category IV

Question 0

For what is the contractor not specifically not responsible for during contract administration?

Answer 0

// the contractor is not responsible for the adequacy of the performance or design criteria contained in the construction documents

// the contractor is not responsible for providing professional architectural or engineering services except when such services are specifically required by the construction documents, or they are needed to carry out the contractor’s responsibilities for construction means and methods

Question 1

What three roles does an architect play during contract administration?

Answer 1

// independent contractor: the architect has a contract with the owner to provide design services

// the owner’s agent: the architect represents the owner at the construction site and during contract administration

// quasi-judicial officer: the architect, if agreed to by the owner and contractor, issues opinions on claims as a precondition starting mediation, arbitration, or litigation

Question 2

Name three of the contractor’s responsibilities to the owner and/or architect during contract administration.

Answer 2

// the contractor must:

// not cut and patch or excavate without written consent of the owner

// provide the owner and architect access to the work

// indemnify and hold harmless the owner and architect for claims arising out of the work

// report in writing inconsistencies or omissions in contract documents to the owner and architect

// warrant to the owner and architect that the materials and equipment are of good quaity and that the work is free of defect and in conformance with the contract documents

Question 3

Must a release and waiver of lien rights be written?

Answer 3

// yes; both unconditional and conditional release and waivers must contain:

// the name and signature of the contractor, subcontractor, or material supplier

// the name of the owner

// the job site address

// the name of the payment, or in the case of conditional release and waiver the amount of check tendered. a conditional lien release becomes unconditional upon endorsement of the check

// in the case of an unconditional release, an acknowledgement in large type that lien rights are being given up

Question 4

Name four responsibilities of the architect during contract administration.

Answer 4

// observe the work for conformance with the drawings and specifications

// inform the owner of the progress of the work

// review shop rawings, product data, and samples

// review the results of testing and inspections

// evaluate contractor requirements for payment

// handle requirements for changes during construction

// address and resolve claims brought by the owner or contractor, unless the contract documents state otherwise

// administer the project completion and closeout process for the owner

Question 5

What is the extent of the architect’s authority during contract administration?

Answer 5

// the architect can reject work, but this can be overridden by the owner

// the architect can require inspection or testing of the work, whether or not the work is fabricated, installed, or completed

// the architect may not stop the work

Question 6

During a site visit you observe violations of OSHA safety regulations. What is your response?

Answer 6

// the architect should orally inform the contractor’s site superintendent during the site visit and make note of the violation in the field report

// the architect should not become directly involved or attempt to intervene in the contractor’s means and methods of constructing the work

Question 7

What is the method for resolving claims between the owner and contractor?

Answer 7

// the owner or contractor must submit claims with substantiation to the initial decision maker within 21 days of the claim arising

// the IDM must respond within 10 days with: a request for additional supporting data, approval or rejection, in writing, of the claim in whole or part, a suggestion of compromise, or advise parties that IDM is unable to resolve claim or it would be inappropriate to do so

// any communication between the owner and contractor regarding the claim must be through the IDM

Question 8

Describe the role of the architect with respect to disputes regarding interpretation of the contract documents.

Answer 8

// the architect interprets and decides matters of performance under, and the requirements of, the contract documents upon written request of either the owner or contractor

// the architect’s response must be in writing and within an agreed time frame or with reasonable promptness

// the architect’s interpretations shall be impartial and consistent with the intent of the contract documents

// the architect is not liable for effects of an interpretation or decision

// the architect’s interpretations and decisions regarding aesthetics shall be final

Question 9

Who is the initial decision maker?

Answer 9

// the initial decision maker is the person who makes the initial decisions on owner or contractor claims as a condition requisite to the initiation of mediation, arbitration, or litigation

// under aia document a201, general conditions of the contract for construction, the architect is the initial decision maker unless the owner and contractor designate someone else

Question 10

What is the difference between mediation, arbitration, and litigation?

Answer 10

// mediation is an attempt to resolve a claim prior to litigation through negotiation with the assistance of a neutral third party - the mediator. it is non-binding

// arbitration is an attempt to resolve a claim through a private judicial process with a neutral judge - the arbitrator. arbitration is usually shorter and less expensive than going to court, but the parties have less ability to gether and examine evidence. also, if the arbitration is binding, there is no right of appeal

// litigation: the parties resolve their dispute through a lawsuit brought in court

Question 11

Describe the three methods for changing the work during contract administration.

Answer 11

// change order: based on agreement among owner, contractor, and architect for a change in the work or scope, contract sum, or contract time

// construction change directive: based on an agreement between owner and architect for change in the work of scope, contract sum, and contract time. if the contractor disagrees with change in contract sum, the architect shall determine the basis for adjustment

// order for minor change in work: issued by the architect when the change will not affect the contract sum or contract time and is consistent with the intent of the contract documents

Question 12

What is an ASI?

Answer 12

// architect’s supplemental instructions

// ASIs are used by the architect to issue supplemental instruction or interpretations regarding the construction documents or to order minor changes in the work

Question 13

The owner is unhappy about the quality of the work and wants it replaced. What is the architect’s response?

