Domain 1: Project Records Flashcards
https://www.cram.com/flashcards/ccca-3-project-records-6987411
A. Identify the documents that are part of the contract.
B. Verify preconstruction submittals have been received and reviewed.
C. Advise team members on the proper use of contractual forms.
D. Organize and maintain complete project documentation.
E. Implement and maintain logs for recording documentation.
F. Evaluate project schedules for contract compliance.
G. Identify the scope of alternates and implications on other work.
H. Identify project performance measurement and cost adjustments.
Define construction documents
Defined as the written and graphic documents prepared or assembled by the A/E for communicating the project design for construction and administering the construction contract.
They are the documents that are a legal part of the contract and describe the work.
Contract documents are listed where?
listed and enumerated in the agreement; referred to in the conditions of the contract.
Contract documents consist of the following:
- contracting requirements - agreement, general and supplementary conditions, revisions and clarifications (also addenda)
- specifications
- contract drawings
What is included in the term “contracting requirements” as it relates to contract documents?
These include contracting forms (agreement) and conditions of the contract (general and supplementary) as well as revisions, clarifications, modifications such as addenda issued during procurement or change orders issued during course of work.
What are specifications?
- include specific written requirements for the work
- define the quality requirements for products, materials, and workmanship upon which the contract is based
- establish requirements for administration and performance
- generally written for each work result as sections and organized by divisions using MasterFormat
Which is preferred; drawings or plans, and why?
As the graphic documents usually contain more than plan views, the preferred term is drawings rather than plans.
What do drawings show?
They show the quantitative extent and relationships of elements to one another.
Drawings illustrate: relationships between elements, size, locations, dimensions, quantities, shapes, form and assemblies.
What are resource drawings and when are they furnished?
- generally show existing conditions such as roads, buildings, and current construction circumstances
- furnished during procurement stage and for reference ONLY (they are NOT contract documents).
True or False:
Resource drawings, such as owner furnished and installed equipment that requires utility rough-in locations or attachment requirements, are considered contract documents.
False
Contract drawings should compliment the specifications
compliment
Drawings prepared by manufacturers, suppliers, subcontractors, and contractors to illustrate a portion of the work and show compliance with the contract documents.
shop drawings
True or False:
Shop drawings are contract documents.
False:
shop drawings do not waive requirements of the contract documents; they show compliance with contract documents
True or False:
Coordination drawings, since they help determine how elements will actually fit in the space available, are considered contract documents.
False
regardless of submission or approval by the A/E
What are “record drawings”?
- permanent record of actual conditions of completed work
- contractor marks up contract drawings to indicate changes and field conditions
- most common information required on record drawings are concealed conditions and utility locations
How are record drawings submitted?
through the A/E to the owner as a permanent record of the actual conditions of the completed work.
What is the term used to describe the written description of the work?
Specifications
Who prepares the specifications?
A/E
True or False:
The specifications may be simple notes on a drawing or more detailed descriptions bound in the project manual.
True.
Masterformat divisions
01 general requirements
2-19 facility construction
20-29 facility services
30-39 site and infrastructure
40-49 process equipment
How many divisions are in MasterFormat?
50
What are “pre-contract revisions”?
revisions made prior to signing the agreement
What are addenda?
written or graphic information issued to clarify, revise, add to, or delete information in the original procurement documents (or in previous addenda).
What are contract modifications?
Contract modifications include modifications after the construction agreement has been signed and may include additions to, deletions from, or modifications of the work to be done.
What are three ways to modify the contract?
change order
change directive
minor change
What documents are used in construction?
- owner-A/E agreement
- owner-contractor agreement
- conditions of the contract
- specifications
- drawings
- bid form or proposal
- Pre-contract revisions (includes addenda)
- Notice to Proceed
- Contract Modifications (includes change orders)
There are many different kinds of owner-contractor agreements. What are the characterized by?
- project delivery method
- number of contracts
- basis of payment
The owner-contractor agreement typically includes articles relating to:
- contract documents
- contract time
- contract price
- payment procedures
What is included in the owner-contractor agreement regarding time?
start and completion dates or allotted calendar days for the project.
What is included in the owner-contractor agreement regarding contract price?
- basis on which applications for payment will be made.
- includes unit prices, allowances, accepted alternates
What is included in the owner-contractor agreement regarding payment procedures?
