Source: https://specsandcodes.typepad.com/keynotes/construction/
Timestamp: 2019-04-20 02:21:32+00:00

Document:
As design professionals, we should all understand the importance of drawings and specifications in a set of construction documents—the differences between them, as well as their complementary nature. We know that drawings show the size and location of building elements, and usually the quantity. We also know that specifications establish the quality of the products, materials, and systems indicated on the drawings. In RLGA’s The Code Corner1, the subject of code-specific drawings was covered. This companion article addresses those code-related requirements that are typically provided in the specifications.
There are some requirements that may either be indicated on the drawings or in the specifications—a situation that demands close coordination so duplicate or, even worse, conflicting information is not provided.
The closest tie between the building code and specifications are the many standards that are referenced in the building code. But many specification sections, even those provided by master guide specification publishers, do not state a specific revision date of a referenced standard. On the other hand, the building code is very specific about which revision of a standard is referenced.
For example, the masonry section may specify that facing brick conform to ASTM C 216. According to ASTM International, the most current revision of ASTM C 216 was published in 2012 (ASTM C 216-12). However, when you look up ASTM C 216 in Chapter 25 of the 2012 edition of the International Building Code (IBC), you will find that the standard referenced is the 2007 revision—not the first revision of 2007, but the second revision, as identified by the lower case “a” (ASTM C 216-07a). Therefore, when complying with the code, the specific standards referenced in specifications need to be verified with the adopted building code. To ensure that correct editions of referenced standards are specified, there are a few methods that the specifier can employ.
The first is to review all specification sections and to insert the specific revision date used by the building code for each occurrence of a standard’s designation (See Figure 1). This can be very tedious and time consuming for the specifier—especially if he or she prepares specifications for projects in jurisdictions that have adopted various editions of a building code.
Figure 1 - One option is adding a date (highlighted) for a standard at each instance the standard is used in the specification text.
Another method is a slight modification of the first. The specifier could insert a “References” Article in PART 1 of each section that lists all the reference standards used within the section. In this Article, the revision dates can be added, thereby eliminating the need to add the revision dates to each occurrence within the section. Again, it is a little time consuming and requires modifications if different building codes are used. To simplify this process further, a statement can be used in lieu of a list of references and their applicable revision dates that point to the adopted codes as indicated in Division 01 or the drawings, as applicable (See Figure 2).
Figure 2 - Two alternatives to providing dates at each standard reference. The top example provides a "References" Article that lists all references used in the specification. Dates (highlighted) are only provided once. Note that the last standard does not have a date; this is because it is a standard not required by the building code and can be covered by a general statement in Division 01. The bottom example provides a blanket statement in a “References” Article that directs the reader to Division 01 or the drawings for a list of applicable codes; however, the drawings are the preferred location.
Finally, the best solution is to leave the specification sections as they are written (without dates), and address the revision dates in Division 01--specifically in Section 01 42 00 “References.” The “References” Section in many guide specifications usually states that publication dates for standards used are those in effect as of date of the Contract Documents. However, this may allow the use of revised standards not recognized by the adopted codes. To ensure complete compliance with applicable codes, a paragraph can be provided that clarifies how dates will be determined (See Figure 3).
Figure 3 - An example of paragraphs that can be added to Section 01 42 00 "References" that addresses dates for reference standards used throughout all sections within the specifications. The list of codes can be provided in this section or on the drawings; however, the drawings are the preferred location.
Closely tied to reference standards are the many products and materials regulated by the building code. Building codes incorporate requirements for building materials for purposes relating to load capacity, durability, energy efficiency, and combustibility, as well as a few others. But how you specify materials to comply with the building code really depends on the method used to specify.
For proprietary specifications, products and materials are selected by the design professional and are identified by product name, model number, trade name, or all of these. This is the easiest approach, and the design professional can almost guarantee that the product specified is the one that will be submitted and installed. But, proprietary specifying requires thorough research to ensure the product or material, if regulated by the code, is in compliance with it.
