design responsibility for architectural precast-concrete projects

Design Responsibility for Architectural Precast-Concrete Projects ACI 533.1R-02 Architectural precast concrete is a unique subcategory of concrete construction that involves the same bas

ACI 533.1R-02 became effective June 26, 2002.

Copyright  2002, American Concrete Institute.

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Reference to this document shall not be made in contract

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documents, they shall be restated in mandatory language

for incorporation by the Architect/Engineer

Design Responsibility for Architectural

Precast-Concrete Projects

ACI 533.1R-02

Architectural precast concrete is a unique subcategory of concrete

construction that involves the same basic entities as other construction.

This document outlines the responsibilities for various parties of the

design/con struction team for architectural precast-concrete projects.

Keywords: Architect; architectural concrete; construction; design; design

responsibility; general contractor; precast concrete.

CONTENTS

Chapter 1—Introduction, p 533.1R-1

1.1—Background

Chapter 2—General responsibilities, p 533.1R-2

2.1—Architect

2.2—Engineer of record

2.3—General contractor

2.4—Precaster (manufacturer)

2.5—Erector

2.6—Inspection

Chapter 3—Forms of contracts, p 533.1R-4

3.1—Negotiated versus competitive bid 3.2—Single-source responsibility 3.3—Mockups

Chapter 4—Conclusion, p 533.1R-5

Chapter 5—References, p 533.1R-5

5.1—Referenced standards and reports

Appendix—Prebid process, p 533.1R-6

CHAPTER 1—INTRODUCTION

Design and construction of structures is a complex process Defining the scope of work and the responsibilities of the involved parties by means of the contract documents is necessary to achieve a high-quality structure This is a guide document for all parties involved in a precast-concrete project and defines the responsibilities of each party This document does not specifically address the inspection functions but provides direction on who should be conducting inspections These responsibilities are subject to relationships between the parties defined in the contract documents

1.1—Background

Practices regarding the assignment and acceptance of res ponsibility in design and construction vary throughout North America In many cases, there has been confusion regarding the responsibility of the various parties This sit uation has sometimes led to protracted legal proceedings The first consensus document to attempt to define essential

Reported by ACI Committee 533

Allan R Kenney

* Primary author.

† Deceased.

Benjamin Lavon Chair

Donald F Meinheit Secretary

roles was Quality in the Constructed Project, published by

the American Society of Civil Engineers (ASCE) in 1990

(ASCE 1990)

In 1987, ACI organized a standing board committee on

Responsibility in Concrete Construction The document,

Guide-lines for Authorities and Responsibilities in Concrete Design

and Construction, was published by the committee (ACI

Committee on Responsibility in Concrete Construction 1995)

One of the basic principles of the construction industry is

that responsibility and authority should go hand in hand

Another principle is that every entity should be responsible

for its own work These principles are frequently violated

For example, an architect/engineer (A/E) can require that

certain tasks not be undertaken by the contractor without the

A/E’s approval, but the A/E may not wish to accept

respon-sibility for problems that develop resulting from requiring

those tasks This is a case of requiring compliance without

accepting responsibility There have also been cases where

owners have sued architects and engineers for approving

poor-quality construction but gave them no contract to

monitor the work as it progressed Safety enforcement

agencies and plaintiffs’ lawyers have often charged engineers

or architects with the responsibility for construction accidents

These last two situations typically are cases of responsibility

without authority, although there could be instances where a

design professional’s work can affect jobsite safety If the

designers are involved with construction-management

functions, they could be making decisions affecting worker

safety as well as quality of construction

Construction has reached a level of complexity today where

it is essential to have design input from the subcontractors This

input, whether submitted as value engineering proposals, in

response to performance requirements, or simply offered as

design alternatives, has a legitimate place in construction

Panels are designed for stripping, handling, and installation

loads, usually by the panel manufacturer Service loads are

set by the governing building code and are multiplied by the

appropriate load factor Minimum load factors are set by the

governing building code

Panel design should consider dead, live, and

environ-mental loads including wind, earthquake (if applicable),

temperature, and moisture effects Service loads set by

the governing building code should be considered only as

minimum requirements

Frequently, a precaster wants to change some items in the

design to make a fabrication or erection operation easier or

more economical In approving the changes, the A/E still has

responsibility for proper interfacing with other materials in

contact with precast concrete This notion of responsibility is

presented in the ASCE document (ASCE 1990) and in the

Precast/Prestressed Concrete Institute’s guidelines (PCI Ad-Hoc

Committee for Responsibility for Design of Precast-Concrete

Structures 1998)

