04 Managing Construction Phase - June 2002

Managing the Construction Phase A Guide for Project Administration Contents A Guide for Project Administration...1 Contents...1 Introduction to Construction Phase...4 Construction Start

Managing the

Construction Phase

A Guide for Project Administration

Contents

A Guide for Project Administration 1

Contents 1

Introduction to Construction Phase 4

Construction Start-Up Activities 5

Approving Contractor Schedules 5

The Construction Schedule 5

The Initial Schedule of Values 7

Conducting the Pre-Construction Meeting 10

Notifying Meeting Participants 10

Setting the Agenda 10

Obtaining and Checking Permits 18

Obtaining a State Building Permit 18

Obtaining an NPDES Permit 31

Daily Activities 32

Weekly Activities 34

Administering Progress Meetings 34

Preparing the Agenda 34

Preparing and Distributing Meeting Minutes 35

About Coordination Meetings 36

Coordination Drawings and Shop Drawings 36

Monthly Activities 37

Approving Contractor Pay Applications 37

Timing 40

Components of the Pay Application 40

Reasons to Reject a Pay Application 52

The Final Pay Application 56

Approving Updated Construction Schedules 58

Ongoing Activities 59

Managing Project Changes 59

Reasons for Change 59

Processes for Making Changes 59

Approving Shop Drawings 65

About Shop Drawings 65

Approval Requirements 65

Figures

1 Initial Schedule of Values

2 Pre-Construction Meeting Notification

3 Contractor Information Sheet

4 Ohio Application for Plan Approval

5 Worksheet for Fees to Be Paid

6 Plumbing Fee Schedule

7a–d Contractor Pay Application:

Cover Sheet Contract Cost Breakdown and Partial Payment Sheet Summary of Change Orders Sheet

Schedule of Values

8 Notice of Fixed Retainage Amount

9 Certification of Material Stored At Site

10 Certification of Material Stored Off Site

11 Pay Application Rejection Letter

Charts

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Changes to Managing the Construction Phase

Revision 2, June 2002

Changes made as part of this revision appear with a in the margin

Industrial Compliance’s recommendation that UC applicants use the University’s credit card to pay building permit fees associated with smaller projects

2

Introduction to Construction Phase

The construction phase encompasses all activities between the Contractor’s receipt of the Notice to Proceed and the completion of construction (Project acceptance and closeout activities will be covered in a future

communication.) This chapter presents Project Administration’s activities during the construction phase according to their usual timing and frequency:

Construction Start-Up Activities

Construction start-up activities for the Associate Architect

or Project Administrator (as applicable for the project) include the following:

from the State, and ensuring that Contractors have obtained any required permits from local authorities

Approving Contractor Schedules

Both the Project Administrator and the Associate (if the project uses an Associate) must review and approve two types of Contractor schedules:

The Construction Schedule

The Lead Contractor must submit an initial Construction Schedule to the Associate Architect (or directly to the Project Administrator, if the project does not use an Associate)

To develop this Construction Schedule, the Lead Contractor must obtain input from all prime Contractors on the project.The Construction Schedule can then be developed to reflectall Contractors’ activities and milestones

All the prime Contractors must sign the Construction Schedule before it is submitted to the Associate or Project Administrator Signatures indicate the Contractors’

agreement that the milestones and contract completion date can be met as shown on the schedule

The initial Construction Schedule must show completion of the contract by the date specified in the Notice to Proceed

The Construction Schedule will change as the project movesforward The Lead Contractor must monitor overall

construction progress against the schedule and make revisions as necessary, providing an updated Construction Schedule to the Associate or Project Administrator at least once monthly (see “Approving Updated Construction

Schedules”)

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Requirements for Construction Schedules

The following sections present an overview of requirements for the presentation and content of Construction Schedules.More detailed information can be found in the cited sections

of the University’s Front-End Specifications (General Conditions), which are provided to all Contractors and

Requirements for Construction Schedules are detailed in theproject’s General Conditions (Article 4.3, “Construction Schedule”) The Project Administrator must become familiar with this section of the specifications

The Initial Schedule of Values

The Contract Cost Breakdown and Partial Payment

“Contractor Payment”, of the project’s General Conditions The Schedule of Values sheet is used to break the

Contractor’s project responsibilities into individual, level items of work (Depending on the size of the project, the Construction Schedule may provide further work

high-breakdown.)

