Session 7 SITE VISITS, OBSERVATION, AND …eo2.commpartners.com/users/csi/downloads/CCCA_Session_7.pdf12/19/2011 3 The Construction Specifications Institute Session Outline STUDY GUIDE:

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The Construction Specifications Institute

Audio Sessions

Session 7

SITE VISITS, OBSERVATION, AND INSPECTION

Construction Contract Administration

Education ProgramCertified Construction Contract Administrator (CCCA)

Preparatory Course2011

1www.csinet.org

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© The Construction Specifications Institute 2011

The Construction Specifications Institute is a Registered Provider with The AmericanInstitute of Architects Continuing Education Systems. Credit earned on completion ofthis program will be reported to CES Records for AIA members. Certificates ofCompletion for non-AIA members available on request.

This program is registered with the AIA/CES for continuing professional education.As such, it does not include content that may be deemed or construed to be anapproval or endorsement by the AIA of any material of construction or any method ormanner of handling, using, distributing, or dealing in any material or product.Questions related to specific materials, methods, and services will be addressed atthe conclusion of this presentation.

AIA

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Learning Objectives• To understand the difference between observations and

inspections

• To explain – A/E’s responsibilities for observations and inspections

– Contractor’s responsibilities for inspections

• To understand the importance of keeping the Owner informed

• To gain an insight into the limitations of authority of the Owner, A/E, and Contractor

• To introduce the responsibilities for defective and nonconforming work

• To explore the importance of record keeping and reporting

• To describe the procedures for maintaining field record documents

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Session OutlineSTUDY GUIDE: Subject Matter Area No. 7 10%


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A. Construction Observation and Inspections

B. Contract Requirements and A/E Responsibilities1. A/E site visits

a. Role and frequencyb. Scheduling

2. Limitations of responsibility3. More extensive site

representation4. A/E inspections

a. Number and purposeb. Punch listsc. Requirements of Contractor

C. Owner Responsibilities1. Special inspections2. Owner observations

D. Contractor Responsibilities1. Contractor’s supervision2. Contractor inspection3. Contractor’s punch list

E. Working Relationship1. Team concept2. Conduct at the project site3. Project site safety4. Accidents5. Tolerances and clearances

Continued on following slide

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Session OutlineSTUDY GUIDE: Subject Matter Area No. 7


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F. Defective and Nonconforming Work1. A/E’s authority for rejecting work2. Owner’s decisions on defective

work3. Stopping the work

G. Delivery, Storage, and Protection of Products

Continued from previous slide

H. Record Keeping and Reporting1. Field observation reports2. Use of photographs and video3. Use of forms and log forms4. Filing and retrieval of

documentation

I. Project Record Documents

The Construction Specifications Institute 6


STUDY GUIDE AREA NO. 7

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Construction Observationsand Inspections

STUDY GUIDE: Submit Matter Area No. 7 - A.

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Construction Observations and Inspections

• Basic to quality control is that participants have certain responsibilities for making observations and inspections– Observe – Perceive, notice,

see

– Inspection – Examine carefully and crucially, especially for defects

• Distinction between observation and inspection is important

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Construction Contract Administration Practice Guide: 6

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Owner-A/E Responsibilities• Standard Owner-Architect agreements and standard

Conditions of the Contracts typically stipulate A/E periodically visit construction site to– Ascertain progress and quality of work

– Inform Owner of

- Known deviations from contract documents - Defects and deficiencies observed in the Work

– Keep Owner informed of progress of the work

– Conduct inspections to determine dates of

• Substantial completion• Final completion


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Owner-Contractor Responsibilities• Standard Owner-Contractor agreements and standard

conditions of the contract typically stipulate Contractor to– Prior to bidding or commencing the work, visit site to

- Correlate conditions- Coordinate observations with contract documents- Report discrepancies to A/E

– Direct and supervise the work

– Control means, methods, and techniques

– Continually inspect the work to ensure each portion is ready to receive subsequent portions

– Arrange for inspections required by authorities having jurisdiction


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Owner-Contractor ResponsibilitiesContinued from previous slide

– Required to inspect work to qualify for Substantial Completion

– Prepare comprehensive list (initial punch list) of items to be completed or corrected prior to final payment

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Owner Responsibilities

• Standard Owner-Contractor agreements and standard conditions of the contracts typically stipulate Owner to– Provide site information

- Physical characteristics- Legal limitations- Utility locations

– Provide other information or services to Contractor upon request

– Be responsible for the work

- By Owner- By other Contractors

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Benefits of Teamwork• Timely communication between A/E and Contractor helps

avoid misunderstandings

• Good communications– Prevents small problems from escalating into claims

– Ensures accurate interpretations of contract documents

– Provides necessary information when it is needed

• Preconstruction and progress meetings helps establish– Good lines of communication

– Mutual understanding of project roles, responsibilities, and contractual relationships


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Benefits of Teamwork• Using following principles allows participants to focus on

project requirements rather than problems– Coordination

– Cooperation

– Communications

– Conformance


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Contract Requirements and A/E Responsibilities

STUDY GUIDE: Submit Matter Area No. 7 - B.

