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					                     School Construction Procedures Manual

TABLE OF CONTENTS

0.0 Maintaining and Updating Procedures Manual…………………..…………………………………3

1.0 General
1.1 Program Directory............................................................................................................................. 4
1.2 Emergency Procedures ...................................................................................................................... 5
1.3 Communications................................................................................................................................ 8
1.4 System Management of Data .......................................................................................................... 12
1.5 Agency Review and Approval ........................................................................................................ 14
1.6 Responsibility Matrix ...................................................................................................................... 23
1.7 General Meetings ............................................................................................................................ 27
1.8 Board Approvals ............................................................................................................................. 31

2.0 Pre-Design Phase
2.1 Consultant Selection........................................................................................................................ 34
2.2 District-Consultant Contracts .......................................................................................................... 40

3.0 Design Phase
3.1 Estimates and Cost Control Reports................................................................................................ 45
3.2 Schedule Management .................................................................................................................... 50
3.3 Preparation/Review of Draft Bid Documents ................................................................................. 54
3.4 Design Reviews............................................................................................................................... 59
3.5 Design Review Submittal Requirements......................................................................................... 63
3.6 Value Engineering........................................................................................................................... 74
3.7 Special Studies ................................................................................................................................ 80
3.8 Agency Review Coordination ......................................................................................................... 82

4.0 Bid Phase
4.1 Bidding ............................................................................................................................................ 84
4.2 Pre-Bid Procedures.......................................................................................................................... 91
4.3 Bid Administration .......................................................................................................................... 97
4.4 Bid Opening .................................................................................................................................. 101
4.5 Bid Evaluation & Analysis............................................................................................................ 105
4.6 Contract Execution ........................................................................................................................ 108
4.7 Pre-Purchased Equipment & Materials ......................................................................................... 113

5.0 Construction Phase
5.1 Pre-Construction Conference ........................................................................................................ 116
5.2 Site Construction Meetings ........................................................................................................... 120
5.3 Construction Site Safety................................................................................................................ 126
5.4 Construction Phase Record Keeping............................................................................................. 129



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TABLE OF CONTENTS

5.5 Record of “As-Built” Drawings .................................................................................................... 133
5.6 Submittal and Submittals .............................................................................................................. 136
5.7 Request for Information ................................................................................................................ 142
5.8 Pay Application ............................................................................................................................. 146
5.9 Change Order ................................................................................................................................ 151
5.10 Project Cost Management ........................................................................................................... 159
5.11 Construction Contract Claims ..................................................................................................... 163
5.12 Schedule Management ................................................................................................................ 167
5.13 Security........................................................................................................................................ 172
5.14 Labor Relations ........................................................................................................................... 178
5.15 Quality Control............................................................................................................................ 182
5.16 Agencies & Official Visitors Protocol ........................................................................................ 188
5.17 Project Closeout .......................................................................................................................... 193
5.18 Equipment & Operational Training............................................................................................. 199
5.19 Stop Notice.................................................................................................................................. 202

6.0 Post Construction Phase
6.1 Owner Move-In/Occupancy Assistance........................................................................................ 206
6.2 Commissioning.............................................................................................................................. 210
6.3 Warranty & Guarantee Work ........................................................................................................ 214
6.4 Eleven Month Walkthrough .......................................................................................................... 218


7.0 Definitions ..................................................................................................................................... 222


REFERENCES…………………………………...…….…………………………………………….234




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0.0 Maintaining and Updating Procedures Manual



         ROLES & RESPONSIBILITIES
         DISTRICT:                                   CONSULTANTS:                CONTRACTOR: N/A
         Director, School Construction:              Architect/Engineer: N/A
         Reviews Changes                             Construction Manager: N/A
         Director, Finance: Reviews and              Inspector of Record: N/A
         initiates potentials changes to financial
         procedures
         Director, Purchasing & Contract
         Management: Reviews and initiates
         potential changes to procurement
         procedures
         District Project Manager: Maintains
         and updates procedures manual,
         Reports changes to BOE & CBOC
         Internal Auditor: Reviews changes
         Chief Business Officer: Reviews and
         Approves Changes
         Board of Education: Receives
         Procedures Manual as informational

The updated Procedures Manual will be presented as an informational item to the Board of Education
on an annual basis.

Additional potential changes can be initiated by anyone in the District and brought forward to the
Director of each department for review. The Director of any department will forward a potential
change(s) to the District’s Project Manager and Director of School Construction. All potential
changes must be reviewed and approved by the District’s Chief Business Officer Administrative
Services prior to any change being incorporated into the Procedures Manual.

On an annual basis, the following is to occur:
       •  District’s Project Manager asks the Directors of each department if there are any changes
          to the Procedures Manual.
       •  District’s Project Manager will review all changes with the Director of School
          Construction and then update the Procedures Manual.

The District’s Project Manager will update affected procedures within the Procedures Manual due to
code and law changes reported at the Yearly Training Seminar by Legal Counsel.

The Procedures Manual will be published on the District’s Web Site and within the District’s Ed Tek
Conferences database with annual updates.




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1.1 Program Directory

    San Jose Unified School District
       Board of Education
       Superintendent of Schools
       Assistant Superintendent, Instructional Services
        Assistant Superintendent, External Programs
        Chief Business Officer, Administrative Services

        Director, Purchasing & Contract Management
               Director, School Construction

        Director, Maintenance, Operations and Grounds

        Director, Auxiliary Services
        Director, Fiscal Services
        Director, Technology

        Internal Auditor

    Citizens’ Bond Oversight Committee – CBOC

    Program Manager

    Bond Counsel

    General Counsel

    Performance Auditor

   Financial Auditor

    Construction Managers

    Architects/Engineers

    Inspector Of Record (IOR)




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1.2 Emergency Procedures


         ROLES & RESPONSIBILITIES
         DISTRICT:                           CONSULTANTS:                    CONTRACTOR: Follows
         Director, School Construction:      Architect/Engineer: Follows     Emergency Procedures
         Follows Emergency Procedures        Emergency Procedures
         District Project Manager: Follows   Construction Manager: Follows
         Emergency Procedures                Emergency Procedures
         Director, Purchasing and Contract   Inspector of Record: Follows
         Management: Follows Emergency       Emergency Procedures
         Procedures
         Board of Education: N/A
         Fiscal Services: N/A

Emergency Phone Numbers:
A single page document listing both emergency and non-emergency numbers for the Fire Department,
Police, Hospital, Ambulance, and the District shall be distributed to all Project Team members and
posted in strategic locations as the Work commences.
A second document shall list key contacts for all Project Team personnel that need to be contacted in
the event of an emergency on site.

Emergency Preparation:
Identify exits, exit pathways, headcount reassemble location, fire hoses and extinguishers, fire alarm
headend equipment, fire alarm pull stations, and any special conditions important in an emergency
situation, (locked doors, emergency lighting provisions, elevators).