At project startup, each prime Contractor submits a Schedule of Values with only columns 8a–8e completed:

Contractor’s scope

material

The Associate (if applicable) and the Project Administrator must approve the Schedule of Values before the Contractor will be paid The Project Administrator’s and Associate’s signatures confirm their agreement with the Contractor’s cost breakdown for the project

Schedule of Values as part of each scheduled payment request These submittals show the Contractor’s costs for the pay period indicated When approving a pay

application, the Project Administrator (and Associate, if applicable) must confirm the Contractor’s statements

regarding the percentage of work that is complete See thesection “Approving Contractor Pay Applications”

Figure 1 on the following page shows a Contractor’s initial Schedule of Values

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Figure 1: Initial Schedule of Values

Conducting the Pre-Construction Meeting

Before construction begins, the Project Administrator must schedule and conduct an initial meeting of all prime

Contractors and the Associate Architect (if the project uses

an Associate)

This pre-construction meeting should have the following objectives:

Notifying Meeting Participants

Once a date has been set for the pre-construction meeting, the Project Administrator or a support staff member should prepare a meeting notification and distribute it to all

Contractors and the Associate A template for the construction meeting notification appears on the following page as Figure 2

pre-Setting the Agenda

The sections that follow present typical discussion topics for

a pre-construction meeting Depending on the project, all

or a portion of these topics may need to be included on the agenda The list is not necessarily all-inclusive

Introduction

The meeting can help establish an atmosphere of teamworkand cooperation among the University, Associate, and Contractor personnel who will work on the project The Project Administrator can begin the meeting by having all

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attendees introduce themselves A sign-in sheet should be circulated during the meeting to record attendance

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Figure 2: Pre-Construction Meeting Notification

University of Cincinnati Office of the University Architect Department of Construction Management

PO Box 210181 Cincinnati, Ohio 45221-0181

Preconstruction Meeting Notification

Project Number

Date of Meeting

Location of Meeting

Time of Meeting

Associate

Contact Person & Phone Number

University Contact

Amount of Project $

Type of Construction Project (New, Renovation or Addition)

s:\shareall\forms\cm\pre-con.doc 4/15/96

The Project Administrator or Associate should distribute the Contractor Information Sheet (Figure 3) to all Contractors in attendance This form provides a record of telephone

numbers and other contact information for each Contractor working on the project Contractors should be instructed to return their completed forms to the Project Administrator or Associate, as applicable

Project Status

Early in the meeting, the Project Administrator or Associate should review general issues related to project status Among others, these include:

Contractor and Associate responsibilities in this area

Coordination

This topic refers to how Contractors conduct their work whenever an item requires coordination of duties among two or more Contractors Issues to discuss include:

Contractors

documenting minor changes to the work

Note: See “Ongoing Activities” for more information about the RFI

process

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Figure 3: Contractor Information Sheet

Site Issues

Site issues include all of the following, as applicable to the project:

planning/notifications

any building once the building’s heating/ventilation/air conditioning [HVAC] system is operational)

Construction Issues

Construction issues include the following:

meetings Contractor superintendents and the Associateare required to attend

Contractors’ employees and subcontractors

information on the regular progress meeting

Contractual Issues

Contractual issues include the following:

of Values

more information on the pay application; see the sections

“Approving Contractor Schedules” and “Approving

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Contractor Pay Applications” for more information on the Schedule of Values

Obtaining and Checking Permits

Various state and local permits must be secured in preparation for construction The General Conditions (Front-End Specifications) define the responsibilities of the

Associate, the Project Administrator, and the Contractor regarding permits

If a project uses an Associate Architect, he or she (as the

State building permits and National Pollutant Discharge Elimination System (NPDES) permits, described below On projects not using an Associate, the Project Administrator

secure these permits

The Contractor must obtain any permits required by local jurisdictions, unless the Contract Documents state

otherwise The Contractor also must pay the cost to obtain local permits The Associate or Project Administrator, as applicable, must confirm that the lead Contractor has obtained all permits for which it is responsible

Obtaining a State Building Permit

The project’s Owner (or Owner’s designated agent) must apply for and obtain required general building permits from the State of Ohio State building permits are issued by the Division of Industrial Compliance, Ohio Department of Commerce (the “Division”) The Division prefers that applications be completed by the design professional of record

In most cases, the Division requires the design professional

to submit a permit application and supporting documentation, including three to five complete sets of construction documents The plans must be approved by the Division, and inspections must be passed before a Certificate of Occupancy will be issued

A Certificate of Plan Approval is not required for maintenance or minor repairs

In addition to other construction for which plans must be submitted, the following types of work are not considered minor repairs and require application, approval, and

inspection:

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• The cutting of any bearing or support member

A Division staff member or outside consultant reviews all

applications and submissions for compliance with the Ohio

Basic Building Code (OBBC)