Answer 13

// the architect should check to see if the work meets the material and installation standards set forth in the specifications and drawings

// if the work does not, the architect should reject it and require the contractor to reinstall it

// if it does meet the standards, then the architect will have to tell the owner that changing the work will require a change order or a construction change directive

Question 14

During construction, the owner decides to change the design of the building and/or install new equipment. How is this accomplished?

Answer 14

// submit an application for additional services since this is an owner directed change

// hold a coordination meeting with the contractor, owner, and applicable consultants to determine required adjustments to contract time and/or contract sum

// issue a change order or construction change directive as applicable based on the coordination meeting

Question 15

Describe the procedure the contractor must follow to submit an application for payment.

Answer 15

// at least 10 days prior to the established date of the progress payment, the contractor submits to the architect an itemized application for payment for operations completed in accordance with the schedule of values. the contractor must provide supporting documentation if required by the owner

// the contractor must warrant that the title to all newly completed work will pass to the owner upon receipt of the payment and that all previous work is free and clear of lien and encumbrances

// the owner may make presentation of lien releases a condition of approval if provided for in the contract

Question 16

What is the purpose of the schedule of values?

Answer 16

// the schedule of value apportions monetary value to each portion of the work

// substantiated as architect may require, it is used as the basis for reviewing the contractor’s application for payment

Question 17

Who reviews the contractor’s application for payment and when must this be done?

Answer 17

// the architect, within 7 days of receipt of the application of payment, must either issue to the owner, with a copy to the contractor, a certificate for payment for the amount the architect deems is due, or notify the owner and contract in writing the reasons for withholding certification in whole or part

// if the architect fails to issue a certificate of payment and/or the owner fails to make payment within 7 days of date due, the contractor may stop work upon giving 7 days written notice

Question 18

What is the effect of the architect issuing a certificate of payment?

Answer 18

// it means the architect certifies that:

// work has progressed to the point indicated in the application for payment and the quality of the work is in accordance with the contract documents, and the contractor is entitled to the amount certified

// it does not mean that the architect has:

// made exhaustive on site inspections

// reviewed construction means and methods

// reviewed requisitions from sub-contractors and suppliers to substantiate their right to payment

// made examinations to determine how the contractor has used money previously paid

Question 19

Name four reasons why the architect may reject the contractor’s application for payment in whole or in part.

Answer 19

// the contractor has failed to remedy defective work

// third party claims for defective work, unless the contractor provides security acceptable to the owner

// the contractor has failed to pay a sub-contractor

// there is reasonable evidence that work cannot be completed for the contract sum

// the contractor has caused damages to the owner or another contractor

// there is reasonable evidence the work will not be completed within the contract time and there is not enough money left on the contract to cover the cost of the day

// persistent failure to carry our work in accordance with the contract documents

Question 20

How can the owner determine whether a subcontractor has been paid by the contractor?

Answer 20

// the owner may request that the contractor submit subcontractor lien releases for previous work with the application for payment

// the owner may request written evidence from the contractor showing proper payments to subcontractors

// if the contractor fails to furnish the evidence within 7 days of the request, the owner may contact the subcontractors directly

// the contractor is required to pay the subcontractor within 7 days of receipt of payment

// if the owner has doubts about whether the contractor is paying the subcontractor, the owner may issue a joint check to the contractor and the subcontractor

Question 21

What documents must be the contractor submit with the application for final payment?

Answer 21

// the contractor must submit to the architect:

// a certificate for final payment

// an affidavit that payrolls, bills for materials and equipment and other indebtedness has been paid

// a certificate evidencing required insurance is in effect and will not be cancelled without 30 days prior notice

// a written statement that the contractor knows of no substantial reason why the insurance policies will not be renewed

// the consent of surety, if any, to final payment

// if required by owner, data establishing the satisfaction of obligations such as receipts and lien releases (the contractor may post a bond instead)

Question 22

Why is it advantageous for the owner to require the contractor to submit lien releases with applications for payment?

Answer 22

// when materialmen and subcontractors provide goods and services to a project, a mechanic’s lien is created by law on the owner’s property up to the value of the goods and services provided

// requiring materialmen and subcontractors to provide lien releases equivalent to the amount of paument they have previously received consititutes an acknowledgement by them that they have received payment in that amount from the contractor

// it is one method for the owner to ensure that the contractor is making payments to the materialmen and subcontractors during the course of construction

Question 23

What is substantial completion and why is important?

Answer 23

// substantial completion marks the stage at which the project is sufficiently complete such that the owner or tenant may occupy the work for its intended use

// the date of substantial completion triggers:

// the start of the contractor’s warranty period

// the start of the statute of limitations period for claims of professional negligence

// the end of contract time

Question 24

Describe the required procedures for the issuance of a certificate of substantial completion.

Answer 24

// when the contractor believes substantial completion has been reached, the contractor submits to the architect a comprehensive list of items to be completed or corrected prior to final payment

// the architect inspects the work and if any item would prevent occupancy of the work for its intended use, instructs the contractor to complete or correct that item prior to issuance of a certificate

// the architect then reinspects and prepares a certificate of substantial completion

// upon his or her acceptance of the certificate and the consent of the contractor’s surety, the owner pays the retainage, deducting for imcomplete work

Question 25

What should a certificate of substantial completion contain?