Since the building code uses reference standards, using the reference standard method of specifying provides a better chance of getting a product that complies with the code. Considering standards establish minimal thresholds for conformance, this opens the door to many products that may be unsuitable or not desired by the design team. However, the Construction Specifications Institute’s (CSI) Project Delivery Practice Guide states, “more than one [specifying] method may be necessary in the same specification.” Therefore, a semi-proprietary specification using reference standards, and possibly including some descriptive and performance requirements, as well as a list of acceptable manufacturers, might be the most likely method of complying with the code, which could still be able to limit the products or materials to those that are appropriate.
Research reports (sometimes called “evaluation reports”) are generally prepared by evaluation services associated with publishers of model building codes, or other approved agencies, and are available to help select products that the building official will approve as being in compliance with the building code. Code officials like these reports because they know that the products, which have evaluation reports and are used on a project, comply with the building code.
When the International Code Council (ICC) was formed and created its Evaluation Service (ICC-ES), the evaluation reports from all three former model codes were incorporated into and maintained by ICC-ES. Therefore, many of the reports found on the website are for the “legacy codes” and not specifically for the International Codes. On ICC-ES’s website, it states that all reports are considered valid, even if reexamination dates have passed. The ICC-ES will reexamine those reports as time permits and in accordance with their Rules of Procedure. Because of this, code officials may accept a report on a code other than the one adopted by the jurisdiction.
However, over-reliance on evaluation reports can hinder the product selection process—not all products regulated by the building code have an evaluation report prepared by ICC-ES. As an example, MasterSpec’s Section 09 29 00 “Gypsum Board” lists eight manufacturers of gypsum board in each of the three types (interior, exterior, and tile backing). But looking at ICC-ES’s website, you will find reports for only six manufacturers, and most of these are for specialty gypsum products. There is no requirement in the building code that states products must have evaluation reports. Using gypsum board as an example, the 2012 IBC only requires that the various types of gypsum board comply with the ASTM International standards listed in Table 2506.2. Therefore, the manufacturer should have test reports, from approved testing agencies, available for submission to the building official for approval in accordance with Section 1703.4.
There are times when the design professional is directed by code officials to place notations on drawings that logically should be located in the specifications. Whether right or wrong, the frequently provided reason is that plans examiners and building inspectors do not have the time to search for information in both the drawings and specifications. This is more of an excuse for not understanding the complementary nature of drawings and specifications—plus the available standards used to organize them—rather than a time issue.
However, burying code-related information in the documents does not help the situation. Coordinating the drawings and specifications through the use of reference keynotes, as described in Module 7 of the National CAD Standard and Uniform Drawing System (NCS-UDS), will help tie information shown on the drawings to a specification section2. Therefore, instead of indicating in some general note on the drawings that the roofing requires a Class B rating, you should use a reference keynote, such as “07 54 19.A01 - Roof Membrane”; this directs the user to Section 07 54 19 “Polyvinyl-Chloride Roofing,” where, in the “Quality Assurance” Article, you provide the requirements for exterior fire-test exposure.
Code compliance is not just a designer responsibility, nor is it just a specifier responsibility—it is both. As in any other aspect of preparing construction documents, compliance with the building code is something that needs to be coordinated between drawings and specifications. For the specifier, this requires an understanding of what building code is applicable to the project, what code compliance strategy the design team is taking (e.g. construction type, separated vs. nonseparated uses, etc.), and what products and materials will be used to comply with the code. Once these issues are understood, then the methods used to convey code compliance information through the specifications will require ongoing communication between designer and specifier.
1 See The Code Corner No. 40 “Construction Documents Revisited,” Summer 2012.
2 See Keynotes No. 3 “Drawing Notations,” Spring 2010.
You can see the light at the end of the tunnel. The project is nearing completion and you are looking forward to moving on to the next big project or taking a long, well-deserved vacation. However, do not start packing your suitcase just yet—there is much to be accomplished between now and the issuance of the final pay application. Whether you are the owner, architect, design consultant, contractor, subcontractor, or supplier, many tasks must be completed before the project can be officially closed out.
Project closeout is the period of construction that provides the systematic transition of the project to the owner until the cessation of all construction activity on the project site (except for any work associated with the correction period, discussed later). Project closeout can be as short as a week for very small projects to as long as three months or more for large, complex projects.