Industrial Compliance Division Locations

The Division of Industrial Compliance has a central location

in Reynoldsburg and regional offices in Chillicothe, Akron, and Toledo Because the Chillicothe regional office has processed many University of Cincinnati permit applications

in the past, designers of record on UC projects may prefer

to use this office

Contact information for the central and regional offices appears below

Reynoldsburg Central Office

6606 Tussing RoadP.O Box 4009Reynoldsburg, Ohio 43068-9009

Phone: (800) 523-3581Fax: (614) 644-3145

Chillicothe Regional Office

20 South Paint StreetChillicothe, Ohio 45601Phone: (800) 686-1582 or (800) 788-8065Fax: (740) 702-1408

Akron Regional Office

161 South High Street, Room 401

Akron, Ohio 44308-1615

Toledo Regional Office

1 Government Center, Suite 1540

Toledo, Ohio 43604

The Division of Industrial Compliance has two methods in place for the receipt and processing of building permit applications: the walk-in method and the standard method.

Walk-In Application Method

Under certain circumstances, the designer of record may hand-deliver a permit application to a Division office, have the application reviewed while he or she waits, and leave that day with a building permit

To qualify for the walk-in method, a project’s construction documents must consist of no more than eight pages Permit applications for longer, more complex projects must

be processed by the standard method

Walk-in applications must be submitted by the designer of record

Standard Application Method

With the standard method, the application and supporting information can be either hand-carried or mailed to any Division office Initial review takes between 2 and 4 weeks;

if the reviewer has questions, additional time may be needed to resolve these questions before the permit is granted

Applying for the Permit

The Ohio Application for Plan Approval (Figure 4) can be obtained from any of the Division offices It can also be downloaded from the Division’s web site

(http://www.com.state.oh.us/odoc/dic/dicform.htm)

Determining Fee Amounts

Before filling out the permit application, the applicant must calculate the amount of the fee(s) required to file it The Division’s “Worksheet for Fees to Be Paid” (Figure 5) helps applicants determine the applicable fee amount The

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worksheet is page 2 of the Application for Plan Approval and

is available at

http://www.com.state.oh.us/odoc/dic/dicform.htm It should

be completed and returned with the application

If the project includes plumbing work, additional fees will bedue, and two extra sets of Construction Documents are required Plumbing fees are determined by the number of fixtures that will be installed The Division’s “Plumbing Fee Schedule” (Figure 6) helps applicants calculate plumbing fees The worksheet is available at

http://www.com.state.oh.us/odoc/dic/dicform.htm It should

be completed and returned with the application

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Figure 4: Ohio Application for Plan Approval

Figure 5: Worksheet for Fees to Be Paid

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Figure 6: Plumbing Fee Schedule

Note: The Division allows fees to be paid by check (made payable

to Treasurer, State of Ohio), cash, credit card, or intrastate transfer voucher (ISTV) The ISTV is the University’s

promise to pay its fees When the University pays fees by ISTV, the Division office generates an invoice for the

amount due UC Capital Finance completes the account coding for the ISTV and forwards it to State Accounting for processing

The Division recommends that UC applicants use the University’s credit card to pay fees associated with smaller projects

Completing the Permit Application

After completing the applicable fee worksheets, follow theseinstructions to complete the Application for Plan Approval:

1 Under SCOPE OF PROJECT, check all boxes that apply to the project If applicable, include the number of boilers and/or elevator units that will be installed in the building

2 Enter the county where the project is located

3 Check Yes if the project is located in an incorporated area or No if it is not

4 Check Yes if you have contacted a local flood plain administrator about the project or No if you have not

5 Enter the total number of pages included in the project’s Construction Documents

6 In the Nature of Project box, check New, Alteration, Addition,

or Change of Occupancy, as appropriate

Basic Building Code when determining the nature of the project

7 If the project has been granted a building permit previously, enter the permit number

8 To complete item 8:

project is being administered by the Office of the State Architect (SAO), enter both the State project number and the University project number If the

2

project is being administered locally, enter the University project number

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9 Enter University of Cincinnati as project owner and include the mailing address and phone numbers for the

Department of Construction Management:

University Hall, 6th Floor

51 Goodman DriveCincinnati, OH 45219Phone: (513) 556-5200Fax: (513) 556-4885

correspondence with the Division

designer of record (Architect, Engineer, or Certified Sprinkler/Alarm Designer, as applicable)

complete address, and phone numbers of the designer of record

designer of record as identified in item 10, enter the name, address, and phone numbers of the submitter

current use group

project

information on use groups

project, including costs for the services of the Associate (if applicable) and all Construction Contractors

in the project

20 Enter the number of alarms to be installed

for Fees to Be Paid (Figure 5) and the Plumbing Fee Schedule (Figure 6)

card, or ISTV

enter the five-digit number found on the order;

otherwise, enter N/A and proceed to item 24

name in the blank provided

Attaching Submittals

The permit application must be accompanied by three complete sets of Construction Documents; two additional sets must be submitted if a plumbing permit is required Plans must bear the seal of an Ohio Registered