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1. A/E site visitsa. Role and frequencyb. Scheduling

2. Limitations of responsibility3. More extensive site representation4. A/E inspections


A/E Site Visits• As previously stated, A/E typically required to visit the site

– At intervals appropriate to the stage of construction; not required to make exhaustive or continuous inspections

– To become generally familiar with progress and quality of the completed work

– To determine in general if work observed is being performed in accordance with contract documents

– Advise Owner of defects and deficiencies observed

• Periodic site observations help ensure– Coordination between design and construction

– Timely communication between A/E and Contractor

– Accurate interpretation of contract documents

– Conformance with contract documents

Construction Contract Administration Practice Guide: 6.2.1

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A/E Site Visits• Site visits at “intervals appropriate” require A/E to exercise

professional judgment in determining– Frequency

– Duration

• Beneficial for A/E to schedule more site visits during– Critical construction activities

– Early stages of construction


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• Use site visits to evaluate contractor’s application for payment

Limitations of Responsibility• Standard Owner-Architect agreements and standard

conditions of the contracts stipulate A/E not responsible for– Continuous inspection

– Construction means and methods

– Project site safety

– Contractor’s failure to perform

– Stopping work

– Coordinating work of contractor or subcontractors


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More Extensive Site Representation• Occasions when Owner wants more extensive A/E

representation at project site, often in form of full-time project representation

• Purpose of full-time project representation– Assist A/E in providing more continuous observation of project

– “usually” not empowered to act in A/E’s behalf

• Use an add service to add to A/E contract.

• Duties and responsibilities of full-time project representation– Observes work progress and quality of work

– Monitoring construction progress schedule

– Reviewing contract documents request for interpretation and change

– Attending project meetings

Continued on following slideConstruction Contract Administration Practice Guide: 6.2.3

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More Extensive Site RepresentationContinued from previous slide

– Observes tests

– Maintains records

– Keeps diary or logbook

– Assist with shop drawing review

– Review application for payment

– Review punch lists

– Assist with final inspection

– Review record documents periodically

– Review partial occupancies to minimize claims for damage


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A/E Inspections• Standard Owner-A/E agreements typically stipulate only

two inspections

• Contractor prepares initial punch list

• Contractor notifies Owner and A/E that project is substantially complete

• A/E inspects work – Verifies initial punch list

– May add additional items to develop final punch list

• A/E establishes date of substantial completion

• Owner may occupy project for it’s intended use



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A/E InspectionsContinued from previous slide

• Contractor corrects items on final punch list

• A/E inspects work and verifies final punch list

• Final completion– Owner has made final payment to Contractor

– Contractor has accepted final payment


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Owner ResponsibilitiesSTUDY GUIDE: Submit Matter Area No. 7 - C.

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1. Special inspections2. Owner observations

Owner Responsibilities• Owner not required by standard documents to make site

observations

• In most instances, Owner relies on A/E for observations

• Some Owners have experienced staff to perform site related activities but only to supplement A/E

• Applicable codes may require Owner to provide– Special inspections

– Testing

• A/E may need to monitor testing and inspection services– To verify required activities are taking place in a timely manner

– To verify communications and reporting are taking place

Construction Contract Administration Practice Guide: 6.4

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Owner Responsibilities• Independent testing and inspection agencies

– Perform required testing and inspections on behalf of Owner

– Submit certifications of compliance with contract documents and governing codes to AHJ’s

• Special inspections include– Concrete and reinforcement

– Foundations

– Structural framing

– Earthwork, including excavation and fill

– Fireproofing

– Fire sprinklers and alarms

– Elevators

– Ch 17 in IBC


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Owner Responsibilities• Regarding Owner

observations– Owner may wish to perform

construction contract administration without assistance of A/E

– Certain Owners have expertise and personnel to perform construction contract administration

– A/E may not be responsible for construction contract administration except those required by state licensing law


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Contractor ResponsibilitiesSTUDY GUIDE: Submit Matter Area No. 7 - D.