The closeout transition can be explained as a two-phase process: the pre-substantial completion phase and the post-substantial completion phase (See Figure 1).1 As the phase names imply, the pivotal point between the two phases is the date of substantial completion. Therefore, depending on the project, the project closeout process should be scheduled based on the scheduled date of substantial completion.
stage in the progress of the Work when the Work or designated portion thereof is sufficiently complete in accordance with the Contract Documents so that the Owner can occupy or utilize the Work for its intended use.
As the above provision alludes, substantial completion is not limited to a single date—multiple dates of substantial completion may be issued for various portions of the work. However, it is the final substantial completion date that is of significance to project closeout.
Contractually, the date of substantial completion establishes the point when the contract time ends. If the date of substantial completion is beyond the contract time, then the contractor may be subject to liquidated damages or penalties if provisions for those are in the contract. Conversely, if the contractor achieves substantial completion before the end of the contract time, the contractor may receive a bonus if a penalty/bonus clause exists in the contract.
According to AIA Document A201, the architect is the person who certifies the date of substantial completion. The contractor is required to notify the architect when the contractor believes that substantial completion has been, or will be, achieved. The architect will then conduct an inspection to verify that the work has, in fact, reached substantial completion. If the architect concurs with the contractor’s assessment, then the architect will prepare and distribute a Certificate of Substantial Completion that establishes the specific date, as well as other items, such as insurance and maintenance responsibilities, and a list of incomplete items.
At this point, the owner assumes responsibility for the work (unless otherwise stated in the Certificate of Substantial Completion) and is permitted to occupy the building.
The pre-substantial completion phase is the period of buildup to the eventual transition of the project from the contractor to the owner. During this phase the contractor retains full control of activities on the project site. Division 01 should specify the individual tasks that must be accomplished and the items that must be submitted by the contractor prior to establishing the date of substantial completion.
The initiation of this phase should be started on a date appropriate to the project that ensures sufficient time to complete required tasks.
Figure 1 - Diagram of the Project Closeout process. The closeout process starts on the date of the closeout meeting, which is based on the contractor’s scheduled substantial completion date. Majority of the closeout tasks occur within the Pre-Substantial Completion Phase. Owner assumes responsibility for the project after substantial completion, but contractor is required to complete punchlist items within the Post-Substantial Completion Phase. The scheduled substantial completion and the actual substantial completion may or may not be the same date.
The event that signals the beginning of the closeout process is the project closeout meeting. This meeting may be conducted by either the architect or contractor, but the timing of the meeting should be determined in the contract documents. In Division 01 “General Requirements” of the specifications, the meeting date should be determined by specifying the minimum number of days prior to the scheduled date for substantial completion the meeting should be held.
Procedures that must be accomplished prior to substantial completion, such as contractor’s preparation of list of incomplete items, or punchlist.
Starting, testing, and adjusting systems.
Procedures for commissioning, if applicable.
Preparation, submission, and review of record documents.
Preparation, submission, and review of operations and maintenance data.
Training of owner’s personnel on operation and maintenance of the facility.
Inspections by building and fire code officials and other authorities having jurisdiction (AHJs).
Procedures that must be accomplished prior to final completion.
Procedures for final change order, release of retainage, and final pay application certificate.
In essence, the closeout meeting is to make sure that everyone involved with the project—owner, architect, consultants, contractor, and subcontractors—knows the details and timing of closeout activities to assure a smooth transition.
During this phase of the closeout process, the contractor and its subcontractors need to startup all building systems and make any adjustments necessary to ensure proper operation. This may be part of a commissioning process if specified in the contract documents. The contractor should notify the architect when tests and system startups are scheduled so the appropriate design consultants can be present.
Any tests required by the contract documents and not performed during the regular course of construction should be accomplished at this time. If a test is associated with system startup, then the test should be accomplished following the startup in accordance with the manufacturer’s instructions. Tests should be conducted in sufficient time to allow performance of the test, analysis of results, preparation of reports, and distribution of reports prior to the date of substantial completion.
The owner must be capable of operating and maintaining the building once the owner occupies it; therefore, the owner should be properly trained. Demonstration and training can include anything from operating motor-operated roller shades to the complete heating, ventilating, and air conditioning system.
