A-Series
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A101 Standard Agreement Between Owner and Contractor, Stipulated Sum
Large/complex commercial construction projects.
A102 Standard Agreement Between Owner and Contractor, Cost+Fee with a GMP
Large/complex commercial construction projects.
A103 Standard Agreement Between Owner and Contractor, Cost+Fee (No GMP)
Large/complex commercial construction projects.
A104 Abbreviated Agreement Between Owner and Contractor
Small residential projects or very specific part of building, stipulated sum or cost+fee.
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A133 Standard Agreement Between Owner and CM as Constructor, Cost+Fee with GMP
A134 Standard Agreement Between Owner and CM as Constructor, Cost+Fee (no GMP)

A141 Standard Agreement Between Owner and Design-Builder
Large design-build projects, when the owner contracts with a single entity to provide both design and construction.
A142 Standard Agreement Between Design-Builder and Contractor
Large design-build projects, when the design-builder hires a contractor for construction
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A195 Standard Agreement Between Owner and Contractor for Integrated Project Delivery
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A201–2007, General Conditions of the Contract for Construction
A232-2019, General Conditions of the Contract for Construction, Construction Manager as Adviser
A295–2008, General Conditions of the Contract for Integrated Project Delivery
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A305 Contractor’s Qualification Statement
A31x Bonds
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A401 Standard Agreement Between Contractor and Subcontractor
A503 Guide for Supplementary Conditions
A701–2018, Instructions to Bidders
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AIA Documents, B-Series
 B101 Standard Agreement btwn Owner and Architect
Most flexible, used for wide range of projects.
 B103 Standard Agreement btwn Owner and Architect for a Complex Project
Used with a complex project, main difference is coordination.
 B104 Abbreviated Agreement btwn Owner and Architect
medium project for a project of limited scope.
 B105 Short Form Agreement btwn Owner and Architect
Small, kitchen reno type projects (residential or commercial)
 B106 Standard Agreement btwn O/A for Pro Bono Services
 B108 Standard Agreement btwn O/A for a Federally Funded/Insured Project
Developers:
 B107 Standard Agreement btwn Developer-Builder and Architect for Prototypes
 B109 Standard Agreement btwn O/A for a Multi-Family Residential or Mixed Use Residential Project
 B509 Guide for Supplementary Conditions to B109–2020 for Condo Projects
Design-Builder:
 B143 Standard Agreement btwn Design-Builder and Architect
Studies:
 B102 Standard Agreement btwn O/A without a Predefined Scope of Architect’s Services
 B203 Standard Form of Architect’s Services: Site Evaluation and Project Feasibility
Modifications:
 B503 Guide for Amendments to AIA O/A Agreements
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AIA Documents, G-Series
Contract Administration and Project Management Forms

G201 Project Digital Data Protocol Form

G202 Project Building Information Modeling Protocol Form

G612 Owner's Instructions to the Architect Part A (Questionnaire, drafted to elicit information from the owner regarding the nature of the construction contract.)

G701 Change Order

G702 Application and Certificate for Payment

G703 Continuation Sheet (Used by the contractor when listing the portions of work and scheduled values.)

G704 Certificate of Substantial Completion

G705 List of Subcontractors

G706 Contractor’s Affidavit of Payment of Debts and Claims

G707 Consent of Surety to Final Payment

G709 Proposal Request (asking for quotes for change orders)

G710 Architect’s Supplemental Instructions
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G711 Architect’s Field Report

G712 Shop Drawing and Sample Record (Architect logs and monitors shop drawing and samples.)

G714 Construction Change Directive
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G732 Application and Certificate for Payment, CM as Adviser

G801 Notice of Additional Services (used by an architect when notifying an owner of additional services pursuant to the AIA’s O/A agreements)

G802 Amendment to the Professional Services Agreement (used when amending the AIA’s O/A agreements to provide changes in the architect’s scope, compensation, or other terms)

G804 Register of Bid Documents (log for bid documents during bidding process)
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AIA Documents (Miscellaneous)
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Time Limits in Contracts – B101
7 days
 9.1 Owner lack of payment is “substantial nonperformance” and is cause for Architect’s suspension of services (can resume services if client
resumes payment) or cause for termination of agreement (permanent). Architect must give 7 days written notice before suspending, and has no
liability to the Owner for delays/damages caused by suspension. Before resuming, Owner will pay Architect all sums due prior to suspension, pay
expenses the Architect incurred during interrupting and resuming services, and adjust Architect’s fees and schedule for remaining services.
 9.4 Either party can terminate agreement with 7 days written notice written notice if the other party “fail substantially to perform in accordance
with the terms of this Agreement”.
 9.5 Owner can terminate with 7 days written notice for Owner’s convenience and without cause.
 10.8 Any info Architect/Owner designates as “confidential” or “business proprietary” will not be disclosed to anyone. Exceptions:
 employees/consultants as required for work (will also be subject to the restrictions on disclosure)
 after 7 days notice to the other party, when required by process of law (aka subpoena for testimony, etc.). If not characterized as confidential, info does not have to
be treated as such.
14 days
 10.4 Owner requested certificates or consents (typically for lenders) must be submitted to Architect for review at least 14 days prior to date of
execution/signing. Architect is not required to execute certificates beyond scope of agreement.
15 days
 5.15 If Architect gives written request, Owner will furnish within 15 days requested info relevant for the Architect to evaluate, give notice of, or
enforce lien rights.
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Time Limits in Contracts – B101
60 Days
 4.2.4 If construction exceeds 60 days past date of substantial completion or past initial date of substantial completion identified in agreement, construction phase services
are additional services
 8.2.2 If mediation happens before, arbitration can be stayed for 60 days, pending mediation, or a longer period by agreement from both parties or from court order.
90 Days
 6.4 If procurement has not happened within 90 days of submitting Construction Documents to Owner (by no fault of Architect), Owner will adjust budget to reflect
changes in the construction market.
 9.3 If the Owner suspends the project for 90+ days, Architect may terminate agreement with 7 days written notice, unless the suspension is due to fault of Architect.
 9.6 If Owner terminates the Agreement for convenience/no fault or if Architect terminates the Agreement per 9.3 (after 90+ day notice), Owner will compensate Architect
for services performed prior, reimbursable expenses, and costs attributed to termination (including costs associated with Architect’s termination of consultant
agreements).
 9.7 If Owner terminates the Agreement for convenience/no fault or if Architect terminates the Agreement per 9.3 (after 90+ day notice), Owner will pay following fees if
listed (in addition to 9.6):
X months
 4.2.5 If services in agreement have not been completed within (x) months of date of agreement, extension of Architect’s services are compensated as additional services.
1 Year
 9.8 Agreement terminates 1 year from date of substantial completion, except as otherwise provided in this Agreement B101.
10 Years
 8.1.1 Owner/Architect must make claims arising from/related to Agreement within period specified by state/local laws, but not more than 10 years after the date of
Substantial Completion of the Work
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Time Limits in Contracts – A201
Immediate
 A201 3.7.5 Contractor must immediately stop if discover wetlands, burial, or archaeological sites. Owner will then take prompt action to get authorization from local govt
to resume; contractor should continue with unaffected operations, and can request adjustment.
 10.3.1 Contractor can immediately stop Work if encounter a hazardous material and cannot take precautions to prevent bodily injury/death from material; must notify the
Owner and Architect.
3 days
 11.1.4 within 3 business days of an impending cancellation or expiration of any insurance required by the Contract Documents, the Owner will provide notice to the
Owner of expiration. If there is a lapse in coverage that is NOT due to Owner, Owner has the right to stop Work until the Contractor procures replacement coverage.
7 days
 2.2.4 Contractor will keep Owner-designated confidential information, except when required by law and will provide 7 days notice, and except as needed by
employees/subs.
 9.4.1 Architect will review Contractor’s Application for Payment and issue a full/partial amount, or withold part/whole certification and explain why within 7 days of
receipt.
 9.6.4 Owner has right to request from Contractor written evidence that the Contractor has properly paid Subs/suppliers. If Contractor does not supply evidence within 7
days, Owner can contact Subs/suppliers to confirm whether they’ve been paid. Owner and Architect are not obligated to pay Subs directly.
 9.7 If Architect does not issue Certificate of Payment within 7 days of receipt, or if Owner does not pay Contractor within 7 days of date established by Contract Docs,
Contractor can stop work after 7 days notice to Architect and Owner until paid. Contract time will be extended and Sum increased to cover cost of shutdown, delay, and
startup, plus interest, per Construction Documents.
 14.1.3 If delays per 14.1.1 or 14.1.2, after 7 days notice to Owner and Architect, Contractor may terminate the Contract and recover payment for Work executed,
overhead/profit on work not performed (usually struck), plus costs incurred from termination.
 14.2.2 If any 14.2.1 conditions exist, and Architect certifies that there is sufficient cause to justify action, Owner can give Contractor 7 days notice, then terminate
employment and
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Time Limits in Contracts – A201
10 days
 2.5 Owner has to give Contractor 10 days within receipt of notice for Contractor to start correction of defective Work, or Owner can correct the
default/neglect and charge the Contractor for the correction with prior approval of Architect.
 9.3.1 Contractor will submit an itemized application for payment in accordance with schedule of values to Architect at least 10 days before date of
each progress payment.
 15.2.2 IDM will review Claims and within 10 days of receipt, take action.
 15.2.4 If the IDM requests a party to provide a response and additional supporting data, that party will respond within 10 days after receipt of
request with either requested response with supporting data; tell the IDM when the response/supporting data will be furnished; tell the IDM that
no supporting data will be furnished. After receipt of response, the IDM will either reject or approve the Claim in whole or in part.
14 days
 3.7.4 Contractor has to give notice within 14 days of discovery of concealed physical conditions that are materially different and not usual or
inherent to construction activities, for architect to determine whether conditions differ and recommend an adjustment in sum/time if so.
 3.9.2 Architect must make any reasonable objections/ask for additional time to review superintendent within 14 days of receipt of info.
 11.5.2 Owner will notify Contractor of a proposed settlement and allocation of insurance proceeds. Contractor has 14 days from receipt of notice to
object. If no objections, the Owner settles the loss, and Contractor is bound to settlement and allocation.
15 Days
 2.1.2 Owner will provide info required for evaluating/notifying/enforcing mechanic’s Liens within 15 days of receipt of request.
21 Days
 10.2.8 If either party suffers injury or damage to person/property because of an act or omission of the other party, notice of the injury/damage must
be given within 21 days of discovery.
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Time Limits in Contracts – A201
30 days

5.4.2 Subcontractors entitled to compensation adjustment if Work has been suspended for >30 days when contracts assigned to the Owner after the contractor has been terminated for cause.

14.1.1 Contractor may terminate Contract if Work has stopped for 30+ days by no fault of the Contractor, subs, or employees.

15.2.1 If a decision has not been made within 30 days after the Claim was referred to the IDM, the party asserting the claim can demand mediation or binding dispute resolution. IDM will only make
decisions about disputes between the Contractor and the Owner, unless all affected parties agree.

15.3.3 Either party can demand that the other party file for binding dispute resolution, within 30 days of mediation concluding or 60 days after mediation demanded without resolution to dispute. If
demand is made but the party receiving the demand fails to file within 60 days receipt of demand, both parties waive rights to binding dispute resolution regarding initial decision.
60 days

14.1.4 If the Work is stopped for a period of 60 consecutive days by no fault of Contractor, subs, or employees because the Owner has failed to fulfill obligations per Contract Docs, Contractor may
terminate the Contract and recover payment for Work executed, plus costs incurred from termination.
120 days

14.1.2 Contractor may terminate Contract if suspensions or interruptions of the Work aggregate to more than 100% of the days scheduled for completion, or 120 days in any 365-day period, by no fault
of Contractor, subs, or employees.
1 year

12.2.2 Up until 1 year after Substantial Completion, or after the date that warranties commence, Contractor will promptly correct work not in accordance to Contract Docs when notified by Owner,
UNLESS Owner has given written acceptance of such condition. If the Owner fails to notify the Contractor within this year, the Owner waives right to require Contractor correction. If Contractor fails to
correct nonconforming Work within a reasonable time after notified, Owner can correct it per 2.5.

15.1.3.1 If conditions giving rise to Claims are discovered before the expiration period for corrections in the Work per 12.2.2 (1 year), Claims by either Owner or Contractor must send notice to the other
party and the Initial Decision Maker (if the Architect is not the IDM, they will be copied). Claims should be initiated within 21 days after event giving rise to Claim or claimant first recognizing condition
giving rise to claim (whichever is later).
10 years

15.1.2 Owner and Contractor must make Claims per binding dispute resolution method selected in Agreement A101, and within the time period required by applicable laws but not more than 10 years
after the date of Substantial Completion.
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Terms to know
 Substantial Completion - varies by project type, but about how Owner can use
the Work, not all aspects of Work are completed
 Performance Bond: surety/bonding company, is a guarantee to the owner that
the performance of the work will be completed for the dollar figure of the
contract
(example: contractor goes bankrupt, surety/bonding company will make sure
Project gets built, and Owner won't pay more than bond price).
 Payment Bond: guarantee to the subcontractors that they will get paid for their
performance of the Work
(example: contractor goes bankrupt, surety/bonding company will pay
subcontractors for what they are owed to date, and for them to finish the
work, and Owner won't pay more than bond price)
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Contracts – B101
B101 Standard Form of Agreement Between Owner and Architect
 Cover Page: date of agreement, Owner name/information, Architect
name/information, and the Project name/location/description
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Contracts – B101
Article 1 – Initial Information
 1.1 General info and assumptions about project. Includes:











Owner’s program
Physical Characteristics & supporting documents
Budget
Milestone dates for design, construction, and substantial completion
Project procurement and delivery method
Sustainability objectives (can incorporate E204 Sustainable Projects Exhibit)
Owner’s representatives
Consultants/contractors under Owner
Architect’s Representative
Consultants under Architect, basic and supplemental
Other info (Good practice to add exhibits to fill in additional detail about basis project parameters)
 1.2 If Initial Information materially changes, Owner and Architect shall adjust Architect’s services, schedule, and
compensation as well as Owner’s budget
(Some expectation of a lack of clarity built in. Education problem between Owner and Architect – most common sources of
client dissatisfaction are false assumptions and unrealistic expectations, Architects have to teach clients how changes to
project (e.g. additional services) affect design and construction projects.)
 1.3 Establish protocols for developing, using, transmitting, and exchanging data, BIM practices, etc. (refers to E203 BIM and
Digital Data Exhibit). Architect is not liable for risk/liability if someone relies on BIM without protocols established in E203
and G202 (Project BIM Protocol Form).
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Contracts – B101
Article 2 – Architect’s Responsibilities
 2.1 Architect will provide services, and is licensed in jurisdiction where project is located.
 2.2 Standard of Care – “the Architect shall perform its services consistent with the professional skill and care
ordinarily provided by architects practicing in the same or similar locality under the same or similar
circumstances” (no guarantees or warranties for specific results)
 2.3 Identify an Architect’s representative/agent
 2.4 Don’t engage in activity that would compromise judgement about project (no kickbacks, etc.)
 2.5 Insurance that Architect will maintain:
 Commercial General Liability
 Automobile Liability
 Primary & excess liability or umbrella liability insurance, to meet Commercial General Liability coverage requirements
 Worker’s Compensation
 Employer’s Liability
 Professional Liability
 Additional Insurance that includes coverage of owner
Owner is included as additional insured for claims caused by Architect’s negligence or omissions – applies to ongoing and
completed operations, is primary (policy will kick in before Owner’s policies), and non-contributory (will not seek contributions
from Owner’s insurance)
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Basic Services
 Structural, mechanical, and electrical engineering services
 Conceptual Design Phase Services
 Schematic Design Phase Services
 Design Development Phase Services
 Construction Documents Phase Services
 Procurement Phase Services
 Construction Phase Services
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Contracts – B101
Article 3 – Scope of Architect’s Basic Services
 3.1 establishes basic services (package of services normally necessary to produce a project, unless
contingencies or changes occur) including consultant services – anything not mentioned are
supplemental/additional services
 3.1.1 Architect will manage Architect’s services research applicable design criteria (code review?), attend
Project meetings, communicate with members of the Project team, and report progress to Owner.
 3.1.2 Architect will coordinate their services with Owner provided services/consultants (does not exclude
owner from coordination efforts in Article 5.8). Architect can rely on owner’s consultant work – if owner’s
consultant have mistakes on drawings that increases costs, the owner is liable for it – Architect must provide
prompt written notice if they find an error.
 3.1.3 Architect must submit schedule for completion of services – must include time for Owner review/Owner
consultant performance, and approval from authority with jurisdiction – stick to schedule “except for
reasonable cause” (relatively gentle/flexible language, not as harsh if breach deadline)
 3.1.4 Not responsible for change made under owner’s directive without Architect’s written approval.
 3.1.5 Architect will contact governmental authorities and utility companies, and respond to requirements
imposed by governmental authorities and utilities
 3.1.6 Architect will assist Owner with filing required documents to govt authorities (ultimately Owner’s
responsibility, allows Architect to be less open to delay claims)
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Contracts – B101
Article 3 – Scope of Architect’s Basic Services
 3.2 Schematic Design Phase Services
 3.2.1 Architect will review program, info provided by Owner, and applicable laws, codes, and regulations.
 3.2.2 Architect will prepare preliminary evaluation of Owner’s initial information about Project (see Article 1) and notify the
Owner of any inconsistencies (eg. Project budget is not aligned, or need additional consultant services for Project)
 3.2.3 Based off preliminary evaluation presented, Architect will discuss alternative approaches and reach an understanding
about the Project requirements with the Owner.
 3.2.4 Architect will provide a preliminary design of the Project showing scope, for Owner approval.
 3.2.5 after receiving Owner approval, Architect will prepare Schematic Design Documents for Owner approval.
 Site plan; building plans, sections and elevations; study models; perspective sketches; renderings). Should note/describe preliminary
selections of major building systems and construction materials.
 3.2.5.1 Architect required to raise issue of sustainable design methods with Owner, but environmental design services are
additional per 4.1.1.
 3.2.5.2 Architect will consider sustainable design alternatives, but not required to incorporate – ultimately, will be Owner’s
choice.
 3.2.6 Architect should submit to Owner estimate of Cost of Work per 6.3.
 3.2.7 Architect will submit Schematic Design documents to Owner and request Owner approval.
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Contracts – B101
Article 3 – Scope of Architect’s Basic Services
 3.3 Design Development Phase Services
 3.3.1 Based on Owner’s approval of Schematic Design Documents and
authorization of any adjustments, Architect will prepare Design Development
Documents
 Plans, sections, elevations; typical construction details; diagrammatic layouts of building
systems that show the size and character of the Project and its systems; outline
specifications that identify major materials and systems and their quality).
 3.3.2 Architect will update Cost of Work.
 3.3.3 Submit Design Development Document to the Owner for approval; advise
Owner about adjustments to the estimate.
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0
Contracts – B101
Article 3 – Scope of Architect’s Basic Services
 3.4 Construction Document Phase Services
 3.4.1 Based off approval of Design Development Documents and authorization of any
adjustments, Architect will produce Construction Documents
 Drawings and Specifications that will establish the quality level and performance criteria of materials and
systems and other requirements for construction. BUT Architect is not required to provide all details –
Contractor will provide additional information to perform the Work.
 3.4.2 Architect will incorporate design requirements of governmental authorities (good
practice to give client warning that common for authority to have comments that need
response).
 3.4.3 Architect will assist owner with preparing information used for bidding/proposal forms;
the form of agreement between the Owner and Contractor; and the A201 Conditions of the
Contract for Construction
 3.4.4 Update Cost of Work estimate per 6.3 (won’t be as accurate as Contractor’s estimate)
 3.4.5 Architect will submit Construction Documents to Owner for approval, advise Owner of
adjustments to Cost of Work, and make recommendations to adjust Project per 6.5.
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1
Contracts – B101
Article 3 – Scope of Architect’s Basic Services
 3.5 Procurement Phase Services
 3.5.1 Architect will assist Owner making a list of potential contractors; obtaining competitive bids or negotiated
proposals; analyzing bids or proposals; and awarding and preparing contracts for construction.
 3.5.2 Competitive Bidding
Architect will facilitate distribution of bidding document to bidders; hold pre-bid conference for bidders;
prepare responses to questions and provide clarifications by issuing Addenda; organize opening of bids,
documentation, and distribution of results as directed by Owner.
Additional Service: if substitutions permitted by Bidding Documents, Architect will consider substitution
requests, and prepare/distribute addenda identifying approved substitutions to all prospective bidders.
 3.5.3 Negotiated Proposals
Architect will facilitate distribution of proposal document to contractors; hold selection interviews with
potential contractors; prepare responses to questions and provide clarifications by addenda; participate in
negotiations with contractors and prepare summary report of negotiation results as directed by Owner.
Additional Service: if substitutions permitted by Proposal Documents, Architect will consider substitution
requests, and prepare/distribute addenda identifying approved substitutions to all prospective bidders.
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2
Bidding vs Negotiated Proposal
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3
Contracts – B101
Article 3 – Scope of Architect’s Basic Services
3.6 Construction Phase Service
 The Architect will administer the Contract between the Owner and Contractor (A201 Contract for
Construction) as long as it is not amended. If A201 is amended, those modifications do not affect the
services the Architect has to provide in this agreement B101, unless B101 is amended.
 The Architect will advise and consult with the Owner during the Construction Phase.
 The Architect only has the authority to act as the Owner’s agent to the extent laid out in this
agreement B101.
 The Architect does not have control over or responsibility for the construction means, methods,
techniques, sequences, procedures, safety precautions and programs in connection with the Work,
nor for the Contractor’s failure to perform the Work in accordance with the Contract Docs.
 The Architect is only responsible for their own negligent acts or omissions, not anyone else.
 Architect’s responsibility to provide Construction Phase Services starts when the Contractor for
Construction is awarded and terminates when the Architect issues the final Certificate for Payment.
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4
Contracts – B101
Article 3 – Scope of Architect’s Basic Services
3.6.2 Construction Phase Service - Evaluations of the Work
 3.6.2.1 Architect will visit site at intervals appropriate to stage of construction or as required per 4.2.3. Architect will become “generally familiar
with the progress and quality of the portion of the Work completed,” and determine “if the Work observed is being performed in a manner
indicating that the Work “when fully completed” will be in accordance with the Contract Docs.” Architect is NOT required to make on site
inspections to check quality/quantity of Work. Architect is obligated to keep Owner “reasonably informed” about progress/quality of the work.
Architect will promptly report to the Owner known deviations from the Contract Docs, known deviations from the most recent construction
schedule, and defects/deficiencies observed.
“When fully completed” means focus for observation is on permanent portions of project, not temporary structures.
 3.6.2.2 Architect has the authority to reject Work that does not conform to the Contract Docs, as agent of Owner. Architect has authority to require
inspection/testing of Work per provision in Contract Docs. If the decision to exercise this duty or not is made in good faith, the Architect is not
responsible to Contractor, Subcontractors, suppliers, or other people performing Work.
Rejecting on behalf of the Owner can get into the field of overreach – obvious safety/nonconforming to code items can clearly be rejected, but Owner could choose to
accept nonconforming work in exchange for credit. Good practice is to point out defects to Owner, and then let Owner choose whether to accept or reject. Architect does
not owe a duty to the Contractor to notice defects, is only responsible to Owner for unnoticed defects.
 3.6.2.3 Architect will act as judge determining performance of the Contract Docs when requested by the Owner or Contractor, responding in writing
with reasonable promptness/within the agreed upon time frame.
 3.6.2.4 Architect’s interpretations will be consistent with Contract Docs. Architect will be impartial, and is not liable for decisions made in good faith.
 When acting as a judge, have a different standard of care.
 3.6.2.5 Architect will be Initial Decision Maker for Claims between Owner and Contractor per A201, unless the Owner/Contractor designate
someone else.
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5
Site Visits vs. Inspections
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6
Contracts – B101
Article 3 – Scope of Architect’s Basic Services
3.6.3 Construction Phase Service - Certificates For Payment to Contractor
 3.6.3.1 Architect will review and certify that the amount of money due the Contractor is appropriate, not
overstated, to the best of Architect’s knowledge. This decision is based on the Architect’s evaluation of the
work (through site visits) and on reviewing data in Contractor’s pay application (aka schedule of values). The
Architect does not do a detailed inspection, so there may be some things missed – there are some caveats to
this certification:
 Subject to evaluation of Work upon Substantial Completion (if miss a deviation for an earlier certification of payment, can still
note it later – not expected to review fully until later)
 Pending results of subsequent tests and inspections (may show that certain work wasn’t done right)
 Correction of minor deviations (Architect won’t reject certification because of something minor that can be easily corrected)
 Any other specific qualifications listed by Architect (Architect can note anything – eg. Haven’t been on site in 2 weeks, etc)
 3.6.3.2 additional caveats for certification of payment:
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Architect has not made exhaustive/continuous on site inspections
Architect has not reviewed construction means, methods, sequencies, or procedures
Architect has not reviewed info submitted by subcontractors to Owner to substantiate Contractor’s right to payment
Architect does not know how the Contractor has used money previously paid out toward the contract sum
 3.6.3.3 Architect will keep record of applications/certifications of payments.
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Contracts – B101
Article 3 – Scope of Architect’s Basic Services
3.6.4 Construction Phase Service – Submittals
 3.6.4.1 Architect will review Contractor’s submittal schedule and not unreasonably delay/withhold approval of schedule. Architect will follow
schedule, or if no approved submittal schedule, reasonable promptness while allowing sufficient time, in the Architect’s professional judgement,
to permit adequate review.
(sometimes response time contradicts with A201 agreement between Owner and Contractor)
 3.6.4.2 Architect’s review/approval is only limited to “checking for conformance with information given and the design concept expressed in the
Contract Docs.” Review does not determine accuracy/completeness of dimensions, quantities, installation, or performance. Review does not
approve safety precautions, means, methods, or sequencies (these are Contractor’s responsibility). Does not approve assembly for which item
submittal is a component.
(submittal review stamps indicating Architect review or response can limit the scope of Architect review applies to, by indicating what approved and
what not reviewed)
 3.6.4.3 For submittals that the Architect delegated the design to a licensed engineer hired by the Contractor in the specifications of the Contract
Docs (Architect specified the performance/design criteria, and the licensed engineer signs and seals the submittal), Architect review is limited to
checking that info given is correct, and the submittal conforms with the design concept expresses in the Contract Docs. Architect can rely upon and
not be responsible for work of design professionals under Contractor.
 3.6.4.4 Architect will respond to Requests for Information (RFIs) asking for clarification of Contract Docs in writing within agreed upon time limit or
reasonable promptness. RFIs must include a detailed written statement indicating which drawings/specifications need clarification, and the
clarification requested. If necessary, Architect will prepare and issue supplemental drawings/specifications in response to RFIs.
 3.6.4.5 Architect will maintain record and copies of submittals supplied by the Contractor, per Contract Document requirements.
HOW LONG?
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Contracts – B101
Article 3 – Scope of Architect’s Basic Services
3.6.5 Construction Phase Service – Changes in the Work
 3.6.5.1 Architect is authorized to make minor changes to the Work that are
consistent with the intent of the Contract Docs and do not affect price or
schedule of Project. Otherwise, Architect will prepare Change Orders and
Construction Change Directives for the Owner’s approval and Contractor
execution per Contract Docs per 4.2.
 3.6.5.2 Architect will keep records of changes in Work
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Field Directive vs. Construction Change Directive vs.
Change Order
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Contracts – B101
Article 3 – Scope of Architect’s Basic Services
3.6.6 Construction Phase Service – Project Completion
 3.6.6.1 Architect will:
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Conduct inspections to determine the date of Substantial Completion and Final Completion
Issue certificates of Substantial Completion
Forward to the Owner written warranties and related documents required from the Contractor by the Contact Documents
Based upon final inspection, issue a final Certificate for Payment indicating that the Work complies with the Contract Docs to
the best of the Architect’s knowledge.
 3.6.6.2 Architect will inspect conformance of the Work and the accuracy of the punchlist submitted by the
Contractor with the Owner.
 3.6.6.3 At Substantial Completion, Architect will inform Owner remaining balance of Contract Sum/any amount
withheld for final completion/correction of Work.
 3.6.6.4 Architect will forward consent of surety to reducing/releasing retainage, documents indemnifying
Owner against liens, and any other documentation required from Contractor to the Owner
 3.6.6.5 At request of Owner, Architect will meet with owner to review facility operations and performance,
before 1 year from date of Substantial Completion
(typically 1 year because typically length of Contractor’s callback warranty)
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Contracts – B101
Article 4 Supplemental and Additional Services
4.1 Supplemental Services
 Programming
 As-constructed record drawings
 Multiple Preliminary designs
 Post-occupancy evaluation
 Measured Drawings
 Facility support services
 Existing Facilities Surveys
 Tenant related services
 Site Evaluation and Planning
 Architect’s coordination of Owner’s consultants
 BIM management responsibilities
 Telecomm/data design
 BIM models for post construction use
 Security evaluation and planning
 Civil engineering
 Commissioning
 Landscape Design
 Sustainable project Services (Section 4)
 Interior Design
 Fast-Track design services
 Value Analysis
 Multiple Bid packages
 Detailed Cost estimating (beyond basic, Article 6)
 Historic Preservation
 On site project representation
 Furniture, Furnishings, and Equipment (FFE) design
 Conformed documents for construction
 Specialty Consultant services
 As-designed record drawings
 Other Supplemental
B101, Article 4.1 Supplemental Services
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Contracts – B101
Article 4 Supplemental and Additional Services
4.2 Additional Services
 4.2 Architect can provide additional services without invalidating the Agreement. Architect can pursue compensation and
an appropriate adjustment in the Architect’s schedule for these additional services, except when extra services are required
because Architect at fault.
 4.2.1 Architect will notify the Owner about need to perform additional services with reasonable promptness, not
proceeding without the Owner’s written authorization.
 Services caused by a change in the initial information, Owner instruction/approval, material change in Project (significant changes in size,
quality, complexity, Owner schedule, or budget), or procurement/delivery method.
 Services necessitated by enactment in code/law/regulation
 Changing Instruments of Service necessitated by code official interpretations of applicable laws, either contrary to specific interpretations
made by authorities previously, or contrary to requirements of Instruments of Service when prepared with standard of care.
 Services caused by Owner decisions not made in a timely manner
 Preparing digital models or documentation for transmission to Owner’s consultants/contractors
 Preparation for alternate bids/proposals proposed by Owner
 Preparation for and attendance at public presentation, meeting, or hearing
 Preparation for and attendance at dispulte resolution or legal proceeding, except when the Architect is a party
 Evaluation of qualification of entities providing bids/proposals
 Consultations about replacing Work damaged by fire/etc. during construction
 Assistance to the Initial Decision Maker
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Contracts – B101
Article 4 Supplemental and Additional Services
4.2 Additional Services
 4.2.2 To avoid delay, Architect will notify the Owner about need to perform additional services with reasonable promptness, and proceed unless the
Owner gives written notice to the Architect that the service is not required (the Owner will compensate the Architect for the services provided prior
to receipt of notice)
 Reviewing a Contractor’s submittal out of sequence from approved submittal schedule
 Responding to Contractor’s RFIs when information is available to the Contractor from careful study and comparison of the Contract Docs, field conditions, and
owner provided info.
 Preparing change orders and construction change directives that require evaluation of Contractor’s proposals or revision of Instruments of Service
 Evaluating extensive numbers of Claims as the Initial Decision Maker
 Evaluating substitutions proposed by Owner or Contractor and making subsequent revisions to Instruments of Service
 4.2.3 Construction Phase Services are limited. When the limits are reached, Architect will notify Owner of additional services.
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2-3 reviews of submittals
(appropriate number of given scope) site visits during construction
2-3 inspections for substantial completion
2-3 inspections for final completion
 4.2.4 If construction exceeds 60 days past date of substantial completion or past initial date of substantial completion identified in agreement,
construction phase services are additional services
 4.2.5 If services in agreement have not been completed within (x) months of date of agreement, extension of Architect’s services are compensated
as additional services.
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Contracts – B101
Article 5 – Owner’s Responsibilities
 5.1 Owner will provide program in a timely manner (project objectives, schedule, constraints & criteria, space
requirements, flexibility, expandibility, special equipment, systems, and site requirements)
(documents assume client is sophisticated – good practice to sit down with client that has less experience, and to build
programming into schematic design fee structure)
 5.2 Owner establish budget (includes cost of Work, Owner’s costs, and contingencies), and update the budget as necessary
throughout the project. Owner must notify the architect of significant increases/decreases in the budget. Owner and
Architect will agree to corresponding change in project scope/quality.
 5.3 Owner will identify a representative that can render decision and approve the architect’s submittals in a timely manner.
 5.4 Owner will provide surveys, legal limitations of site, etc.
(relates to 3.1.2 stating that Architect can rely on owner provided info)
 5.5 Owner will procure geotechnical engineers if needed.
 5.6 Owner will provide supplemental services as designated in 4.1.1.
 5.7 Owner must fulfill any duties for Sustainable Objectives per E204.
 5.8 Owner will coordinate services of Owner consultants with Architect, and provide copies of scope of service in contract.
Owner will furnish consultant services outside designated responsibility of Architect, or authorize Architect to furnish them
as an additional service if Architect demonstrate they are reasonably required. Owner consultants and contractors maintain
appropriate insurance.
(Owner responsible for coordination of Owner consultants, in addition to Architect coordination in 3.1.1)
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Contracts – B101
Article 5 – Owner’s Responsibilities
 5.9 Owner will furnish tests, inspections, reports required by law or Contract Docs.
(if Owner doesn’t provide necessary info, Architect should identify and ask Owner to provide)
 5.10 Owner will provide legal, insurance and accounting services necessary for the Project.
 5.11 Owner will provide prompt notice to Architect if Owner becomes aware of faults/defects of Project
 5.12 Owner will include Architect in communications with the Contractor that affect Architect’s services.
Owner will notify Architect of any direct communications between the Owner and Contractor otherwise
related to Project. Communication with Architect’s consultant must be through Architect.
 5.13 Before A201 Contract for Construction commences, Owner will coordinate Architect’s duties established
in A201 with the Architect’s services established in this agreement B101. Owner will provide Architect a copy
of the agreement between the Owner and Contractor.
(relates to 3.6.1.1 if Owner and Contractor have agreement other than unmodified A201, Owner not Architect is
not liable for inconsistencies)
 5.14 Owner will give Architect access to Project site prior to commencement of Work, and require the
Contractor to provide the Architect access to Work at whatever point of preparation/progress.
 5.15 If Architect gives written request, Owner will furnish within 15 days requested info relevant for the
Architect to evaluate, give notice of, or enforce lien rights.
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6
Lien Rights
 A mechanic’s lien is a guarantee of payment to builders, contractors, and
construction firms (anyone making improvement to land) that build or repair
structures, allowing them to file a Claim against the property which clouds the
Owner’s title. Mechanic's liens also extend to suppliers of materials and
subcontractors and cover building repairs as well. The lien ensures that the
workmen are paid before anyone else in the event of a liquidation (even
mortgage of bank).
 Mechanic's liens generally have a higher priority than other forms of debt (in
the event of foreclosure or repossession, liens get paid out first)
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Contracts – B101
Article 6 – Cost of Work
 6.1 Cost of Work is “the total cost to the Owner to construct all elements of the Project designed or specified by Architect,” and also includes Contractor’s general
conditions costs, overhead, and profit, as well as value of labor/materials/equipment donated to/furnished by Owner.
Does not include Architect’s compensation, cost of land, rights of way, contingencies, or other costs that are the responsibility of the Owner.
 6.2 Owner will provide budget in Initial Information for the Cost of Work and adjust throughout the project as required per 5.2, 6.4 and 6.5. Architect’s evaluation of the
Cost of Work are only Architect’s professional judgement. Architect and Owner don’t have control over cost of labor, material, Contractor methtods for determining Bid,
competitive bidding, market conditions, etc. No warranty or representation that bids/negotiated prices will align with the Owner’s budget nor with the estimated Cost of
Work prepared by the Architect.
(very few Architects know much about cost estimating – Owner typically assumes Architect is much better at cost estimating than actually is. Good practice to explain
difference in Architect cost estimating by rough cost/sf vs. Contractor cost estimating with detailed takeoffs of material and quantity and labor rates)
 6.3 Architect’s estimate can include design contingencies; materials, equipment, components, types of construction shown in the Contract Docs; recommended
reasonable adjustments in Project program/scope; and design alternates (so the Project fits Owner’s budget) as necessary. Estimate is based on current area, volume, or
similar conceptual estimating technique. Architect will provide more detailed estimate if identified as responsibility in Supplemental Services.
(if want detailed estimate break downs, Supplemental Service)
 6.4 If procurement has not happened within 90 days of submitting Construction Documents to Owner (by no fault of Architect), Owner will adjust budget to reflect
changes in the construction market.
 6.5 If the Architect’s estimate exceeds the Owner’s budget, the Architect will make recommendations adjusting the project’s size/quality/budget and the Owner will
cooperate with Architect.
 6.6 If lowest bonafide bid or negotiated proposal exceeds the Budget for the Cost of Work at the end of Construction Documents Phase, the owner will:
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Give written approval to increase the budget
Authorize rebidding/renegotiating the project within a reasonable time
Terminate per 9.5
Work with Architect to revise the project program/scope/quality as necessary
Implement another mutually acceptable alternative
 6.7 If the owner chooses to revise project program/scope/quality per 6.6, Architect will modify the construction documents so that the project complies with the Owner’s
Budget. Owner will compensate Architect for the Construction Document modifications as an additional service if the lowest bona fide bid exceeded the Owner’s budget
due to market conditions that the architect could not reasonably anticipate. Otherwise, Architect will modify Construction Documents for free. Modification of
construction documents is the limit of the Architect’s responsibility (not liable for paying the difference between bids/negotiated proposals and budget).
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Contracts – B101
Article 7 – Copyrights and Licenses
 7.1 If Architect and Owner transmit drawings, the transmitters are copyright owners or have permission to transmit for use
on the Project.
 7.2 Architect and Architect’s consultants are owners of instruments of service (drawings, specs, and other written
materials). Submission/distribution of Instruments of Service in connection with the Project does not violate the reserved
rights of the Architect and the Architect’s consultants.
 7.3 Architect grants non-exclusive license to Owner “solely and exclusively for purposes of construction, using,
mainaining, altering and adding to the Project.” Architect grants similar license for consultants’ instruments. Owner can
authorize the Contractor and the Contractor’s subs and suppliers Owner’s consultants and contractors “solely and
exclusively for use in performing services or construction for the Project.” If the Architect terminates agreement with
rightful cause (per 9.4), license for Instruments of Service terminates too.
(Architect can use their Instruments of Service for other projects/clients, but Architect has similar nonexclusive licenses from
their consultants. Owner can’t end agreement but continue to use Architect’s drawings – violation of federal copyright
laws.)
 7.3.1 If the Owner uses the Instruments of Service without retaining the authors, the Owner releases the Architect and
Architect’s consultants from claims and actions arising from use. If Architect/consultants get sued by a third party, Owner
will indemnify and hold harmless the Architect and consultants, including pay for legal defense costs. This does not apply if
the Owner terminates Agreement for Architect breach per 9.4.
 7.4 Any licenses not explicitly mentioned in Agreement will not be implied or granted. Owner cannot assign or transfer
license without the written agreement of the Architect. Any unauthorized use of Instruments of Service are at Owner’s sole
risk; Architect/consultants not liable.
 7.5 Article 7 survives the termination of the agreement, except as stated in 7.3.
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Privity
 Privity: privity in contracts states that there are rights and obligations to parties
of a contract and restricts non-contractual parties from enforcing the contract.
Lack of privity states that there is no contract between parties, thereby not
requiring them to perform certain duties and not entitling them to certain
rights (Architects are protected against claims by parties with which they have
no direct contractual relationship).
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Indemnification
 Only comes into play with a THIRD PARTY
 Indemnification: compensation for harm or loss.
 To Indemnify: when another party is to compensate a party for losses that that
party has incurred or will incur as related to a specified incident.
 Legal relationship where 1 party takes on responsibility for claims of loss or
damage brought against the other party by a 3rd party.
(e.g. a stranger walking around the site falls, and only sues the Owner even
though fall/harm happened due to Contractor’s negligence. A201 requires
Contractor to step in to take care of claim and indemnify Owner.)
 A201 3.18
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Negligence
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Statute of Limitations vs Statute of Repose
 Schiff hardin
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Contracts – B101
Article 8 – Claims and Disputes
 8.1.1 Owner/Architect must make claims arising from/related to Agreement within period specified by state/local laws, but not more than 10 years
after the date of Substantial Completion of the Work
(states have own statute of limitations, some have statute of repose)
 8.1.2 If damages are covered by property insurance, the Owner and Architect waive all rights against each other as well as against
contractors/consultants/agents/etc. Can only seek proceeds of insurance as established by A201. Owner and Architect will require similar waivers
from contractors, consultants, agents, etc.
(Property insurance pays out first. Waive rights so that the insurance company cannot step into Owner/Architect’s shoes and sue negligent parties.)
 8.1.3 Architect and Owner waive consequential damages for claims/disputes/matters related to Agreement. Applies to termination of Agreement
except as specified in 9.7.
 8.2 Mediation
 8.2.1 For any claim/dispute, subject to mediation as a prerequisite to binding dispute resolution. Architect can still proceed in accordance with local
laws to lien notice filing deadlines prior to mediation resolution.
 8.2.2 Owner and Architect will endeavor to resolve claims/disputes through mediation administered by American Arbitration Association per its
Construction Industry Mediation Procedures that are in effect on Agreement date, UON. Mediation requests must be made in writing, delivered to
all parties, and filed with entity administering the mediation.
Requests can happen concurrently with filing for binding dispute resolution. If mediation happens before, arbitration can be stayed for 60 days,
pending mediation, or a longer period by agreement from both parties or from court order.
 8.2.3 Parties will equally split mediator’s fees. Agreements will be enforceable as settlement agreements in presiding jurisdiction courts.
 8.2.4 If parties don’t want to resolve dispute through mediation, the next method of binding dispute resolution will be: Arbitration, litigation, or
other.
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Contracts – B101
Article 8 – Claims and Disputes
 8.3 Arbitration
 8.3.1 Arbitration will be administered by American Arbitration Association Construction Industry Arbitration Rules, UON.
Arbitration requests must be made in writing, delivered to all parties, and filed with entity administering the mediation.
 8.3.1.1 Demand for arbitration can not be made earlier than concurrent filing for mediation, and not later than the statute
of limitations.
 8.3.2 Agreement to arbitrate is enforceable by law.
 8.3.3 Award rendered by arbitrator is final (no appeal).
 8.3.4 Consolidation or Joinder provision
 8.3.4.1 At sole discretion, either party can consolidate an arbitration if it is a party conducted under this Agreement B101 if:
 The arbitration agreement governing the other arbitration allows consolidation; the arbitrations to be consolidated substantially involve
common questions and shared facts; and the arbitrations have materially similar procedural methods for selecting an arbitrator.
 8.3.4.2 At sole discretion, either party can include joinder entities (third, fourth etc. parties) substantially involved in
arbitration, with written consent by party being sought to joined.
 8.3.4.3 Any entity that joins arbitration party by joinder or consolidation has same rights as Owner and Architect.
 8.4 Article 8 survives termination of agreement.
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 Consequential Damages: damages from an indirect result of an event or
incident; go beyond the contract itself and into the actions that arise from the
failure to fulfill/breach of contract.
 Consequential damages Example: If owner had to be forced to pay Architect for
additional services, they would pay for the employee’s labor, but not for a job
lost because the employees working on the Project were unable to respond to
the RFP.
 Mediation vs Arbitration
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Contracts – B101
Article 9 – Termination or Suspension
 9.1 Owner lack of payment is “substantial nonperformance” and is cause for Architect’s suspension of
services (can resume services if client resumes payment) or cause for termination of agreement (permanent).
Architect must give 7 days written notice before suspending, and has no liability to the Owner for
delays/damages caused by suspension. Before resuming, Owner will pay Architect all sums due prior to
suspension, pay expenses the Architect incurred during interrupting and resuming services, and adjust
Architect’s fees and schedule for remaining services.
 9.2 If the Owner suspends the project, Architect will be compensated for services performed prior to notice.
When the project resumes, the Owner will compensate the Architect for expenses incurred during interrupting
and resuming services and adjust the Architect’s fees and schedule for remaining services.
 9.3 If the Owner suspends the project for 90+ days, Architect may terminate agreement with 7 days written
notice, unless the suspension is due to fault of Architect.
 9.4 Either party can terminate agreement with 7 days written notice written notice if the other party “fail
substantially to perform in accordance with the terms of this Agreement”.
(7 days gives the other party a chance to cure – redundant for Architect, but covers Owner)
 9.5 Owner can terminate with 7 days written notice for Owner’s convenience and without cause.
(one way no cause termination for Owner only - Architect can’t do this on a whim to Owner because a
professional –similarly, contractor is not allowed to walk away from project in A201)
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Contracts – B101
Article 9 – Termination or Suspension
 9.6 If Owner terminates the Agreement for convenience/no fault or if Architect terminates
the Agreement per 9.3 (after 90+ day notice), Owner will compensate Architect for services
performed prior, reimbursable expenses, and costs attributed to termination (including costs
associated with Architect’s termination of consultant agreements).
 9.7 If Owner terminates the Agreement for convenience/no fault or if Architect terminates
the Agreement per 9.3 (after 90+ day notice), Owner will pay following fees if listed (in
addition to 9.6):
 Termination fee
 Licensing Fee if the Owner intends to continue using the Instruments of Services.
(Subjective test for copyright – if drawing2 significantly resembles drawing 1 then a copy)
(common for clause to be removed)
 9.8 Agreement terminates 1 year from date of substantial completion, except as otherwise
provided in this Agreement B101.
 9.9 Refer back to 7 and 9.7 for Owner rights to use Instruments of Service if termination.
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Contracts – B101
Article 10 – Miscellaneous
 10.1 This Agreement is governed by the laws of the place the Project is located at. If Arbitration is the
method of binding dispute resolution, the Federal Arbitration Act governs.
 10.2 Terms are the same as A201 Contract for Construction.
 10.3 Owner and Architect bind themselves, their agents, successors, representatives, etc. to the
Agreement. Neither Owner nor Architect will assign Agreement to another entity without the written
consent of the other. Exception: Owner may assign Agreement to lender providing financing if the
lender agrees to assume Owner’s rights and Obligations, including any payments due to Architect
by Owner prior to assignment.
(collateral assignment – ability to assign agreement is part of lender’s collateral so Owner can attain
design/construction loans – otherwise, no way to compel Architect to provide services)
 10.4 Owner requested certificates or consents (typically for lenders) must be submitted to Architect
for review at least 14 days prior to date of execution/signing. Architect is not required to execute
certificates beyond scope of agreement.
(typically, Architect will certify “to the best of my knowledge this info is true” rather than “it is there”
– some stuff that the Architect can’t know for sure, e.g. where utilities are on property, etc.)
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Contracts – B101
Article 10 – Miscellaneous
 10.5 Agreement is only between Architect and Owner – No third party beneficiary
 10.6 Architect does not have responsibility for discovery, presence, handling, removal/disposal, or
exposure of persons to hazardous materials at the Project site (Pre-existing toxic substances are not
Architect’s responsibility).
 10.7 Architect will be allowed to use Project design/work for marketing materials and be given
reasonable access to the completed project for photographs. Architect’s promotional material shall
not include Owner’s confidential or proprietary info (Owner has to give notice in writing what is
considered confidential/proprietary). Owner will give Architect proper credit in any of Owner’s
promotional materials for Project. This survives the termination of Agreement unless terminated for
cause per 9.4.
 10.8 Any info Architect/Owner designates as “confidential” or “business proprietary” will not be
disclosed to anyone. Exceptions:
 employees/consultants as required for work (will also be subject to the restrictions on disclosure)
 after 7 days notice to the other party, when required by process of law (aka subpoena for testimony, etc.). If not
characterized as confidential, info does not have to be treated as such.
 10.9 an invalid provision of the Agreement does not invalidate the Agreement’s remaining provisions.
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Contracts – B101
Article 11 – Compensation
 11.1 Compensation for basic services – lump sum/stipulated sum, % of cost, other (hourly rate, tap
on, etc.)
 11.2-11.3 Supplemental and Additional services – lump sum estimates, or hourly rate for additional
services that are hard to predict (corresponds with Article 4)
 11.4 Compensation for Supplemental and Additional Services of Architect’s consultants
 11.5 Break down of Basic Services compensation into phases
(Typical breakdown of fee by service – 15% schematic, 20% design development, 40% construction
documents, 5% bidding/negotiation, 20% contract administration. However, not always broken down
this way, since it’s better to get money up front).
 11.6 For percentage basis compensation, Owner will make progress payments based on the Owners
most recent budget for the cost of the Work, multiplied by the % associated with the Basic Services
phase. Compensation made in previous progress payments will not be adjusted to match the later
updates to the Owners budget. If portions of the project are deleted or not constructed,
compensation will be payable to the extent of the services performed on the removed portions.
(Architect is entitled to all services performed, whether or not the Project gets built)
 11.7 Establishes hourly billable rates for Architect and consultant employees.
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Contracts – B101
Article 11 – Compensation
 11.8 Reimbursable expenses, plus given % of expenses
(not a typical expenses incurred as architectural office performing services, but expenses incurred on behalf of
project – client will reimburse at X% of at cost to accounts for admin time, support staff, etc. Consultants’
expenses are not reimbursable expense, passed on through consultant fee.)
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Transportation and authorized out of town travel and subsistence
Long distance services, dedicated data and communication services, teleconferences, project web sites
Permitting and other fees required by authorities
Printing, reproductions, plots and standard form documents
Postage, handling, and delivery
Expense of overtime work requiring higher than regular rates, if authorized in advance by the Owner
Renderings, physicl models, mockups, professional photography, and presentation materials requested by Owner/required for
Project
If required by Owner and with Owner’s prior written approval, consultant expenses for professional liability insurance
dedicated exclusively to Project or for additional insurance coverage in excess of that normally maintained
Taxes levied on professional services and reimbursable expenses
Site office expenses
Registration and other fees charged by certifying authority/entities to achieve Sustainable Objective
Other similar Project related expenditures
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Contracts – B101
Article 11 – Compensation
 11.9 Architect’s insurance – If required to expand coverage in addition to the
insurance that the Architect normally maintains, the Owner will pay the Architect for
the cost of additional coverage as specified.
 11.10 Initial payments to Architect upon execution of agreement that is credited to
the Owner’s account in the final invoice.
 11.10.2.1 Progress payments, establishes what interest applies if payments are late
 11.10.2.2 Owner cannot withhold compensation unless Architect been found liable in
binding dispute resolution proceeding
(heavily favors architects – litigation can take 5 years, arbitration takes 6 months)
 11.10.2.3 Architect will make a record of reimbursable expenses, supplemental and
additional services expenses, and hourly rate services available to the Owner.
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Contracts – B101
Article 12 – Special Terms and Conditions
 (modifications to the Agreement)
Article 13 – Scope of the Agreement
 13.1 The agreement supersedes all prior negotiations, representations, and agreements, and
can only be amended in writing signed by both Owner and Architect.
 13.2 This Agreement is made up of the following documents:





B101 Agreement between Owner and Architect
E203 Bim and Digital Data Exhibit
(when checked) E204 Sustainable Project Exhibit
Other Exhibits, like those identified in Article 4
Other DOcuments
(Signatures)
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Contracts – A101
A101 Standard Form of Agreement Between Owner and Contractor
 Cover Page: date of agreement, Owner name/information, Contractor
name/information, Project name/location/description, and the Architect
name/information
 Even though Architect is not a party of this contract, is referred to and listed because
they are relevant to the Work to be done.
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Contracts – A101
SCOPE OF WORK
 Article 1 – The Contract Docs
The documents representing the entire agreement between the parties. Supersedes all
prior negotiations, representations, or agreements.







This document, the Agreement (A101)
Conditions of the Contract for Construction (A201)
Drawings
Specifications
Addenda issued prior to this agreement being signed
Any documents added in this Agreement
Modifications issued after Agreement
 Article 2 – The Work of this Contract
 The Contractor will do the Work described in the Contract Docs, except when the Contract Docs
specifically indicate it to be the responsibility of others.
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Contracts – A101
SCHEDULE
 Article 3 – Date of Commencement and Substantial Completion.
3.1 When the Work commences (automatically is the date of the Agreement unless
otherwise noted, but could be a date listed in a Notice to Proceed issued by Owner, or
some other date established in the Agreement).
3.3 Date to achieve Substantial Completion by, subject to adjustments of the Contract
Time as provided for in the Contract Docs.
3.3.2 Date to complete Portions of the Work prior to Substantial Completion, if any.
3.3.3 If the Contractor does not achieve Substantial Completion in time, damages will be
assessed per Section 4.5.
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Contracts – A101
COST
 Article 4 – Contract Sum.
4.1 The Owner will pay the Contractor $xxx,xxx, subject to additions or deductions as
provided for in the Contract Docs.
4.2 Alternates, item and price.
4.2.2 Alternates can be accepted by the Owner after this Agreement is executed. The
Owner will issue a Modification if so.
4.3 Allowances, item and price.
4.4 Unit Price, portions of work or certain materials provided on a per-unit price.
4.5 Liquidated Damages, if any.
4.5 any other provisions that might result in a change to the Contract Sum.
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Contracts – A101
Payments
 Article 5 – Payments
5.1 the Owner will make progress payments of the Contract Sum to the Contractor, based off Applications for Payment that the Contractor
submits to the Architect and Certificates for Payment issued by the Architect.
5.1.2 each Application for Payment will be 1 calendar month ending on the last day of the month, unless otherwise noted.
5.1.3 Owner will make payment of the amount certified amount no later than xx day of the month, if the Application for Payment is received
by the Architect by xx day of the month.
5.1.4 Applications for Payment will be based on an updated schedule of values that show how the entire contract sum is divided up among
portions of the work.
5.1.5 Applications for Payment will show the percentage of completion for the portion of the Work completed through the period of the Pay
Application.
5.1.6 per A201, progress payment shall show:
(the portion of the contract sum allocated to the portion of the Work done, to materials/equipment delivered and stored to be incorporated,
and portions of Construction Change Directives that are justified) minus (the amounts previously paid by Owner, amount for uncorrected
Work that the Architect previously withheld, for defective Work discovered since the last payment application that the Architect will withhold
payment, amount that the Contractor does not intend to pay subcontractor or supplier, and Retainage)
5.1.7 Retainage: Owner can withhold xx% from progress payments, with exceptions as outlines (e.g. insurance), except for the last pay
application submitted at Substantial Completion
5.1.8 If Final Completion of the Work is materially delayed by no fault of the Contractor, the Owner will pay the Contractor additional $$ per
A201 Article 9.
5.1.9 Contractor will not make advance payments to suppliers for materials that have not been delivered and stored without prior approval
from Owner
5.2 The Owner will make Final Payment aka the unpaid balance of the Contract Sum when the Contractor has performed all the Work in the
Contract except correction of work per A201 Article 12, and when the Architect has issued the final Certificate for Payment (Owner must make
payments no later than 30 days after issuance)
5.3 Interest applied to unpaid payments will be xx% or legal rate at Project location.
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Contracts – A101
Dispute Resolution
 Article 6 – Dispute Resolution
Architect is the Initial Decision Maker per A201 Article 15, unless otherwise noted.
Claims will be resolved by litigation in court if no method for binding dispute resolution is selected in the Contract or agreed
upon subsequently.
Ending the Agreement
 Article 7 – Termination or Suspension
The Contract can be terminated by the Owner or Contractor per A201 Article 14. If terminated by the Owner, the owner will
pay the Contractor a $xx,xxx termination fee.
Only the Owner can suspend the Work, per A201 Article 14.
Miscellaneous
 Article 8 – Miscellaneous Provision
Representatives of Owner or Contractor cannot be changed without 10 days notice to other party.
Owner and Contractor shall maintain insurance per A101 Exhibit A.
Contractor will provide bonds per A101 Exhibit A.
Enumeration of Contract Docs
 Article 9 – List of documents that are part of Contract Docs
Signatures
 Owner and Contractor signatures
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Contracts – A201 Conditions of the Contract
A201 General Conditions of the Contract for Construction
Cover Page:
 Project (name, location, description)
 Owner
 Architect
 Even though Architect is not a party of this contract, is referred to and listed because
they are relevant to the Work to be done.
 Articles
 Index of Terms
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Contracts – A201
Article 1 – General provisions
 1.1 – Basic Definitions
 1.1.1 Defines Contract Docs per Owner/Contractor Agreement (typically AIA A1xx):









