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Managing the Construction Phase

A Guide for Project Administration

ContentsIntroduction to Construction Phase..................................................................4

Construction Start-Up Activities.......................................................................5

Approving Contractor Schedules.....................................................................5The Construction Schedule..........................................................................5The Initial Schedule of Values.....................................................................6

Conducting the Pre-Construction Meeting.......................................................8Notifying Meeting Participants....................................................................8Setting the Agenda.......................................................................................8

Obtaining and Checking Permits....................................................................13Obtaining a State Building Permit.............................................................13Obtaining an NPDES Permit.....................................................................24

Daily Activities..................................................................................................25

Weekly Activities...............................................................................................26

Administering Progress Meetings..................................................................26Preparing the Agenda.................................................................................26Preparing and Distributing Meeting Minutes............................................27

About Coordination Meetings........................................................................28Coordination Drawings and Shop Drawings.............................................28

Monthly Activities.............................................................................................28

Approving Contractor Pay Applications........................................................29Timing........................................................................................................31Components of the Pay Application..........................................................31Reasons to Reject a Pay Application.........................................................42The Final Pay Application.........................................................................45

Approving Updated Construction Schedules.................................................47

Managing the Construction Phase Revised June 2002

Ongoing Activities.............................................................................................48

Managing Project Changes.............................................................................48Reasons for Change...................................................................................48Processes for Making Changes..................................................................48

Approving Shop Drawings.............................................................................54About Shop Drawings................................................................................54Approval Requirements.............................................................................54

Figures 1 Initial Schedule of Values2 Pre-Construction Meeting Notification3 Contractor Information Sheet

4 Ohio Application for Plan Approval5 Worksheet for Fees to Be Paid6 Plumbing Fee Schedule7a–d Contractor Pay Application:

Cover SheetContract Cost Breakdown and Partial Payment SheetSummary of Change Orders SheetSchedule of Values

8 Notice of Fixed Retainage Amount 9 Certification of Material Stored At Site

10 Certification of Material Stored Off Site11 Pay Application Rejection Letter

12 Affidavit of Contractor 13 Request for Information

Charts1 Contractor Pay Application Process2 Change Order Process

Revised June 2002Managing the Construction Phase

Changes to Managing the Construction Phase

Revision 2, June 2002Changes made as part of this revision appear with a in the margin.

Page Description/Reason

19 The Note text was changed to reflect the Division of Industrial Compliance’s recommendation that UC applicants use the University’s credit card to pay building permit fees associated with smaller projects.


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Introduction to Construction PhaseThe 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 Daily activities Weekly activities Monthly activities Ongoing activities


Construction Start-Up ActivitiesConstruction start-up activities for the Associate Architect or Project Administrator (as applicable for the project) include the following: Approving initial Contractor schedules; Conducting a pre-construction meeting; and Obtaining needed building and environmental permits

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

Approving Contractor SchedulesBoth the Project Administrator and the Associate (if the project uses an Associate) must review and approve two types of Contractor schedules: The Construction Schedule developed by the Lead

Contractor, and The initial Schedule of Values submitted by all

Contractors. Both of these schedules must be approved before Contractors can be paid.

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 reflect all 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 moves forward. 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”).


Requirements for Construction SchedulesThe 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 Associates (www.uc.edu/architect/design.asp). Requirements for Construction Schedules are detailed in the project’s General Conditions (Article 4.3, “Construction Schedule”). The Project Administrator must become familiar with this section of the specifications. The Initial Schedule of ValuesThe Contract Cost Breakdown and Partial Payment document includes the Schedule of Values. See Article 9, “Contractor Payment”, of the project’s General Conditions. The Schedule of Values sheet is used to break the Contractor’s project responsibilities into individual, high-level items of work. (Depending on the size of the project, the Construction Schedule may provide further work breakdown.) At project startup, each prime Contractor submits a Schedule of Values with only columns 8a–8e completed: Column 8a lists item numbers. Column 8b lists the descriptions of the items within the

Contractor’s scope. Column 8c lists per-item and total labor costs. Column 8d lists per-item and total material costs. Column 8e lists per-item totals for both labor and

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.

Note: As the project progresses, the Contractor will resubmit the 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


http://www.uc.edu/architect/design.asp

regarding the percentage of work that is complete. See the section “Approving Contractor Pay Applications”. Figure 1 on the following page shows a Contractor’s initial Schedule of Values.



Figure 1: Initial Schedule of Values

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Conducting the Pre-Construction MeetingBefore 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: To introduce the project and personnel To review project status and scope To discuss project coordination issues To review requirements for care and use of the work site To discuss issues related to construction and labor

management To explain each party’s obligations under the Contract

Documents To discuss requirements for project documents and

submittals To discuss requirements of Contract Compliance (EEO) To discuss safety requirementsNotifying Meeting ParticipantsOnce 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 pre-construction meeting notification appears on the following page as Figure 2. Setting the AgendaThe 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.IntroductionThe meeting can help establish an atmosphere of teamwork and cooperation among the University, Associate, and Contractor personnel who will work on the project. The Project Administrator can begin the meeting by having all attendees introduce themselves. A sign-in sheet should be circulated during the meeting to record attendance.