The demonstration and training should be provided for owner’s personnel who will have direct responsibility for the management of the facility and should be conducted by qualified trainers. Division 01 of specifications should establish requirements for demonstration and training.
Operation and Maintenance (O&M) data are a compilation of documents that usually consist of manufacturers’ printed manuals and instructions that explain how to operate and maintain the systems, equipment, and finishes installed on a project, and typically include manufacturers’ warranties. O&M data should be submitted by the contractor and approved by the architect before demonstration and training is conducted so the data can be used as training materials.
Format of the O&M data should be specified in Division 01 of the specifications. The format commonly submitted is a bound hardcopy, but electronic documents saved on CD-ROM or other media are rapidly becoming the norm.
…the Contractor shall prepare and submit to the Architect a comprehensive list of items to be completed or corrected prior to final payment. Failure to include an item on such list does not alter the responsibility of the Contractor to complete all Work in accordance with the Contract Documents.
Although contractors are assigned the task of preparing the punchlist, architects frequently assume responsibility for the preparation. Reasons why architects prepare punchlists vary from lack of detail in contractor-prepared punchlists to architects desire for greater control in the process. Regardless of the reason, the punchlist is the contractor’s “to-do list” that must be fully accomplished before final completion.
The General Conditions require the contractor to notify the architect when the project is ready for substantial completion. The architect and its consultants conduct an inspection that adds to the contractor’s punchlist. If the architect determines that substantial completion has been achieved, the punchlist becomes an attachment to the Certificate of Substantial Completion.
Sometimes called “as-built” documents, record documents are those documents submitted and turned over to the owner as a record of the construction during the closeout process. The term “as-built” is not appropriate for these documents as it gives the connotation that the documents indicate work as it was actually installed. The reality is that the documents convey the installed work to best of the contractor’s knowledge, since much of the information is provided by subcontractors.
Record documents may consist of marked up copies of the drawings and specifications, a complete set of submittals, all addenda and contract modifications, reports, and any other documents required by the contract documents. Division 01 of the specifications should identify the required record documents and the format. Like O&M data, record documents are increasingly being submitted in electronic form for ease of storage and retrieval.
If commissioning is required, whether it be systems and equipment commissioning or total project commissioning, then the activities for the commissioning process should begin during this phase of the project closeout. Commissioning is typically conducted by a third party (i.e. commissioning authority) hired by the owner.
The purpose for conducting commissioning during this phase is to determine if the building is ready for occupancy and identify deficiencies that may be added to the project’s punchlist. Commissioning activities may be integrated with starting, testing, and adjusting, as well as demonstration and training. Commissioning may also assist in verifying accuracy and completeness of O&M data.
One of the key elements in determining substantial completion is the approval of the project by authorities having jurisdiction (AHJ). The approval usually comes in the form of a certificate of occupancy for occupied buildings or a certificate of completion or equivalent for unoccupied structures or shell buildings. Without approval by the AHJ, the owner may not “occupy or utilize the Work for its intended use,” thus, the definition of substantial completion has not been met.
Other tasks that may be required prior to substantial completion may include the transfer of utilities to the owner, delivery of keys and cores to the owner, removal of temporary facilities, and general cleaning of the work. The contract documents may specify other tasks that must be accomplished in order for the architect to certify substantial completion.
Additionally, the contractor may request payment for work completed and release of retainage; however, a sufficient amount of money (either retainage, money for uncompleted work, or a combination of both) should be held by the owner to cover the cost of completing and correcting the remaining work if the contractor fails to do so.
Once the date of substantial completion has been certified by the architect, the project enters the next phase of closeout, which will take the project to final completion. At this point, most of the closeout activities have been accomplished. The owner has occupied, or is permitted to occupy, the building and typically assumes responsibility for its operation, maintenance, security, and insurance unless stated otherwise in the certificate of substantial completion.
The date of substantial completion also signifies the beginning of the correction period, which is typically one year per AIA Document A201. During the correction period the contractor is required to correct any deficiencies discovered. Also, the time periods indicated in project warranties also begin at this time.
The contractor’s main task during this phase of the project is to complete or correct the items identified on the punchlist. Since the owner typically assumes responsibility for the security of the project at substantial completion, the contractor may have to schedule access with the owner.