Emergency Procedure for Fire:
  • Notify Fire Department (911) and sound alarms.
  • Notify Evacuation Coordinator
  • If fire is easily extinguishable, use fire extinguisher and evacuate.
  • Follow evacuation procedures, go to re-assembly area.
  • All Construction Managers (CMs), Architects and contractors shall have school site
     evacuation procedures.

Emergency Procedure for Serious Accident:
  • A serious accident is considered to be one in which an individual or individuals have been
     injured and the injury appears to be serious based upon the immediate observation of the
     Contractor. The Contractor will be responsible for ensuring the following actions are
     accomplished:
  • If the cause of the injury is still active (such as an electrical line broken or machinery
     operating) the source shall be terminated with extreme caution so as not to injure members of
     the rescue party.
  • Instructions shall be immediately given to telephone for medical assistance as necessary.



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    •   First-Aid shall be administered, where necessary. The injured worker shall not be moved by
        non-medical personnel unless absolutely necessary to prevent further injuries.
    •   All personnel will be instructed to leave the accident area, leaving every item undisturbed.
        Insurance company representatives shall be contacted before any changes are made to the
        accident site. If the accident area can be photographed without risks, this will be done prior to
        allowing changes to the site.
    •   The project site will be closed to all personnel except OSHA, local law enforcement agencies,
        and CM and District employees unless otherwise specified. With the exception of these
        persons, the CM employees will not speak to anyone regarding facts, observations or rumors
        concerning the accident until consultation with a member of the Management Team.
    •   Questions from the press, outside insurance companies, lawyers or investigators will be
        referred to the CM.
    •   Subsequent to a fatality, the jobsite will be closed to all persons except those working on the
        site. These workers and their supervisors will be required to sign a register as they enter the
        project as well as provide a detailed worker count and visitor log.
    •   On projects in seismic areas zoned 3 or 4 (UBC Chapter 23), appropriate personnel shall be
        trained in earthquake emergency procedures. This training program is conducted by the local
        Fire Department.
    •   Employees shall report all injuries promptly to the field office, notify District Staff and fill out
        and accident report.

First Aid & Medical:
Immediate first-aid shall be given to prevent infection. If the injury requires medical attention, the
worker shall be taken to the nearest medical facility. Puncture wounds, foreign objects in the eyes, and
lacerations (all of which are susceptible to infection) shall be referred to a physician for treatment.

Evacuation:
Identify the Evacuation Coordinator, Alternate Evacuation Coordinator and location of the evacuation
re-assembly area. The role of the Evacuation Coordinator is to assist during evacuation, taking
headcount at the assembly area and reporting missing persons to the emergency response team (Fire or
Police).




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REFERENCE MATERIALS

1.2.1 Site Emergency Plan/Evacuation Plan – Actual Sample




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1.3 Communications



         ROLES & RESPONSIBILITIES
         DISTRICT:                               CONSULTANTS:                          CONTRACTOR:
         Director, School Construction:          Program Manager: Communicates Communicates with CM, IOR
         Communicates with BOE, CBOC,            with School Construction, CMs, Fiscal
         Fiscal Services and Purchasing and      Services, Purchasing & Contract
         Contract Management,                    Management, Consultants and CBOC
         Program Manager, CM,                    Architect/Engineer: Communicates
         Consultants                             with Program Manager, CM
         District Project Manager:               Construction Manager:
         Communicates with Fiscal Services       Communicates with Fiscal Services
         and Purchasing and Contract             and Purchasing and Contract
         Management, Program Manager, CM,        Management, Program
         Consultants                             Manager, Consultants, Contractor
         Purchasing and Contract                 Inspector of Record: Communicates
         Management: Communicates with           with Construction Manager,
         School Construction, Fiscal Services,   Consultants, Contractor
         Program Manager, CM, Consultants,
         Vendors
         Board of Education: Communicates
         with CBOC
         Fiscal Services: Communicates with
         School Construction, Purchasing and
         Contract Management,
         Program Manager, CM, Consultants,
         Vendors

Executive Summary:

Continual and Consistent communication between the District and Consultants is crucial in a
successful program. The designated lead person is the Director of School Construction. The Program
Manager ensures communication is taking place; to establish lines of communication and guidelines
for properly communicating direction or decisions throughout the life of the program. The first means
of communication is the District Standards or Education Specifications. This document will provide
some direction for design. The other means of communication will be the Implementation Plan and
the Assessment Binders that assist with the intent. Overall, communication will be transferred to
various groups internally and externally.




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Leadership During Preconstruction:

Through construction, it is extremely important during Preconstruction Services that the Program
Manager maintains a leadership role in providing these services to the project team. The Program
Manager will ensure that Scheduling, Estimating, Operations and other support services such as Data
Processing and Accounting are orchestrated correctly to provide the District with a high level of
service. The Director of School Construction must keep the Program moving forward. The role of
the Program Manager is to ensure the District Director’s directives are occurring. The Consultant
must be aware of the propensity for projects to get delayed during the design phase and to take the
necessary steps to keep the project moving forward.
Before the completion of the Preconstruction Services, schedule a full-blown drawing critique, the
level of which will need to be discussed and decided. Along with the CM and the Architect this
meeting can flush out items that can be resolved now opposed to during construction.

Internal Communications:

Establish a method for internal communications from the onset of a project. All District staff shall
be informed of the intent of the Construction Program. Documentation along with verbal
explanation shall be used to inform Managers, Principals, Directors, Chief Business Officer,
Superintendent and the Board of Education of the intent and progress of the Program. Designated
times shall be established to discuss progress, design intent and input from the various groups.
With assistance from the Program Manager, meetings shall be established to review the plans and
receive input on the design from the various District Staff.

External Communications:

Clearly delineate and establish the lines of communication at the onset of the project. External
communications usually consist of meetings, phone conversations, planning sessions, and written or
electronic communications with the community, construction managers, architects, engineers, and any
other consultants involved in the program. For community engagement, the Community Engagement
Process matrix on the following page shall be followed:




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I. Master Planning & Project Approval Procedure

Phase             Description                                                                                Further Action?
Pre-Project I    The District construction department manager shall engage the school site of the proposed         If Yes:
                 project to assess if there will be a significant impact to the site that will affect the school   Go to Pre-Project II
                 population and the community.
                                                                                                                   If No: District to
                                                                                                                   direct Architect and
                                                                                                                   CM to proceed
Pre-Project II   If significant issues arise, the District shall review with Program Manager and Board of          If Yes:
                 Education of appropriateness to proceed with project as programmed. If refinement of the           Go to Principal
                 program is required, the District construction department director shall engage key board         Approval
                 members as necessary to proceed with master plan development.
                                                                                                                   If No: District to
                                                                                                                   direct Architect and
                                                                                                                   CM to proceed
Principal        When the pre-project phase is approved, the District shall hire an architect & CM to              If Yes: Go to Key
Approval         propose and present several recommended options to discuss with Principal and site. The           Community / Site
                 Principal, in conjunction with the District, shall assess if PTA, site council, and/or other      Approval
                 local community groups should be engaged for review of the project. If yes, the District
                 shall set up.                                                                                     If No: District to
                                                                                                                   direct Architect and
                                                                                                                   CM to proceed
Key              Meetings with Principal, PTA, staff, key homeowners and other community groups are held           If Yes: Go to
Community /      to present the project scope and hear concerns and issues. District determines whether            Community
Site Approval    further community involvement, such as public meetings, is to be held.                            Approval