Figure 2: Pre-Construction Meeting Notification

University of CincinnatiOffice of the University Architect

Department of Construction ManagementPO 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)

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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 StatusEarly in the meeting, the Project Administrator or Associate should review general issues related to project status. Among others, these include: Project start date and completion date Status of any permits required to begin construction Project schedule Any critical or long-lead items

Note: See “Obtaining and Checking Permits” for information on Contractor and Associate responsibilities in this area.

Project ScopeThis topic should include review and discussion of the following, as applicable: Any addenda that have been added to the original scope

of work Substitutions, allowances, and/or unit prices Contract drawings and specifications

CoordinationThis topic refers to how Contractors conduct their work whenever an item requires coordination of duties among two or more Contractors. Issues to discuss include: Responsibilities of the Lead Contractor and all the prime

Contractors Lines of communication Emergency telephone numbers Any required site inspections The Request for Information (RFI) process for

documenting minor changes to the work


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



Figure 3: Contractor Information Sheet

Site Issues Site issues include all of the following, as applicable to the project: UC’s standards for project signage Rules for site parking and deliveries Construction staging requirements Site safety and security issues Use of any temporary facilities Any necessary service interruptions, and required

planning/notifications Daily site cleanup requirements Smoking restrictions (e.g., smoking is not permitted in

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

Construction IssuesConstruction issues include the following: The schedule for the regular construction progress

meetings. Contractor superintendents and the Associate are required to attend

Working hours and overtime procedures for the Contractors’ employees and subcontractors

Daily construction cleanup requirements Note: See the section “Administering Progress Meetings” for more

information on the regular progress meeting.

Contractual IssuesContractual issues include the following: Each prime Contractor’s initial submittal of the Schedule

of Values Change order procedures Pay application completion and submittal procedures

Note: See the section “Approving Contractor Pay Applications” for more information on the pay application; see the sections “Approving Contractor Schedules” and “Approving Contractor Pay Applications” for more information on the Schedule of Values.


Obtaining and Checking PermitsVarious 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 Owner’s designated agent) is responsible for obtaining State building permits and National Pollutant Discharge Elimination System (NPDES) permits, described below. On projects not using an Associate, the Project Administrator (or the Owner’s designated agent) must apply for and 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 PermitThe 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: Cutting or altering of non-bearing walls or partitions


The cutting of any bearing or support member Any change in means of egress or exits Change to standpipe Change to water supply Change to sewer Change to drainage Change to waste, or vent piping Change to gas piping or equipment Change in electrical wiring or devices Change to mechanical equipment or connected systems Other work affecting public health and general safety Change of occupancy

A Division staff member or outside consultant reviews all applications and submissions for compliance with the Ohio Basic Building Code (OBBC).

Industrial Compliance Division LocationsThe 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 Office6606 Tussing RoadP.O. Box 4009Reynoldsburg, Ohio 43068-9009Phone: (800) 523-3581Fax: (614) 644-3145

Chillicothe Regional Office20 South Paint StreetChillicothe, Ohio 45601Phone: (800) 686-1582 or (800) 788-8065Fax: (740) 702-1408

Akron Regional Office161 South High Street, Room 401Akron, Ohio 44308-1615

Toledo Regional Office1 Government Center, Suite 1540Toledo, Ohio 43604


Phone: (800) 643-4842Fax: (330) 643-1459

Phone: (800) 686-1597 Fax: (419) 245-2504

Timing ConsiderationsThe amount of time required to obtain a building permit depends on the project’s size and complexity. The application process for a complex project can take 2 to 4 weeks or longer; for a smaller, simpler project, the process can be completed in as little as 1 day. 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 MethodUnder 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 MethodWith 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 PermitThe 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


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 be due, 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.



Figure 4: Ohio Application for Plan Approval


Figure 5: Worksheet for Fees to Be Paid


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 ApplicationAfter completing the applicable fee worksheets, follow these instructions 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. Note: Refer to the definitions provided in Chapter 2 of the Ohio

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:

Enter the complete project name and number. If the 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


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project is being administered locally, enter the University project number.

Provide the exact address of the project. Provide directions to the project site (for inspectors).


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 Floor51 Goodman DriveCincinnati, OH 45219Phone: (513) 556-5200Fax: (513) 556-4885

10. To complete item 10: Check Mail or Fax as your preferred method of

correspondence with the Division. Under Plans prepared by, check the title of the project’s

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

Provide the name, Ohio registration number, complete address, and phone numbers of the designer of record.