Since the period for correction and completion of items on the punchlist overlaps the correction period stated in the General Conditions, there may be a need to specify how deficiencies discovered between substantial completion and final completion are handled—they may be added to the punchlist to be corrected prior to final completion, or added as corrective work associated with the correction period.
The architect, after receiving the written notification from the contractor, will inspect the project to verify that all punchlist items have been addressed. Additionally, the architect should ensure that any remaining closeout submittals (e.g. extra materials, O&M manuals, record documents, etc.) have been submitted.
Upon completion of the final inspection and verification that the project is complete, the architect certifies the contractor’s application for payment. However, before the application for payment can be prepared and submitted by the contractor, final costs need to be determined.
Outstanding proposal requests and change order requests need to be incorporated into a final change order. Any claims in which a disagreement exists can remain open to be handled later through mediation, through arbitration, or in court.
Also included in the final change order are any final adjustments to allowances. Outstanding authorizations for allowances are determined and any unused funds are added to the change order as a credit to the owner.
Finally, the final change order may also adjust the contract time through requests for extension. If time extensions are approved, they must be included prior to any application of a penalty/bonus or liquidated damages clause. If penalties or liquidated damages are to be assessed, they need to be deducted from the final application for payment before certification by the architect. Likewise, any applicable bonuses need to be added to the application before certification.
After certifying the final application for payment, the architect will forward the certified application to the owner, who, in turn, makes payment within the time period required by the contract documents. When the contractor accepts the payment, then final completion is deemed achieved.
As the end of a project rapidly approaches, everyone on the project team is eager to wrap things up and move on to the next task at hand. The contractor may have reassigned the superintendent to another project that is starting up and replaced him or her with another individual with little knowledge of the project, or the contractor may have brought in a team that specializes in project closeouts. Regardless of who is on the jobsite, project closeout is not the time to relax enforcement of the contract documents. The provisions in the contract regarding project closeout should be closely followed to ensure a smooth and complete transition is accomplished.
Since this is the time when the owner assumes responsibility for the project, the architect should ensure that the owner is aware of its responsibilities and is regularly informed on the closeout progress. In addition to the demonstration and training activities, the owner or its representatives (e.g. facilities manager, maintenance team, etc.) can be invited to participate in other closeout activities such as the substantial completion inspection, final inspection, and commissioning.
This article provides an overview of the project closeout process, which is only a part of the architect’s role during construction contract administration. For more in-depth information on the project closeout process, refer to the Construction Specifications Institute’s Construction Contract Administration Practice Guide.
1 The two phases described in this article are not defined or utilized by standardized contract documents (e.g. AIA, EJCDC, ConsensuDOCS, etc.). The phases are used in this article solely for the purpose of categorizing closeout activities in relation to the date of substantial completion.
Everything we do throughout the day could not be accomplished without some form of communication, whether it is one way (e.g. radio and television) or two-way (e.g. email and conversations). Communication is a key element of daily living, and the construction process is no exception.
George Bernard Shaw once said, “The single biggest problem in communication is the illusion that it has taken place.” The essence of communication is that a message is transmitted, received, and understood. However, in some cases, a message is not understood by the recipient, but the transmitter assumes it was; thus the “breakdown in communication” begins.
An example of hearing what was said, but not understanding what was said, can be found in the classic baseball skit of Abbott and Costello, Who’s On First. In the skit, dialogue occurs between the two comedians, but neither one truly understands what the other is trying to say. In business, and specifically construction, miscommunication can lead to problems that can be costly for some or all parties.
Before getting too deep into the subject of communication, it should be clearly stated that there is a difference between communication and documentation. Communication may involve documentation, but documentation is not required to have good communication. However, the construction business relies heavily on documentation, because the construction business is a contractual arrangement. As in any agreement, the more you have in writing, the better you can defend your position should it fall into question.
Whether during design or during construction, communication is most effective when the four Cs are covered: clear, concise, complete, and correct. Each one should be considered if you are writing a letter, preparing an email, talking on the phone, or preparing a set of construction documents. Failure to do so can result in the message being misunderstood, either partially or completely. How well you communicate has an impact on how you are perceived by others. Thus, a poor communicator will either have their messages questioned or ignored completely.