                                                                                                                   If No: District to
                                                                                                                   direct Architect and
                                                                                                                   CM to proceed
Community        Public meetings, if any, are to be facilitated by the CM and District with the Architect in       If Yes: Go to Pre-
Approval         attendance. Subsequent meetings are to be held until reasonable acceptance is reached by          Project II
                 the community, as determined by the District Construction Department Director in
                 conjunction with the Board of Education. Cost impact of decisions and concerns are to be          If No: District to
                 incorporated into the budget to assess impact.                                                    direct Architect and
                                                                                                                   CM to proceed.
To summarize, the extent of community outreach will be proportionate to project scope, and assessment of
potential community impact as determined by the District Construction Director. Venues for engagement may
include one or more of the following, as appropriate: postings, newsletters, mailings, meetings, school principal
as point of contact/liaison, or District representative meeting.

II. Community Engagement Discussion Topics

A. Introductions: The District Manager introduces the Project Team as well as the District project point of
contact for issues and concerns. This will typically be the principal of the site, but may vary, depending on
project.
B. Schedule: The Construction Manager presents the duration of the project, including anticipated start and
completion dates.
C. Scope of the Project: The Project Architect presents the scope of work with site plans and 3D renderings as
required to adequately demonstrate the scope of work.
D. Potential Impacts to the Group / Community: The District representative will outline potential impacts of the
project with technical support from the CM and Architect.
E. A process will be followed to ensure ongoing community input and feedback.


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III. Summary & Conclusion

District Construction Director determines action to be taken at conclusion of each level of community outreach,
taking into consideration schedule, and budget impacts. Documentation of District decision(s) are to be
included in site, community and Board Of Education minutes as they occur.

Establish a project kick-off meeting with all of the consultants that have been assigned to projects for
each year. The meeting will be to discuss the scope, budget and schedule of the projects.

Establish guidelines for documentation of the project. The Program Manager will be documenting
decisions made during the Executive Committee Meetings, the Architect is required to document the
detailed design meetings and the CM will document all of the site meetings. The consultants will also
document any other meetings that occur with the site staff, District staff and community. This
information will be readily available to anyone that requests the status of the projects or meetings.

The Meeting Notes and Team Memos are a vital link in the external communication process. They
can be used to document key decisions; they keep things collected in one place, identify action items
and identify individuals that are accountable and a follow-up date. Team Memos can be used for
documenting telephone calls, individual conversations, and even notice provisions. Meeting Notes
need to be distributed within 48 hours so the participants required to accomplish tasks meet those
tasks prior to the next weekly meeting.

Establish regular meetings to monitor the status of the design and the progress of the project. These
meetings can occur weekly or at some other interval that is agreed upon. All meetings shall include a
prepared agenda that can be followed to ensure effective meetings.

Communications with the CBOC is crucial to ensure that they are well informed. Provide
documentation that is requested, if within a reasonable timeframe, and solicit help from the Program
Manager to be proactive with the type of information that the CBOC would be interested in reviewing.
It is good practice to review the CBOC requirements with them so that the information can be
provided in a timely manner. All requests to staff for information should be from the CBOC Chair in
writing to the Chief Business Officer.




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1.4 System Management of Data


         ROLES & RESPONSIBILITIES
         DISTRICT:                         CONSULTANTS:                   CONTRACTOR: Views
         Director, School Construction:    Program Manager: Views         Information
         Views Information                 Information
         District Project Manager: Views   Architect/Engineer: Views
         Information                       Information
         Purchasing and Contract           Construction Manager: Inputs
         Management: Approves PO           Information
         Board of Education: N/A           Inspector of Record: None
         Fiscal Services: Creates PO and
         Inputs Invoice
         Information
Executive Summary

District’s School Construction Finance section of Fiscal Services will track purchase orders for
commitments and invoices for payments utilizing their CIMS software. The Construction Managers
(CM) will use a system to track job progress. If possible an integration of the softwares would be
beneficial for up to date information. Otherwise importing information will be required to reconcile
information.

The system that the CM’s will be utilizing is called Prolog and is a Database System that will be
locally operated. The District Staff can view information in the database with Prolog.

The following can be tracked in Prolog:
       • Payment Applications
       • Potential Change Orders
       • Change Orders
       • Request For Information
       • Submittals and Substitutions
       • Meeting Minutes
       • Daily Reports/Logs
       • Safety Notices
       • Addenda
       • Bid Packages
       • Contracts
       • Purchase Orders
       • Budget Codes
       • Closeout Logs
       • Conversation Logs
       • Transmittals and Correspondence Logs
       • HotList


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        •   Issues
        •   Field Work Directives
        •   Inspections and Tests
        •   Notice to Comply
        •   Punchlist
        •   Material Inventory
        •   Company Setups
        •   Distribution Lists
        •   Vendors




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1.5 Agency Review and Approval


         ROLES & RESPONSIBILITIES
         DISTRICT:                                CONSULTANTS:                       CONTRACTOR: Comply with
         Director, School Construction:           Program Manager: Manage District Contract Documents
         Assists with Obtaining Approval of the   and Agency Review
         Project Documents                        Architect/Engineer: Produces
         District Project Manager: Assists        Project Documents in accordance to
         with Obtaining Approval of the Project   Title 24, Address Plan review
         Documents                                comments, Resubmit for Approval
         Purchasing and Contract                  Construction Manager: Review
         Management: N/A                          Agency Comments
         Board of Education: N/A                  Inspector of Record: N/A
         Fiscal Services: N/A


Executive Summary

Architects and Engineers (A/E) employed by the District are expected to observe the following
procedures for dealing with the Division of the State Architect (DSA). DSA will review certain San
Jose Unified School District projects for structural, fire/life safety, and accessibility requirements.

Note that school projects must be designed in accordance with Title 24 of the California Building
Standards Code. For qualified historical buildings or structures, Part 8 of Title 24 may apply (see
Alternative Plan Review Processes).




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Design Professional in General Responsible Charge (A/E of Record):
State law requires that an appropriately licensed architect or engineer prepare drawings and
specifications for all school construction projects. This individual is also responsible for observing
construction, interpreting the drawings and specifications, administering required testing and
inspection processes, and preparing any change orders. In most cases only California licensed
architects or structural engineers may act as the "Design Professional in General Responsible Charge"
(referred to throughout this document as the A/E of Record) of a school construction project. Licensed
civil engineers, for example, are not permitted to act in this capacity. Licensed mechanical and
electrical engineers may serve as the A/E of Record for projects that are primarily limited to
mechanical or electrical alterations respectively.

Projects must be completely designed and coordinated by appropriately licensed architects or
engineers before they are submitted to DSA for review.