11. If the person submitting the application is not the designer of record as identified in item 10, enter the name, address, and phone numbers of the submitter.

12. Enter the type of construction for the project. Note: Refer to Chapter 6 of the Ohio Basic Building Code for

information on types of construction. 13. If the project involves an existing building, enter its

current use group. 14. Enter the new use group or groups proposed for the

project. Note: Refer to section 302.1 of the Ohio Basic Building Code for

information on use groups. 15. Enter the University’s total cost to complete the

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

16. Enter the total number of plumbing fixtures included in the project.

17. Enter the total square footage. 18. Enter the total lineal footage. 19. Enter the square footage of the sprinkler system.


20. Enter the number of alarms to be installed. 21. Enter the total of applicable fees from the Worksheet

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

22. Check the payment method used: Cash, Check, Credit card, or ISTV.

23. If the project is the subject of an adjudication order, enter the five-digit number found on the order; otherwise, enter N/A and proceed to item 24.

24. To complete item 24: Check Owner or Agent for the owner, as applicable. Sign and date the form, and then print or type your

name in the blank provided. Note: The blanks under item 25 are for Division use only.

Attaching SubmittalsThe 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 the list. 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.


Item Description and DetailsCover Page Plans index, project location, key plan,

and building code analysis.Site Plan Property lines, street location, utilities,

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

Foundation Plan Foundation layout, sections, and details, with all required material specifications and soils analysis/load bearing capacity. Design soils bearing pressure more than 3,000 psf requires a soil test borings report.

Floor Plan Exterior and interior walls/doors layout, with materials and dimensions. Indicate all required fire resistance rated walls and details. Include locations of required fire extinguishers and ADAAG requirements.

Exterior Elevations

Indicate all finish materials and dimensions.

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.

Plumbing Plan Fixture count, water rise diagram, floor plan, waste vent isometric, pipe sizes, material specifications, notes, etc.


Item Description and DetailsSubmit two extra sets of plans for the plumbing portion.

HVAC Plan Equipment and ductwork layout, duct sizes, equipment/duct material specifications, all required exhaust fans with capabilities.

Model Energy Code

Building envelope and lighting energy consumption report.

Electrical Plan Electrical site plan with service rise 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 (1-800-822-3208) to request an inspection.


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 inspection before 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 PermitThe 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.

Note: Before the Associate submits the NPDES permit application, the Project Administrator must review the application with the University’s Department of Environmental Health and Safety and obtain the Department’s concurrence.


http://www.epa.state.oh.us/

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) keeps track 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 Professional Design 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.

Note: Regularly scheduled construction progress meetings also 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 performs the construction monitoring duties that otherwise would be held by an Associate.


http://www.uc.edu/architect/documents/aeagree.pdf

Weekly Activities During a project’s construction phase, the Project Administrator (or Associate, as applicable) is responsible for conducting regular construction progress meetings. For large projects, these meetings should be held once each week. Progress meetings may be held less frequently for smaller projects. Construction projects require other regular meetings to review the coordination of work among all the construction trades. These “coordination meetings” also occur weekly for larger projects and less frequently for smaller jobs.

Administering Progress MeetingsThe Front-End Specifications (General Conditions) state that the Associate is responsible for scheduling and conducting the regular construction progress meeting. The Associate is specifically prohibited from delegating the duties of the progress meeting to others. On projects that do not use an Associate, the Project Administrator must schedule and conduct these meetings. All Contractors, the Associate, and the Project Administrator are expected to attend progress meetings. Others involved in the project, such as subcontractors or material suppliers, may be asked to attend at the discretion of a prime Contractor, the Associate, or the Project Administrator.

Preparing the Agenda The following sections present typical topics for construction progress meetings.

ScheduleFor each meeting, the Lead Contractor is expected to prepare and distribute a printout of schedule activities for the coming 2-week period (called a “look-ahead schedule”). The regular progress reports submitted by the Lead Contractor to the Associate or Project Administrator may include recommendations for adjusting the Construction Schedule to meet milestone dates and/or the contract completion date. Such changes should be incorporated into schedule updates and shared with attendees at the construction progress meeting.


Construction Progress to DateA key purpose of the meeting is to review the progress made toward project completion, particularly progress made since the last regular meeting. Time should be set aside for each Contractor representative to summarize the Contractor’s progress and recent activities.

Upcoming Work and Potential Problems Likewise, each Contractor should be expected to discuss significant work scheduled for the period to come. Critical issues and any potential problems should be raised at this time.

Modification of Construction DocumentsIf project conditions warrant any modification of the Construction Documents, the agenda should include time to discuss and/or execute such changes. The Project Administrator, Associate, and affected Contractor(s) must sign any revised contract documents.