Answer 25

// a certificate of substantial completion should contain:

// the date of substantial completion

// the date for final completion of the work

// the respective responsibilities of the owner and contractor for security, maintenance, utilities, damage to the work, and apportion the cost of insurance during the period between substantial completion and final completion

Question 26

May an owner or tenant occupy the work after substantial completion?

Answer 26

// no

// although the building may be ready for occupancy, actual move in requires a certificate of occupancy and consent of the owner’s property insurer

Question 27

What does a notice of completion contain and who files it?

Answer 27

// a notice of completion is issued by the owner and contains:

// the completion date of the work

// the owner’s name address

// the nature of the owner’s legal interest in the property

// the name of the contractor

// it is filed in the county recorder’s office

Question 28

What is the effect of filing a notice of completion?

Answer 28

// the filing of a notice of completion in the county recorder’s office starts the time period to file a mechanic’s or stop notice lien

Question 29

Describe the procedures for determining final completion.

Answer 29

// the contractor gives written notice to the architect that the work is complete and ready for final inspection, and submits a final application for payment

// the architect performs final inspection confirming that the work is complete

// the architect issues a certificate for final payment stating that “to the best of architect’s knowledge, information and believe… the work is complete”

Question 30

What are the procedures for filing and enforcing a mechanics lien or a stop notice lien for a subcontractor?

Answer 30

// file a preliminary notice within 20 days of first involvement in the project with the owner, contractor, and construction lender

// record a notice of lien within 30 days of the owner’s filing of a notice of completion or notion of cessation and 20 subsequent continuous days of actual cessation of labor. otherwise, within 90 days after labor has ceased for 60 continuous days, or the owner’s use of the work, or the owner’s acceptance of the work

// file a foreclosure suit within 90 days of recordation of notice of lien and file a notice of lis pendens with the county recorder’s office

Question 31

What are the procedures for filing and enforcing a mechanics lien or a stop notice lien for a contractor or an architect?

Answer 31

// record a notice of lien within 60 days of a owner’s filing of a notice of completion or cessation. otherwise, within 90 days of the cessation of labor and the owner’s use of the work, or the owner’s acceptance of the work

// file a foreclosure suit within 90 days of recordation of a notice of lien and file a notice of lis pendens with the county recorder’s office

Question 32

What is the benefit to the owner of receiving preliminary notices?

Answer 32

// california requires subcontractors and material suppliers to send a preliminary notice wihin 20 days of the start of construction or first involvement with the project to preserve mechanic’s and stop notice lien rights in the event of non-payment

// the benefit to the owner is that he or she will know who is involved in the project and will have lien rights if not paid

// the owner can then take steps to ensure the subcontractors or material suppliers are paid

Question 33

The contractor’s installation of equipment does not meet the requirements of the California Building Code, but the owner wants to accept it to save time. What is your response?

Answer 33

// the owner may not accept work that does not meet the requirements of the california building code or other applicable laws, codes, or regulations

// the architect should inform the owner that the installation does not meet code requirements and must be rejected

Question 34

What is the minimum warranty period for construction in California?

Answer 34

// california law provides for a 4 year statute of limitation, measured from the date of substantial completion, within which to bring claims for patent (visible) construction defects

// for latent (hidden) defects, the statute of limitation is 10 years from the date of substatial completion

Question 35

Name six special inspections required by the California Building Code.

Answer 35

// the architect must provide an inspection program prior to the issuance of building permit for the following:

// structural field welding

// high-strength concrete

// structural bolts

// reinforcing steel

// structural masonry

// gyp-crete

// insulated concrete fill

// spray-applied fireproofing

// piling, drilled piers, and caissons

// shotcrete

// special grading, excavation, filling

Question 36

What constitutes periodic observation?

Answer 36

// the architect, as agent for owner, will visit the site at intervals appropriate to the stage of the contractor’s operations in order to:

// to become generally familar with the work and to keep the owner informed about the progress and quality of the work

// to report observed construction defects or deviations from the contract documents

// to determine in general if the work is being performed in a manner indicating that the work, when fully completed, will be in accordance with the contract documents

Question 37

How often is the architect required to make site visits during construction?

Answer 37

// the frequency of the architect’s visits should be appropriate to the stage of the construction

// there is no specified frequency for site visits; instead it is left to the architect’s professional judgement

// as a rule of thumb, a weekly visit will satisfy the requirements for most projects, but this should be adjusted to account for project complexities and schedule

Question 38

What is a site architect and when might one be required?

Answer 38

// the site architect provides dedicated contract administration services during construction administration as an additional service

// he or she works on the site full time observing the work and responding to submittals and RFIs

// a site architect is appropriate for complex projects requiring extensive coordination

Question 39

What information should a field report contain?

Answer 39

// a field report must be created for every visit to the site. its contents include:

// the date, time, weather, and temperature

// notes about project conditions, especially concering potential problems

// a site plan, annotated and keyed to the written report

// photographs documenting the condition of the work in progress