The engineer of record (EOR) always has to take overall

responsibility for the structural design of the complete structure

Often, certain aspects of the design are delegated to specialty

engineers working for the material suppliers or subcontractors

When any of this structural design work for that portion of

the structure involves engineering (as opposed to simply

detailing), then the design work should be under the control

of a professional engineer licensed in the same state as the

project who takes responsibility for the work done One

state, Florida, has formal legal procedures for this process

Local regulatory authorities should be consulted for their specific requirements Contract documents often require that structural design be the responsibility of a professional engineer, regardless of government mandate

CHAPTER 2—GENERAL RESPONSIBILITIES 2.1—Architect

The architect develops the design concept, overall structure geometry, selects the cladding material for appearance, provides details for weatherproofing, selects tolerances for proper interfacing with other materials, and specifies perfor-mance and quality characteristics and inspection and testing requirements in the project specifications

The architect and EOR should have responsibility for all aspects of the precast-concrete design The architect can specify in the contract documents that design services for portions of the work are to be provided by the precaster Such design services should be performed for the precaster

by a licensed precast engineer who can be an employee of the precaster or an independent structural engineer The architect and EOR should review these designs, including structural calculations This review does not relieve the precaster and the specialty engineer of their design responsibility The contract and the design documents should state clearly the scope of both the precast design and review responsibilities, and the responsi-bilities of others providing design services

The contract drawings prepared by the architect/engineer should provide the overall geometry of the structure and typical connection concepts to permit design, estimating, and bidding Frequently, the architect’s drawings will only show joints, reveals, or panel articulation This lets the precaster determine panel sizes In the prebid process, the precaster and erector should discuss their approach to panelize and subsequently connect the units to the building frame within the architectural and structural concepts of the project

In addition, the contract documents (design drawings and specifications) also should provide the general performance criteria, including concrete strength requirements for loading, deflection requirements, temperature considerations, and any tolerance or clearance requirements for proper interfacing with other parts of the structure

The contract documents should clearly define:

• Precast-concrete components that are the design responsibility of the precaster (who takes responsibility for elements at interfaces with other parts of the structure, such as the secondary steel bracing to prevent rotation of beams or panels);

• Details or concepts of supports, connections, and clearances that are part of the structure designed by the architect and that will interface with the precast-concrete components; and

• Permissible load transfer points and indicate connection types to avoid having the precaster make assumptions on connection types and piece counts during bidding The architect and EOR should review designs, calculations, and shop drawings submitted for conformance with design criteria, loading requirements, and design concepts as specified

in the design documents This review, however, does not relieve the precaster and the precast engineer of their design responsibilities

Key design issues for the architect —Buildings using

architectural precast panels are becoming increasingly

complex The architect should understand the issues that

affect a precaster’s bid and make sure the contract documents

address these items clearly For preparation of shop drawings,

all items interfacing with other materials should be defined

Contract documents that lack detail generally require numerous

requests for information While such documents are easier

and less expensive to produce, they may ultimately result in

disputes, delays, and additional costs

The contract drawings developed by the architect should

provide a clear interpretation of the configurations and

dim ensions of individual units and their relationship to the

structure as a whole To do this, the contract documents

should supply the following data:

• Elevations, wall sections, and dimensions necessary to

define the sizes and shapes of each different type of

wall panel;

• Locations and sizes of all joints, both real (functional)

and false (aesthetic) Joints between units should be

completely detailed;

• Required materials and finishes for all surfaces, with a

clear indication of which surfaces are to be exposed to

view when in place;

• Corner details;

• Details for jointing and interfacing with other materials

(coordinated with the general contractor);

• Details for special or unusual conditions, including fire

requirements;

• Governing building code and design loads;