Preliminary Review of Project:
The A/E of Record will schedule a preliminary review of the Plans and Specifications with the DSA
Oakland office. At least one preliminary review of the project will take place during the Design
Development or Construction Document phase. For larger projects, several preliminary reviews with
DSA are expected to take place. Access Compliance, Fire Life Safety and Structural Safety
representatives will all take part in the preliminary review. The A/E of Record will prepare minutes of
the preliminary review meeting and distribute those minutes to the District and to DSA.

Application for Project Tracking Number and Request for DSA Plan Review Fees:
During the Construction Document Phase, the A/E of record will request that the District Construction
Office apply for a DSA Project Tracking Number. The A/E of record will also calculate the DSA plan
review fee based on the approved project budget and request a check for that amount from the District
Finance Department at least three (3) weeks prior to the DSA Initial Project Submittal.

Initial Project Submittal:
The Application for Approval of Plans and Specifications (FORM DSA-1), plan review fees, stamped
and signed plans and specifications, and other documents are submitted to the DSA Oakland office.
The Project Submittal Checklist provides a comprehensive list of documents required when
submitting a project to DSA. All required documents must be complete at the time of submittal. Upon
receipt, an application number is assigned to the project for tracking purposes. A preliminary review
for completeness will be performed by DSA. The A/E of Record and school district are notified by
letter of incomplete submittals. Plan review is scheduled after DSA verifies that a complete submittal
has been received.




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Plan Review:
Plan review starts within four to six weeks of initial submittal for most large projects. At times of
high workload, DSA contracts with private plan reviewers to expedite the plan review process. The
progress of the project can be monitored at the Project Tracking section of the DSA website.

DSA performs plan review in three disciplines: Structural, Fire/Life Safety, and Access Compliance.
Three separate experts perform these reviews concurrently. Upon completion of plan review, three
red-marked "check-sets" will be returned to the A/E of Record. The red marks on the drawings and
specifications comprise the complete list of corrections required.

Addressing Plan Review Comments:
The A/E of Record can facilitate the back-check process by addressing each comment thoroughly and
completely before scheduling a back-check appointment. It is very important that the red-marked
check-sets be returned to DSA intact at the time of back-check. If a check set were to be lost, the
project would have to be resubmitted and an additional fee would be charged to re-review it.

DSA suggests that black pencil marks be used to check off comments on the drawings as they are
addressed. Notes regarding the manner in which the comments are addressed may also be added to the
drawings in black pencil to facilitate the back-check process. Colored marks shall not be added to the
check sets since such marks may be confused with DSA's comments. Marks that obscure the
comments must be avoided. Calculations or other documentation that needs to be kept in DSA's files
shall not be written on the check sets since check sets are generally discarded after the back-check
meeting.

Questions regarding the intent of comments may be discussed by calling the appropriate plan reviewer
prior to scheduling a back-check meeting. Drawings and specifications must be corrected prior to
scheduling a back-check meeting; however; additional, minor corrections are usually required during
the meeting. Leaving numerous corrections to be completed during the back-check meeting can result
in a long and unproductive meeting.

Back-check and Approval:
Once plan review corrections have been addressed by the A/E of Record, a back-check meeting may
be scheduled by contacting the DSA structural plan reviewer who reviewed the project. The reviewer's
name and phone number is on the first page of the "marked-up" check set.

The design professional in charge of the project shall be available during the back-check meeting to
authorize changes to the signed tracings. Any changes made to the tracings that are not a direct result
of a plan review comment must be brought to the attention of the plan reviewer. Upon completion of
the back-check meeting, reproducible tracings are stamped for identification by DSA. It is important
to keep in mind this stamping does not constitute approval. The A/E of Record is obligated to
immediately make a set of blueprints from the stamped tracings and submit it to DSA. The set of
blueprints will serve as DSA's official record set. Upon receipt of these blueprints, DSA issues the
project approval letter. The project is not approved until and unless DSA issues such a letter.


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Absolutely no changes may be made to the tracings after they are stamped and before the record set of
blueprints is made. The approval of the project is automatically void if changes are made to stamped
tracings without DSA approval. All changes made subsequent to approval must be accomplished by
submitting revised drawings, addenda, or change orders to DSA for review and approval.

Deferred Approvals:
Approval of certain aspects of the construction may be deferred until the construction contract has
been awarded. For example, it is not efficient to design elevator guide rails until after an elevator
supplier has been chosen. To facilitate the design process, DSA grants deferred approval to the design
and detailing of elevator guide rails at the request of the A/E of Record. Design elements that may be
deferred are limited to:

            1.   Elevator guide rails and support brackets
            2.   Window wall systems or storefronts with spans greater than 10' 0"
            3.   Exterior wall systems - precast concrete, glass fiber reinforced concrete, etc.
            4.   Skylights
            5.   Bleachers (seating layout must be shown at time of submittal)
            6.   Automatic fire sprinkler systems
            7.   Fire pumps

Detailed performance specifications and/or loading criteria for the deferred approval components must
be included on the drawings or in the specifications. The drawings must include a list of the deferred
approval components on the title sheet and clearly state that no work may proceed on the components
until DSA stamped approved drawings are provided to the contractor and inspector for the
components.

Note: Deferred approval does not mean that the A/E of Record may refer the design of the component
to the contractor. On the contrary, DSA requires that the A/E of Record accept responsibility for
verifying that all components (including those granted deferred approval) of the project are properly
designed by appropriately licensed design professionals. The A/E of Record is also responsible for
coordination of all components of the project. Finally, the A/E of Record is responsible for designing
connections to the structure for all deferred approval components and verifying that all interactions
(deflection compatibility, drift compatibility, vertical and lateral loads, etc.) are adequately addressed
and in conformance with good engineering practices and the California Building Standards Code.

The A/E of Record must submit complete drawings, specifications, and supporting documentation for
the deferred approval item(s) and obtain DSA approval before the affected construction may proceed.
From DSA's perspective, the only difference between a deferred approval item and any other
component of the construction is that the A/E of Record may defer the design of the item until after
the award of the bid so that additional information will be available to facilitate the design work.




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DSA stamped approved drawings must be delivered to the inspector, applicable special inspectors,
and the testing laboratory (as appropriate) before work on the deferred approval items may
commence.

Addenda and Revised Drawings:
After drawings and specifications have been stamped by DSA but before a contract for construction
has been awarded, changes to the plans and specifications may only be made by addenda or by issuing
revised drawings. Addenda and revised drawings must be signed by the A/E of Record and approved
by DSA. Significant revisions to the drawings may result in a DSA request for additional fees and/or
the submittal of a new separate application.

Changes During Construction:
Construction must proceed in strict accordance with DSA approved documents. After a contract for
construction has been awarded, any changes to the DSA approved documents must be made by
change order. Change orders must be prepared and signed by the A/E of Record in charge of the
project as well as by all engineers’ delegated responsibility for portions of the work involved in the
changes. Change orders must be stamped approved by DSA before construction may proceed.