Preparing and Distributing Meeting Minutes The Associate must prepare a written report (minutes) of each construction progress meeting and distribute it to all Contractors and to the University. The Associate may not delegate this duty to others. For projects not using an Associate, the Project Administrator prepares and distributes the meeting minutes. The previous meeting’s minutes must be provided to attendees before the date scheduled for the next progress meeting. Attendees can then read and absorb the previous meeting’s minutes before the next meeting, thus reducing the meeting time needed to discuss past issues.

Recording ObjectionsIf any attendee at a progress meeting disputes or objects to any information published in the meeting minutes, he or she must provide a written statement of the objection to the Associate (if applicable) and the Project Administrator. The Associate or Project Administrator, when preparing minutes of the next progress meeting, must include a summary of the complaint and any response or resolution.


About Coordination MeetingsThe Lead Contractor generally schedules the project’s regular coordination meetings, unless the Construction Documents specify otherwise. The Lead Contractor also prepares and distributes minutes of this meeting.Attendees typically include the Associate; all prime Contractors; subcontractors and materials suppliers, as necessary; and the University Senior Staff Engineer (SSE). Usually, the Project Administrator attends only when acting as the Associate for the project. Coordination meetings give the team a regular opportunity to discuss and clarify the required sequence of construction activities and the location of equipment, piping, conduit, and other components of the project.

Coordination Drawings and Shop DrawingsDuring the coordination meeting, the project’s HVAC (heating/ventilation/air conditioning) contractor distributes updated coordination drawings to all attendees. The HVAC contractor is generally responsible for producing and updating these drawings, which show the up-to-date locations of equipment, conduit, piping, and other items of work. Each Contractor uses the information on the coordination drawings to update the shop drawings that show that Contractor’s portion(s) of the work. Contractors are then responsible for regularly providing updated shop drawings to the HVAC Contractor, who will produce new coordination drawings to show current information before each meeting.

Note: Each Contractor must submit updated shop drawings for the Associate or Project Administrator’s approval according to an established schedule. See “Approving Shop Drawings”.


Monthly ActivitiesDuring a project’s construction phase, the Project Administrator performs the following tasks once monthly: Approving Contractors’ pay applications, and Approving updated Construction Schedules.

Approving Contractor Pay ApplicationsContractors submit their pay applications to the attention of Capital Finance. The Accountant logs receipt of the pay application and examines the data line by line to ensure accounting accuracy, referencing both the College and University Financial System (CUFS) and the State of Ohio Central Accounting System (CAS). If the data contained in the pay application is accurate, the Accountant forwards the pay application to the appropriate Project Administrator for approval. The Project Administrator is responsible for verifying that the Contractor’s statements regarding completeness of work are accurate. If the project uses an Associate Architect, the Associate confirms completeness of work and communicates findings to the Project Administrator; otherwise, the Project Administrator is responsible for verifying the Contractor’s statements by going to the job site and inspecting the work.

Note: The Contractor may prepare a draft copy of the pay application for review before submitting the formal pay application, if the Project Administrator agrees to review the draft. The Project Administrator’s signature on the pay application confirms that the information submitted is accurate and the Contractor can be paid. After approving the pay application, the Project Administrator returns it to Capital


Finance for additional processing. Capital Finance forwards the pay application to UC Accounts Payable and/or the State Accounting Office, depending on the funding source. If the project is State-funded, the State Accounting Office must review and approve the pay application and all supporting documentation. Chart 1 shows the process flow for approval of the Contractor pay application.


Revised June 2002Managing the Construction PhaseChart 1: Contractor Pay Application Process

TimingThe University is required to pay each Contractor according to the terms established in the Construction Contract. Under the standard terms, this means the University must pay the Contractor within 30 days from the date the pay application is approved by the University. Any errors the Contractor makes on a pay application will bring the process to a halt without consequence to the University—as long as the University notifies the Contractor of the error and advises the Contractor to resubmit the pay application. For this reason, it is essential that Project Administrators and Associates evaluate Contractor pay applications quickly and notify the Accountant immediately if any information is in error. The Accountant sends weekly reminders to Project Administrators who have unapproved Contractor pay applications pending. Components of the Pay Application The UC pay application (Contract Cost Breakdown and Partial Payment document) contains multiple sheets within an Excel™ workbook. At the conclusion of each pay period, the Contractor completes all applicable sheets and submits the pay application to Capital Finance for processing and approval. The complete pay application is shown on the following pages (Figure 7): The Cover Sheet (Figure 7a) lists project and Contractor

information, and includes signature lines for the Contractor, Associate, and Project Administrator. The cover sheet also shows the number of the pay application (pay applications are numbered chronologically) and the period when work was performed (starting and ending dates).

The Contract Cost Breakdown and Partial Payment sheet (Figure 7b) itemizes the Contractor’s current pay request, showing labor and material costs for both the current period and accumulated to date, less funds held to cover liens, retainage, liquidated damages, or other items.