Architect/Engineer or Certified Design Professional on each page The title sheet must be signed by the designer of record and embossed with his or her seal

The Division has published a list of submittals that are typically required with a permit application The list is not all-inclusive, nor will every project require every item on thelist The exact submittals required will vary depending on the nature of the project The checklist is intended to help design professionals submit more complete applications and thereby avoid delays

The table on the following pages presents the Division’s checklist of submittals

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Item Description and Details

and building code analysis

proposed building, and all other structures, with dimensions and distances

details, with all required material specifications and soils analysis/load bearing capacity Design soils bearing pressure more than 3,000 psf requires asoil test borings report

with materials and dimensions Indicateall required fire resistance rated walls and details Include locations of

required fire extinguishers and ADAAG requirements

Exterior

Sections and Details Coordinate with floor plan and elevations, with UL Design Reference

numbers for required fire resistance rated walls and doors and ADAAG requirement details

Room Finish and Door Schedule Coordinate with floor plan and elevations Indicate all required fire

resistance ratings for doors and hardware schedules, door dimensions for egress requirements, and ADAAG requirements

Structural/Roof Framing Plan Framing layout with dimensions, details, notes, etc Truss Diagram/Pre-

Engineered Building shop drawings Design load tables including snow load, basic wind speed, seismic load, and other live loads/dead loads

plan, waste vent isometric, pipe sizes, material specifications, notes, etc

Item Description and Details

Submit two extra sets of plans for the plumbing portion

sizes, equipment/duct material specifications, all required exhaust fans with capabilities

Model Energy

diagram, conduit and wiring sizes, grounding, etc Electrical Power Plan/Lighting Plan with panel schedules,circuiting coordination, symbols legend,exit/egress lighting with backup power Automatic

Sprinkler System Plan

System layout, riser diagram, and hydraulic calculations

Fire Alarm System Plan System layout, type of system sequence of operation, device

specifications, and backup power supply

Fire Extinguishers Coordinate with floor plan and equipment specifications

Other Means of Fire Protection System Plan

Type of system, system layout, system riser diagram, and device

specifications

Commercial Kitchen Hood and Kitchen Hood Fire Suppression System

Submit shop drawings and manufacturer’s specifications along with the appropriate BBS checklist

Responsibilities of the Permit Holder

1 The approved plumbing drawing and permit must be on the job site for the inspector

2 The permit holder must call the Columbus Dispatcher 800-822-3208) to request an inspection

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3 The inspector will call the phone number on the dispatched itinerary and schedule a date and time for the inspection.

4 The inspector has 4 working days to make the inspectionbefore work can proceed

5 No part of the plumbing or drainage system shall be covered without the inspector’s approval

6 The permit holder must have work ready and follow the testing procedure in the State-approved Code Book

7 All added fixtures must be paid for before the job can be completed

Obtaining an NPDES Permit

The Associate must apply for and obtain an NPDES general permit from the Ohio Environmental Protection Agency This application (called a Notice of Intent, or NOI) must be submitted at least 45 days before construction begins The NOI form and instructions for completing it are available for download at the Ohio EPA’s website,

http://www.epa.state.oh.us/ An application fee is required

As part of the application process, the Associate must prepare a stormwater pollution prevention plan that provides for control of sediment and erosion at the project site

the Project Administrator must review the application with the University’s Department of Environmental Health and

Daily Activities

Once construction is under way, a main responsibility for the Project Administrator/Associate is to monitor progress The Project Administrator or Associate (as applicable) keepstrack of progress by maintaining a regular presence at the construction site and keeping a written record of activities Site monitoring and written records serve to confirm that work is progressing satisfactorily (i.e., as required by the Contract Documents)

Obligations of the Associate Architect regarding construction monitoring and minimum time to be spent at the site are established in the ProfessionalDesign Services Agreement executed between the University and the Associate (a sample agreement is found on the University Architect Division website, http://www.uc.edu/architect/documents/aeagree.pdf) and

in the Associate’s Technical Proposal to the University

When a project uses an Associate, the Associate also must maintain regular contact with the Project Administrator (usually daily contact) to review construction progress and activities This communication can occur as a scheduled or unscheduled meeting or even by telephone

The Associate must submit written progress reports to the Project Administrator at the interval established in the Professional Design Services Agreement (usually monthly) Acceptable format and content for these reports should be agreed to between the University and the Associate

serve to keep all parties informed of progress See

“Administering Progress Meetings”

When a project does not use an Associate, the Project Administrator acts as Associate for the project and performsthe construction monitoring duties that otherwise would be held by an Associate

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