Owner/Contractor Agreement (AIA A101)
General Conditions of the Contract (AIA A201)
Drawings
Specifications
Addenda issued prior to execution of the Contract (issued prior to Contract)
Any additional documents listed in the Owner/Contractor Agreement
Modifications (issued after Contract): Written amendments signed by both parties; Change Order; Construction Change Directive; Written order for minor change in work, issued by Architect.
(specifically excludes bidding documents – supersedes all prior conversations)
(Good practice to include schedule)
(Parties are only bound to follow the listed Contract Docs)
 1.1.2 the Contract Docs form the Contract, aka the entire, integrated agreements between the parties. Supersedes all prior conversations. Contract can only be amended
by a Modification. Does NOT create a contractual relationship between anyone EXCEPT the Owner and the Contractor. The Architect is entitled to
performance/enforcement of Contract obligations intended to facilitate performance of Architect’s duties.
 1.1.3 Definition of The Work as “construction and services required by Contract Docs” aka labor, materials, equipment, services, etc. provided by Contractor, NOT
Architect.
 1.1.4 Definition of the Project as the construction of the Work performed by the Contractor per the Contract Docs.
 1.1.5 Definition of the Drawings
 1.1.6 Definition of the Specifications
 1.1.7 Definition of Instruments of Service (see B101 1.3)
 1.1.8 Establishes Initial Decision Maker as impartial judge for decisions about Claims (not liable for good faith, see B101 3.6.2.5)
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Contracts – A201
Article 1 – General provisions
 1.2 – Correlation and intent of Contract Docs
 1.2.1 Contract Docs are intended to provide all items necessary for proper execution
of Work, but Contractor performance required to be consistent with Contract
Docs/what can be reasonably inferred. Contract Docs are complementary, so all
documents are equally binding.
 1.2.1.1 If a provision of the Contract Docs is invalid, the Contract/rest of the Contract
Docs is still valid.
 1.2.2 Contractor can divide the Work up among the subcontractors as they please,
not bound by organization of specifications/drawings.
 1.2.3 Recognize construction/industry terminology UON.
 1.3 Capitalized terms are specifically defined, the titles of articles, or the titles of
other AIA documents.
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Contracts – A201
Article 1 – General provisions
 1.4 Presence/Absence of modifiers not intended to affect the interpretation of statements.
 1.5 Ownership/Use of Drawings, Specs, and other Instruments of Service
 1.5.1 Architect/Consultants are authors and owners of respective Instruments of Service
(corresponds with B101 7.2 but explicitly says Contractor cannot claim copyright/ownership)
 1.5.2 Contractors/subs are only authorized to use Instruments of Services for execution of
Work/Project (pass through/flow down clause protecting Owner – if Contractor uses
Instruments on another project, Architect can only sue Owner, not Contractor)
 1.6 Notices required by the Contract Docs shall be provided in writing UNO.
Notice of Claims per 15.1.3 shall be provided in writing and certified/registered mail.
 1.7 Contract Docs can have digital format, per E203
 1.8 BIM protocols are dictated by G202.
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Contracts – A201
Article 2 – Owner
 2.1.1 Owner’s representative has binding authority. The Architect does not have authority/agency except per 4.2.1 (section of A201 on Contract Administration)
 2.1.2 Owner will provide info required for evaluating/notifying/enforcing mechanic’s Liens within 15 days of receipt of request.
 2.2.1 Prior to Work commencing/when requested by Contractor, Owner will provide financial info evidencing ability to pay the Contractor. Contractor is not obligated to
commence Work until Owner provides evidence, and if Work is delayed because of this, the Contract time shall be extended.
 2.2.2 After Work commences, Owner will provide financial evidence to Contractor if:



Owner fails to make payments as the Contract Docs require
Contractor identifies a reasonable concern about Owner’s ability to make payment when due, in writing
A change in Work materially changes the Contract Sum
 2.2.3 Owner will not materially change financial arrangements without notifying Contractor.
 2.2.4 when the Owner has designated information as Confidential, Contractor will keep confidentiality except when required by law with 7 days notice(aka subpoenas) or
employees/subs who need to know the information and agree to maintain confidentiality.
 2.3.1 Owner will secure/pay for zoning, easements, etc. to get site and approval to perform work. Building permits are Contractor’s responsibility (although ultimately
passed back to Owner).
 2.3.2 Owner will hire an Architect licensed to practice in the Project jurisdiction
 2.3.3 If Architect is terminated, Owner will employ a successor that the Contractor does not have any unreasonable objections to.
 2.3.4 Owner will provide site work/Geotech surveys. Contractor can rely on the owner-provided information while exercising proper precaution.
 2.3.5 Owner will provide requested information required per the Contract Docs/per Contractor’s written request with reasonable promptness.
 2.3.6 Owner shall provide Contractor Contract Docs for making reproductions.
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Contracts – A201
Article 2 – Owner
 2.4 Owner Right to Stop Work
If Contractor fails to correct defective Work, or repeatedly fails to carry out Work in
accordance with Contract Document requirements Owner can issue a written order to the
Contractor to stop the Work until the cause of the stop work order has been eliminated.
The Owner is not required to exercise this for the Contractor/any other entity except as
required for coordination of Owner’s separate Contractors per 6.1.3
 2.5 Owner Right to Carry Out Work
If Contractor fails to commence/continue correction of defective Work within 10 days of
receipt of notice from Owner, Owner can correct the default/neglect without prejudice to
other remedies the Owner has. Correction by Owner and charging the Contractor for the
correction taken is subject to prior approval of Architect; per 9.5.1, Architect can withhold
or nullify a Certificate for Payment to the extent reasonably necessary to reimburse the
Owner for the cost of correcting such deficiencies – includes Owner’s expenses as well as
Architect’s additional services made necessary by default. If current/future payments aren’t
sufficient, the Contractor will pay the difference to the Owner. If the Contractor disagrees,
they can file a Claim per article 15.
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Contracts – A201
Article 3 – Contractor
 3.1.1 Define Contractor. Contractor must be lawfully licensed in Project jurisdiction. Contractor will designate a
representative.
 3.1.2 “Contractor shall perform the Work in accordance with the Contract Docs.”
 3.1.3 Contractor is not relieved of obligation to perform Work in accordance with Contract Docs by activities of Architect,
subcontractors, etc. (Architect can still be negligent, but Contractor will still share responsibility w Architect)
 3.2.1 Confirmation that the Contractor has visited the site, become familiar with the conditions of the Work, and corelated
their site observations with the Contract Docs.
 3.2.2 Contractor will study Contract Docs, information provided by Owner, field measurements of existing conditions, any
site conditions affecting site to facilitate coordination/construction by Contractor. Contractor will promptly report errors,
inconsistencies, or omissions discovered in the form of Requests for Information.
 3.2.3 Contractor is not required to ascertain whether the Contract Docs are in accordance with applicable regulations, but
the Contractor shall report any discovered nonconformities to the Architect.
 3.2.4 If Architect’s clarifications in response to RFIs result in additional cost/time for Work, the Contractor will submit
Claims per Article 15. If the Contractor fails to perform obligations to report inconsistencies/noncompliance with
regulations and other obligations in 3.2.2 or 3.2.3 the Contractor pays for costs/damages to Owner. The Contractor is not
liable to the Owner/Architect for damages from inconsistencies/noncompliance with regulation if performed obligations.
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Contracts – A201
Article 3 – Contractor
 3.3.1 Contractor will supervise the Work using best (typically replaced with “industry standard”) skill. Contractor has control
over means methods, coordination, etc. of Work. Even if Contract Docs give specific instruction, the Contractor will
evaluate jobsite safety and be solely responsible, and notify the Owner and architect about alternative means/methods in a
timely manner. Architect will evaluate, and if no objections, the Contractor can use the alternate means.
 3.3.2 Contractor is responsible for acts/omissions of Contractor employees, subs, agents, etc.
 3.3.3 Contractor is responsible for inspecting current Work and can receive subsequent work.
 3.4.1 Contractor will provide and pay for labor, materials, equipment, tools, utilities, transportation, and other
facilities/services necessary for execution of Work, whether temporary or permanent/to be incorporated into Work.
 3.4.2 Contractor can only make substitution with consent of Owner, after evaluated by Architect and issuance of a
Change Order/Construction Change Directive.
 3.4.3 Contractor will keep a clean worksite and keep employees carrying out Work in order, and will not employ
unfit/unskilled people for assigned tasks.
 3.5.1 Contractor warranty that materials/equipment used will be good quality/new unless permitted otherwise by the
Contract Docs, and that work will conform to Contract Document requirements and free of defects (except those inherent
to the quality of Work permitted by Contract Docs). EXCLUDES remedies for damages caused by abuse, alterations to Work
not done by Contractor, insufficient maintenance, improper operation, or normal wear and tear from normal usage.
 3.5.2 warranties will transfer to Owner per 9.8.1.
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Contracts – A201
Article 3 – Contractor
 3.6 Contractor will pay taxes on the Work, even if not yet effective but scheduled to go into effect.
 3.7.1 UON Contractor will pay permit/licensing/inspection fees needed for execution of Work, for
inspections/etc. that occur after securing Contract.
 3.7.2 Contractor must give notices as required by laws that govern Contractors.
 3.7.3 if knowingly violate laws following design/violations they should know are wrong, Contractor
assumes responsibility and has to pay for correction.
 3.7.4 if discover concealed physical conditions/unknown existing conditions that are materially
different than not unusual/inherent in construction activities, Contractor has to give notice within
14 days of discovery (after 14 days, contractor responsibility). Architect will determine whether
conditions material differ, and recommend adjustment in sum/time if they do.
 3.7.5 if discover wetlands/burial/archaeological sites, Contractor must immediately stop (if didn’t
stop, would subject owner go fines/conflict w local govt). Owner will take prompt action necessary to
get authorization to resume affected operations, but Contractor should continue with all unaffected
operation. Contractor can request adjustment.
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Contracts – A201
Article 3 – Contractor
•
•
•
•
•
•
•
•
•
3.8 Allowances
3.8.1 Contractor will include all allowances stated in Contract Docs.
3.8.2 Allowances include Contractor costs for materials, equipment, and taxes, minus trade discounts (labor, install, etc. costs are
part of Contract sum, not Allowance). If there’s a difference between actual cost and Allowance amounts, Contract Sum will get
adjusted by Change Order.
3.8.3 Owner will select allowance items promptly.
3.9.1 Superintendent will be competent, is a binding representative of Contractor
3.9.2 Architect must make any reasonable objections/ask for additional time to review superintendent within 14 days of receipt
of info.
3.9.3 Contractor won’t employ superintendents that the Owner/Architect object to (reasonable, timely), and cannot change
superintendent without approval.
3.10.1 After Contract awarded, Contractor will submit schedule. Must include date of commencement, milestone dates, date of
Substantial Completion, and other detail appropriate for project. Must include sequencing too.
3.10.2 Contractor must submit Submittal Schedule, coordinated with construction schedule, allow Architect reasonable amount
of time to review submittals. If Contractor does not stick to schedule, not entitled to an increase in sum/time required for
submittal review.
3.11 Contractor keep track of Contract Docs, change orders, change directives, modifications, shop drawings, product data,
samples, etc. After Work completed, Contractor will submit to Architect for record of Work.
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Contracts – A201
Article 3 – Contractor
 3:12.1-.4 Shop Drawings, Product Data, and samples are for illustrating materials/equipment/portion of Work and establishing standards by which
Work will be judged. Produced by Contractor. NOT Contract Docs, for demonstrating how Contractor proposes to conform to information/design
concept of Contract Docs, about showing intent.
 3.12.5 Contractor will submit per submittal schedule, Architect is responsible for reviewing submittals in a timely manner so won’t cause delay of
Work.
 3.12.6 Contractor verifies that reviewed submittal; verified materials, field measurements, construction criteria, etc; checked and coordinated with
other submittals, other requirements of Work, and Contract Docs (protection for Owner, creates single point of responsibility).
 3.12.7 Contractor won’t perform any work that requires submittal that has not been approved (if didn’t get approval, can extend schedule, but can’t
begin doing work).
 3.12.8 Architect approval of submittals does NOT relieve Contractor from errors, omissions, or deviations from Contract Docs, UNLESS Contractor
has specifically notified architect of deviation when submitting, and the Architect has given written approval to deviation as a minor change in Work
or issued a change order/change directive.
 3.12.9 For resubmitted submittals, Contractor will call out changes that were not requested by the Architect on previous versions. If don’t,
Architect’s approval does not apply to unrequested changes not called out.
 3.12.10 Contractor is not required to provide design services unless required by Contract Docs for portion of Work, or for carrying out Contractor’s
responsibilities for means/methods.
 3.12.10.1 If Contractor required to provide design professional services, Owner and Architect will specify performance/design criteria that services
must satisfy. Contractor can rely upon criteria. Submittals will have signature/seal by licensed professional. Owner/Architect can rely upon accuracy
of services; submittal review is only checking for conformance with Contract Docs.
 3.12.10.1 Contractor will provide certifications to Architect as required by Contract Docs.
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Contracts – A201
Article 3 – Contractor
 3.13 Contractor will limit site operations to areas permitted by local law and by the Contract Docs.
 3.14.1 Contractor responsible for cutting, patching, etc. to complete Work, and surrounding areas shall be
restored to existing condition prior to Work, UON by Contract Docs
 3.14.2 Contractor will not cut/patch Work or Owner/separate Contractor work in a way that endangers Work
and without consent
 3.15 Contractor will keep a clean site, and remove waste, equipment, surplus materials, etc. at completion of
Work. If Contractor doesn’t, Owner can do so and is entitled to Contractor reimbursement.
 3.16 Contractor must provide access to Work, even if in progress
 3.17 Contractor will pay for all royalties/copyright licensing fees, and is responsible for defending infringement
claims and can’t hold the Owner/Architect accountable UNLESS the copyright violation is contained in the
Contract Docs prepared by the Owner/Architect.
 3.18.1 Contractor will indemnify Owner/Architect/their agents and employees, against any claims resulting
from Work, so long as claim was caused by negligent acts/omissions of Contractor/Subcontractor/employees
(does not matter if Owner/Architect/employees partially caused claim).
 3.18.2 if Subcontractor/Contractor’s employee makes claim against indemnified Owner/Architect, there is no
limit to compensation by workers comp/disability/benefit acts.
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Contracts – A201
Article 4 – Architect
 4.1.1 Architect is the entity retained by the Owner per 2.3.2 (aka licensed Architect)
 4.1.2 Architect’s duties/responsibilities/limitations of authorities cannot be modified to be restricted/extended without
written consent of the Owner, Contractor, and Architect.
 4.2.1 Architect will administer Contract per Contract Docs, act as representative of Owner, and only has authority as
Owner’s Agent per extents listed in Contract Docs.
 4.2.2 Architect will visit site, not inspect, and is only responsible for observing whether work when fully completed will
comply with Contract Docs. (same as B101)
 4.2.3 Architect will keep Owner reasonably informed about the progress/quality of Work completed, and promptly report
known deviations from Contract Docs, from construction schedule, and about defects observed in Work. Architect is not
responsible for Contractor’s failure to perform Work in accordance with the Contract Document requirements. (same as
B101)
 4.2.4 Owner and Contractor will include Architect in all communications related to Architect’s services. Owner will promptly
notify Architect of any direct communications between Owner and Contractor. Architect is responsible for consultant
communications. Contractor is responsible for subcontractors. (same as B101)
 4.2.5 Architect will evaluate Contractor’s Applications for Payment and Issue Certificates for Payments. (same as B101)
 4.2.6 Architect can reject work that does not conform to Contract Docs. Architect can require inspection/testing of work.
Not/exercising this authority does not mean the architect has responsibility to Contractor/Subs/suppliers. (ex: if Architect
orders inspection in good faith, but nothing wrong discovered, doesn’t have to pay for it)
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Contracts – A201
Article 4 – Architect
 4.2.7 architect will review submittals to check with conformance with Contract Docs, per submittal schedule approved by
Architect / with reasonable promptness. Contractor is still responsible for dimensions, quantities, means and methods.
Architect’s approval of specific item does not mean approval of the entire assembly.
 4.2.8 Architect will prepare Change Order/CCDs, and can order minor changes in work. Architect will investigate and make
recommendations for concealed/unknown conditions. (Contractor has to submit Change Order/CCD/schedule adjustment
request)
 4.2.9 Architect will conduct inspections at date of Substantial Completion and Final completion, issue certificates of
Substantial Completion, and forward warranties/other documents required by the Contract to Owner for records, and issue
a final Certificate for Payment.
 4.2.10 If Owner and Architect agree, Architect will provide Project representative to assist carrying out Architect’s duty on
site – Owner will notify Contractor.
 4.2.11 Architect will decide matters of performance requirements per Contract Docs, at written request of Owner.
 4.2.12 Architect interpretations/decisions as Initial Decision Maker will be consistent with intent/inferable from Contract
Docs, will be in written/drawing form, and not liable for decisions made in good faith.
 4.2.13 Architect will have final decision if aesthetic matters are consistent with the intent of the Contract Docs.
 4.2.14 Architect will respond to RFIs within agreed upon time limits/reasonable promptness.
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Contracts – A201
Article 5 – Subcontractors
 5.1.1 Subcontractor has a direct contract with Contractor to perform a portion of the Work.
 5.1.2 Sub-Subcontractor is someone who has an in/direct contract with a Subcontractor.
 5.2.1 After award of contract, Contractor will notify Owner and Architect in writing about
Subcontractors proposed for principle portions of work. Architect must notify the Contractor about
any reasonable objections to proposed subcontractors or about additional review time needed.
 5.2.2 Contractor won’t contract with anyone that the Owner/Architect has made reasonable and
timely objections to, but is not required to contract with anyone that the Contractor has reasonable
objections to.
 5.2.3 If the Owner/Architect has made reasonable and timely objections, Contractor will find another
Subcontractor. If rejected Subcontractor was reasonably capable of performing work, Contractor is
entitled to a Change order to Contract Sum/Time, so long as the Contractor submitted
Subcontractor promptly and responsively.
 5.2.4 Contractor will not substitute a Subcontractor if Owner/Architect makes reasonable objections.
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Contracts – A201
Article 5 – Subcontractors
 5.3 Contractor must require each Subcontractor to be bound by terms of Contract Docs.
Subcontractor assumes responsibilities (same responsibilities that Contractor owes to
Owner/Architect per Contract Docs) to Contractor. Rights of Owner and Architect are not prevented
by Subcontractor agreements. Subcontractor has same rights to remedies/redress (same that
Contractor has against Owner/Architect) against the Contractor. Contractor can require
Subcontractors to have similar agreements with their Sub-Subcontractors. Contractor must make
Contract Docs available to Subs and identify any subcontract terms that vary from Contract Docs.
 5.4.1 Subcontractor agreements can be assigned to the Owner instead of the Contractor if the
Contract is terminated for cause per 14.2, if the Owner accepts the assignment, and if the
assignment is subject to the requirements of the surety bonds required by the Contract.
(e.g. if Owner terminates Contractor, or Contractor goes bankrupt, Owner can take over agreement
with Subcontractor for work to continue)
 5.4.2 After Contingent Assignment, Subcontractor compensation will be adjusted if Work has been
suspended for >30 days.
 5.4.3 Owner can assign subcontractor to another successor Contractor, but Owner will still be legally
responsible for successor Contractor’s obligations to Subcontractor.
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Contracts – A201
Article 6 – Construction by Owner or by Separate Contractors
 6.1.1 Separate Contract: Owner has right to perform construction operations related to
Project, can retain several Contractors under separate agreements similar to A201.
 6.1.2 If have separate contractors, Contract Docs apply to each contractor who has an
owner-contractor agreement.
 6.1.3 Owner will coordinate Separate Contractors. Contractor will cooperate, participate in
review of construction schedules, make revisions mutually agreed upon, then be held to that
schedule till revised.
 6.1.4 Owner or Separate Contractors have same obligations/rights that the Contractor has
under A201 5.3 Contractor must require each Subcontractor to be bound by terms of
Contract Docs. Subcontractor assumes responsibilities (same responsibilities that Contractor
owes to Owner/Architect per Contract Docs) to Contractor. Rights of Owner and Architect
are not prevented by Subcontractor agreements. Subcontractor has same rights to
remedies/redress (same that Contractor has against Owner/Architect) against the
Contractor. Contractor can require Subcontractors to have similar agreements
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Contracts – A201
Article 6 – Construction by Owner or by Separate Contractors
 6.2.1 Contractor will cooperate with Owner/Separate Contractors.
 6.2.2 If Contractor’s work depends on Owner/Separate Contractors, Contractor will promptly notify
Architect of defects in operations by Owner/Separate Contractor that will make Contractor unable to
properly execute work. Failure to notify constitutes acknowledgement that Owner/Separate
Contractor’s work is good enough to receive Contactor’s work. Contractor is not responsible for
discrepancies that are not apparent.
 6.2.3 Contractor will reimburse Owner if Contractor delays cost Separate Contractor (vice versa,
Owner will reimburse Contractor if Separate Contractor delays cost Contractor).
 6.2.4 Contractor will remedy damage wrongfully caused to work/property of Separate
Contractor/Owner per 10.2.5.
 6.2.5 Owner and Contractor have same cutting and patching responsibilities as Contractor per 3.14.
 6.3 If Contractor, Separate Contractors, and Owner disagree who is responsible for maintaining
premises, Owner can clean up and Architect can allocate costs to responsible parties.
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Contracts – A201
Article 7 – Changes in the Work
 7.1.1 Change of Work after Contract Executed is either a Change Order,
Construction Change Directive, or a minor change in Work. Changes do not
invalidate Contract.
 7.1.2 Change Order: agreement among Owner, Contractor, and Architect (change to
the Contract).
Construction Change Directive: agreement by Owner and Architect, may not be
agreed to by Contractor (Contractor may want more money for change, disagreement
parked – could become a Change Order)
Minor change in Work: issued by Architect alone
 7.1.3 Contractor will proceed promptly with changes in Work UON. (WORK NEEDS TO
KEEP MOVING)
 7.2 Change Orders must be in writing, prepared by Architect, and address the change,
the $$ adjustment of the contract sum, and the time adjustment of the Contract
schedule.
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Contracts – A201
Article 7 – Changes in the Work
 7.3.1 Construction Change Directive - Must be in writing, prepared by Architect, signed by Owner and Architect, directing a
change in Work prior to agreement on adjustment of Contract Sum/schedule, within general scope of Contract, and does
not invalidate Contract.
 7.3.2 Used in absence of total agreement (aka Contractor) to terms of Change Order
 7.3.3 Adjustments to Contract Sum must be based on:




Lump sum, itemized and supported by substantiating data
Unit prices, per Contract Docs or otherwise agreed upon
Mutually acceptable fixed or percentage fee
Per 7.3.4
 7.3.4 If Contractor does not promptly respond to/disagrees with the adjustment method of Contract Sum, the Architect
will determine the adjustment. Costs are limited to:





Labor costs (including taxes, benefits, insurance, and other approved employee costs)
Costs of materials/supplies/equipment/transportation (incorporated or consumed)
Rental cost of machinery equipment, exclusive of hand tools
Bond/insurance premiums, permit fees, and taxes directly related to change
Costs of supervision/field personnel directly related to change
 7.3.5 If the Contractor disagrees with the adjustment in Contract Time, Contractor can make a Claim per Article 15.
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Contracts – A201
Article 7 – Changes in the Work
 7.3.6 Contractor will promptly proceed with Construction Change Directive, and advise the Architect of any
disagreement with method for determining the proposed adjustment in the Contract Sum/Time.
 7.3.7 Once Contractor signs off on CCD, signature denotes agreement and the CCD becomes a Change Order.
 7.3.8 Architect will confirm credits resulting from changes/net decrease in Contract sum.
 7.3.9 Before final determination of cost of CCD, Contractor may request payment for Work completed under
the CCD for monthly certification of payment, and Architect will make interim determination about reasonable
payments. Interim determination adjust the Contract Sum like a Change Order, so for any disputes a party must
assert a Claim.
 7.3.10 When the Owner and Contractor agree to and adjustment of the Contract Sum/Time, the agreement is
effective immediately and the Architect will prepare a Change Order for all or any part of a CCD.
 7.4 Architect can order minor changes in the work, in writing, that are consistent with Contract Docs and don’t
involve Contract Sum/Time adjustment. If the Contractor thinks the minor change affects the Contract
Sum/Time, will notify Architect and not proceed with implementing change – if perform work, Contractor
waives adjustment to Contract.
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Contracts – A201
Article 8 – Time
 8.1.1 Contract Time is the period of time in Contract Docs for Substantial Completion of Work, UON.
 8.1.2 Date of commencement of work is established by A101 Agreement.
 8.1.3 Substantial Completion date is certified by Architect.
 8.2.1 Time limits of Contract Docs are of the essence to Contract. (if miss critical/milestone dates
listed, Contractor is in breach)
 8.2.2 Contractor will not start work prior to effective date of insurance except by
agreement/instruction of Owner.
 8.2.3 Contractor will achieve Substantial Completion within Contract Time.
 8.3.1 Delays caused by neglect of Owner/Architect/employee of either, by changes to the Work, by
labor disputes/fire/unusual delivery delays/adverse weather/other causes outside Contractor
control, by delay authorized by owner pending mediation or dispute resolution, or by other causes
Contractor lists and Architect confirms warrant an extension of the Contract Time for a reasonable
time as confirmed by Architect.
 8.3.3 Does not prevent recovery for damages by delays by either party.
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Contracts – A201
Article 9 – Payments & Completion
 9.1.1 Contract Sum = total amount payable to Contractor by Owner for Work (not a static number, includes change orders,
etc.)
 9.1.2 If using unit pricing, and quantities are materially changed so that there is substantial inequity to the Owner or
Contractor, the unit price will be adjusted.
 9.2 If using GMP, Contractor will submit Schedule of Values to Architect that allocates contract sum to portions of the Work
(typically by trade) before first Application for Payment. Architect will use schedule to review Contractor’s Applications for
Payment.
 9.3.1 at least 10 days before date of each progress payment, Contractor will submit an itemized application for payment in
accordance with schedule of values to Architect.
 9.3.1.1 May include requests for payment accounting for changes in work that have been authorized by CCDs, or by interim
determinations by Architect not yet included in Change Orders.
 9.3.1.2 Cannot include requests for payment for Work that the Contractor does not intend to pay sub/supplier unless going
to be performed by others who the Contractor will pay.
 9.3.2 Payments are for materials/equipment on the site. Payments for anything stored off site must establish Owner’s
title/ownership of these materials/equipment. (ex: don’t want offsite items that the Owner has paid for to be held hostage
by sub/supplier)
 9.3.3 Contractor warrants that title to all work paid for by Application for Payment, title will pass to Owner no later than the
time of payment.
(If the Owner paid for it, they own it, whether it’s on site or off site)
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Contracts – A201
Article 9 – Payments & Completion
 9.4.1 Architect will review Contractor’s Application for Payment and within 7
days of receipt a Certificate for Payment issue either the full amount applied
for, a partial payment and notify Contractor and Owner of reasons for
withholding, or withhold certification for entire Application and notify the
Contractor and Owner why.
 9.4.2 Architect’s Certificate of Payment represents to Owner that to best of
Architect’s knowledge, the Work has progressed to the point indicated; the
quality of work aligns with Contract Docs; and the contractor is entitled to the
payment. This representation is still subject to evaluating the Work upon
Substantial Completion, inspections, minor deviations, and any other
qualifications expressed by Architect. NOT an indication of exhaustive on site
inspections, review on means and methods, review of Subcontractor
invoices/etc, or examined how Contractor has used money previously paid out.
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Contracts – A201
Article 9 – Payments & Completion
 9.5.1 Architect can withhold part/all Certificate for Payment to protect Owner if can’t confirm that
Contractor is entitled to payment per 9.4.1 (can’t withhold entire amount). Architect can also
retroactively nullify previously issued certificates, and withhold payments to protect Owner from loss
due to:
Defective work not remedied
3rd party claims
Failure of Contractor to make payment to Subs
Work cant be completed for the unpaid balance (need reasonable evidence)
Damage to Owner/Separate Contractor
Work won’t be completed within Contract Time , and unpaid sum won’t cover damages from anticipated delays
(need reasonable evidence)
 Repeated failure to carry out Work per Contract Docs