The Summary of Change Orders (Figure 7c) shows change orders issued to date and amount completed to date.

The Schedule of Values (Figure 7d) breaks down items of cost according to labor and material. The Schedule of Values is approved by the Associate and/or the Project Administrator. After the initial approval, the Contractor resubmits the Schedule of Values, including completion costs to date for both labor and material.



UNIVERSITY OF CINCINNATIOffice of the University Architect



Contract Cost Breakdown and Partial Payment 1. Project No.: 96064 UC Purchase Order No.: PC01B-00702

2. Type of Contract: General Construction Waiver of Escrow [ ]

3. Sheet 1 of

4. Project name and location:

5. Contractor name and address: FTI:#: 3 / 1 / 0 / 5 / 7 / 0 / 7 / 4 / 6

Phone: (513 ) 721 - 0757

Fax: (513 ) 721 - 0271

6 Associate name and address: Phone: (513 ) 556 - 3161Fax: (513 ) 556 - 4885

7. Partial Payment Request # 2 for period Feb. 1 20 01 to Feb. 28 20 01

Contractor hereby certifies thatinformation provided herein is a true and accurate detailedbreakdown for the work.

Contractor DateApproved:

Associate Date

Approved:

University Date

Joe TreinenDept. of Construction Management

Geology Physics Rm 305 and 307 Renovation

1434 Main St.Cincinnati, Ohio 45210-2300

345 College Ct. Cincinnati, Ohio 45221

The J.B. Schmitt Co., Inc.

s:\shareall\forms\cm\costbrk.xlsForm UC-4a 1/15/98

Figure 7a: Pay Application Cover Sheet


Contract Cost Breakdown and Partial Payment 1. Project No.:_______________________ UC Purchase Order No.:_______________

2. Type of Contract: General Construction 3. Sheet ______ of ______

11A. Labor on original contract completed to date (Item 8h) $ 18,647.00 11B. Labor cost of additional work completed to date (Item 10D) $ 390.00 11C. Total Cost of Labor Completed to date (Item 11A+11B) $ 19,037.00

11D. Less amount retained to cover lien $ 11E. Less amount held in retainage account (Item 11CX 8%) $ 1,522.96 11F. Less amount assessed for Liquidated Damages $ 11G. Less other amounts withheld $ 11H. Net amount earned on original contract/additional work to date for labor $ (Item 11C minus 11D, 11E, 11F, and 11G) $ 17,514.04 11I. Less amount of previous payment for labor $ 8,429.50

11J. Amount requested for labor on this pay request $ 9,084.54

11K. Materials on original contract completed to date (Item 8-i) $ 50,012.00 11L. Material cost of additional work completed to date (Item 10-E) $ 88.00 11M. Total Cost of Material Completed to date (Item 11K + 11L) $ 50,100.00

11 N. Cost of Materials Stored AT SITE to Date (Attach Form UC-4e) $ 11O. Cost of Materials Stored OFF SITE to Date (Attach Form UC-4f) $ 6,217.59 11P. Net amount earned on original contract/additional work to date for material (Item 11M + 11N and 11O) $ 56,317.59 11R. Less amount of previous payment for material $ 4,101.00

11S. Amount requested for material on this pay request $ 52,216.59

11T. Balance Requested on this Partial Pay Request (Item 11J + 11S) $ 61,301.13

12. List of Subcontractors, and the total amount of labor performed by each Subcontractor during this pay period (attach Subcontractor payrolls), attach additional sheets if necessary.

13a The Contractor certifies that all progress payments previously paid by the University have been applied by the Contractor to discharge in full all of Contractor's obligations incurred in connection with the work covered by all prior pay requests and that Contractor has paid the prevailing wage rates required by the Contract Documents.

Contractor Date

13b Based upon on-site observations, the firm affirms that the work has progressed to the point indicated on the pay request.

Associate Date

APPROVED:

University Date

96064 PC01B-00702

s:\shareall\forms\cm\costbrk.xlsForm UC-4a 1/15/98

Figure 7b: Contract Cost Breakdown and Partial Payment Sheet


Summary of Change Orders Issued to Date Project No.: 96064 UC Purchase Order No.: PC01B-00802

Sheet ____ of ____

10a 10b 10c 10d 10e 10fContract Cost

Number Date Amount of Labor Cost Material Cost % ChangeChange Order Completed Completed Comp Complete

