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Session 4
CONSTRUCTION DOCUMENTS
Part 1
Project Delivery
Education Program
Construction Document Technology (CDT)
Preparatory Course
2011
The Construction Specifications Institute
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www.csinet.org
© The Construction Specifications Institute 2011
1
AIA
The Construction Specifications Institute is a Registered Provider with The American
Institute of Architects Continuing Education Systems. Credit earned on completion of
this program will be reported to CES Records for AIA members. Certificates of
Completion for non-AIA members available on request.
This program is registered with the AIA/CES for continuing professional education.
As such, it does not include content that may be deemed or construed to be an
approval or endorsement by the AIA of any material of construction or any method or
manner of handling, using, distributing, or dealing in any material or product.
Questions related to specific materials, methods, and services will be addressed at
the conclusion of this presentation.
2
Learning Objectives
•
To understand how construction documents define the rights
of, responsibilities of, and relationships between the parties.
•
To gain an insight of the benefits of using standard documents
created by professional associations.
•
To introduce the definitions, purposes, and content of each of
the procurement and contract documents.
•
To understand the distinctions between procurement and
contracting requirements and documents.
•
To become familiar with the procedures for soliciting pricing for
the Work.
The Construction Specifications Institute
3
Session Outline
STUDY GUIDE: Subject Matter Area No. 3 – DESIGN
B. Construction Documents
1. Elements of Construction
Documents
2. Elements of Procurement
Documents
3. Elements of Contract
Documents
4. Elements of Project Manual
5. Procurement Requirements
a. Solicitation
b. Instructions for
Procurement
c. Available Information
d. Procurement Forms
6. Life Cycle Costs and Value
Analysis
a. Contracting Forms
b. Project Forms
c. Conditions o the
Contract
d. Revisions and
Clarifications
The Construction Specifications Institute
4
CONSTRUCTION DOCUMENTS
ELEMENTS OF CONSTRUCTION DOCUMENTS
STUDY GUIDE: Subject Matter Area No. 3 - B. 1.
The Construction Specifications Institute
5
Elements of Construction Documents
•
Written and graphic
documents
•
Prepared for communicating
Project design for
construction
•
Construction contract
administration
•
Includes
–
Procurement documents
–
Contract documents
Project Delivery Practice Guide:
11.1.2 and Figure 11.1
6
CONSTRUCTION DOCUMENTS
ELEMENTS OF PROCUREMENT DOCUMENTS
STUDY GUIDE: Subject Matter Area No. 3 - B. 2.
The Construction Specifications Institute
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Elements of Procurement Documents
•
Bidding (private and public),
negotiating, and purchasing
documents
•
Instruct bidders or proposers
about established procedures
for preparing and submitting
bids or proposals
Project Delivery Practice Guide:
11.1.6 and Figure 11.1
8
CONSTRUCTION DOCUMENTS
ELEMENTS OF CONTRACT DOCUMENTS
STUDY GUIDE: Subject Matter Area No. 3 - B. 3.
The Construction Specifications Institute
9
Elements of Contract Documents
•
Written and graphic documents
•
Describes proposed
construction (the Work)
resulting from
–
Performing services
–
Furnishing labor
–
Incorporating materials and
equipment
Project Delivery Practice Guide:
11.1.2 and Figure 11.1
10
CONSTRUCTION DOCUMENTS
ELEMENTS OF PROJECT MANUAL
STUDY GUIDE: Subject Matter Area No. 3 - B. 4.
The Construction Specifications Institute
11
Elements of Project Manual
•
Commonly referred to as “the Specifications”
•
Collection of certain written construction documents and
Project requirements
•
Content varies with Project Delivery Method
•
Typically includes
–
Procurement requirements
–
Contracting forms
–
Conditions of the Contract
–
Specifications
Project Delivery Practice Guide:
11.3.4.1
12
CONSTRUCTION DOCUMENTS
PROCUREMENT REQUIREMENTS
STUDY GUIDE: Subject Matter Area No. 3 - B. 5.