- identify when contractor will submit applications for payment and when payment by owner to contractor will be made.
- includes provisions for retainage
What are included in conditions of the contract?
- include general conditions, supplemental conditions
- identify basic rights, procedural and contractual responsibilities, and relationships between parties involved in performance of contract
What identifies the basic rights and responsibilities of the parties involved in the performance of the contract?
conditions of the contract.
What is specified in Division 01-General Requirements?
- administrative requirements
- procedural requirements
- temporary facilities and controls
The A/E performs CCA and periodically visits the construction site to:
- ascertain progress and quality of work
- inform owner of known deviations from contract documents and deficiencies/defects observed in work
- keep owner informed of progress of work
- conduct inspections to determine dates for substantial and final completion
What two components make up the A/E’s record of site visits?
- communications
- site observations
For whose benefit are site reports completed by the A/E?
for the benefit of the A/E, and may be used as a means of communication with the owner and the contractor
True or False:
No objection to a documented discussion means acceptance.
True.
Whose role is project management versus construction contract administration?
contractor = pm; A/E or owner = CCA
Who is responsible for safety reports?
Contractor (or project manager)
What can data provided by project records be used for?
- establish legitimacy of claims
- create history for contractor/owner
- record information for future projects
- document tests and inspections
Pre-construction submittals may include:
- certificates of insurance
- performance bonds
- proposed subcontractor list
- preliminary construction schedules
- proposed use of site (logistics)
- erosion control plan
- pollution control plan
- traffic control plan
Generally, no work begins until ____.
required pre-construction submittals have been submitted by the contractor AND reviewed by the A/E and owner. Contractor must receive the notice to proceed.
True or False:
The contract documents may require the submittal schedule to be incorporated into the construction progress schedule.
True
In most instances, materials and equipment cannot be ordered or fabricated prior to _____.
receiving approval from the A/E during the submittal review process.
What are the steps in the review process for submittals?
- preparation
- submittal
- review
- return to the contractor
True or False:
The A/E reviews the contractor’s construction progress schedule and approves it or requests revisions.
False
The A/E reviews the contractor’s construction progress schedule only to see that it generally complies to the contract requirements (not to “approve” it).
What governs the degree of detail specified for the construction progress schedule?
- type of project delivery
- extent of the project
- the contract
Who is responsible for preparing a submittal schedule?
The contractor
Who is responsible for preparing a construction progress schedule?
Contractor
3 common schedule formats
- Milestone Chart
- Bar Chart (a.k.a. Gantt Chart)
- CPM Schedule (Critical Path Method)
Name the two types of schedule formats used on most projects.
Gantt charts and milestone charts
Who determines whether the schedule meets the owner’s requirements and expectations?
Owner
Each item that requires submittal preparation, review, and approval is included on the overall program schedule and in more detail on the submittal schedule.
overall program schedule; submittal schedule
It is helpful to submit an updated schedule with the month’s ___.
application for payment.
What is a “Recovery Schedule”?
The schedule that depicts actions and special efforts required to recover lost time in the original Master Schedule.
What is the most common scheduling technique?
CPM (critical path method)
What is the critical path method (CPM)?
A critical path schedule identifies those tasks whose completion dates cannot slip without affecting the completion date of the project.
Using the Critical Path Method, if the completion date is later than the contract completion date, the contractor needs to consider options. What are some of these options?
- overtime
- double-shifts
- more crew members
- sequencing changes
Define “float”?
Float is the amount of extra time available to an activity when all activities begin as early as possible.
Define “free float”?
Free Float is the amount of time an activity can be delayed without delaying the early start date of its successor.
Define “total float.”
Total float is the accumulation of the entire free float in a project.
What document may stipulate who owns project float for a project?
- Conditions of the Contract
- Division 01
Who should be constantly evaluating tasks on the critical path?
contractor and owner
True or False:
Contract completion and contract time are the same thing.
False
Contract time can be measured by:
working days or calendar days
Contract time is initiated by what methods?
- last party signs contract
- owner issues notice to proceed
When does Contract Time end and Contract Completion occur?
Contract time ends at substantial completion. Contract Completion is normally when all punch list items have been completed as verified by final inspection and the contractor has received final payment.
According to the CCCA practice guide, what speeds up the documentation and written communication processes, and helps to avoid misunderstandings?
standardized forms
List three types of submittals.