2 2/7/01 $1,376 $1,3763 1/30/01 $478 $390 $88 100 $478

$1,854 $390 $88 $1,854

s:\shareall\forms\cm\costbrk.xlsForm UC-4d 1/15/98

Figure 7c: Summary of Change Orders Sheet


Figure 7d: Schedule of Values

What to Look For The following sections present the elements of a correctly completed pay application. On all sheets, the Accountant checks the completeness and financial accuracy of information as described below and then forwards the pay application to the Project Administrator. Before approving the pay application, the Project Administrator (and/or Associate, if applicable) must verify that the Contractor has completed the work to the extent shown on the Schedule of Values (see “Schedule of Values” below). Cover Sheet (Figure 7a)When examining a pay application cover sheet, the Accountant verifies that items 1 through 7 have been completed and that the Contractor has signed and dated the form. Contract Cost Breakdown and Partial Payment Sheet (Figure 7b) The Accountant’s responsibility is to confirm that all mathematical calculations are correct, including previous payment figures. The labor cost and material cost obtained from both the Schedule of Values and the Summary of Change Orders must be checked to ensure that these figures have been carried forward correctly. It is also the Accountant’s responsibility to ensure that supporting documentation is attached for any cost of materials stored at site or off site, if applicable.

Note: The amount withheld for retainage is 8% of the total cost of labor completed to date (item 11C), until the pay application indicates that the total contract completion is at 50% or greater. Once the project reaches or exceeds 50% completion, the retainage amount is fixed for each pay application thereafter. This fixed amount is determined by calculating 8% of item 11C on the first pay application that shows the project reaching or exceeding 50% completion. That amount is then retained on all succeeding pay applications, as shown in the example that follows.


PROJECT 000121, PARKING GARAGE REPAIRS

Pay App. No.

Amount billed/

percent complete

Amount retained

1 $100,890, 15% $8,071.202 $375,000, 31% $30,000.003 $550,000, 52% $44,000.004 $890,100, 76% $44,000.005 $1,114,400,

98%$44,000.00

After receiving the first pay application that shows the project at 50% completion or greater (application number 3 in the example above), Capital Finance notifies the Contractor of the fixed retainage amount. An example of this notice appears on the following page as Figure 8.



Figure 8: Notice of Fixed Retainage Amount

DATE: July 26, 2001

The Veri-Best Construction Co. Attn: Mr. John Q. Best 1767 Bestway Pike Cincinnati, OH 45242

Project Number: 000121 Project Name: Parking Garage Repairs PC#: PC044D-00009 Inv/Pay Req #: 3_________ ______ Amt Requested: $550,000.00 Date of Inv/Pay Req: July 17, 2001 Subject: Retainage Notification

Dear Mr./Ms. ___Best :

The _____general______contract/purchase order between the University of Cincinnati and Veri-Best Construction has reached or exceeded the 50% stage of completion; therefore, the fixed amount for retainage is__$44,000.00 . All future invoices/pay requests should reflect this figure on the line indicating “Less amount held in retainage account”. Please beaware that this amount will not change through the end of this contract.

Should you have any questions regarding this issue, please contact AliciaJones at (513) 556-6137.

Sincerely,

Charlotte A. HomerDirector, Capital Finance

CAH/cs

cc: R. D. RennerProject ManagerAlicia JonesFile: 0021C

Note: If the Contractor has entered deductions for liens, liquidated damages, or other items, the Project Administrator should also check the accuracy of these amounts.

Note: If the Contractor is billing UC for materials stored on site,

the Contractor must attach Form UC-4e, Certification of Material Stored At Site (Figure 9), with the pay application. The form must be properly completed and signed. If the Contractor is billing UC for materials stored off site, the Contractor must attach Form UC-4f, Certification of Material Stored Off Site (Figure 10), with the pay application; the form must be properly completed and signed. To be paid for material storage costs, the Contractor also must attach, as supporting documentation, an invoice from the storage facility (if off site) and proof that insurance coverage is in effect for the stored materials.

Note: In addition to any documentation needed to support the pay

application, the Contractor must submit certified payroll reports for the period indicated directly to the University’s Office of Contract Compliance.



Figure 9: Certification of Material Stored At Site


Figure 10: Certification of Material Stored Off Site

Summary of Change Orders Sheet (Figure 7c)The Project Administrator (or Associate, as applicable) must inspect work to verify that the Contractor has completed change orders to the level attested in the % Comp column on this sheet.

Schedule of Values Sheet (Figure 7d)With each new pay application, the Contractor completes columns 8f–8i on the Schedule of Values to request payment for work completed during the period. When a Contractor submits a pay application, values should appear in the following columns: Column 8f shows the contract costs for both labor and

material completed to date. Column 8g shows the percentage completed to date for

both labor and material. The Project Administrator or Associate, as applicable, must confirm the accuracy of these percentages before approving the pay application.

Column 8h shows the contract costs for labor completed to date.

Column 8i shows the contract costs for material completed to date.

The Project Administrator or Associate, as applicable, must inspect work items on site to verify that work has been completed to the extent the Contractor claims in column 8g. If it has not, the Project Administrator must reject the pay application, and the Contractor must resubmit it to show accurate completion percentages. (See “Notifying the Contractor of Pay Application Rejection”.)