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1. Contractor’s supervision2. Contractor inspection3. Contractor’s punch list

Contractor Responsibilities• Standard conditions of the contract typically stipulate Contractor

should perform the following as another opportunity for quality improvement– Visit the site and become familiar with existing conditions

– Carefully study and compare the contract documents with each other

– Report to A/E any conflicts, errors, ambiguities, or discrepancies discovered

• Contractor is responsible– For construction of the project in conformance with contract documents

– For supervision and direction of the construction

– For construction means, methods, techniques, sequences, and procedures

– For acts and omissions of companies working under Contractor


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Contractor Responsibilities• Standard Owner-Contractor agreements typically stipulate

Contractor to– Make inspections

– Arrange for certain other inspections

– Inspect portions of work already completed to ensure they are ready for subsequent work

– Obtain necessary inspections required by AHJ’s

– Prepare initial punch list for substantial completion

• Contractor prepares initial punch list based on comprehensive inspection; A/E usually adds to Contractor’s list thus making the final punch list


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Working RelationshipSTUDY GUIDE: Submit Matter Area No. 7 - E.

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1. Team concept2. Conduct at the project site3. Project site safety4. Accidents5. Tolerances and clearances

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Working Relationship• Good working relationships

– Primary focus on quality of construction

– Helps to resolve problems and conflicts quickly

• Team concept – Contract document interpretations by A/E (IDM) must be impartial

– Communications to subcontractors from A/E, Owner, and consultants should be directed through Contractor

– A/E should give instructions in writing and direct to Contractor’s project manager or superintendent who will direct construction personnel

– Oral communications should be documented in writing


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Conduct at the Project Site• Participants should exercise proper conduct at the site

– Maintaining professional demeanor

– Being polite and courteous

– Showing respect

– Following proper lines of communication

– Adhering to Contractor’s procedures for visitors


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• Participants should keep others appraised of relevant concerns, questions, and decisions

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Project Site Safety• Contractor is responsible

• Cannot be ignored by Owner and A/E, they– Are responsible for safety of their employees

– Should educate their personnel

– Should follow safety procedures established by Contractor

• A/E should not– Seek out hazardous conditions

– Review Contractor’s safety program

– Attend Contractor’s safety meetings

• If A/E notices condition that may not be safe– Should bring condition to attention of Contractor

– Notify Owner in writing


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Project Site Safety• Contractor is responsible for investigating accidents

• In case of imminent danger, measures need to be in place to– Save personnel first

– Save property second

• Once danger has passed, accident scene should not be disturbed until proper investigation has been completed


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Defective and Nonconforming WorkSTUDY GUIDE: Submit Matter Area No. 7 - F.

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1. A/E’s authority for rejecting work2. Owner’s decisions on defective work3. Stopping the work

Defective and Nonconforming Work• Standard Conditions of the Contracts typically stipulate

– A/E has right to have work uncovered if it was concealed contrary to A/E’s written request

– A/E has authority to reject work that does not conform to contract documents, also identified as defective work

– Only Owner can accept nonconforming work

• Contractor is obligated to correct defective work

• A/E should – Verify that defective work has been corrected

– Verify that corrected work is proceeding according to contract documents

– Order additional testing or inspection of suspected work


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Defective and Nonconforming Work• If additional testing or inspection is ordered by A/E

– If found to be nonconforming, Contractor pays

– If found to be in conformance, Owner pays

• If Contractor refuses to correct nonconforming work – Owner has right to correct work

– Cost deducted from contract sum by change order


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Defective and Nonconforming Work• Standard conditions of the

contracts typically stipulate– A/E does not have authority to

stop work

– Owner may order Contractor to stop work until reason for stoppage has been eliminated

– Contractor has right to stop work for non-payment


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Delivery, Storage, and Protection of Products

STUDY GUIDE: Submit Matter Area No. 7 - G.

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• Contractor is responsible for following concerning products– Scheduling

– Receiving

– Inspecting

– Unloading

– Handling

– Protecting

– Storing

- Products can be stored on-site or off-site- Standard conditions of the contract typically stipulate site should

not be encumbered with products- On-site storage should be coordinated with construction sequence


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• Off-site storage – Usually in location mutually agreed upon – typically bonded warehouse

– A/E usually confirms

- Location

- Products are correct

- Correct quantity

- Secure

- Protected

- Clearly identified for project

– Covered by insurance

• A/E’s verifications typically completed before applications for payment are certified


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• Requirements may vary depending on – Manufacturer’s requirements

– Industry standards

– Common sense

• Requirements for product protection typically stipulated in PART 1 – GENERAL of the respective specification

• Requirements for installed work protection typically stipulated in PART 3 – EXECUTION of the respective specification

• Manufacturer’s requirements should be followed to ensure– Products are not damaged

– Warranty provisions are not voided


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Record Keeping and ReportingSTUDY GUIDE: Submit Matter Area No. 7 - H.