To facilitate the construction process, DSA will review and stamp Field Orders, Supplemental
Instructions, Change Directives, and similar documents that describe changes to the construction
documents with a "preliminary approval stamp." This allows construction to proceed with DSA
approval pending the completion of an official change order. DSA will stamp such documents
received by facsimile and return facsimile copies to the A/E of Record for rapid distribution to the
contractor and the inspector.

Alternative Plan Review Processes:
Historical Building Program:
As a program of DSA, the State Architect is initiating a service for school districts that desire to
pursue historic preservation of their historical school building resources by reviewing those buildings
using the alternative provisions of the State Historical Building Code (SHBC or Title 24, Part 8).
While this service is not completely new to DSA, we are implementing a policy that will provide a
superior service to school districts by having review staff trained and experienced in historical
structures' archaic materials and methods of construction.

Expedited Review Process for Relocatable Buildings:
The Over-the-Counter Review Method:
An appointment is required. The design professional in charge of the project meets face-to-face with
DSA reviewers. Site plans are submitted and reviewed; building plans are compared to previously
approved plans of identical construction. The process is usually completed and the project approved
by DSA within two or three hours.
Note: Appointment times may fill up during the summer months when DSA experiences a high
volume of work.



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DSA divides construction projects into the five basic types:

    •   New Construction - New buildings (or structures) built from the ground up.
    •   Additions - When new construction adds floor area (or covered area such as canopies or shade
        structures) that is attached to an existing building.
    •   Alterations - Any construction that modifies an existing building or structure without adding
        new covered area. Modernizations, Rehabilitation, Upgrades, Modifications and other projects
        of this type are considered alterations by DSA.
    •   Relocation - When relocatable buildings are moved from one location to another (even on the
        same school site).
    •   Fire Reconstruction - When a structure is to be rebuilt, either in whole or in part, after being
        damaged by fire, special rules apply.

New Construction:
"New construction" refers to the construction of completely new buildings or structures.

In general, all new construction must be reviewed and approved by DSA before a contract for
construction can be awarded. Title 24, Part 1, Section 4-314 includes several definitions of the term
"School Building." Per Title 24 definitions, the following are classified as "school buildings" and are
therefore subject to review and approval by DSA:

    •   structures used for instructional purposes or intended to be entered by pupils or teachers for
        school purposes,
    •   dwellings for pupils or teachers on the school site,
    •   any structure, utility system or facility necessary to the complete functioning of the school, and
    •   any structure on school grounds that could endanger pupils or teachers if it were to collapse.

Excluded Structures and Other Exceptions:
Title 24, Part 1, Section 4-314 also defines certain types of structures that are not considered to be
school buildings. These structures may be constructed without first obtaining DSA approval or they
may be submitted to DSA for review at the option of the school district. Note that these structures
must still be designed, constructed and inspected per code requirements even though they need not be
submitted to DSA for review.
Structures that are not considered to be school buildings include:

    •   One-story buildings not over 250 square feet in floor area when used exclusively as accessory
        facilities to athletic fields (equipment storage, toilets, snack bars, ticket booths, etc.)
    •   Greenhouses, barns and storage sheds used exclusively for plants or animals and not used for
        classroom instruction (small groups of pupils or teachers may enter these structures for short
        periods of time).
    •   Light poles or flagpoles less than 35 feet tall.
    •   Antenna towers less than 35 feet tall or less than 25 feet above a building roofline.
    •   Retaining walls less than 4 feet above the top of foundations and not supporting a surcharge.


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    •   Concrete or masonry fences less than 6 feet above adjacent grade.
    •   Ball walls or yard walls less than 6 feet above adjacent grade.
    •   Signs, scoreboards or solid-clad fences less than 8 feet above adjacent grade.
    •   Bleachers and grandstands with five rows of seats or less.
    •   Playground equipment, open-mesh fences and baseball backstops.
    •   "Temporary-use" buildings on community college sites used for less than three years.
    •   "Trailer Coaches" that conform to the requirements of the Health and Safety Code, Division
        13, Part 2, sections 18000-18153, that are not greater than 16 feet in width and used for special
        education purposes for no more than 12 pupils at a time (or 20 pupils for driver training
        purposes).

Note that a number of exceptions from DSA approval requirements exist for certain relocatable
buildings. For more information about these exceptions please contact the DSA Oakland office.

Section 4-310 of Title 24, Part 1 states that the following types of buildings are not subject to DSA
approval and therefore need not be submitted to DSA for review:

    •   Bus garages, warehouses, storage and similar buildings,
    •   Dwellings for non-teacher, non-pupil employees,
    •   Other 'non-school use' buildings or structures,
    •   District-wide administration buildings that are not on a school site which are not entered by
        pupils or teachers for school purposes.

All structures (including those not subject to DSA approval) are still required to be designed and
constructed in accordance with the requirements of the building code. The school board is responsible
for hiring a licensed architect or engineer to design such structures and to provide for adequate
inspection of the construction.

Additions:
Only additions to DSA-certified construction can be approved by DSA. The load carrying capacity of
the existing structure, or portions of such structures, may need to be upgraded to meet current code
requirements when additions are made.

Note: Section 4-308 of Title 24, Part 1 has been changed to clarify that additions are subject to DSA
review and approval regardless of cost (the old code implied that additions were subject to rules that
applied to alterations projects). The code has been revised to coordinate with statutes on this issue.

Alterations:
Only alterations to DSA-certified construction can be approved by DSA. All alterations are subject to
DSA review and approval with the following exceptions:




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    •   Structural review and approval of projects involving only alterations is not required when the
        cost of the project does not exceed $25,000.00. However, accessibility and fire and life safety
        review may be required regardless of cost.
    •   Structural review and approval of projects involving only alterations is not required when the
        cost of the project does not exceed $100,000.00 under the following conditions:
        1.      The structural engineer shall submit a written statement to DSA, indicating that the
            project does not contain any work of a structural nature.
        2.      The design professional in general responsible charge of the project shall certify, in
            writing, that the plans and specifications for the project meet any applicable fire and life-
            safety standards, and do not specify any construction that is regulated by the accessibility
            standards of Title 24. This certification shall be submitted to DSA, and shall bear the stamp
            and signature of the design professional.
        3.      Within 10 days of the completion of the project, a DSA-certified project inspector shall
            sign and submit a verified report to DSA, indicating that the project was completed in
            conformance with the plans and specifications (See Title 24, Part 1, Section 4-336 Verified
            Reports).

Projects shall not be subdivided for the purpose of evading plan review requirements.

Structural upgrades to bring existing structures into compliance with current code may be required for
certain alterations projects; see Section 4-309(b) through (f) of Title 24, Part 1.

Relocation:
DSA review and approval is required for any relocation of a school building (including relocation to a
new position on the same school site). Usually existing building plans can be approved by DSA for re-
use at the new location. Relocation projects are generally reviewed over-the-counter.

Fire Reconstruction:
To allow fire-damaged school buildings to be brought back into service as soon as possible,
regulations allow the existing DSA-approved building drawings to be re-approved for the construction
even though the drawings may not conform to current code requirements. Fire damage repair may be
completed using the approved plans and specifications for the original construction work. All
construction shall comply with regulations and standards in effect at the time of the original project
approval, except that the testing and inspection requirements of current regulations shall apply to the
work. Minor modifications to the original approved plans may be made, subject to the approval of
DSA, provided that these modifications do not reduce the structural capacity of the building.