 9.5.2 If Owner/Contractor disputes Architect’s decision, must make a claim per Section 15.
 9.5.3 When the reasons for withholding are removed, Architect will certify amounts previously
withheld.
 9.5.4 If Architect withholds certification, Owner can still issue Checks to Contractor/Subs/suppliers,
and notify the Architect and Contractor so next Application reflects payment.
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Contracts – A201
Article 9 – Payments & Completion
 9.6.1 Owner will make progress payments in time/manner specified on Contract Docs and notify Architect.
 9.6.2 Contractor will pay Subs no later than 7 days after Owner pays Contractor, and will require Subs to pay
sub-subs in a similar manner.
 9.6.3 Upon request, Architect will provide Subs info regarding % breakdown Contractor’s Application and
actions taken by Architect and Owner.
 9.6.4 Owner has right to request from Contractor written evidence that the Contractor has properly paid
Subs/suppliers. If Contractor does not supply evidence within 7 days, Owner can contact Subs/suppliers to
confirm whether they’ve been paid. Owner and Architect are not obligated to pay Subs directly.
 9.6.5 Suppliers are like Subs when it comes to payments.
 9.6.6 Certifying payments does not mean acceptance of Work not in accordance with Contract Docs.
 9.6.7 Contractor is not required to keep money in a separate account, can commingle finances if Contractor is
payment Subs/suppliers for work properly performed.
 9.6.8 If Owner has made payments per Contract Docs, the Contractor must indemnify the Owner from
loss/liability/litigation expenses etc. from lien or payment claim by Sub/supplier. Owner will notify
Contractor when receive notice of claim.
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Contracts – A201
Article 9 – Payments & Completion
 9.7 If Architect does not issue Certificate of Payment within 7 days of receipt, or if Owner does not pay Contractor within 7
days of date established by Contract Docs, Contractor can stop work after 7 days notice to Architect and Owner until paid.
Contract time will be extended and Sum increased to cover cost of shutdown, delay, and startup, plus interest, per
Construction Documents.
 9.8.1 Substantial Completion is when the Work has progressed to the point that the Owner can occupy or utilize the Work
for its intended use.
 9.8.2 When the Contractor believes the Work/portion of the Work is substantially complete, Contractor sill send Architect
punchlist. If Contractor misses any items, still responsible to complete all Work per Contract Docs.
 9.8.3 after receiving punchlist, Architect will inspect Work/portion to verify if substantially complete. If discover any items
that prevent Owner from occupying and using Work/portion, Contractor must correct item before Architect issues
Certification and request another inspection.
 9.8.4 When the Work/portion is substantially complete, Architect will prepare certificate of Substantial Completion
establishing the date of Substantial Completion – transfers responsibility to Owner for security, maintenance, damage to
Work, insurance, etc. Establishes time that Contractor must fix other punchlist items by. Warranty dates begin for
Work/portion certified Substantially Complete.
 9.8.5 Architect will submit Certificate of Substantial Completion to Owner and Contractor for written acceptance of
responsibilities assigned to each in Certificate. Owner will pay retainage (a withheld % that the Owner has not yet released,
in case need to fix things that the Contractor won’t, etc.) for Work/portion Certified.
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Contracts – A201
Article 9 – Payments & Completion
 9.9.1 Owner can use portion of Work whether partially/completed (NOT necessarily
required to be substantially complete) so long as Insurer and public authorities
consent. Owner and Contractor must have written agreement about responsibilities
(security, maintenance, damage to Work, insurance, etc.), period of time for
correction of Work and beginning of warranties. Contractor will not unreasonably
withhold partial occupancy/use. When Contractor determines portion of work
Substantially Complete, will submit punchlist to Architect per 9.8.2. Owner and
Contractor will determine stage of progress, and Architect if they can’t agree.
 9.9.2 Before partial occupancy, Owner, Contractor, and Architect will jointly inspect
area/portion to be occupied to record condition of Work.
 9.9.3 Partial occupancy does not constitute acceptance of Work not complying with
Contract Docs.
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Contracts – A201
Article 9 – Payments & Completion
 9.10.1 When notified by Contractor, Architect will promptly inspect Work for final acceptance and final Application for
Payment. If the Work is acceptable under Contract Docs and Contract has been fully performed, Architect will issue a final
Certificate for Payment to Owner saying that to the best of the Architect’s knowledge, the Work has been completed per
Contract Docs and the entire balance is due to the Contractor.
 9.10.2 Final payment or any retainage is only due after the Contractor submits to the Architect
 Affidavit that paid off all payroll, bills, etc. (no indebtedness that the Owner will be responsible for)
 Certificate that any insurance required to last after final payment is in effect
 Contractor statement confirming that no knowledge of anything that would prevent insurance from being renewed during required period per
Contract docs
 Consent of surety to final payment
 Documentation of any warranties
 Any data required by Owner that Contractor satisfied all obligations (waivers of liens, etc.) – if a Sub refuses to waive, Contractor may furnish a
bond to indemnify Owner against any liens/claims, and/or refunds the Owner any money that the Owner has to pay to discharge claims.
 9.10.3 If final completion is materially delayed after Substantial Completion by no fault of Contractor or by Change Order
affecting final completion (Architect must confirm). Owner will make payment of Work portion fully complete, without
terminating Contract. (prevents Owner from using delayed punchlist to withhold payment)
 9.10.4 by making final payment, Owner waives all claims EXCEPT unsettled liens/claims, failure of Work to comply with
Contract Docs, terms of warranties required by Contract Docs, or post final payment audits performed by owner permitted
per Contract docs.
 9.10.5 If Contractor accepts final payment, cannot bring up any arguments for additional payments, except those previously
made and identified as unsettled at the time of final Application for Payment.
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Contracts – A201
Article 10 – Protection of Persons and Property
 10.1 Contractor is responsible for safety precautions and programs in connection with the performance of the Contract.
 10.2.1 Contractor will take reasonable precautions for safety/provide reasonable protection to prevent damage, injury, or
loss to employees on the Work; the Work, materials, and equipment to be incorporated (whether these are on/off site, in
storage, under care/custody/control of the Contractor/subcontractor/sub-subcontractor; other property at/adjacent to the
site that are not designated for removal, relocation, or replacement (e.g. trees, lawns, pavements, roadways, structures,
utilities)
 10.2.2 Contractor will follow applicable laws/regulations related to safety of person/property and give notice where
required.
 10.2.3 Contractor will provide safeguards for safety (e.g. post warnings, notify owner and adjacent owners/users, etc)
 10.2.4 Contactor will store/use explosives and hazardous material/equipment with utmost are under supervision of
qualified personnel.
 10.2.5 Contractor will promptly remedy damage to property that was caused by Contractor, subs, and sub-subs, and
anyone else they are liable for. Contractor can make a Claim for the cost of remedying damage attributed to acts/omissions
of the Owner, Architect, anyone employed by them, or anyone for who either may be liable (e.g. not attributed to
Contractor negligence).
 10.2.6 Contractor’s superintendent (UON) is the designated safety individual to prevent accidents.
 10.2.7 Contractor will not overload the construction/site to cause damage or create an unsafe condition.
 10.2.8 If either party suffers injury or damage to person/property because of an act or omission of the other party, notice
of the injury/damage must be given within 21 days of discovery.
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Contracts – A201
Article 10 – Protection of Persons and Property
 10.3.1 Contractor is responsible for complying with requirements of handling hazardous materials. If
Contractor encounters a hazardous material and cannot take precautions to prevent bodily injury/death from
material, Contractor can immediately stop Work and notify the Owner and Architect.
 10.3.2 Once notified, Owner will obtain services to verify presence of hazardous material reported by
Contractor and will render the material harmless. Contractor and Architect can make a reasonable objection to
the persons/entities performing testing and remediation. Once remediated, Work will resume upon written
agreement of Owner and Contractor; contract time and sum will be adjusted by change order.
 10.3.3 Owner will indemnify Contractor/subs and Architect/consultants from claims, damages, losses, and
expenses arising from performing the Work in the affected areas, except if the damage is due to the negligence
of the Contractor/Architect.
 10.3.4 Owner is not responsible for hazardous materials that the Contractor brings on site, unless materials are
required to by the Contract Docs – however, Owner is not responsible if the Contractor is negligent.
 10.3.5 Contractor will reimburse Owner for cost of remediation if the Contractor brought the hazardous
material onto the site and handled it negligently , or if the Contractor fails to stop work per 10.3.1.
 10.3.6 If the Contractor is held liable by a govt agency for the cost of remediation for performing Work required
by Contract Docs, Owner will reimburse Contractor (as long as Contractor not negligent).
 10.4 In emergencies affecting safety, Contractor will act at discretion to prevent damage. Additional
compensation or extension of time can be claimed per Articles 7 & 15.
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Contracts – A201
Article 11 – Insurance and Bonds
11.1 Contractor’s Insurance
 11.1.1 Contractor shall buy and maintain insurance per Contract Docs from an
insurance company authorized to issue insurance in the jurisdiction of the Project.
Owner, Architect, and Architect’s consultants are additional insured under
Contractor’s commercial general liability policy, and as required by Contract Docs.
 11.1.2 Contractor shall provide surety bonds as required by Contract Docs from a
company authorized to issue bonds in the jurisdiction of the Project.
 11.1.3 Upon request of a potential beneficiary of bonds covering payment of
obligations, Contractor will provide a copy of bonds.
 11.1.4 within 3 business days of an impending cancellation or expiration of any
insurance required by the Contract Documents, the Owner will provide notice to the
Owner of expiration. If there is a lapse in coverage that is NOT due to Owner, Owner
has the right to stop Work until the Contractor procures replacement coverage.
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Contracts – A201
Article 11 – Insurance and Bonds
11.2 Owner’s Insurance
 11.2.1 Owner will purchase and maintain insurance as required by A101/Contract
Documents from an insurance company authorized to issue insurance in the Project’s
jurisdiction.
 11.2.2 If Owner does not purchase/maintain required property insurance, must
notify Contractor who can delay commencement of Work. Once resolved, Contract
Sum/Time can be adjusted. If Owner does not obtain coverage, waives rights against
Contractors/subs for losses that would have been covered by insurance if Owner had
procured. If Owner does not notify Contractor and Contractor is damaged by neglect,
Owner will reimburse the Contractor for attributable costs and damages.
 11.2.3 If Owner provides Contractor notice of impending expiration, Contractor has
the right to stop work until coverage procured by Owner or Contractor (if Contractor
procured, charged to the Owner by Change Order); contract sum/time be adjusted;
Owner waives rights against Contractors/subs for losses that would have been
covered by insurance if Owner had procured.
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Subrogation
 Subrogation is a term describing a right held by most insurance carriers to
legally pursue a third party that caused an insurance loss to the insured. This is
done in order to recover the amount of the claim paid by the insurance carrier
to the insured for the loss
 If parties mutually waive subrogation, only parties will be making claims, NOT
insurance companies.
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Contracts – A201
Article 11 – Insurance and Bonds
 11.3.1 Owner and Contractor waive all rights against each other and each others subs/employees; the architect
and architect’s consultants; and separate Contractors and their subs/employees, for damages covered by
property insurance required by Agreement A101. Owner and Contractor will require similar waivers from
subs/employees, Architect and consultants, and Separate Contractors and subs/employees. (if damages
covered by insurance, insurance company can’t subrogate)
 11.3.2 if Owner insures property at/adjacent to site during Project construction period separately from
insurance on Project, waives rights for damages covered by separate property insurance. (if damages covered
by separate insurance, insurance company can’t subrogate)
 11.4 If Owner purchases extra (outside that required by agreement) insurance protecting Owner against
inability to use property to conduct normal operations due to damages, Owner waives right to damages.
 11.5.1 Losses insured by property insurance required per Agreement A101 will be paid to Owner as fiduciary,
who will be responsible for paying Architect and Contractor their shares.
 11.5.2 Owner will notify Contractor of a proposed settlement and allocation of insurance proceeds. Contractor
has 14 days from receipt of notice to object. If no objections, the Owner settles the loss, and Contractor is
bound to settlement and allocation.
If no agreement is made and Contract is not terminated, Owner and Contractor will execute a change order for
reconstruction of damaged Work.
If Contractor timely objects, Owner can issue a Construction Change Directive and resolve per Article 15.
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Contracts – A201
Article 12 – Uncovering and Correction of Work
12.1.1 If Work is covered contrary to Architect’s prior request to examine, Architect can request uncovering in writing, and work must be uncovered
and replaced at Contractor’s expense without change to Contract time.
12.1.2 If Work is covered that the Architect has not specifically requested to examine prior to covering, Architect can request uncovering. If uncovered
work is in accordance with the Contract Docs, the Contractor is entitled to adjustment in contract sum/time. If uncovered work is not in accordance
with the Contract Docs, the cost of correction is at Contractor’s expense.
12.2.1 Before Substantial Completion, Contractor will promptly correct work rejected by Architect or failing to conform with Contract Docs. Cost of
correction is at Contractor’s expense.
12.2.2 Up until 1 year after Substantial Completion, or after the date that warranties commence, Contractor will promptly correct work not in
accordance to Contract Docs when notified by Owner, UNLESS Owner has given written acceptance of such condition. If the Owner fails to notify the
Contractor within this year, the Owner waives right to require Contractor correction. If Contractor fails to correct nonconforming Work within a
reasonable time after notified, Owner can correct it per 2.5.
12.2.2.2 The 1 year period shall be extended for portions of the Work performed between Substantial Completion and actual completion.
12.2.2.3 the 1 year period is not extended by corrective work performed per this section.
12.2.3 Contractor will remove site work not in accordance with the Contract Docs, not corrected by Contractor, and not accepted by Owner.
12.2.4 If Contractor damages work of Owner/Separate Contractors while correcting work, Contractor pays for correction of their work.
12.2.5 This section is only for work corrections (does not limit time for other Contractor obligations in the Contract Docs).
12.3 Owner can choose to accept Work not in accordance with the Contract Documents instead of requiring removal and correction, but can adjust
the Contract sum accordingly.
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Contracts – A201
Article 13 – Miscellaneous
 13.1 Contract governed by the law of the Project jurisdiction.
 13.2.1 Owner and Contractor bind themselves, partners, successors, to the Contract Documents. Neither party can assign the Contract without
consent of the other (except lenders per 13.2.2).
 13.2.2 Owner can assign Contract to a lender providing financing for the project if the lender assumes owner’s rights and obligations, without
consent of Contractor.
 13.3.1 Obligations of the Contract Documents are in addition to and not limiting obligations required by law.
 13.3.2 Non action or failure to act by Owner, Architect, or Contractor does not constitute a waiver of the rights afforded them in the Contract, and
does not constitute approval of a breach except where specifically agreed upon in writing.
 13.4.1 Tests and inspections done as required by Contract Documents and applicable laws; Contractor will make arrangements for tests and
inspections, and bear all related costs. Contractor will give timely notice to Architect so Architect can be present for procedures. Owner will bear
costs for tests and inspections that are not required until after bids are received and negotiations concluded; Owner will arrange and pay for tests
so required.
 13.4.2 If Architect, Owner, or AHJ determines Work requires additional testing not included in 13.4.1, the Architect (authorized by Owner) will direct
Contractor to make arrangements for testing. Tests will be at Owner expense.
 13.4.3 if tests reveal failure of Work to comply with requirements of Contract Docs, costs made necessary by failure are at Contractor expense.
 13.4.4 Contractor will send Architect certificates required per Contract Docs.
 13.4.5 Architect will observe tests required by Contract Documents promptly.
 13.4.6 Tests required per Contract Docs will be made promptly and not delay Work.
 13.5 Payments due and unpaid bear interest from payment due date, at the rate parties agree upon in writing (or legal rate prevailing at Project
Location)
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Contracts – A201
Article 14 – Termination or Suspension of the Contract
14.1 Termination by Contractor
 14.1.1 Contractor may terminate Contract if Work has stopped for 30+ days by no fault of the Contractor, subs,
or employees for the following reasons:
 Issuance of a stop order by a public authority
 Act of government that requires all Work to be stopped
 Architect has not issued a Certificate for Payment and has not notified the Contractor of the reason for withholding
certification; or Owner has not made payment on Certificate within the time stated in the Contract Docs
 Owner has failed to furnish Contractor with reasonable evidenced required by 2.2.
 14.1.2 Contractor may terminate Contract if suspensions or interruptions of the Work aggregate to more than
100% of the days scheduled for completion, or 120 days in any 365-day period, by no fault of Contractor, subs,
or employees.
 14.1.3 If delays per 14.1.1 or 14.1.2, after 7 days notice to Owner and Architect, Contractor may terminate the
Contract and recover payment for Work executed, overhead/profit on work not performed (usually struck),
plus costs incurred from termination.
 14.1.4 If the Work is stopped for a period of 60 consecutive days by no fault of Contractor, subs, or employees
because the Owner has failed to fulfill obligations per Contract Docs, Contractor may terminate the Contract
and recover payment for Work executed, plus costs incurred from termination.
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Contracts – A201
Article 14 – Termination or Suspension of the Contract
14.2 Termination by Owner for Cause
 14.2.1 Owner may terminate for cause if the Contractor:




Repeatedly refuses/fails to supply enough properly skilled workers or proper materials
Fails to make payment to Subcontractors/suppliers
Repeatedly disregards applicable laws
Is otherwise guilty of substantial breach of Contract Documents
 14.2.2 If any 14.2.1 conditions exist, and Architect certifies that there is sufficient cause to justify action,
Owner can give Contractor 7 days notice, then terminate employment and
 Exclude Contractor from Site and take possession of materials, equipment, tools, owned by the Contractor
 Accept assignment of subcontracts per 5.4
 Finish the Work by whatever reasonable/expedient method. Owner will furnish a detailed account of costs incurred by Owner
to finish Work, when requested in writing by Contractor.
 14.2.3 If Owner terminated for cause, Contractor is not entitled to receive further payment until the Work is
finished.
 14.2.4 if unpaid balance of Contract Sum exceeds cost of Owner finishing the Work, including compensation to
Architect, damages inincurred by Owner, excess will be paid to Contractor. If costs incurred exceed the unpaid
balance, Contractor will pay the difference to the Owner. Amount paid to either Owner/Contractor will be
certified by the Initial Decision Maker. Obligation for payment survives termination of the Contract.
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Contracts – A201
Article 14 – Termination or Suspension of the Contract
14.3 Suspension by Owner for Convenience
 14.3.1 Owner can order Contractor to suspend Work without cause
 14.3.2 Contract sum and time will be adjusted for suspensions per 14.3.1 by Owner without cause,
and be adjusted to include profit.
No adjustments will be made if performance is/would have been suspended by a cause for which the
Contractor is responsible, or an equitable adjustment I made/denied under another provision of the
Contract.
Termination by Owner for Convenience
 14.4.1 Owner can terminate Contract for convenience and without cause
 14.4.2 Upon receipt of notice of Owner termination for convenience, Contractor will cease
operations as directed by Owner in notice; take actions necessary for the protection and
preservation of the Work; terminate all existing subcontracts and purchase orders (except for work
performed prior to termination date) and not enter into further subcontracts or purchase orders.
 14.4.3 in case of termination for Owner’s convenience, Owner will pay the Contractor for Work
properly executed; costs incurred by termination; and termination fee set forth in Agreement A101.
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Contracts – A201
Article 15 – Claims and Disputes
 15.1.1 A Claim is a “demand or assertion by one of the parties seeking […] payment of money, a
change in the Contract Time, or other relief with respect to the terms of the Contract.” Includes
other disputes and matters in question between the Owner and Contractor related to the Contract.
Party making the Claim is responsible for substantiating. Does not require Owner to file a Claim in
order to impose liquidated damages per Contract Docs.
 15.1.2 Owner and Contractor must make Claims per binding dispute resolution method selected in
Agreement A101, and within the time period required by applicable laws but not more than 10 years
after the date of Substantial Completion.
 15.1.3.1 If conditions giving rise to Claims are discovered before the expiration period for corrections
in the Work per 12.2.2 (1 year), Claims by either Owner or Contractor must send notice to the other
party and the Initial Decision Maker (if the Architect is not the IDM, they will be copied). Claims
should be initiated within 21 days after event giving rise to Claim or claimant first recognizing
condition giving rise to claim (whichever is later).
 15.1.3.2 If conditions giving rise to Claims are discovered after the expiration period for corrections in
the Work, Claims by either Owner or Contractor must send notice to either party (no need to notify
IDM).
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Contracts – A201
Article 15 – Claims and Disputes
 15.1.4.1 Pending final resolution of Claim, Contractor will continue performing Contract duties, and Owner will
continue making payments per Contract Docs (some exceptions per 9.7 and 14)
 15.1.4.2 Contract Sum and Time will be adjusted per Initial Decision Maker decision (subject to either party’s
right to proceed to binding resolution), and Architect will issue Certificates for Payment per IDM decision.
 15.1.5 Contractor Claims for an increase in Contract Sum, notice must be given per 15.1.3 before executing
Work subject to Claim (exceptions for Claims related to a life/property endangering emergency per 10.4)
 15.1.6.1 for Contractor Claims for an increase in Contract Time, notice must be given per 15.1.3, and will
include an estimate of cost, probable delay effect on Work.
 15.1.6.2 If adverse weather conditions are the basis of the Claim for more time, claim will include data
substantiating abnormal weather conditions that could have been reasonably anticipated and had an adverse
effect on the construction schedule.
 15.1.7 Contractor and Owner mutually waive consequential damages related to Contract; applies to
consequential damages due to either party’s termination per 14; does not preclude assessment of liquidated
damages as required by Contract Docs. Includes:
 Damages incurred by Owner for rentals, loss of use, income, profit, financing, business
 Damages incurred by Contractor for principal office expenses, personnel stationed there, losses of financing, business and
reputation, loss of profit, EXCEPT anticipated profit arising directly from the Work.
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Contracts – A201
Article 15 – Claims and Disputes
15.2 Initial Decision
 15.2.1 Claims that arise during correction of the Work per 12.2.2, or under 10.3, 10.4, and 11.5, are referred to the Initial Decision Maker for initial Decision. Architect
serves as IDM UON in the Agreement. IDM is required preceding mediation of any Claim, except Claims excluded per 15.2.1. If a decision has not been made within 30
days after the Claim was referred to the IDM, the party asserting the claim can demand mediation or binding dispute resolution. IDM will only make decisions about
disputes between the Contractor and the Owner, unless all affected parties agree.
 15.2.2 IDM will review Claims and within 10 days of receipt, take one of these actions:





Request additional supporting data from claiming or a response with supporting data from the other party
Reject the Claim in whole or part
Approve the Claim
Suggest a compromise
Advise parties that the IDM is unable to resolve the claim if lacking sufficient info to evaluate merits of Claim; or if inappropriate for IDM to resolve Claim.
 15.2.3 IDM may but is not obligated to consult/seek info from either party or an expert that may assist the IDM in making a decision. IDM can request Owner to retain
someone at the Owner’s expense.
 15.2.4 If the IDM requests a party to provide a response and additional supporting data, that party will respond within 10 days after receipt of request with either
requested response with supporting data; tell the IDM when the response/supporting data will be furnished; tell the IDM that no supporting data will be furnished. After
receipt of response, the IDM will either reject or approve the Claim in whole or in part.
 15.2.5 IDM will render an initial decision (either approving or rejecting Claim, or indicating that they’re unable to resolve) in writing, stating the reasons, notifying the
parties and the Architect (if not serving as the IDM) of change in contract time and/or sum. Initial decision is subject to mediation and binding dispute resolution.
 15.2.6 Either party can file for mediation of an initial decision within 30 days of receipt and demanding in writing that the other party file for mediation. If the party
receiving the demand fails to file within 30 days of receipt of the demand, then both parties waive right to mediate or pursue binding dispute resolution with respect to
initial decision.
 15.2.7 If Claim against Contractor, Owner may notify surety and request surety’s assisting in resolving controversy.
 15.2.8 If Claim is related to a mechanic’s lien, party making claim may proceed with applicable law regarding lien notice/filing deadlines.
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Contracts – A201
Article 15 – Claims and Disputes
15.3 Mediation
 15.3.1 Claims related to the Contract, except those waived per sections 9.10.4, 9.10.5, and
15.1.7 are subject to mediation as a precondition to binding dispute resolution.
15.3.2 Mediation is administered by the American Arbitration Association. Requests will be
made in writing, delivered to both parties, and filed with the person administering mediation.
Request can be made concurrently with filing for binding resolution proceedings, but
resolution proceedings will be stayed pending mediation for 60 days or longer if agreed to by
both parties or court order.
15.3.3 Either party can demand that the other party file for binding dispute resolution, within
30 days of mediation concluding or 60 days after mediation demanded without resolution to
dispute. If demand is made but the party receiving the demand fails to file within 60 days
receipt of demand, both parties waive rights to binding dispute resolution regarding initial
decision.
15.3.4 Parties will split mediator and filing fees. Mediation agreements will be enforceable as
settlement agreements.
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Contracts – A201
Article 15 – Claims and Disputes
15.4 Arbitration
15.4.1 Arbitration will be administered by American Arbitration Association
Construction Industry Arbitration Rules, UON. Arbitration requests must be
made in writing, delivered to all parties, and filed with entity administering the
mediation. Demand for arbitration can not be made earlier than concurrent filing
for mediation, and not later than the statute of limitations.
15.4.2 Award rendered by arbitrator is final (no appeal).
15.4.3 Agreement to arbitrate is enforceable by law.
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Contracts – A201
Article 15 – Claims and Disputes
15.4.4 Consolidation or Joinder
15.4.4.1 either party may consolidate arbitration conducted under this
Agreement with other arbitration if the agreement governing the other
arbitration permits consolidation; the arbitrations involve common
questions/information; the arbitrations employ materially similar procedural
rules and methods for selecting an arbitrator.
 15.4.4.2 either party can include joinder entities (third, fourth etc. parties) in
arbitration if substantially involved, with written consent by party being sought
to joined.
 15.4.4.3 Any party of arbitration by joinder/consolidation has same rights as
Owner and Contractor under agreement for arbitration.
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 Betterment – the concept of betterment allows the client to pursue a claim
against the architect for the difference between the cost of the carpet now,
versus what it would have cost if included in the original bidding documents.
 Liquidated Damages – provision in Contract that allows for the payment of a
specified sum should one of the parties be in breach of contract (e.g. a casino
builds into the contract for construction late fees for every day the project is
behind schedule, because of anticipated lost revenue – in lieu of consequential
damages that are waived per A201 and B101). Represent an estimate of
otherwise intangible or hard-to-define losses to one of the parties.
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Contracts – C401
Standard Form of Agreement between Architect and Consultant
1. General provisions
2. Consultants responsibilities
3. Scope of Consultants services
4. Additional services
5. Architect’s responsibilities
6. Cost of the Work
7. Copyrights and Licenses
8. Claims and Disputes
9. Termination and suspension
10. Miscellaneous provisions
11. Compensation
12. Special terms and conditions
13. Scope of the agreement
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Contracts – C401
C401 Standard Form of Agreement Between Architect and Consultant
 Cover Page: date of agreement, Architect name/information, Consultant
name/information, Consultant discipline, B101 signed date, B101 Client
name/information, and the Project name/location/description
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Contracts – C401
Article 1 – General Provisions
 1.1 attached B101 aka Prime Agreement (doesn’t have to include compensation amount)
 1.2 Consultant’s services is referred to as This Portion of the Project; description of the services described in Article 3.
 1.3 Architect will pass along the obligations/responsibilities that the Owner owes the Architect, and the Consultant will have all the
obligations/responsibilities the Architect owes the Owner. The Architect will have all the rights, remedies, and redress benefits against the
Consultant that the Owner has against the Architect, and the Consultant will have all the benefits against the Architect that the Architect has against
the Owner, per B101. If there is a conflict between B101 and C401, C401 governs.
 1.4 Consultant is an independent contractor for This Portion, NOT an employee of the Architect, and is responsible for means and methods
performing its services. Architect is NOT responsible for errors and omissions of the Consultant.
 1.5 All communications between the Consultant and the Owner, Contractor, or other project consultants shall go through the Architect, unless
authorized by the Architect. The Architect is the administrator of Project’s professional services, and will facilitate information exchange between
Owner, Consultant, and other Consultants as required for coordination of This Portion.
 1.6 How Architect and Consultant will split costs for marketing/promotion/procurement of the Project.
 1.7 How Architect and Consultant will share professional credit for the Project.
 1.8 List of other consultants retained by the architects (disciplines, and names/information if known).
 1.9 List of subs retained by the Consultant (disciplines, and names/information if known).
 1.10 Architect and Consultant will agree to protocols governing the transmission and use of Instruments of Services/any other information. Both
parties will use E203 BIM and Digital Data Exhibit to establish the protocols for the use/exchange of digital data. If don’t agree to protocols per E203
and G202, use/reliance on info in the BIM model shall be at relying party’s sole risk without liability to the other parties, the authors/contributors of
the BIM model, and their agents/employees.
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Contracts – C401
Article 2 – Consultant’s Responsibilities
 2.1 (standard of care) Consultant will provide services consistent with skill and care typically provided by professionals
practicing in the same/similar locality in the same/similar circumstances; expeditiously and consistent with the standard of
care and the progress of the Project. If the standard of care per B101 differs than the one established here, the Consultant
will meet the standard of care established in B101.
 2.2 Consultant representative/key personnel will not be changed without the Architect’s approval, not unreasonably
withheld.
 2.3 Consultant will recommend to the Architect appropriate investigations, surveys, tests, analyses, reports, and other
consultants’ services that are needed for the proper execution of Consultant’s services. Consultant will review the info
provided by the Architect and promptly notify the Architect if more info is needed to perform services.
 2.4 Consultant will coordinate services with the Architect and other consultants to avoid unreasonable delay in the
progress of the Architect’s/other consultants’ services. The Consultant will coordinate its work for This Portion with the
work of the Architect and other consultants as required for the Project.
 2.5 Consultant will provide copies of drawings, reports, specs, and other info necessary for the Architect/other consultants
in the format the Architect requires.
 2.6 Consultant is not responsible for the omissions of the Architect, other consultants, Contractor, subcontractors, or other
persons performing the Work. The Consultant will provide prompt notice to the Architect if the consultant becomes aware
of errors, omissions, and inconsistencies in the services/info provided by the Architect/other consultants.
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Contracts – C401
Article 2 – Consultant’s Responsibilities
 2.7 Consultant will submit a schedule for the performance of the Consultant Services consistent with the requirements of
B101. The schedule will allow reasonable time for the Architect/other consultants to review the Consultant’s submittals.
Once approved, time limits established by the schedule shall not be exceeded by the Consultant/Architect except with
reasonable cause.
 2.8.1 Consultant will maintain Commercial General Liability insurance for not less than $$$ for the duration of C401.
 2.8.2 Consultant will maintain Automobile Liability insurance for not less than $$$ for the duration of C401.
 2.8.3 Consultant can achieve the required coverage through umbrella liability insurance as long as the result is the same or
greater coverage and does not require the exhaustion of underlying limits.
 2.8.4 Consultant will maintain Workers’ Compensation as required by laws for the duration of C401.
 2.8.5 Consultant will maintain Employees Liability for not less than $$$ for the duration of C401.
 2.8.6 Consultant will maintain Professional Liability for not less than $$$ for the duration of C401.
 2.8.7 Consultant will include Owner and Architect in their liability coverage to the fullest extent permitted by law for claims
caused wholly/partly by Consultant’s negligent acts or omissions. Coverage for additional insureds will be primary and noncontributory to the Architect’s and Owners insurance policies and apply to ongoing and completed operations.
 2.8.8 Consultant will provide certificates showing compliance with requirements of 2.8.
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Contracts – C401
Article 3 – Scope of Consultant’s Services
 3.1 Consultant will provide Architect with professional services for This Portion; as required for the Architect to provide
services to the Owner per B101; in the phases/sequences as directed by the Architect; subject to the standards that the
Architect is required to meet per B101, U.O.N below.
 3.1.1 Consultant will provide ## site visits during construction of the Project. If the Architect authorizes additional visits, the
Consultant will be compensated for the additional visits as an Additional Service.
 3.1.2 List any variations/limitations to the professional services described in B101 that affect the Consultant’s services
under this Agreement.
 3.2 Consultant will ascertain and confirm the requirements for This Portion with the Architect.
 3.3 Consultant must be licensed to perform the services describe in C401 in the jurisdiction where the Project is located, or
make sure such services to be performed by an appropriately licensed professional.
 3.4 As requested by Architect, Consultant will provide interpretations of their prepared Contract Documents to the
Architect.
 3.5 Consultants will provide recommendations on claims, disputes, and other questions between the Owner and
Contractor related to the execution of This Portion per the Contract Documents, with reasonable promptness.
 3.6 Consultant will assist the Architect in determining whether the Architect will reject Work relevant for This Portion that
does not conform to the Contract Documents, or whether additional inspection/testing is required.
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Contracts – C401
Article 4 – Additional Services
 Providing Additional Services will not invalidate C401. Consultant will notify
Architect of need to perform Additional Services as required by Project
proceeding per B101. Consultant will NOT proceed to provide additional
services until Architect gives written authorization; Architect has no obligation
to compensate the Consultant for any Additional Services performed without
written authorization. Consultant is entitled to compensation per 11.2, EXCEPT
when need for Additional Services is fault of Consultant.
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Contracts – C401
Article 5 – Architect’s Responsibilities
 5.1 Architect will provide information about requirements for/limitations on This Portion in a timely manner (including a copy of the Owners
program for the Project).
 5.2 Architect’s identified representative will render decisions related to documents that must be submitted by Consultant in a timely manner to
avoid delay in the progress of the Consultant’s services. Architect will not replace its identified representative without the approval of the
Consultant, not unreasonably withheld.
 5.3 Architect shall provide the Consultant with detailed layouts showing the location of connections and tabulations giving sizes, loads, and other
info on equipment designed/specified/finished in a timely manner.
 5.4 Architect will confer the Consultant before issuing interpretations/clarifications of documents prepared by the Consultant; will request
recommendations from the Consultant before providing interpretations/clarifications of shop drawings, product data, samples, and other
submissions of the Contractor; change orders and construction change directives affecting This Portion.
 5.5 Architect shall provide the Consultant a copy of the preliminary/updated estimates of the Cost of Work as submitted to/received from the
Owner; bidding documents; bid tabulations; negotiated proposals and Contract Documents related to This Portion, and to Change Orders and
Construction Change Directives for the Consultant’s use in the design/coordination of This Portion.
 5.6 Architect shall tell the Consultant the other consultants participating in the Project and their scope of services.
 5.7 If the Consultant reasonably requests information (from investigations, surveys, tests, analyses, reports, or other services of other consultants
not within the scope of Consultant’s services), the Architect will request the Owner furnish the information/services.
 5.8 Architect is entitled to rely on the accuracy/completeness of services/information provided by the Consultant. Architect will provide prompt
written notice when becoming aware of any errors, omissions, or inconsistencies.
 5.9 Within 7 days of receipt of written request, Architect will request information from the Owner as necessary/relevant for the Consultant to
evaluate/give notice of/enforce lien rights. Within 7 days of receipt of information from the Owner, the Architect will provide this information to the
Consultant.
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Contracts – C401
Article 6 – Cost of the Work
 6.1
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Contracts – C401
Article 7 – Copyrights and Licenses
 7.1
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Contracts – C401
Article 8 – Claims and Disputes
 8.1
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Contracts – C401
Article 9 – Termination or Suspension
 9.1
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Contracts – C401
Article 10 – Miscellaneous Provisions
 10.1
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Contracts – C401
Article 11 – Compensation
 11.1
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Contracts – C401
Article 12 – Special Terms and Conditions
 12.1
Article 13 – Scope of the Agreement
 13.1
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Contracts – G702 Application and Certificate for
Payment









Original Contract Sum
Net Change by Change Orders
Contract Sum to Date
Total Completed and Stored to Date
Retainage
Total Earned, less retainage
Less previous certificates for Payment
Current Payment Due
Balance to finish, including retainage




Change Order Summary
Total changes previously approved
Total approved this pay period
Net changes by change order
 Contractor’s certification
“to the best of the Contractor’s knowledge,
information and belief the Work covered by this
Application for Payment has been completed in
accordance with the Contract Documents, that all
amounts have been paid by the Contractor for Work
for which previous Certificates for Payment were
issued and payments received from the Owner, and
that current payment shown herein is now due”
(Notarized signature of Contractor)
 Architect’s certification
“based on on-site observation and the data
comnprising this application, the Architect certifies
to the Owner that to the Best of the Architect’s
knowledge, information and belief the Work has
progressed as indicated, the quality of the Work is in
accordance with the Contract Documents, and the
Contractor is entitled to payment of the amount
certified”
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Constructability
 Understanding the realities of actually
building the design as it evolves
 Local building conventions – current market
conditions and how they affect the local labor force
(e.g. stucco might be a cost saving alternative for
exterior finish in California, but the scarcity of
qualified installers in Connecticut could raise the
price dramatically)
 Building systems – current market conditions will
impact the cost of the components specified (e.g.
concrete vs. steel when it comes to cost and
schedule)
 Site selection – analysis of potential building sites
from CM experience of coordinating the project (e.g.
site could have restrictions that impact material
delivery cost, staging, laydown, and workforce
deployment)
 Scope limitations – as overall project scope
develops, can grow beyond budget or schedule
limitations (has to be balanced with consideration of
the owner’s program)
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Changes in Work
Regardless of efforts to clarify requirements in proposal, may need to perform
unanticipated services – changes in the work almost always happen on every project.
 Architect should be able to perform changes agilely and efficiently (better serve team
of architect, owner, and contractor)
 Know contract language and scope so that additional services can be identified and
requested.
 Raise the issue BEFORE beginning the work – some agreements require client
approval before architect can be paid for them, or some negotiation of additional
services in good faith can happen with the client.
 Additional services time should be invoiced separately.
 If dispute arises, try to work out amicable resolution first and clear
misunderstandings up through discussion. If doesn’t work, follow
mediation/arbitration/litigation outlined in agreement.
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Changes in Work
Causes of Change in work:
 Owner Scope Changes – owner can change at will, so important to help owner understand what will
change the scope of the project
 Contractor Substitution Changes – contractors are allowed to substitute non-specified products and
brands if justified and approved (for cause or for convenience, e.g. due to product availability, volume
purchasing, and LEED certification)
 Vet substitution requests through request forms that provide supporting info that the product is equal to or
better than the replaced product, meets same warranty requirements, etc.
 Contractor Value Analysis Changes (Value Engineering) – contractor proposals intended to increase
the value of the project (ideally, finding a product or system of higher quality at the same cost, or a
product or system of equal quality at a lower cost. Too often, reality is getting a product of lesser cost
and lesser quality – since architect is responsible for specifying the original quality of the project and
allowed the VE change to be accepted, have to be careful and be aware of client expectations.
 Changes Caused by Accepted Nonconforming Work – contractor’s work does not precisely conform
to the design intent but the difference in scope/functionality is acceptable either to the owner, or
owner & architect.
 If the owner accepts nonconforming work, architect obligated to note it as a nonconforming exception on the
certificate of substantial completion; contractor required to document deviation on as-built drawings.
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Architecture & Development
Types of development and what they rely upon:
 Affordable housing development
 Obtain housing subsidies
 Qualify for affordable housing incentives (e.g. low
income housing tax credits)
 Manage of affordable units
 Land use approvals
 Market rate housing
 Access to capital
 Ability to create market opportunities
 Transit oriented development
 Acquire land adjacent to transit nodes
 Zoning for higher density, mixed use
 Working with public agencies
 Historic preservation and adaptive reuse
 Preservation agencies’ approval
 Tax credit requirements
 Approval for new use
 Office and retail development
 Advanced leasing commitments for financing
 Can require special expertise to design
 Hotels
 Hotel operator partnership
 Childcare and educational facilities
 Regulatory approvals
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Codes
 Per Constitution, jurisdictions has the legal
authority to establish minimum standards
for safety and health in that community.
 Criteria for licensure reinforce the
importance of architect’s awareness of local
laws and regulations being integral to
building design.
 Continuing Education requirements
reinforce the importance of following the
continuous evolution of codes/standards.
 Nowadays, codes are well integrated and
cross-reference each other, so have to read
multiple documents to understand
requirements.
 ICC (International Code Council)
 Publishes the model building codes
 Often reference NFPA
 Also includes specifications requirements
performance
 NFPA (National Fire Protection Agency)
 Establishes standards for building systems.
 Also includes specifications requirements
performance.
 Access Board
 Establishes the rules ensuring access to
buildings by the disabled, established by the
Americans with Disabilities Act.
 Enforced by Department of Justice.
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Code – Applying Building Regulations to Project
 Determine occupancy
 Main and incidental/accessory uses
 Mixed occupancy
 Identify thresholds and Fire areas
 Automatic fire suppression (sprinklers) required or not
 Fire area separations if avoiding fire suppression.
 Identify type of construction permitted









Reductions if providing sprinklers when not required
Height modifications
Area determination
Allowable area
Frontage increases
Sprinkler increases
Basement
Buildings on the same lot
Unlimited area buildings
 Means of egress
 Exits
 Exit discharge
 Systems





Ventilation
Energy conservation
Special local conditions
Material limits
Plumbing fixtures
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Project Code Compliance - Occupancy
To determine the minimum type of construction needed to meet the code:
 Occupancy (use of the space)
 Height and Area requirements
 Fire protection (sprinklers)
These factors also affect Means of Egress:
 travel distances
 paths of travel
 design of stairs, corridors, and exit doors.
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Project Code Compliance - Occupancy
IBC
 Assembly:
 A-1 Theaters, concert halls, TV studios with
audience
 A-2 Casinos, nightclubs, bars, restaurants,
cafeterias, banquet halls, and associated
commercial kitchens.
 A-3 everything else (museums, community halls,
courthouses, libraries, transport terminals, etc)
 A-4 indoor sports arenas
 A-5 outdoor stadiums, bleachers, grandstands
 Business: Group B
 Educational: Group E
 Factory and Industrial
 F-1 Moderate hazard
 F-2 Low hazard
 High Hazard:





H-1 Explosive materials
H-2 Accelerated burning
H-3 Combustion
H-4 Health Hazards
H-5 Semiconductor fabrication
 Institutional:




I-1 Assisted Living, drug centers, rehab facilities
I-2 Hospitals
I-3 Prisons
I-4 Day care
 Mercantile: Group M
 Residential:




R-1 Hotels, boarding houses
R-2 dormitories, apartments
R-3 single family/duplexes/small group homes.
R-4 group homes
 Storage:


S-1 moderate hazard
S-2 low hazard storage
 Utility and Miscellaneous: Group U
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Project Code Compliance – Fire Protection
 IBC and IFC require sprinkler systems for certain sizes/types of buildings.
 Most building occupancy classifications have thresholds (based on building size, area of occupancy,
occupant load of space) at which sprinklers are mandatory.
 Fire Area: floor area within enclosure of walls, roofs, or floors that are either exterior walls,
fire walls, or fire barriers.
 Limitations based off area of occupancy look at the fire area, so can subdivide building into fire areas that
are less than the specified threshold (e.g. Assembly areas with an occupant load exceeding 300 people)
 Limitations based off building occupancy classification look at the whole building
 Some building occupancies require sprinklers, no matter the size/construction type:
 Most Institutional occupancies (Assisted Living, Hospitals, and Prisons)
 New build residential (1 and 2 family homes, hotels, apartments, etc)
 Some building conditions require sprinklers, no matter the building occupancy classification:
 Floors with no openings
 Buildings with occupied floors 55’ above lowest level fire respondents can reach
 Similarly have thresholds/requirements for other fire protection measures (detection and
alarm devices, pull boxes, etc.)
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Project Code Compliance – Height and Area
Affected by:
 Building Occupancy
 Sprinklered/Non-Sprinklered
 Construction Type
 Typically start with estimate massing showing area, height, stories, floor layout, location on site, etc. and then
determine the minimum construction type
 IBC Tables affecting height and area:
 Allowable Building Height in Feet Above Grade Plane Table
 Allowable Number of Stories Above Grade Plane Table
 Allowable Area Equations
(slightly different for single/multi story, single/multiple occupancy)
 The actual total area of the building
 Allowable area factor
 Area factor increase based off frontage
 Area factor increased based off fire suppression
 Number of stories
 Typically, have a rough building configuration based on program, site factors and limitations, etc. and can reverse solve for
what construction type would be required.
 Allowable Area Factor in Square Feet
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Project Code Compliance – Means of Egress
 Limits for how far a person must travel to reach an exit, based on specific
occupancy the means of egress is serving.
 Common path of travel (limit when only 1 single path/exit is available, don’t want it to be
too long to have access to a second route to an exit)
 Dead end corridor (shorter in situations more hazardous to occupants)
 Overall travel Distance (limit distance from any given point to any exit)
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Prescriptive vs. Performance Code
 Prescriptive codes used most often – have
minimum requirements and maximum
limitations that respond to the majority of
design issues and safety concerns.
 Choice of which to use affected by whether
authorities having jurisdiction (AHJs – at
least building and fire enforcement officials)
will support prescriptive/performance code
and approve the project.
 Also affected by client input.
Performance Codes:
 Provides a format for how to take a project
through the performance code and
indicates what considerations must be
followed.
 Identifies an appropriate means of testing
solutions to confirm they meet the required
performance.
 Does not establish any specific prescriptive
limits/absolute limits for performance.
Developed to allow innovative solutions
that do not fall within the typical design.
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Code Enforcement
 Enforced by local AHJ (authority having jurisdiction), typically state or local building
department
 Get approvals, pull permits before beginning construction
 Issue certificate of occupancy
 Zoning is local; planning is regional
 Local plumbing codes typically based of IPC (International Plumbing Code),
coordinated closely with IBC and IMC (International Mechanical Code)
 Local AHJs can have extra stormwater and sanitary drainage requirements
 Disagreements about how codes get applied go through an Appeal process – can be
resolved through hearings with a board of appeals, administrative reviews by
planning/zoning/construction public agencies, or courts
 Can get variances, but ICC has limited authority to waive requirements of codes
(some states don’t allow this at all)
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Code – Government & Planning
 Each state has different approach to planning through legislation and enacting
administration.
 Legal authority for planning: government possesses the authority to protect
the health and welfare of its citizens.
 State and local planning is influenced by federal laws, programs, and policies.
 Legal challenges to plans, guidelines, and planning decisions go through the
judicial system.
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Code – Government & Planning
 Regional Planning Councils and Metropolitan Planning Organizations
 Prepares regional plans; provides planning assistance to participating governments; creates regional partnerships; input for transportation
planning and federal transportation fund allocation
 Local Governing Bodies(Counties and Parishes; municipal cities, boroughs, towns, townships, and villages)
 Provide vital services, engage in planning and regulation; provide incentives for land use; transportation, public works, parks and recreation,
historic preservation, environmental issues, etc.
 Special purpose district (e.g. school boards, port authority, etc.) for specific function that can be shared by multiple local governments
 Planning Commissions
 Promote the general well-being of their community by proposing plans for future land use and development; provide independent opinion
about planning; advisory to governing bodies;
 Board of Zoning Adjustment/Appeals
 Quasi-judicial entity
 Renders decisions on variances/exceptions/modifications to approved zoning (does not rule on validity of zoning itself, but considers cases and
whether applicants comply with intent of zoning or whether ordinance creates undue hardship on applicants)
 Planning Staff
 Size of staff depends on size of jurisdiction; first opinion giving applicants/architects advice on interpreting plans or zoning
 Nongovernmental planning participants (variety of stakeholders – chambers of commerce, educational institutions,
religious institutions, hospitals, etc.)
 Represent major employers, community leadership, investors, or larger constituencies; usually involved in process of forming plan or process
of change.
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Code – Comprehensive Plan & Regulations
 Comprehensive Plan – addresses community-wide goals and aspirations, establishes future
directions, and provides an implementation framework for components (e.g. land use,
transportation, housing, recreation, infrastructure, etc) over a long-range period.
 Vision, goals, and objectives; Land use; Transportation; Parks, recreation, and open space; Economic
development; Public utilities; Community facilities; Housing; Historic preservation; Downtown; Physical
character and urban design; Intergovernmental coordination; Sustainability; Conservation, water
resources, and coastal management; Community health; Education; Neighborhoods; Agricultural
resources; Implementation
 Subdivision Regulations – rules about the division of property into 2 or more parcels to
ensure that developers create communities up to standard (block size and configuration,
street standards and layout, rights of ways, utilities, easements, drainage, lot size, etc)
 Independent of zoning ordinances; similar processes to zoning
 Design Regulations – urban design or architectural guidelines to influence the
quality/character of community in alignment with the comprehensive plan, zoning
ordinances, and other regulations (about buildings, site, public realm, sustainability, etc)
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Code – Zoning
 Zoning – codified requirements for land uses, building heights, bulk, setback, property coverage, parking, etc.
 Euclid, OH vs. Ambler Realty Co.
 Can involve site plan review of parking layout, landscape, lighting, signage, drainage, building elevations, etc. (can be
contingent for permits)
 Types of Zoning:
Euclidian zoning: separates community into discrete districts (e.g. residential, commercial, institutional, industrial, etc)
Planned Unit Development: larger scale development parcels that have greater ability to arrange land uses and density
Incentive Zoning: allows owners greater density/height if they provide a public benefit to the community
Performance Zoning: development evaluated on performance criteria (e.g. pollution, traffic generation) rather than
conventional zoning’s use and density characteristics.
 Transfer of Development Rights: owner can purchase unused development rights from another owner (typically historic
structures or agricultural property) to build at a higher density.
 Form-based codes: regulations about building forms, design character, contextual relationships.
 Smart codes: regulations that promote wide spectrum of development (compact development, walkable communities, rural
land conservation, etc)




 Rezoning – changing the zoning classification of parcels through a 2-step process (planning commission hearing
to provide objective opinion; hearing with the governing body or zoning adjustment board to make a decision)
 Can have meeting with other local stakeholders
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Risk Management
Risk factors:
 Type of Client (e.g. demanding, indecisive,
inexperienced)
 Project delivery type (typically, design-build and
CM as adviser/agent least risky)
 Fast track/quick schedule (inherently more
risky)
 Construction cost responsibility (per B101,
architect is responsible for delivering project
within owner’s budget – should aim to avoid
redesigning at architect’s expense)
 Standard of care expectations (aim to not
alter/raise the standard of care)
 Financial (be wary of slow payments; discuss
intent)
MAKE SURE RESPONSITBILITIES ARE CLEAR,
AND NOT OPEN TO INTERPRETATION BY
CLIENT
Safety measures:
 Have >2 senior staff review scope of
services requirements
 Have legal counsel review contract
 Have professional liability insurance carrier
representative review contract
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Risk Management
Risk Management Strategies:
 Avoid Risk
 Marketing selects project types that fit with prior experience, working for clients with excellent
reputations.
 Transfer Risk
 Contracts transfer risk appropriately to the client, or downward to a consultant.
 Insurance transfers risk to a business financial partner.
 Assume Risk
 Accept appropriate work, but maintain enough cash to responsibly satisfy insurance deductibles.
 Control Risk
 Adopt best practices, and educate staff.
 Seek good counsel to prevent or reduce losses when claims emerge.
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Risk Management
Drivers for Risk:
 Communication
 Project team capabilities
 Client selection
 Negotiation and contracts
 Budget control
 Schedule control
 Loss prevention issues
 Construction phase services
 Billing procedures
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Risk Management – Communication
 Establish quality control processes to identify errors
before they’re more expensive to fix:
 Self-checking (e.g. standard company checklist, checklist
from immediate supervisor)
 In-house third-party review (e.g. fresh set of experienced
eyes) before deliverable issued for every major project
phase
 Peer (e.g. independent, outside consultant) reviews.
Required by some jurisdictions; highly beneficial to firms
with less experience.
 BIM clash detection/other electronic checking software
add ons (still have to be reviewed by humans to
determine whether clashes are real/incidental)
 Review expectations (i.e. services agreement) with
team and client
 Conduct meetings properly
 Make decisions to advance project
 Have minutes reflect date, location, attendees, summary
of items discussed, decisions made, and action items
identifying who is responsible for advancing.
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Risk Management – Communication
 Keep a proper project record of issued documents
 Each document must contain author, who it is being
issued to, the date issued, a reference number for
contract documents, dated revised documents that are
reissued (have to know what document is relevant to
which project, is searchable)
 Preserve project record through end of the potential
litigation period
 Address mistakes head on (some measure of
control).
 Fact check
 Figure out what has to change to resolve matter
 If a claim could happen, call in outside legal and
insurance counsels for advice
 Just because architect caused a problem, does NOT
mean architect has a legal obligation to fix the problem if
met the standard of care.
 Do not offer to remedy the situation to keep client
happy without approval from the insurer – policies
exclude coverage of situations in which they are not
involved in authorizing a settlement.
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Risk Management – Project Team Capabilities
 Train staff at all levels (tailor training to
experience/generation, manage
multigenerational office relationships,
foster mentoring, maintain a good mix of
staff at various levels)
 Keep knowledge continuous if staff departs
(get a to do list of unfinished items from
person leaving, have remaining team
members pick up loose ends, bring in right
replacement and make client aware)
 Create office standards (firm knowledge
repository raises quality, quick/efficient
solutions, provide access to online
resources)
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Risk Management – Client selection
 Know the market – project specialization within certain
market can mitigate risk (client
 Know the Client (assess whether client has previous
experience with projects similar to proposed, is able to afford
the project, has a reputation for fair negotiations, has a good
track record for timely payments, doesn’t have a history of
litigation, etc.)
 Repeat clients are lower risk because have previous experience.
 Condominium projects have more risk (client changes from
developer to multiple owners of units with different
expectations)
 Help select the right builder (limited capacity)
 Project Delivery Method (certain methods have more risk that
has to be communicated to client)
 Public clients have certain risks (little room to negotiate
contract terms, tight profit margins, public officials can
change office, press could leak problems about projects,
public entity more beholden to constituents, etc.)
 Establish a Reasonable Fee to cover risks and be competitive
to get project.
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Risk Management – Negotiation and Contracts
 Do not work without an agreement (open to broader claims and to schedule delay claims with no clear rules
for settlement, difficulty getting paid).
 Do not raise the standard of care (professional liability insurance does not cover contracts requiring higher
performance than normal, and client expects perfection).
 Do not allow indemnities clauses to be too broad (do not indemnify non-parties of agreements, client
mistakes, non-negligent errors and omissions, 3rd party claims before establishing negligence).
 Do not take responsibility for construction means and methods.
 Remove “guarantee” or other wording similarly ensuring performance.
 Make project scope clear.
 Administer contract for construction (be around to protect design, defend/explain documents, etc. – more
claims for projects)
 Add limitation of liability to agreement (e.g. agree not to seek damages in excess of a pre-established, agreedupon amount. Must provide fair payout relative to value of services.)
 Make Better Agreements
 Establish Standard In-House Practices
 Get Professional Support
 Use Standard Agreement Forms
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Risks in Emerging Practices: Sustainable Design
 Promoted benefits of sustainable design = new owner expectations of
architect. However, expected outcomes are reliant on factors outside the
architect’s control (e.g. owner’s operations over time).
 Owners have to be educated for sustainable design projects.
 Use AIA docs for sustainable project agreements to manage expectations.
 Standard of care includes keeping current with education/training in sustainable design
issues, systems, and building materials; being aware of code/standard changes; and
being aware of what other design professionals are doing
 LEED accreditation required of some team members
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Quality Management – Pre-Design
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Quality Management – Schematic Design
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Quality Management – Checklists
Phase Objectives:
 Starting point should be the contract
 Take into account how a client intends to
utilize the schematic design documents.
 Set the tone for the scope of services
intended for the phase (clarifies the
language within the agreement, and
reflective of phase percentages, labor
needs, and schedule)
Phase Deliverables for SD:
 Drawings
 Outline Specs
Phase Task Checklists cover tasks in the
following areas:
 Management/Quality
Management/Schedules
 Program/Construction Costs/Regulatory
Requirements
 Performance Criteria
 Civil/Site Design
 Design/Architecture
 Structural
 MEPFP
 Other Consultants
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Quality Management – Checklists
Technical Checklists (tailored to specific
systems)
 Example: an exterior wall checklist
 Objectives/Deliverables: extent of development
of the exterior envelope detailing at each phase
of the project.
 Objectives: addresses issues such as rainwater
penetration and acoustical performance
(focuses on exterior wall performance issues
and design criteria)
Project Closeout Checklists (requirements established in the
contract documents for substantial and final completion)
 Site observation reports issued and on file
 Certificate(s) of substantial completion issued and on file, with
all owner-accepted nonconforming work listed issued and on
file
 Punch list copies on file
 Contractor’s required closeout documents received, reviewed
for conformance to submittal requirements, and forwarded to
owner
 Outstanding owner questions and issues answered and
resolved
 Final change order prepared, issued, executed, and on file
 Final application for payment certified, issued, and on file
 Contractor warranty contact information on file
 All basic and additional services invoiced
 All invoices paid
 One-year follow-up meeting scheduled
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Quality Management - Procurement
 Effective in-house procurement protocol
 Create in-house procurement guidelines to provide consistent, quality services the same way on each project,
and continually improve the quality of services over time.
 Have a task checklist; schedule of required meetings; other management tools (like AIA resources) that will
demonstrate and communicate the actions to be taken and decisions to be made. No such this as over
communication with owner.
 Beneficial support resources
 AIA G612 – Owner’s Instructions to the Architect (questionnaire for obtaining information from the owner
regarding the nature of the construction contract)
 AIA G804 – Register of Bid Documents (log of bid documents that contractors/subs/suppliers possess during the
bidding process)
 AIA G806 – Project Parameters Worksheet (administrative form to help maintain a single standard list of project
parameters e.g. project objectives, owner’s program, project delivery method, legal parameters, and financial
parameters)
 Constant monitoring and documentation
 Retain info for each contractor selection; Be careful with proprietary info of contractor pricing and takeoff
sheets.
 Feedback for program improvement
 Internal post-procurement evaluation – evaluate lessons learned, report info.
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Quality Management – Contract Administration
 Relies on timely exchange of information
 Emphasis on accuracy, efficiency, and organization
 Maintain design quality
 Discover and correct discrepancies in the contract documents before the
related work is constructed (reduce costs for changing as much as possible,
although can still be costly at this stage)
 Consistently manage, improve over time, control errors and omissions
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Quality Management – Contract Administration
Owner:
 Construction phase is often a stressful time
because budgets don’t always remain stable
and surprises are usually disappointing.
 A satisfied owner is the best risk
management asset, especially during the
construction phase.
 Owners don’t like surprises, and wanted to
be updated on the current work status.
 After observing the work per B101, report
findings in a nicely prepared site
observation report.
To mitigate problems and surprises and keep
Owner satisfied:
 Perform all your contracted services.
 Be accessible.
 Document thoroughly.
 Check the owner satisfaction meter
frequently.
 Always find an answer.
 Personalize project closeout.
 Leave a good impression.
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Quality Management – Contract Administration
 Have good construction documents that clearly and
effectively deliver the design message to the
contractor.
 Control access to the documents
 Manage updates to the documents –make sure
current/outdated documents are easily identified.
 For electronic file naming, use succinct names; avoid
special characters, periods, or spaces; include all
required descriptive information; consistently format
dates; included at least 2 digits for version/phase
numbers.
 Have an internal construction phase procedure
manual (most procedures can be standardized good
practice, but some need to be adjusted to atypical
contract conditions)
 Conduct meetings and generate the meeting
minutes, or attend and review meeting minutes by
others in a timely manner and rebut with
appropriate clarifications.
 Enforce submittal review schedule as much as
possible to control/understand labor demands
for important activity determining whether the
contractor’s interpretation of the design is
acceptable.
 Answering RFIs hastily can be risky, and too
many can eat into anticipated CA work. If
contractor RFIs are numerous or low quality, try
scheduling review sessions with the contractor
to reduce the number of RFIs. If there are an
excessive or frivolous amount of RFIs, there are
grounds to discuss an additional fee for the
extra review time.
 Keep track of lessons learned, but document in
neutral and non-project-specific manner to
avoid creating incriminating or damaging
documentation.
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Quality Management – Post-Construction
Why do it?
 Last chance to leave the owner with a good
impression while still in frequent contact.




Quality services that leave a good impression
Intense personal assistance
A more meaningful extended client relationship
Consideration for future work
 Data collected is especially valuable because the
construction has ended and the data is more
complete.
 RFI review reveals how well the documents
conveyed the design concept to the contractor.
 Details that required revision, products that were
not available or were too costly, and building
components that required additional details show
what technical staff and spec writers can revise
going forward
 Collect data for marketing purposes and internal
project information data
Established in-house procurement protocol
should include:
 Beneficial support resources.
 Constant monitoring and documentation.
 Feedback for program improvement.
 Discussion of need for any additional
services (either through post-construction
evaluation, or meeting to review closeout
checklist and delivery of the contractor’s
obligated closeout documents)
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Quality Management – Post-Construction
Available Additional Services:
 Conformed construction documents (documents that reflect all addenda adds or changes
after initial document publication)
 As-designed construction documents (documents that reflect the approved changes made
during the construction phase)
 As-constructed construction documents (documents that reflect the contractor’s as-built
conditions)
 Post-occupancy evaluation (review measuring how well the new building meets the needs of
the people who use it, and identify ways to improve building performance and fitness for
purpose)
 Facility support services (e.g. energy audits, customized maintenance programs)
 Tenant-related services (tenant build-out or existing tenant renovations)
 Retro-commissioning: not to be confused with third-party team-led post-construction
commissioning
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