• Deflection limitations; and

• Specified dimensional tolerances for the precast concrete

and the supporting structure, location tolerances for the

contractor’s hardware, clearance requirements, and

erection tolerances for the precast concrete Any

exceptions to industry tolerances specified in the contract

documents are not recommended

Lack of detail will extend shop drawing time and potentially

lead to disputes over work scope, schedule delays, or both

Also, lack of detail can lead to unanticipated changes that

will impact cost Poor detailing of panel cross sections within

the contract documents will often lead to disputes

Ideally, the assembly (or erection) drawing process should

be as simple as submitting elevations showing panel sizes,

surface features, and panel relationships; detail sheets showing

panel cross sections and special edge conditions, and feature

details; and connections showing mechanisms and locations

of force transfer to the supporting structure The review of

shop drawings by the architect should be performed within

the time specified in the contract documents These drawings

should be reviewed and any minor revisions made so that

production can start Verification of minor dimensional and

detailing revisions is anticipated When major shop drawing

revisions are required, however, it can indicate a lack of

planning or detailing within the contract documents

It is the architect’s responsibility to establish the standards

of acceptability for surface finish, color range, and remedial

procedures for defects and damage This can be best

accom-plished by the precaster producing at least three sample panels

a minimum of 4 x 4 ft before the initial production to establish

the range of acceptability with respect to color and texture

variations, surface blemishes, and overall appearance When

the units have returns, the same size return should app ear

in the sample panels

2.2—Engineer of record

The EOR has responsibility for describing loading on precast element inserts and loading criteria (combinations, wind, seismic) for the structural design of the complete structure and the effects of the precast erection sequences on individual structural members, for example, steel spandrel beams when numerous concentrated panel loads are placed on them The EOR should anticipate these loadings and provide means to support them Responsibility for the precast-concrete design can be delegated to someone else, such as the precaster or precast engineer The EOR should consider the consequences

of the weight and eccentricity of the panels when designing the supporting structure The EOR should also determine where, when, and what type of loading is to be assigned to the panels and the structure The EOR has the responsibility

of reviewing the delegated design work for compatibility with the overall structural design This does not, however, relieve the preparer of the design work of the responsibility for doing it correctly

Panels typically span column to column and are supported

on or near the column The EOR should determine and show

on the contract documents the locations for supporting the gravity and lateral loads, including midpoint lateral (tie-back) connections, if necessary The panel loads are routinely provided

by the precaster to the EOR The EOR determines during assembly (erection) drawing review whether or not the structure is adequate, within defined deflection limitations, to resist the loads and forces The EOR should also provide sufficient information on seismic detailing It is important that preliminary meeting(s) with the architect, EOR, and precasters

be held before structural members are ordered, fabricated, or both, so that panel sizes, shapes, and basic connections, as well

as their locations can be established (refer to the Appendix) The EOR will know whether or not a spandrel panel is designed to transfer load to the columns, but the exact location of the load transfer can vary from precaster to precaster For example, spandrel panel loads can be transferred from near the panel bottom or from near the top The gravity supports of precast-concrete panels are almost always eccentric to the centerline of the supporting steel or concrete member A concrete member is generally stiff and strong enough in torsion so that this is not a problem Because the precaster does not design the columns or beams, the EOR should design to prevent excessive deflection and rotation of the supporting structure during and after erection of the precast concrete, as well as determine the need for diagonal bracing

or web stiffening (CASE National Guidelines Committee 1994; CASE Task Group on Specialty Engineering 1996) The contract documents should address the issue of reimburse-ments to the EOR for engineering the bracing or reinforcement

of the structure if the precaster’s panelization changes the EOR’s designed connection locations In some areas, the precaster is responsible for designing the bracing and may also supply the secondary steel These responsibilities should be clearly addressed in the contract documents and discussed in a prebid meeting

2.3—General contractor

The general contractor (GC) typically has responsibility and authority for implementing the design intent of the