The Construction Specifications Institute
13
Procurement Requirements
•
Rules and procedures for soliciting pricing for the Work
–
Bidding
–
Negotiating
–
Purchasing
Project Delivery Practice Guide:
11.4.2
14
Nature of Bid
•
Offer to perform work or supply materials or goods at a
specific price
•
Response to a solicitation
•
If accepted, forms basis of contract
Project Delivery Practice Guide:
11.4.2
15
Nature of Proposal
•
Offer of terms and conditions for Work
•
If accepted, can form a contract
•
Implies opportunity for more consideration
•
Sometimes utilized when cost or other conditions determined
by negotiation
•
Response to a request for proposal
Project Delivery Practice Guide:
11.4.2
16
CONSTRUCTION DOCUMENTS
PROCUREMENT REQUIREMENTS
STUDY GUIDE: Subject Matter Area No. 3 - B. 5.
a.
b.
c.
d.
The Construction Specifications Institute
Solicitation
Instructions
Available Information
Procurement Forms
17
Solicitation
Invitation to Bid
•
Intended to attract qualified bidders and to help prospective
bidders whether to obtain procurement documents or not
•
Implies Owner will be selective by only inviting certain bidders
Project Delivery Practice Guide:
11.4.3
18
Solicitation
Advertisement to Bid
•
Notice to all qualified bidders, not just a select few
•
In public work, an advertisement usually required to be
published as legal notice
Project Delivery Practice Guide:
11.4.3
19
Solicitation
Basic Information
•
Project identification
•
Document availability
•
Description of Work
•
Bidder qualifications
•
Type of bid
•
Bid security
•
Time of completion
•
Owner right to reject bids
•
Prebid meeting
•
Laws and regulations
•
Bid opening
•
Document availability
Project Delivery Practice Guide:
11.4.3
20
Instructions for Procurement
•
Requirements with which bidders must comply before and
during submission of bids
•
Forms prepared and published by professional associations
frequently used
Project Delivery Practice Guide:
11.4.4
21
Instructions for Procurement
Basic Information
•
Documents identified
•
Examination of documents, site, and local conditions
•
Procedures for interpretations during bidding
•
Procedures for substitution
•
Type of bid
•
Bid preparation requirements
•
Bid security information
•
Performance bond and payment bond requirements
•
Subcontractor listing requirements
Continued on next slide
Project Delivery Practice Guide:
11.4.4
22
Instructions for Procurement
Basic Information
Continued from previous slide
•
Requirements for identification and submittal of bid
•
Modification or withdrawal of bid procedures
•
Disqualification of bidders
•
Special applicable laws
•
Prebid meeting notice
•
Liquidated damages
•
Opening of bids
•
Evaluation and consideration of bids
•
Execution of contract
Project Delivery Practice Guide:
11.4.4
23
Available Information
•
Various types of information
made available to Bidders,
Proposers, and Contractors
•
Available during procurement
and execution of the Work
however, they are not
Contract Documents
Project Delivery Practice Guide:
11.4.5
24
Available Information
Types
•
Preliminary schedule
•
Budget information
•
Existing conditions
•
Property survey
•
Environmental assessment
•
Existing material information
•
Existing hazardous material information
•
Geophysical data
•
Geotechnical data
•
Permit application requirements
Project Delivery Practice Guide:
11.4.5
25
Procurement (Bid) Forms
•
Documents prepared for use by bidders
•
Requests specific information so that bids can be evaluated
evenly and fairly
Project Delivery Practice Guide:
11.4.6
26
Procurement (Bid) Forms
Basic Information
•
Project identification
•
Prices
•
Name and address of
party to whom bid is
directed
•
Combined bids
•
Alternates
•
Allowances
•
Unit prices
•
Completion time
•
Liquidated damages
•
Supplements
•
Closing
•
Entity submitting bid
•
Acknowledgments
•
Amount of time for bids
to be held open
•
Identification of addenda
Project Delivery Practice Guide:
11.4.6.1
27
Procurement (Bid) Forms
Supplement Types and Forms
•
Bid security
•
Alternates
•
Allowance
•
Unit prices
•
Substitution request
(during procurement)
•
Estimated quantities
•
Proposed products
•
Proposed
subcontractors
•
Minority business
enterprise statement of
intent
•
Wage rates
•
Proposed schedule of
values
•
Proposed construction
schedule
•
Proposed work plan
schedule
•
Bid submittal checklist
Project Delivery Practice Guide:
11.4.6.3
28
Representations and Certifications
•
Various single purpose forms that might be required to
supplement the procurement forms of accompany a proposal
REPRESENTATION
We certify the
representations made
are true and accurate.