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REFERENCE MATERIALS

1.5.1 Form DSA-1

1.5.2 California Historical Building Code (Part 8 of Title 24 of the California Code of Regulations)

1.5.3 Title 24 of the California Code of Regulations.

1.5.4 California Health and Safety Code




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1.6 Responsibility Matrix

Legend          l = Primary Responsibility

                2 = Secondary Responsibility

                0 = No Responsibility

This schedule shall be reviewed by all members of the Construction Management (CM) team early in
the planning stage. Agreement shall be reached by all parties regarding who has the primary
responsibility, secondary responsibility, or no responsibility for each activity.


Program Phase

                                                                 Owner PM        A/E      CM

Develop Program                                                      2    1      2        0
Establish Owner's Budget                                             1    2      2        2
Prepare Program Documents                                            2    1      0        0
Establish Partnering with Team                                       1    2      2        2
Establish Team Responsibilities and Contracts                        1    2      2        2
Establish Communications Procedures                                  2    1      2        2
Develop Project Master Schedule                                      2    1      2        2
Analyze Program vs. Budget                                           2    1      0        2
Obtain Financing                                                     1    2      0        0
Select Site                                                          1    2      2        0
Conduct Utilities Evaluation                                         2    2      2        1
Review and Approve Program Documents, Budget and Schedule            1    0      0        0


Schematic Design Phase

                                                                 Owner PM        A/E      CM

Refine Program to fit Budget                                         1    2       2        2
Retain Consultants                                                   1    2       0        0
Obtain Survey and Soils Test                                         2    1       0        0
Prepare Schematic Documents                                          0    0       1        0
Coordinate A/E Production Schedule with Construction Schedule        0    2       2        1
Establish Estimate Format                                            2    1       2        2
Prepare for Local Planning and Zoning Board Approvals                2    2       1        0
Obtain Governmental Building Authorization Approvals                 2    2       1        0


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Initiate Preliminary Utility Company Review                           2   2   1         2
Recommend Basic Materials and Systems                                 0   0   1         2
Prepare Schematic Design Estimate                                     0   0   0         1
Conduct Value Engineering Analysis                                    2   2   2         1
Identify Need for Early Bid Packages                                  0   2   2         1
Update Master Schedule                                                2   1   2         2
Establish review and approval process including staff and community   1   2   2         2
Review and Approve Schematic Design, Estimate and Schedule            1   2   2         2


Design Development Phase

                                                                  Owner PM    A/E      CM

Confirm Design Meets Program Needs                                    2   2   1         2
Evaluate Architectural and Structural Systems                         2   2   1         2
Evaluate Mechanical and Electrical Systems                            2   2   1         2
Update Design Schedule                                                0   0   1         2
Prepare Design Development Documents                                  0   0   1         0
Develop Outline Specifications                                        0   0   1         2
Coordinate with Government Agencies and Utilities                     2   2   1         2
Prepare Preliminary Construction Schedule                             0   0   2         1
Prepare Design Development Estimate                                   0   0   0         1
Conduct Value Engineering and Analyze Alternate Schemes               2   2   2         1
Prepare Long-Lead Purchase Documents                                  0   0   1         2
Evaluate Need for Phased Bids                                         2   2   2         1
Identify and Bid Long-Lead Equipment & Materials                      0   0   2         1
Evaluate Labor and Subcontractor Market                               0   2   0         1
Develop Cash Flow Projections                                         2   1   0         2
Develop Accounting and Reporting Procedures                           2   1   2         2
Update Master Schedule                                                2   1   2         2
Constructability Review of Drawings                                   0   0   2         1
Establish review and approval process including staff and community   1   2   2         2
Review and Approve Design Development Documents,
Estimate & Schedule                                                   1   2    2        2




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Construction Documents/Bid and Award Phase

                                                                  Owner PM   A/E      CM

Update A/E Production Schedule                                      0   0     1        2
Prepare Construction Documents                                      0   0     1        0
Define Pricing Alternates                                           2   2     1        2
Finalize Governmental Agency Review and Approval                    2   2     1        0
Finalize Utility Company Requirements                               2   2     1        2
Finalize Insurance Company Requirements                             1   2     2        0
Review and Approval of Construction Documents                       1   2     2        2
Prepare Subcontractor Bid List                                      0   0     2        1
Review Subcontractor List                                           2   2     2        1
Finalize Construction Schedule                                      0   0     2        1
Prepare Instructions to Bidders                                     0   0     2        1
Advertise for Subcontractor Bids                                    2   0     2        1
Conduct Subcontractor Pre-Bid Conference                            2   0     2        1
Receive and Evaluate Subcontractor Bids                             2   0     2        1
Prepare Cash Flow Projections                                       0   2     0        1
Review and Approve and Schedule                                     1   2     2        0
Obtain Building Permits                                             2   0     2        1


Construction Phase

                                                                  Owner PM   A/E      CM

Issue Notice to Proceed                                             1   0     0        2
Mobilize on-site with Staff                                         0   0     0        1
Conduct Pre-Construction Conferences                                2   0     2        1
Initiate Field Administration and Safety Policy                     0   0     0        1
Develop Payment Schedule of Values                                  2   0     2        1
Supervise and Manage Physical Construction                          0   0     0        1
Provide Project Cost Control/Accounting                             0   2     0        1
Conduct Site Staff Meetings                                         2   0     0        1
Conduct All Job Meetings                                            2   0     2        1
Interpret Plans and Specifications                                  0   0     1        2
Provide Job Inspection for Compliance to Construction Documents     0   0     1        2
Administer Quality Control Program                                  2   2     2        1
Evaluate Progress and Update Construction Schedule                  2   2     2        1
Update Cost Forecast                                                0   2     0        1
Manage Shop Drawings and Sample Control                             0   0     0        1
Manage Lien Waiver Process                                          0   0     0        1


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Verify and Monitor Insurance & Bond Requirements                    0   0    0        1
Administer Change Order Process                                     2   2    2        1
Approve Change Orders                                               1   0    1        1
Perform Pre-Punch Inspections                                       0   0    0        1
Prepare Punch Lists                                                 2   0    1        2
Obtain Occupancy Permits                                            0   2    0        1
Coordinate Occupancy and Move-In Schedule                           2   0    0        1
Conduct Substantial Completion Inspections                          2   0    1        2
Prepare Record Drawings                                             0   0    2        2
Submit Operations and Maintenance Manuals and Warranties            0   0    2        1


Post Construction Phase

                                                              Owner PM      A/E      CM

Site Staff “Sign Off”                                               2   0   2         1
District Departmental “Sign Off”                                    2   0   2         1
Finalize Operations and Maintenance Documentation                   0   0   1         2
Perform Start-Up and Training and Present Recommended Maintenance   2   0   2         1
Update Overall Project Budget                                       0   1   0         2
Finalize Project Records                                            0   0   2         1
Conduct Eleventh Month Warranty Inspection                          2   0   2         1
Complete Final Project Data Form                                    0   2   0         1