- preconstruction submittals
- construction submittals
- project closeout submittals
True or False:
Submittals are not contract documents.
True
Submittals are not to be used by the contractor or the A/E to ___.
modify the contract
True or False:
A request for a substitution is a type of submittal.
False
Where are administrative and procedural requirements governing submittals during the construction stage contained?
Conditions of the Contract and Division 01-General Requirements
Standard general conditions require the contractor to prepare, review, and forward submittals to the A/E.
submittals
What document clarifies the A/E’s role in using professional judgement to review, approve, or take other action on submittals?
Conditions of the Contract
Where is review time of submittals by the A/E stipulated?
Division 01
No work should begin until ___.
required pre-construction submittals have been submitted by contractor and reviewed by A/E and owner.
What are pre-construction submittals?
submittals that are submitted AFTER notice to proceed and BEFORE beginning the work.
What are some examples of pre-construction submittals?
- certificates of insurance
- payment and performance bonds
- preliminary construction progress schedule
- submittal schedule
- erosion control plan
- pollution control plan
- traffic control plan
- sustainable project action plan
What action submittals are processed during construction stage of a project?
- shop drawings
- product data
- samples
Give some examples of QA/QC submittals.
- Design Data
- Test Reports
- Certificates
- Manufacturer’s Instructions
- Manufacturer’s Field Reports
Give examples of closeout submittals.
- O&M data
- Bonds
- Warranties
- Record Documents
- Maintenance Material Submittals
- Spare Parts
- Extra Stock Materials
- Tools
Approval of submittals does not relieve the contractor of ___.
the contractor’s responsibility to fulfill the contract requirements.
What is the difference between product data and shop drawings?
product data is standardized information that illustrates appearance, size and other characteristics of materials or equipment, while shop drawings are diagrams and instructions used as an aid to the contractor for integrating the item into the construction.
What establishes the type and number of samples and color selection submittals required for the project?
the specifications
Assembling the color samples is the responsibility of ___.
the contractor
Regarding color samples, the contractor is responsible for verify samples comply with contract requirements and forward to A/E, while the A/E is responsible for obtain approval from owner as required.
contractor - verify samples comply with contract requirements and forward to A/E
A/E - responsibility to obtain approval from owner as required
What is the name of submittals that do not require responsive action by the A/E?
Informational Submittals
Certificates may be required to certify:
- quality of materials
- quality of fabrication
- quality of installation
Failure to follow the manufacturer’s instructions could:
- transfer liability to installer
- grounds for rejecting work
- void warranty
Qualification Statements are used by A/E to determine that the company and the individual doing the work is qualified.
A/E
True or False:
The A/E should review construction photographs to become familiar with the visual record of the project.
False
What closeout and maintenance submittals are required?
- O&M data
- Bonds
- Special Warranties
- Record Documents
- Spare Parts and Extra Stock
- Keying
Submittals are reviewed and approved by the contractor to ensure that contract document requirements have been met, to check dimensions, and to coordinate with subcontractors.
- contract document requirements;
- check dimensions;
- coordinate with subcontractors
If the A/E reviews incomplete submittals, they are ____.
accepting unnecessary risk
Once approved by the contractor, submittals are sent to the A/E for review and processing. The A/E’s review is limited to ___.
determining whether the submittal is consistent with the design intent indicated in the contract documents.
What are the different actions taken when reviewing submittals?
- approved
- approved as noted
- revise and resubmit
- rejected
- no action taken or required (for informational submittals)
- not required for review (not required by contract documents and HAS NOT BEEN reviewed by A/E)
What should an A/E do with incomplete submittals that the contractor submits?
return without further review; add a request to resubmit when complete.
When bundled packages are submitted, whose responsible for prioritizing the items?
contractor’s responsibility to prioritize these items in order to assist A/E in ordering the review and return to best meet the project schedule needs.
The language on the submittal stamp used by the contractor should indicate that the contractor has _____
- reviewed submittal
- verified dimensions
- coordinated requirements of item with overall project
- determined that submittal complies with contract documents
True or False:
The owner is responsible for using a transmittal form, allowing the A/E to comply with contractual obligations and responsibilities, and following project requirements.