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1. Field observation reports2. Use of photographs and video3. Use of forms and log forms4. Filing and retrieval of documentation

Record Keeping and Reporting• Documentation created by construction contract

administration– Effective for communication

– Good for historical record of construction stage activities

– Aids in future recollection

• Ongoing stream of information among participants

• Timely responses are crucial to successful completion with minimum of difficulties

• A/E maintains records of many items during construction– Field observation reports

– Correspondence


Construction Contract Administration Practice Guide: 6.12 and 6.12.1

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Record Keeping and ReportingContinued from previous slide

– Meeting minutes

– Communication reports

– Submittals

– Test reports

– Payment requests and certifications

– Schedules

– Request for interpretation, clarification, or information

– Proposal requests and change order requests

– Contract document modifications

Construction Contract Administration Practice Guide: 6.12 and 6.12.1

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Field Observation Reports• A/E’s record of site visits consists of

– Site observations

– Communications

• Reports for benefit of A/E and may be used for communication between Owner and Contractor

• In addition to administrative aspects, field observation reports contain– Weather conditions

– Site conditions



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Field Observation ReportsContinued from previous slide

– Remarks

- Status of project, work in progress, work completed

- Products delivered/stored on site

- Items discussed

- Deficiencies noted

- Contractor comments and queries

- Reports must be– Objective

– Factual

– Complete


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Field Observation Reports

Construction Contract Administration Practice Guide: 6.12.2 and Figure 6.3

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Field Observation Reports• Contains observations about work in progress

• Documents – Pertinent remarks offered

– Oral instructions given by any participants

• Helpful to inquire whether Contractor has any unreported claims

• Documentation of potential claims brings them to consciousness of participants so they can be quickly resolved


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Field Observation Reports• Should not include

– Extraneous information

– Supposition

– Hearsay

– Conjecture

– Other nonfactual judgments

• Should include if work is or is not in compliance with contract documents

• A/E informs Contractor of work rejected for nonconformance with contract documents


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Use of Photographs and Video• Provides visual record of

construction

• May be required by specifications to show construction progress

• Valuable companion to field observation reports

• Can document nonconforming work

• Represents actual conditions which allows later analysis and review


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Use of Forms and Log Forms• Standard forms

– Speed up documentation and written communication processes

– Keeps participants informed and helps prevent problems

– Helps avoid misunderstandings

• Log Forms– Records status of various construction related documents

– Database can be searched for submittals in various ways, including those yet to be processed or even received


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Filing and Retrieval of Documentation• A structured filing system

should be established

• Organized by – File folders

– Binders

– Electronically

• Documents filed separately, in sequence, with most recent on top


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Filing and Retrieval of Documentation

Construction Contract Administration Practice Guide: Figure 6.8

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Project Record DocumentsSTUDY GUIDE: Submit Matter Area No. 7 - I.

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Project Record Documents• Standard conditions of the contract and Division 01

specifications typically stipulate Contractor should maintain documents that record actual constructed conditions

• Actual conditions of construction should be recorded concurrently with construction progress on drawings, such as– Measured depths of foundation elements

– Measured horizontal and vertical locations of underground utilities

– Measured locations of internal utilities concealed within construction

– Field changes of dimensions and details

– Details not in original contract documents

– Changes and modifications

– References to related shop drawings


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Project Record Documents• Record set of project manual normally required to show

– Modifications

– Record of actual construction

– Manufacturers and product information of each product installed

– Other information not originally specified


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• Completed set of record documents submitted by Contractor to A/E during project closeout

• A/E transmits record documents to Owner


Review OutlineSTUDY GUIDE: Subject Matter Area No. 7


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A. Construction Observation and Inspections

B. Contract Requirements and A/E Responsibilities1. A/E site visits

a. Role and frequencyb. Scheduling

2. Limitations of responsibility3. More extensive site

representation4. A/E inspections


C. Owner Responsibilities1. Special inspections2. Owner observations

D. Contractor Responsibilities1. Contractor’s supervision2. Contractor inspection3. Contractor’s punch list

E. Working Relationship1. Team concept2. Conduct at the project site3. Project site safety4. Accidents5. Tolerances and clearances


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Review OutlineSTUDY GUIDE: Subject Matter Area No. 7


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F. Defective and Nonconforming Work1. A/E’s authority for rejecting work2. Owner’s decisions on defective

work3. Stopping the work

G. Delivery, Storage, and Protection of Products

Continued from previous slide

H. Record Keeping and Reporting1. Field observation reports2. Use of photographs and video3. Use of forms and log forms4. Filing and retrieval of

documentation

I. Project Record Documents

Questions?

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