Note: The amounts shown in columns 8c–8e are contract totals; they do not change from one pay period to the next. See the section “Approving Contractor Schedules” for information on approving the Schedule of Values at project startup. Reasons to Reject a Pay Application The Accountant, Associate, or Project Administrator, as applicable, may reject a Contractor’s pay application for any of the following reasons:


The work has not been completed to the extent claimed on the pay application (i.e., the Contractor is requesting payment for work not completed).

The Contractor has incorrectly calculated the amount to be withheld for retainage.


The Schedule of Values, Summary of Change Orders, and/or Contract Cost Breakdown and Partial Payment sheet show incorrect calculations or discrepancies between figures carried from one sheet to another.

The Contractor has entered an incorrect previous payment amount (for labor, material, or both) on the Contract Cost Breakdown and Partial Payment sheet.

The Contractor has failed to include required supporting documentation.

Notifying the Contractor of Pay Application RejectionTo reject a pay application, Capital Finance must return the pay application to the Contractor along with a letter explaining the reason for rejection. (The Project Administrator receives a copy of this letter.) An example rejection letter to a Contractor appears on the following page as Figure 11.



Figure 11: Pay Application Rejection Letter

If the Project Administrator or Associate determines that work has not been completed to the extent the Contractor claims on the Schedule of Values, the pay application must not be approved. The Project Administrator should return the pay application to Capital Finance with an explanation. Capital Finance will then generate the appropriate rejection letter. The Project Administrator may also elect to discuss the specific issue with the Contractor in person or by telephone to expedite a resolution.

Note: The Project Administrator and Associate should never make any handwritten or typed alterations to the Contractor’s pay application.

The Final Pay ApplicationEach Contractor must include a signed and notarized “Affidavit of Contractor” with its final pay application for the project. In signing the affidavit, the Contractor attests that its subcontractors and material suppliers have been paid in full, and that the Contractor, subcontractors, and suppliers all have complied with ORC 4115 (“Wages and Hours on Public Works”). The University’s Office of Contract Compliance reviews the Contractor’s affidavit and final pay application before final payment is made. A blank Affidavit appears on the following page as Figure 12.



University of CincinnatiOffice of the University Architect



State of Ohio, County of

A F F I D A V I T OF C O N T R A C T O R(Contractor is required to submit this with the final pay request and/or request to release escrow)

The undersigned certifies that the Contractor, all Subcontractors and Material Suppliers have fully complied withChapter 4115 ORC, "Wages and Hours on Public Works", for the following Project:

Project No.:

Project Name:

Affiant further certifies that all Subcontractors and Material Suppliers have been paid in full for all Work performedor materials furnished for the Project (check below if applicable):

except such amounts as will be paid from the estimate now due.

except those liens which the Contractor previously disputed and resolved with the University by providinga Bond pursuant to Section 1311.311 ORC and has served a notice to commence suit to the lienclaimant.

W A I V E R OF L I E N

Affiant further relieves

(NAME OF OWNER)of all responsibilities of such debts incurred to date hereof against said contract.

Further affiant sayeth naught.

Authorized Signature:

Print Name: Title: Company Name:

Sworn to and subscribed before me this day of , 20 .

Notary Public

Form No. UC-8 4/15/96S:\Shareall\Forms\CM\Affidavi.doc

Figure 12: Affidavit of Contractor

Approving Updated Construction SchedulesConstruction Schedules must be updated once monthly by the Lead Contractor and approved by both the Project Administrator and the Associate (if the project uses one). The Lead Contractor submits these schedule updates to the Associate for approval by the Associate and the Project Administrator. The Lead Contractor signs the schedule update to indicate agreement that any updated milestone dates or the completion date can be met.Monthly schedule updates must list all changes to the previously approved schedule or to the most recent monthly update, as applicable.


Ongoing ActivitiesThe activities described in this section can become necessary at any time during the construction phase. They include: Managing project changes, and Approving shop drawings.

Managing Project ChangesThroughout the construction phase, it may become necessary to change some element or elements of the work. Changes can be major or minor, and a single project can undergo many alterations between startup and completion. Reasons for Change Any of the following circumstances can prompt a need for changes to a construction project: An owner request An error or omission An unforeseen field condition A dispute among Contractors, the Associate, and/or the

University Identification of a value-engineering improvement Reconciliation of unused funds in a Purchase OrderProcesses for Making ChangesThe University has defined the following processes for managing change on construction projects: Change Order Process. If the change will affect the

project’s schedule or budget (both of which are elements of the original contract), a Change Order must be initiated and approved before work can go forward. Change Orders are formally initiated by the Project Administrator or the Associate Architect. They must be approved by the Project Administrator, Associate (if applicable), and the affected Contractor. Depending on the cost of the change, approval by others may also be required.