contract documents, which includes furnishing materials,

equipment, labor, maintaining specified quality

require-ments, and coordinating all trades The GC is responsible for

construction means, methods, techniques, sequences, and

construction procedures Also, the GC should initiate,

maintain, and supervise all safety procedures and programs

on the construction site Site access to the structure for

erection of the precast elements can become a problem

The re sponsibility to provide and maintain access roads

should be clearly stated in the contract documents

The GC has no design responsibility The GC, however,

does have considerable impact on the design process through

its coordination role The GC receives the different shop

drawing submittals from the various trades and puts them

together to form the completed design The GC is normally

responsible for project schedule, grid dimensions (which

include control points, benchmarks, and lines on the building),

quantities, and dimensional interfacing of the precast

concrete with other trades, and maintenance of specified

tolerances of the structure to ensure proper fit During shop

drawing review, the GC should notify the precaster when

as-built conditions (dimensions) vary beyond tolerances

on the contract drawings In particular, dimensional tolerances

between interfacing materials, such as precast concrete and

glazing, should be considered

The GC should be a party to direct communication between

the precaster, EOR, and the architect Communication

channels should be established among the parties The GC

needs to be informed in writing, particularly if decisions

affect the GC’s activities

Typically, the GC is responsible for placing embedments in

cast-in-place concrete and coordinating steel attachments with

the steel fabricator In most instances, the most economical

approach is to have gravity haunch connection hardware

attached to steel columns by the steel fabricator This

necessi-tates awarding the precast-concrete contract in a timely manner

2.4—Precaster (manufacturer)

To achieve practical and economical construction, the

precaster first designs panelization and then connections

Ideal ly, a precaster performs value engineering as early as

during preliminary design (in a partnering relationship) to

improve economics, structural soundness, and performance

The precaster should request clarification of ambiguities, in

writing from the architect, through contractual channels on

special conditions not clearly defined in the contract documents

When the construction schedule demands a rapid turnaround

time for review of drawing submittals, the precaster should

notify all concerned of their obligations to review and return

submitted drawings within the requested time period At that

time, the architect’s and EOR’s cooperation is needed to

expe-ditiously review submitted documents

The precaster or precaster’s specialty engineer prepares

detailed assembly, or erection drawings and design

calcu-lations that are usually signed and sealed These drawings,

calculations, or both, should show all design criteria,

identify each material, show how precast panels interface

with each other and the structure, and indicate the magnitude

and location of all design loads imparted to the structure

by the connections

The precaster or specialty engineer designs the precast

panels for the specified loads and is responsible for selecting,

designing, and locating hardware, and panel reinforcement

or items associated with the precasters methods of handling, storing, shipping, and erecting precast-concrete units If necessary, this also includes an erection and bracing sequence developed in conjunction with the erector, EOR, and GC to maintain stability of the structure during erection

Any additional design responsibility vested with the precast-concrete manufacturer should be defined clearly in the contract documents prepared by the architect Most precast-concrete work is covered in Option II, Table 1 Option I

in Table 1 has considerable liability for the architect and EOR

2.5—Erector

The responsibility for erection of architectural precast concrete is usually determined by the GC The contract documents rarely require that the erection be part of the precast-concrete manufacturer’s work, be performed by the precaster’s workers, or be subcontracted to specialized erection firms Fabrication and erection included into one contract is preferred by some precasters because this improves coordination and reduces vulnerability to backcharges The GC, however, may choose to issue separate contracts for fabrication and erection

Erectors and precasters coordinate development of efficient connections for each project based on their equipment and expertise

2.6—Inspection

Quality control for product manufacturing will be provided

by the precaster according to provisions contained in a comprehensive quality system manual developed by the precaster The quality system manual will be available to the owner and EOR for review

Quality assurance will be provided through the precaster’s participation in a recognized industry quality certification program One such program is the PCI Plant Certification Program Additional inspections may be required, by specifica-tion, through the owner’s quality-assurance agency Installation quality assurance will be provided by adherence

to industry standards such as the PCI Erectors’ Manual.

Additional quality assurance can be provided by requiring installation by an industry-qualified erector

CHAPTER 3—FORMS OF CONTRACTS 3.1—Negotiated versus competitive bid

The price of architectural precast concrete is a relatively small percentage of the total building cost (usually less than 10%) Therefore, the possible difference in the price between the lowest precast bidder and the precaster who is ultimately awarded the contract will have a minor impact on the overall cost

In a negotiated project, the precaster can become part of the building team at the very early design stage and be more effective in providing valuable expertise on panel design, performance, and economics (refer to Appendix)