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1.7 General Meetings


         ROLES & RESPONSIBILITIES
         DISTRICT:                           CONSULTANTS:                        CONTRACTOR: N/A
         Director, School Construction:      Program Manager: Review scope of
         Review scope of work, budget, &     work, budget, and schedule
         schedule                            Architect/Engineer: Assist District
         District Project Manager: Review    with scope of work
         scope of work, budget, & schedule   Construction Manager: Assist
         Purchasing and Contract             District with Review and updates of
         Management: Review scope            scope of work, budget, & schedule
         of work, budget, & schedule         Inspector of Record: N/A
         Board of Education: Review scope
         of work, budget, & schedule
         Fiscal Services: Review scope of
         work, budget, & schedule



Executive Summary

Throughout the construction program the District will be utilizing various public meetings to inform
people about scope budget and schedule. These meetings will inform and solicit input as appropriate
to the District, Citizens’ Bond Oversight Committee, and the Board of Education (BOE) of progress
and/or changes associated with Construction Program.

The Executive Committee Meeting specifically addresses the progress of the projects and oversees
expenditures for each of the projects. The Project Coordination Meeting is used to discuss
construction coordination issues that may affect other Construction Managers (CM’s) or projects. We
discuss concerns from District Departments and address those issue with the CM. The Citizens’ Bond
Oversight Committee Meetings are scheduled by the Committee and the Districts role is to provide
update of progress, scope, and schedule as required by the Committee. Finally, the Board of
Education Meeting is a forum to update the Board regarding the Progress of the Construction
Program, inform the BOE of upcoming events and approve necessary contracts and change orders.




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Executive Committee Meetings:
The purpose of the Executive Committee is to review scope, budget and schedule on a weekly basis in
order to provide direction to the consultants. The Executive Committee is composed of
representatives of School Construction, Fiscal Servies, Purchasing and Contract Management, and
personnel from various departments will be invited to the meeting when they are impacted, to discuss
options. Permanent members are the Director of Finance (or designee), Director of Purchasing and
Contract Management (or designee), District’s Project Managers, Manager of School Construction
and Director of School Construction. When present, each member will vote or participate in the final
recommendation for items relating to scope, budget and schedule. If there are less than two members
present, the recommendation shall be deferred to the next regular meeting when more members are
present. If a scope/budgetary decision is of an urgent nature, a decision may be made based on the
approval limits as outlined.
                • District Project Manager                   $0 - $15,000
                • Manager of School Construction             $0 - $25,000
                • Director of School Construction            $0 - $50,000
                • Chief Business Officer                     $0 - $100,000
                • Board of Education & Formal Bid            Over $100,001

However, such decisions shall be brought to the next available EC meeting to be discussed, recorded
in the meeting minutes and ratified by the Committee. The recommendation of the Executive
Committee is brought forward to the Director of School Construction for review and approval.
Meeting Minutes are distributed to all attendees, permanent members, and the Chief Business Officer.
The Executive Committee generally meets on a weekly basis throughout the year.

During the design phase, the Executive Committee meets with the Architect, the CM, and the Program
Manager to review design plan, issues, and changes. For the CM and Architect/Engineer, weekly
reporting includes:
        • Design Intent and Scope Questions
        • Updated Contract Documents
        • Budget
        • Schedule

During the construction phase, the Executive Committee meets with the CM and Architect to discuss
budget, progress, site-specific changes, and coordination issues on a weekly basis.
For the CM, weekly reporting includes:
        • Budget
        • Schedule
        • Issues
        • Change/Addition of scope & associated cost impact

The CM provides cost reports with overall budget to date to the District on a monthly basis.




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The District meets with the CM to discuss and clarify any budget issues. The Program Manager will
then make adjustments to the budget tracking report as necessary keeping the budget current, to the
extent possible.

Project Coordination Meetings:
Issues relevant to more than one project or one CM are resolved in a Project Coordination Meeting.
Its membership is composed of the District’s Director of School Construction, Project Managers and
Staff members. Decisions and direction are given by the District’s Project Manager and are based on
established procedures and the consensus of District Staff (including other Departments as needed).
Decisions and direction are documented in the meeting minutes. Meeting Minutes are distributed to
all attendees. Involved CMs, District Departments, and Vendors are invited to attend. Project
Coordination Meetings are scheduled weekly during summer construction and biweekly during non-
summer construction due to the volume of work in progress. Project Coordination meetings are to
discuss and review issues that may affect any and all projects and include discussion on procedures of
other District Departments as they relate to School Construction. Additionally, common issues &
problem solving techniques/approaches are discussed.

Citizens’ Bond Oversight Committee (CBOC) Meeting:
The Director of School Construction and the Program Manager present to the CBOC, status of
relevant construction projects and discuss any issues brought forward by way of agenda. The agendas
for those meetings are established by the CBOC with input from the District.

Board of Education (BOE) Meetings:
       • The Director of School Construction presents to, and seeks acceptance/approval from the
          Board of Education on the following:

                          •   Program Status
                          •   Construction Related Contracts
                          •   Change Orders as required. (See Change Order Procedures)
                          •   Acceptance of Project Completion (Project Closeout)
                          •   IP Annual Report showing update of scope, budget, and schedule.

The above must be submitted as agenda items, according to Board of Education rules and procedures.

The District, CM, Architect, or Contractors may attend BOE meetings as required to respond to the
Board of Education’s construction related questions.




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REFERENCE MATERIALS

1.7.1 Executive Committee Meeting Minutes/Agenda – Actual Sample

1.7.2 Project Coordination Meeting Minutes/Agenda – Actual Sample

1.7.3 Bond Oversight Committee Meeting Agenda – Actual Sample

1.7.4 Bond Oversight Committee Meeting Minutes – Actual Sample

1.7.5 Board of Education Meeting Agenda – Actual Sample




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1.8 Board Approvals


         ROLES & RESPONSIBILITIES
         DISTRICT:                            CONSULTANTS:                             CONTRACTOR: Attend Board
         Director, School Construction:       Program Manager: Attend Board            Meeting as necessary
         Attend Board Meeting as necessary    Meeting as necessary. Prepare for,
         District Project Manager: Attend     attend, prepare and issue reports to and
         Board Meeting as necessary           respond to inquiries - Monthly
         Director, Purchasing and Contract    Architect/Engineer: Submit Items
         Management: Attend Board Meeting     requiring Board Approval, Attend
         as necessary                         Board Meeting as necessary
         Board of Education: Approve Items    Construction Manager: Submit
         Fiscal Services: Check, verify       Items requiring Board Approval,
         that the requisition is within the   Attend Board Meeting as necessary
         planned source and budget            Inspector of Record: Attend Board
         item.                                Meeting as necessary

Executive Summary

There are some functions performed by departments in the School District that need Board of
Education approval before the process can proceed to conclusion. The School Construction Office is
no exception. The Contracts Specialist of Purchasing and Contract Management, who prepares the
Board Agenda Item, is responsible for receiving, reviewing, and verifying all agenda information for
the School Construction Office and sending on to the School Construction Finance section of Fiscal
Services for budget verification and to the Board Secretary for inclusion into the Board Agenda.