True
Submittals should be:
- complete and accurate
- conform to special regulations
- consistent with project conditions
Submittal should be prepared, submitted, and reviewed in a timely manner according to the approved submittal schedule and the current construction progress schedule.
the approved submittal schedule and the current construction progress schedule
Procedures applicable to substitutions proposed AFTER execution of the agreement are described in ___.
Division 01
Charges for A/E services to evaluate substitutions initiated by the contractor and to make subsequent revisions to drawings and specifications should be addressed in what document?
the owner-A/E agreement AND the supplementary conditions OR Division 01-General Requirements.
What are some reasons to NOT consider a substitution?
- made as an RFI
- indicated or implied on shop drawings, product data submittals, or as samples without prior formal request being submitted
- hasn’t been reviewed or approved by contractor
- acceptance requires substantial revision to the contract documents (unless costs will be reimbursed)
- does not include itemized comparison of substitute with specified product
The owner may encourage the contractor to propose alternatives during the course of construction to reduce costs and evaluate alternative products and systems.
propose alternatives during the course of construction
Substitutions may only be made if ____.
owner consents and A/E evaluates
True or False:
True value analysis allows the use of substitute products or processes to reduce construction cost or time without reducing quality, maintenance or replacement costs.
True
The reasons for considering substitutions during construction are:
- owner-initiated
- contractor-initiated
- contractor-initiated as low-bid substitution
- product is unavailable
The first and foremost consideration of a substitution is ___.
whether or not the proposed substitution meets the requirements of the contract documents.
Who is required to show equivalency of a substituted product to the specified product?
the one who requests the substitution.
The product representative may be a valuable source of information regarding substituted products. What can they tell you about a product?
What a product can and cannot do.
Who is the ultimate judge for substitution requests?
A/E
Most standard general conditions state that the date of substantial completion is the date established by the A/E when the project is sufficiently complete to permit the owner to use for its intended purpose.
substantial completion; A/E
At substantial completion, the owner (or FM) typically assumes responsibility for:
- maintenance
- utilities
- security
- property insurance
- liability
When does the one-year correction period begin?
At substantial completion.
What is true of both the specified product, and the product which is accepted as a substitution?
On principle, it is considered the same liability.
The facility manager is responsible for collecting and distributing documents to AHJs, including the following:
- bonds
- easements
- emergency plans
- certificates of occupancy
- certificates of inspection
- signed-off permits
- permit review documents
Project must meet intended purpose and be approved by AHJs to be “substantially complete.”
intended purpose; AHJs
How long should signed-off permits be kept?
indefinitely
What is a punch list?
prepared by the contractor. A list of items to be corrected or completed, usually expanded by the architect based on a detailed inspection of the work prior to substantial completion.
Initial punch list is prepared by the contractor. When is it prepared?
prior to requesting substantial completion
Who makes the “final” punch list?
contractor first make it; then the A/E makes a supplemental punch list. These two lists combined are the final punch list.
Standard general conditions require the final punch list to be attached to ___.
the certificate of substantial completion.
Most standard general conditions require the A/E to conduct an inspection to determine whether the project is ____.
substantial and final completion
Who notifies that the project is substantially complete?
the contractor notifies the A/E and owner.
What is the difference between the initial punch list and the final punch list?
Initial punch list is contractor submitting list of incomplete work. Final punch list is this list and the A/E’s supplemental list.
Who prepares the certificate of substantial completion?
A/E
Where is the time limit for the contractor to complete outstanding items of work listed?
on the certificate of substantial completion
What is the procedure established if the contractor fails to correct outstanding work? Which document establishes this procedure?
A/E sends written notice to contractor
- A/E gives contractor specified time to complete work
- Owner withholds payment to contractor
- Owner may terminate contract if nonconforming work is not corrected
Procedure established in Conditions of the Contract
True or False:
If the contractor fails to complete the work, the owner has the right to have the work completed by others.
True
True or False:
If the contractor fails to complete the work, the owner has the right to have the work completed by others and can make a claim against the contractor for the difference of cost and the funds withheld from the contractor.
True
Retainage is intended to give the contractor and subcontractors ___.
an incentive to complete punch list items in a timely manner and to protect the owner from liens filed by subcontractors or workers.
What is retainage?
Owner retains a percentage of each progress payment until the project is completed.
True or False:
Retainage held after the date of substantial completion is typically greater than the value of the work remaining to be completed.
True
When is “contract completion”?