3.2—Single-source responsibility

The architect or owner sometimes prefers single-source responsibility for wall cladding (which includes windows, precast, and all related sealants) responsibility for the following reasons: to enhance technical and aesthetic coordination between building systems; to establish a single-source warranty; to centralize control for erection and problem-solving issues; and generally, to provide for a single source

of knowledge and total understanding of the entire system In

single-source responsibility, detailing issues are delegated to

the contractor and material suppliers of the wall

Single-source responsibility usually puts the precaster in a

position of a broker/contractor without having the management

and engineering skills to work out interfacing details for the

window system, insulation, interior finishes, and sealants A

more logical entity for single-source responsibility is the

GC In some cases, the GC may prefer that single-source

responsibili ties be separated for greater profit potential

Generally, the precast-concrete industry tends to avoid

single-source responsibility, not only because of technical

concerns regarding materials whose quality they do not control

directly but also due to economics It can be uneconomical to

package everything under the precaster’s construction umbrella

because this additional responsibility requires additional

compensation The notion of a single-source responsibility

for exterior enclosure can break down if that single source is not

clearly defined

3.3—Mockups

Panel-to-panel joint design is necessary to prevent air and

water infiltration, and to properly seal windows and other

openings The architect is responsible for these designs

Because precast concrete is inherently watertight and

imperme-able, the panel joints and interfacing performance become the

primary concerns If testing is desired, it should be specified in

the contract documents Shipping a full-scale mockup to a

testing lab for a wind-driven rain test, although costly and

time consuming, is one way to satisfy these concerns Also,

aesthetics can be refined during this process The cost of

these tests needs to be identified in the bid docum ents and

included in the precast budget

A mockup will help determine how the total facade is

assembled Also, it will help in establishing the actual

field-construction techniques If a leak develops, which

usually occurs at the window to precast-concrete inter-face, the details need to be examined and modified The contract documents should require that the same sealant contractor seal both the precast-to-precast panel joints and the window interface to avoid sealant incompatibility

CHAPTER 4—CONCLUSION

A successful precast-concrete project requires teamwork This means close cooperation between and coordination of all participants, including the owner, architect, engineer, precast-concrete manufacturer, erector, general contractor or construction manager, and all trades The precast work scope and the responsibilities of each party (usually defined by the contract documents) should be established at an early stage

in the development of a project to achieve the desired results and schedule (refer to Table 1) Each party has the responsi-bility for communicating with all other parties through the GC/CM to achieve optimum efficiency during construction, and quality in the completed structure When authority and responsibility roles are correctly and properly defined by the contract documents and communicated, responsibility issues are easily resolved

CHAPTER 5—REFERENCES 5.1—Referenced standards and reports

ACI Committee on Responsibility in Concrete Construction,

1995, “Guidelines for Authorities and Responsibilities in

Concrete Design and Construction,” Concrete International,

V 17, No 9, Sept., pp 66-69

American Society of Civil Engineers (ASCE), 1990,

“Quality in the Constructed Project,” Manuals and Reports on Engineering Practice No 73, American Society of Civil

Engineers, New York, N.Y

CASE National Guidelines Committee, 1994 “National Practice Guidelines for the Structural Engineer of Record,”

Table 1—Design responsibilities

Contract information supplied by designer Responsibility of manufacturer of precast concrete

Option I

Provide complete drawings and specifications detailing all aesthetic,

functional and structural requirements plus dimensions.

The manufacturer should make shop drawings (erection and production drawings) as required, with details as shown by the designer Modifica-tions may be suggested that, in manufacturer’s estimation, would improve the economics, structural soundness, or performance of the precast- concrete installation The manufacturer should obtain specific approval for such modifications Full responsibility for the precast-concrete design, including such modifications, remains with the designer Alternative proposals from a manufacturer should match the required quality and remain within the parameters established for the project It is particularly advisable to give favorable consideration to such proposals if the modifications are suggested so as to conform to the manufacturer’s normal and proven procedures.

Option II

Detail all aesthetic and functional requirements but specify only the

required structural performance of the precast-concrete units Specified

performance should include all limiting combinations of loads together

with their points of application This information should be supplied in

such a way that all details of the unit can be designed without reference to

the behavior of other parts of the structure The division of responsibility

for the design should be clearly stated in the contract.

The manufacturer has two alternatives:

(a) Submit erection and shape drawings with all necessary details and design information for the approval and ultimate responsibility of the designer.

(b) Submit erection and shape drawings for general approval and assume responsibility for part of the structural design; that is, the individual units, but not their effect on the building Firms accepting this practice may either stamp (seal) drawings themselves, or commission engineering firms

to perform the design and stamp the drawings.