Project Delivery Practice Guide:
11.4.6.4
29
Representations and Certifications
Types
•
Bidder’s qualifications
•
Proposer’s qualifications
•
Non-collusion affidavit
•
Statement of disposal facility
•
Workers’ compensation certification schedule
•
Non-segregated facilities affidavit
•
Equal employment opportunity affidavit
•
Minority business enterprise affidavit
•
Corporate resolutions
•
Governmental certifications
Project Delivery Practice Guide:
11.4.6.4
30
CONSTRUCTION DOCUMENTS
CONTRACTING REQUIREMENTS
STUDY GUIDE: Subject Matter Area No. 3 - B. 6.
a. Contracting Forms
and Supplements
b. Project Forms
c. Conditions of the
Contract
d. Revisions and
Clarifications
The Construction Specifications Institute
31
Contracting Requirements
•
Various forms used to establish the contractual relationship
•
Some forms prepared and published by professional
associations frequently used
Project Delivery Practice Guide:
11.5.1
32
Contracting Requirements
Forms and Supplements
•
Notice of award
•
Agreement forms
•
Agreement form
supplements
•
–
Supplementary scope
statement
–
Allowances schedule
–
Unit price schedule
Notice to proceed
Project Delivery Practice Guide:
11.5.2
33
Project Forms
Bond Forms
•
Performance and payment
bonds
•
Lien bond
•
Maintenance bond
•
Retainage bond
•
Special bond
Project Delivery Practice Guide:
11.5.3.1
34
Project Forms
Certificates and Other Forms
•
Submittal transmittal
•
Certificate of insurance
•
Infection control
•
Construction waste diversion
•
Products
•
Recycled content of
materials
•
Minority business enterprise
certification
Continued on next slide
Project Delivery Practice Guide:
11.5.3.2
35
Project Forms
Certificates and Other Forms
Continued from previous slide
•
Schedule of values
•
Application for payment
•
Stored materials
•
Construction schedule
•
Work plan schedule
•
Construction equipment
Project Delivery Practice Guide:
11.5.3.3
36
Project Forms
Clarification and Modification Forms
•
Request for information
•
Clarification
•
Substitution request
(during construction)
•
Supplemental instruction
•
Field order
•
Written amendment
•
Construction change
directive
Continued on next slide
Project Delivery Practice Guide:
11.5.3
37
Project Forms
Clarification and Modification Forms
Continued from previous slide
•
Work change directive
•
Request for proposal
•
Proposal worksheet
summary
•
Proposal worksheet detail
•
Change order request
•
Change order
Project Delivery Practice Guide:
11.5.3.3
38
Project Forms
Closeout Forms
•
Certificate of compliance
•
Certificate of substantial
completion
•
Certification of completion
•
Warranty
•
Statutory declaration
Project Delivery Practice Guide:
11.5.3.4
39
Conditions of the Contract
•
Defines basic rights, responsibilities, and relationships of
parties involved in performance of contract
•
Inherent part of Owner-Contractor Agreement
Project Delivery Practice Guide:
11.5.4.2
40
Supplementary Conditions
•
Insurance requirements
•
Wage rate requirements
•
Health and safety
requirements
•
Wage determination
schedule
•
Existing purchase
contracts
•
Labor stabilization
agreement
•
Assigned contracts
•
Anti-pollution measures
•
Non-segregated facilities
requirements
•
Security requirements
•
Statutory requirements
•
Equal employment
opportunity requirements
Project Delivery Practice Guide:
11.5.4.3
41
Revisions and Clarifications
•
•
Before receipt of bids
•
After contract execution
–
Addenda
–
Change orders
–
Substitution requests
–
Substitution requests
Between receipt of bids
and contract execution
–
Requests for interpretation
–
Supplemental Instructions
–
Post-bid addenda
–
Written amendments
–
Negotiations
–
–
Substitution requests
Construction change
directive
–
Field Order
Project Delivery Practice Guide:
42
Review Outline
STUDY GUIDE: Subject Matter Area No. 3 – DESIGN
B. Construction Documents
1. Elements of Construction
Documents
2. Elements of Procurement
Documents
3. Elements of Contract
Documents
4. Elements of Project Manual
5. Procurement Requirements
a. Solicitation
b. Instructions for
Procurement
c. Available Information
d. Procurement Forms
6. Life Cycle Costs and Value
Analysis
a. Contracting Forms
b. Project Forms
c. Conditions o the
Contract
d. Revisions and
Clarifications
The Construction Specifications Institute
43
Questions?
44