When all punch list items have been completed as verified by a final inspection and the contractor has received final payment.
What is the default to be used—calendar or business days?
calendar days
True or False:
A closeout meeting may be arranged by the A/E, or they can be discussed at a regular project meeting.
True
When does final completion occur?
Final completion occurs when the contractor has completed the contract requirements, the A/E has inspected to determine completion, the owner has made final payment to the contractor, and the contractor has accepted final payment.
At or near completion for a project a number of submittals are processed. Requirements for these submittals are included in the ____.
contract AND Division 01 of the specifications
What is the contractor responsible for regarding record documents.
must keep record documents at the project site; this is primarily for the contractor’s own use–but is also for submission to the owner at project closeout.
What record documents are submitted by the contractor to the owner at project closeout?
- record drawings
- record submittals
- record project manual
- start-up logs
Record drawings should include contract modifications, such as ___.
addenda, change orders, change directives, and minor changes to the work.
What drawings should identify and locate any existing buried or concealed items that were encountered during the project?
record drawings
Record drawings are submitted how?
through the A/E to the owner
True or False:
The project manual should not be revised to include modifications.
False.
What document requires record documents?. General Conditions. Where are procedures for record documents specified?. Division 01
General Conditions require; Division 01 specify
Where are record documents kept?
field office
What is the difference between measurement and payment?
Measurement - quantify amount of work eligible for payment.
Payment - disbursement of money proportionate to that quantity of work.
What is the schedule of values a basis for under stipulated sum contracts?
Estimating percentage payments for partially completed work.
True or False:
Under unit price contracts, measurement means verifying the quantities of work submitted for payment based on unit prices.
True
There are three methods of measuring the amount of work eligible for payment. What are they?
- stipulated sum contracts
- unit price contracts
- cost+fee contracts
What establishes values for progress payments under cost + fee contracts?
- receipts for material and equipment
- payroll records
When payment for stored materials is allowed, who ascertains that materials are properly stored in contractually designated areas?
A/E does this in order to certify/recommend requested payment by the contractor
True or False:
Alternates should be clearly delineated in the specifications, but should not be addressed on the drawings in order to avoid confusion during the bidding process.
False;
Alternates should be clearly delineated on the drawings as well as addressed appropriately in the specifications.
True or False:
Alternate prices are generally accepted as competitive market prices for additional work.
False.
If an alternate is not fully documented, the contractor must account for unknown factors by including additional funds in the alternate price to safeguard against financial loss. For this reason, the alternate prices may NOT be truly competitive market prices for the additional work.
Generally, no work should begin until ___.
required pre-construction submittals have been submitted by the contractor AND reviewed by the A/E AND Owner.
Construction documents are defined as the written and graphic documents prepared or assembled by the A/E for communicating the project design for construction and administering the construction contract.
A/E
Contract documents include:
- Contracting Forms (Agreement)
- Conditions of the Contract (general and supplementary conditions, or owner-furnished general or special conditions)
- Addenda, Revisions, Clarifications, and Modifications
- Contract Drawings and Specifications
True or False:
Specifications show the quantitative extent and relationships of elements to one another.
False
Drawings do this. Specifications describe QUALITY.
What usually illustrates proposed details and techniques to show compliance with the contract documents?
shop drawings
True or False:
Addenda are written or graphic information issued to clarify, revise, add to, or delete information in the original procurement documents or in previous addenda.
True
Modifications after the construction agreement has been signed and may include additions to, deletions from, or modifications of the work to be done are accomplished by change orders, change directives, and ____.
architect’s supplemental instructions
Most standard owner-A/E agreements and conditions of the contract indicate that the A/E will perform CCA and will periodically visit the construction site to:
- ascertain progress and quality of the work
- keep the owner informed of the progress of the work
- conduct inspections to determine the dates for substantial and final completion
- inform the owner of known deviations from the contract documents and defects and deficiencies observed in the work
What records serve as an aid in future recollection of construction activity?
documentation created by CCA
A/E’s record of site visits are for the benefit of ___.
A/E
A submittal schedule is a valuable component of a ___.
construction progress schedule;
coordinate submittal schedule with construction progress schedule.
True or False:
Contractor is responsible for preparing a construction progress schedule that shows the estimated start and completion dates of the major activities of the construction process.
True
The Owner determines whether the schedule meets the owner’s requirements and expectations.
Owner