The choice between the alternatives (a) and (b) should be decided between the designer and the manufacturer prior to bidding, with either approach clearly stated in the specifications for proper allocation of design responsibility Experience has shown that divided design responsibility can create con-tractual problems It is essential that the allocation of design responsibility

is understood and clearly expressed in the contract documents.

2nd Edition, Coalition of American Structural Engineers,

Washington, D.C., 15 pp

CASE Task Group on Specialty Engineering, 1996,

“National Practice Guidelines for Specialty Structural

Engin eers,” Coalition of American Structural Engineers,

Washington, D.C., 12 pp

PCI Ad-Hoc Committee for Responsibility for Design of

Precast-Concrete Structures, 1998, “Recommendations on

Responsibility for Design and Construction of

Precast-Concrete Solutions,” PCI Journal, July-Aug., Chicago, Ill.

APPENDIX Prebid process

Where the selection of a precaster cannot be negotiated or

controlled by owner or architect but is governed by an

open-bid situation, the following preopen-bid process is desirable

Step 1: Verification of architect’s concepts and systems—

A preview of the proposed precast-concrete assumptions during

the design development stage (50% complete) of the

architec-tural contract documents should be arranged with at least one

local precaster This review confirms or modifies the concept so

that a realistic approach is presented on the architect’s bid

drawings Those attending the meeting should:

• Discuss panelization and piece and joint sizes, determine

what can be made, and what can be shipped and erected

efficiently;

• Discuss architect’s concept for structural support of

precast concrete so that the architect can communicate

to the EOR what support requirements are needed;

• Review desired finish(es) and continue or finalize the

sample process; and

• Review the architect’s intent for any interfaces with

adjacent systems, such as roofing, windows, or building

entrances

Step 2: The prebid conference—This should be a mandatory

meeting for all precasters wanting to bid the project and is

usually held at least 3 weeks before the bid date The architect

presents the project’s precast-concrete concepts with the

intent of communicating straightforward information so bids

will be prepared on a comparable basis Questions can be

asked or clarifications made at this time Items to be discussed

include:

• How and where the project’s precast concrete will be

structurally attached to the building frame;

• Specifications and any special provisions;

• Design responsibilities and lines of communication;

• The architect’s approved finish samples with information

on the type and size of aggregates and cement used,

where applicable;

• The finish acceptance criteria and inspection (who,

what, when, and where);

• Prebid submittal requirements such as proposal drawings

and finish samples;

• Mockups, if applicable;

• Potential problems, discrepancies, or both found in the contract documents; and

• Special erection needs and logistics

Step 3: Information submitted with bid or after-bid award—

This submittal allows a review of each precaster’s intent and confirms the precaster’s ability to conform to concepts and finish requirements (Realistically, only the three low bidders are required to provide this submission.) This material should include:

• Proposal drawings expressing the panelization and structural concepts;

• Small-size finish samples;

• The history of the precaster’s organization as well as confirmation of the plant’s quality assurance (plant certification) program;

• A list of comparable projects, references, and financial capability;

• Key schedule items such as mockup panels, shop drawings and design submittals, mold production, scheduled start of manufacture, and production schedules; and

• Qualifications to the bid that can be listed and reviewed

If bidders are limited to a small group (two to four) by prequalification or other means, then all precasters are contacted during the development process; then limited prebid meetings, bid submittals, or both are needed

If the project will allow for a negotiated precast contract and the precaster is brought onto the project team in the initial stages of development, then prebid and bid submittal information can be eliminated

Step 4: The preconstruction conference—A preconstruction

conference should be held at the job site as soon as possible after award of the precast concrete and erection contracts The GC/CM should conduct job site meetings frequently to coordinate the precast-concrete erection with the work of other trades and to facilitate the erection process These meetings should include those subcontractors whose work affects or is affected by the precast-concrete erection The coordinating meetings should consider all details of loading, delivery sequences and schedules, types of transp ortation, routes of ingress and egress for delivery trucks and erection cranes, handling techniques and devices, connections, erection methods and sequences, effects of temporary bracing on other trades, and on-site storage and protection Questions regarding access, street use, sidewalk permits, oversized loads, lighting, or working hours should

be addressed at this time