The process of constructing a structure involves teamwork. Like teamwork on the sports playing field, communication is essential to integrate all players to achieve a win. The motivation of team players to have a successful outcome improves communication and further enhances teamwork. Thus, a good attitude is important to successful communication.
Although the above delivery methods incorporate different means of selecting the contractor, each utilizes the traditional tripartite relationship2 of owner, architect, and contractor, which will be the basis of this article and discussed in detail later.
Regardless of which delivery method is employed on a project, the content that is communicated and the method by which it is communicated between all parties involved remains the same—only the channels through which content is transmitted differ.
At the center of construction communication are the contract documents—the drawings, specifications, contracting requirements, and other documents defined in the agreement. The contract documents set the foundation for all construction communication. The contractual network within the traditional tripartite relationship is not the same as the communication network.
…the Owner and Contractor shall endeavor to communicate with each other through the Architect about matters arising out of or relating to the Contract.
The above requirement thus places the architect as the focal point as it relates to the communication network of a construction contract.
Communications by and with the Architect’s consultants shall be through the Architect. Communications by and with Subcontractors and material suppliers shall be through the Contractor. Communications by and with separate contractors shall be through the Owner.
In regard to the latter condition, permitted direct communication should be relegated to situations where direct communication will expedite the process and minimize the potential for misunderstanding. For example, allowing the mechanical engineer to speak directly with the mechanical subcontractor will likely benefit the project by putting together the two people who can carry on a dialogue on a technical subject matter without transmission through an intermediary. If decisions are made as a result of the direct communication, those decisions should be documented and copied to the necessary individuals.
The superintendent shall represent the Contractor, and communications given to the superintendent shall be as binding as if given to the Contractor.
Written notice shall be deemed to have been duly served if delivered in person to the individual, to a member of the firm or entity, or to an officer of the corporation for which it was intended; or if delivered at, or sent by registered or certified mail or by courier service providing proof of delivery to, the last business address known to the party giving notice.
So far, the discussion has addressed how important good communication is for teamwork and who can talk to whom according to the contract requirements. The next step is to identify the varieties of communication that can be used during the course of construction.
In very basic terms, there are two types of communication: verbal and nonverbal. Verbal communication involves the use of words, both written and spoken, to relay a message. On the other hand, nonverbal communication utilizes methods that do not involve words, such as signals, drawings, and symbols. Contract drawings utilize both methods: specifications and notes (verbal) and drawings (nonverbal). Even when we talk with others we use both types of communication: speech (verbal) and body language (nonverbal). Since this is not an article on drawings, it will focus only on the types of verbal communication. As previously mentioned, verbal communication includes written and spoken (i.e. oral) methods.
Can use inflection and nonverbal cues. Feeling can be easily expressed through speech by how it is spoken. Body language can further enhance the oral message.
Saves time and provides immediate feedback. Unlike written communication, which requires a somewhat rigid back-and-forth process, oral communication allows a more fluid dialogue.
Is typically less formal. With the exception of prepared speeches and scripted dialogue, oral communication is relatively informal and is not restricted by rigid formats other than common civil courtesy.
Can be confidential. Unless the conversation is being recorded, oral communication is limited to those present.
Can be misunderstood or misinterpreted. Oral communication is contingent upon the speaking skill of the speaker and the listening skill of the recipient.
Generally, there is no permanent record and messages are not easily retained. Unless the conversation is recorded, there is no exact account of what was said, and people tend to forget conversation details over time.
Not the best method for lengthy communications. Except for speeches or other presentations, most oral communications are dialogues consisting of short messages.
Provides a permanent record and can be used as evidence. The message written one day is the same message available weeks, months, and even years later.
Is less likely to be misunderstood or misinterpreted. Unlike oral communication, written communication can be reread until the message is understood.
Can be disseminated quickly and widely. In this technology-based society, the written communication can be sent to all parties in a timely manner.
Provides a permanent record and can be used as evidence. The advantage can be a disadvantage, too. In preparing documents, be judicious about what you place in the permanent record.
Requires some level of skill. Not everyone is a good writer.