Request for Information (RFI) Process. If a change has no impact on the project cost or schedule and does not alter the intent of the Construction Documents, it can be executed via a Request for Information (RFI).

The Change Order Process An overview of the Change Order Process is presented below. These steps apply to standard (i.e., non-emergency) change requests.

Note: The chapter “Following the Change Order Process” presents more detailed information about initiating, processing, and monitoring Change Order work.

1. When a change to contracted work is requested, the Project Administrator or Associate Architect (as applicable) confirms that the change is needed and that sufficient funding is available in the project budget.

2. The Architect provides details about the change to the Construction Contractor in a Bulletin or other appropriate means as determined by the Project Administrator.

3. From the Bulletin, the Construction Contractor develops a proposal (including cost) to complete the change work.

4. The Project Administrator and/or Architect review and respond to the proposal, checking it for conformance to University pricing requirements and conducting negotiations as necessary.

5. Using the pricing in the Construction Contractor’s proposal, the Architect (or SSE, depending on contractual responsibilities) prepares the Change Order Form. The Architect, Project Administrator, Senior Staff Engineer, and Construction Contractor sign this form.

6. The SSE oversees completion of the A-600 Form. This form provides accounting personnel with the information they need to enter the funding change into CUFS. Ultimately the A-600 will be provided to the vendor as authorization to bill for the change work.

7. The Project Administrator determines whether the Change Order requires contract approval and routing. If so, the Project Administrator completes the A-910 form, which summarizes the contract change for the individuals who will need to sign it.


8. The Project Administrator assembles the Change Order Form, the A-600, the supporting documentation (such as the Contractor’s proposal), and the A-910 form (if required), and submits them for approval and quality-assurance steps.

9. If contract approval is required, Capital Projects Reporting checks the Change Order paperwork for accuracy, and the package is routed for signatures.

10. The Accountant checks the Change Order paperwork for accuracy, enters the Change Order funding information into OASIS and CUFS, and approves the A-600 Form.

11. Capital Finance sends the A-600 form (and supporting documents) to University Purchasing. Purchasing issues a copy of the A-600 to the vendor as authorization to begin billing.

Note: The above steps apply to “standard”, or non-emergency, changes to Construction Contracts. In emergency cases, a shorter process can be followed so that urgently needed work can begin immediately. See the chapter “Following the Change Order Process” for information about emergency changes.

Chart 2 on the following page illustrates the Change Order Process.



Chart 2: Change Order Process

The RFI Process Contractors complete the RFI form to request approval for “minor” changes—those that do not change project cost or schedule, and do not deviate from the overall intent of the Contract Documents. The Contractor submits the RFI to the Associate (or Project Administrator, if the project does not use an Associate). The Associate evaluates the request and enters a response in the REPLY section of the form. The Associate then provides copies of the evaluated request to the Contractor and the Project Administrator. A blank RFI form appears on the following page as Figure 13.



REQUEST FOR INFORMATION (PLEASE PRINT)

TO: RFI NO.:

DATE:

ATTN: ANSWER NEEDED BY:

FROM: DRAWING NO.

SPEC. NO.

PROJECT:

DESCRIPTION: SIGNED: PHONE NO.

REPLY: SIGNED: PHONE NO.:

s:\shareall\forms\cm\rfi.doc

Figure 13: Request for Information

Approving Shop DrawingsThe Associate must review submittals of shop drawings from each prime Contractor at regular intervals as determined by the schedule. If the project does not use an Associate, the Project Administrator approves shop drawings.

About Shop Drawings Shop drawings illustrate a portion of the Contractor’s work. One drawing per assembly or item of work is generally required.

Timing Delivery dates for shop drawings are established in the Construction Schedule (or, depending on the project, in a separate schedule that shows only submittals). The Associate (or Project Administrator) must review and respond to submittals within the time frame established in the Contract Documents and submittal schedule (usually within 15 days of receipt).

Content and FormatThe Contractor must stamp all shop drawings before submitting them to the Associate or Project Administrator. The stamp indicates that the Contractor has reviewed the drawings for completeness and conformance to requirements before submitting them. The Contractor should include a cover letter when submitting the drawing or set of drawings to the Associate. One Mylar™ version and three prints of each drawing are required. Article 14 of the Front-End Specifications (General Conditions) provides complete details about the required content and format of shop drawings.

Approval Requirements The Associate reviews and approves shop drawings to confirm that the work depicted conforms to the requirements of the Construction Documents and is otherwise consistent with the project’s design concept.


If the Associate rejects a drawing or set of drawings, he or she should provide the Contractor with guidelines for correcting the work. The Contractor must then submit a corrected drawing or drawings. Contractors are not to begin work on an item requiring a shop drawing until the Associate has approved the drawing.