§2.1.2 – 15 days after written request, furnish information for lien rights.
§2.2.1 – After written request and prior to commencement of construction, provide evidence of financial arrangements.
§2.2.4 – Furnish information with reasonable promptness.
§2.3 – Written order to Contractor to stop the Work.
§2.4 – Written notice to Contractor for failure to carry out the work.
§9.8.5 – Written acceptance of responsibilities in Certificate of Substantial Completion.
§10.2.8 – Written notification to Contractor of injury or damage.
§13.5.2 – Written notice to Architect to authorize additional testing and inspections.
§14.2.2 – Written notice to Contractor that the contract will be terminated for cause.
§14.3.1 – Written notice to Contractor that the contract will be suspended.
§14.4.2 – Written notice to Contractor that the contract will be terminated for convenience.
§15.1.2 – Written notice to Contractor of claim.
§3.2.2 – Report errors, inconsistencies, or omissions to Architect as an RFI.
§3.2.3 – Report nonconformities to laws, statutes, ordinances, codes, rules, and regulations in the Contract Documents.
§3.3.1 – Written notification to Owner and Architect that means, methods, methods, techniques, sequences, or procedures in the Contract Documents are not safe.
§3.7.4 – Provide notice to Owner and Architect for differing site conditions.
§3.7.5 – Notification to Owner and Architect of burial, archaeological, or wetlands encountered.
§3.9.2 – Written notification to Owner of proposed superintendent.
§3.10 – Submittal of schedule.
§3.12 – Submittal of Shop Drawings, Product Data, Samples, and other submittals.
§5.2.1 – Furnish to Owner names of subcontractors and major material suppliers.
§6.1.3 – Cooperation with Owner’s other contractors.
§6.2.2 – Report to Architect of defects in work of Owner’s other contractors if impacting Contractor.
§9.2 – Submittal of schedule of values.
§9.3.1 – Submittal of Applications for Payment.
§9.7 – Stop Work notification to Owner for nonpayment.
§9.8.2 – List of items to be completed or corrected.
§9.10.1 – Written notification for final inspection.
§10.2.8 – Written notification to Owner of injury or damage.
§10.3.1 – Written notification to Owner and Architect of hazardous materials encountered.
§13.5.1 – Timely notice to Architect of tests and inspections.
§14.1.3 – Written notification to Owner and Architect that Contractor will terminate the contract for cause.
§15.1.2 – Written notice to Owner of claim.
§3.7.4 – Written notification of negative finding to Owner and Contractor on differing site conditions.
§4.2.3 – Keep Owner reasonably informed about the progress and quality of the Work.
§4.2.7 – Take action on submittals.
§4.2.8 – Prepare Change Orders, Construction Change Directives, and minor changes.
§4.2.11 – Written interpretations on matters concerning performance and requirements from Owner and Contractor.
§4.2.14 – Respond to RFIs.
§9.4.1 – Written notification to Owner and Contractor with reasons for withholding payment.
§9.8.4 – Prepare Certificate of Substantial Completion.
§12.1.1 – Written request to Contractor to uncover work required to be inspected by the Contract Documents.
§12.1.2 – Request to Contractor to uncover work not required to be inspected by the Contract Documents.
01 10 00 – Summary: If the work is in an existing building, coordinating with occupants and notifying occupants about utility interruptions; and if multiple prime contractors are involved, coordinating with other contractors.
01 25 00 – Substitution Procedures: Preparing and reviewing substitution request packages.
01 26 00 – Contract Modification Procedures: Preparing contractor proposal requests.
01 29 00 – Payment Procedures: Preparing the schedule of values and applications for payment.
01 31 00 – Project Management and Coordination: Coordinating procedures, preparing RFIs, setting up and operating a project website, and conducting project meetings.
01 32 00 – Construction Progress Documentation: Preparing construction schedules, reports, and construction photographs and videos.
01 33 00 – Submittal Procedures: Preparing submittals.
01 77 00 – Closeout Procedures: Preparing list of incomplete items (punch list).
01 79 00 – Demonstration and Training: Training owner’s personnel on how to operate the building’s systems and equipment.
Although the contract documents establish minimal communication requirements, communication takes place at all times and under a variety of conditions. Communication tools and methods utilized during construction should be appropriate to those times and conditions. For example, you do not want to use a telephone conversation to issue a change order—the provisions of the contract must be enforced. Although there are many ways to communicate, construction communication is generally limited to basic tools and methods; however, as technology changes, the tools and methods will likely change, as well.
The next method is the informal meeting. These meetings are typically unscheduled and may be called to address a specific issue and probably occur more frequently than formal meetings. Attendees may consist of a group of individuals down to as small as two individuals. Informal meetings may not be scheduled at all, but occur out of happenstance, such as a conversation during a site visit. Informal meetings can be very beneficial for a project—they allow for immediate discussion that can result in a quick solution to an issue. However, decisions that are made or directions that are given during these informal meetings should always be followed up with some form of written communication. This is to make sure that there are no misunderstandings or misinterpretations of what was discussed.
Another common and traditional construction communication tool is the telephone. Telephone communications can fill the gap between written media and face-to-face dialogue—it is quick and can be used to accomplish a variety of tasks without having to travel to another location. The telephone conversation, like the informal meeting, can be used to discuss issues with possible immediate results, but it should also be documented if important decisions were made or instructions where given.
Reports are another tool that provides beneficial information for all members of the project team. Reports are used to record and convey information about the status or condition of the project or a portion of it. Reports may be generated by all members of the project team, such as field observation reports by architects, daily reports by contractors, or installation quality control reports by manufacturer representatives. The most important thing to remember about a report is that it be factual—conjecture, hearsay, and judgmental language have no purpose in a report. In cases where a picture explains the situation better than words, a photograph can be inserted into a report with a brief explanation and markups that highlight specific items (e.g. keynotes, clouds, etc.).
Reports, which document details that are typically lost over time, could be used as evidence. However, poorly prepared reports may be considered inadmissible as evidence. Once the quality of some reports are determined to be questionable, then the entire set of reports by the same individual are also called into question and may be considered unreliable, even if the remaining reports are actually good and accurate.
Growing at a rapid rate is the use of electronic communications during construction. Starting with faxes, the use of electronic communications has expanded to include email, text messaging, and, now, social media, such as Facebook, LinkedIn, and Twitter. Electronic communications can also include web-based software programs that provide full project management capabilities. Electronic communications are typically used in addition to other communication tools and methods. The main benefit of electronic communications is the ability to store and quickly retrieve documents. As with database systems, information can be searched in a fraction of the time it would take to search file folders and storage boxes. Like printed documents, electronic communications are subject to discovery4 and can be used as evidence.
Another method of construction communication does not happen within the team, but with the public. Used frequently on large public projects and sometimes on private projects, public communication allows people not associated with a project to be informed of the progress of the work. Since public projects involve public funding, citizens like to know how their tax dollars are being spent. Some projects, public or private, have a significant impact on the communities in which they are built. Keeping neighboring residents informed helps to soften the impact the dramatic changes may bring.
Communication tools that are used to keep the public informed can span the entire list presented in this article. Written communications, such as news articles and mailed flyers provide updates. Oral communications may include periodic meetings with residents and recorded updates that people can obtain through a phone call. A common tool used is the project website, where information and updates are posted on a regular basis. Some websites employ webcams that operate during the entire construction period to allow people to visually see the progress of the work.
The bottom line is that the construction process could not happen without communication. From the contract documents through all the phone calls, emails, and meetings, to the final application for payment, every member of the project team communicates at some time with another project team member. As a project team member, it is important to remember that other team members are relying on the information you provide. If you have information to provide, make sure it is timely and that it is communicated through the proper channels using the proper method or tool.
1 Introduction to Chapter 6, Construction Contract Administration Practice Guide, The Construction Specifications Institute.
2 The tripartite relationship is discussed in detail in Chapter 5 of CSI’s Project Delivery Practice Guide.
3 Although not pertinent to this article, it is important that the architect’s responsibilities in the contract documents be coordinated with the owner-architect agreement.
4 Discovery is a legal process where the parties on each side of a lawsuit seek information from the other side to uncover the facts about the case. Discovery is governed by state and court rules of evidence.

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