Board action, approval or disapproval, or action by consent or resolution, allows the Department to
proceed with work in accordance with the Board’s decision.




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Board Agenda Items:
The CM and/or Architect prepare the information needed to be on the Board Agenda for approval or
ratification. The CM submits the Board Agenda information to the District’s Contract Specialist in
advance of the time deadline when all items need to be approved by the Director of Purchasing and
Contract Management and submitted to the Chief Business Officer office, usually two to three weeks
prior to the Board Meeting. The District’s Contract Specialist reviews the Board Agenda information
and verifies that all appropriate documentation and backup information is complete. The District’s
Contract Specialist forwards the Board Agenda item to the District’s Budget Analyst of School
Construction Finance – Fiscal Services to verify that the amount of requisition is within the planned
funding source and budget limit. The District’s Contract Specialist then obtains the District’s Director
of School Construction and the Director of Purchasing and Contract Management signatures. Once
the District’s Director of School Construction and Purchasing and Contract Management has signed
the Board Agenda Item, the District’s Contract Specialist forwards the agenda items to the Chief
Business Officer’s Office. The Chief Business Officer then reviews agenda items, approves if deemed
acceptable then forwards the agenda items to the Superintendent’s Office. The request must be in
writing and be submitted to the Superintendent or designee with supporting documents and
information, if any, at least 10 days prior to the scheduled meeting date. Items submitted less than ten
(10) days prior to the scheduled meeting date may be postponed to a later meeting in order to allow
sufficient time for consideration and research of the issue.

Items Requiring Board Approval:
The following are items requiring Board Approval:
   • Contracts – for Consultants, Contractors, Professional Services
   • Change Orders - when the cumulative amount of changes to the contract is over 8%
   • Resolutions for Standard Products
   • Delegation of Authority – Delegation of Authority is submitted when time is of the essence,
       potential delays by DSA, Board Meeting Timeframe, to allow staff to sign contracts. The
       Director of Purchasing and Contract Management will sign the Delegation of Authority. This
       is the only exception to the rule. The contract is then ratified and the next Board Meeting.
   • Monthly review of Purchase Orders/Warrants
   • Contractor Dispute/Claim Settlements

Reports to the Board:
Reports are provided to the Board for reporting status of a construction project.
   • Potential Issues
   • Successes
   • Ground Breaking Ceremonies
   • Grand Opening Ceremonies
   • Monthly Construction Modernization Progress Reports




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REFERENCE MATERIALS

1.8.1 Board Meeting Schedule and Submission Deadlines – Actual Sample

1.8.2 Board Agenda Items Description – See Reference Number 1.7.5




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2.1 Consultant Selection


         ROLES & RESPONSIBILITIES
         DISTRICT:                               CONSULTANTS:                    CONTRACTOR: N/A
         Director, School Construction:          Program Manager: N/A
         Develops Scope of Services, Interview   Architect/Engineer: Submits
         Potential Firms, Selects Firm           Proposal
         District Project Manager: Interview     Construction Manager: Submits
         Potential Firms, Select Firm            Proposal
         Director, Purchasing and Contract       Inspector of Record: Submits
         Management: Establish the fair,         Proposal
         competitive selection process and
         ensure it is followed
         Board of Education: Award Contract
         Fiscal Services: Create PO for
         commitment upon Board approval

Executive Summary

The Governing Board shall engage the services of a licensed architect, engineer, construction manager
(CM), or other professional services/consultants holding valid licenses and/or certificates for the
preparation of plans, specifications estimates, construction/program management or other construction
services for any construction project, through a signed contract. (cf. 3312 - Contracts)

Contractors for any architectural, landscape architectural, engineering, environmental, land surveying
or construction project or program management services shall be selected through a fair, competitive
selection process and on the basis of demonstrated competence and professional qualifications
necessary for the satisfactory performance of the services required.




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Selection Process:
The Director of Purchasing and Contract Management (District) shall follow one of the following
processes when selecting one or more of the services indicated above:

    1. When the specific scope of services to be performed is unknown and/or not discrete, District
       shall utilize the following process. For example, the District shall use this process when it is
       seeking a pool of qualified architects for a larger program with multiple, ongoing projects.

            a. The District shall issue a request for qualifications (RFQ), requesting that all interested
               firms send to the District sufficient information and documentation so the District can
               determine if the firm satisfies the requirements of Administrative Regulation 7140 and
               Board Policy 7140. An RFQ shall request, without limitation, information regarding
               experience, staffing, references, affiliations, and payment rates, fees, and costs. Any
               firm that will be responding to the RFQ shall not have any involvement in the
               development, production, solicitation or evaluation of the RFQ in order to eliminate
               conflict of interest or any appearance of conflict of interest.

            b. District staff shall endeavor to solicit multiple qualified responses to an RFQ and may
               do this either through advertising, direct solicitation, or other means. If the District
               receives fewer than three (3) responses, it may continue with the process but shall
               explain to the Board why it proceeded with fewer than three (3) responses.

            c. Advertising, if done, shall be widespread, encompassing a geographic area that will
               maximize coverage without hindering the ability to do business, including, but not
               limited to:

                •Challenge News
                •San Jose Post Record

                Upon direct solicitation, the District, shall invite vendors from the following:

•Applicable vendor list(s) from data base(s) prepared and maintained by District staff. The database
will be reviewed and updated on an annual basis by the Purchasing and Contract Management
Department.

            d. District shall objectively review all responses. This shall be done by District staff
               familiar with District construction and program requirements and may include other
               District employees who may be impacted by the work. District staff may utilize non-
               employees in this review process only if it is deemed by District staff to be of added
               value to do so and no conflict of interest exist.

            e. District staff shall utilize a specific scoring matrix in its review process, ascribing
               specific values to a firm’s ability to meet specific criteria (e.g., good references, staff


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                experience, experience and familiarity with similar projects, familiarity with previous
                District projects, past performance, etc.). The matrix shall be prepared at the same time
                as the development of the RFQ.

            f. District staff shall prepare a list of respondents that it believes meets the criteria and
               may be considered qualified to perform the services (short list).

            g. District staff may then interview some or all respondents. Generally, District staff will
               only interview firms on the short list.

            h. Based on the submitted rates of payment, District staff shall prepare a range of
               payment rates, fees, and costs that will apply for the services. District staff shall ensure
               that these payment rates, fees, and costs are fair and reasonable. This shall be done by
               consulting with other school districts and/or other public entities in the Bay Area to
               verify that these payment rates, fees, and costs are consistent with what other agencies
               are paying for similar services. The consultation shall be documented and available for
               review by the Board of Education.

            i. District staff shall then submit to the District’s Board of Education (Board) for
               consideration and approval, all respondents that District staff considers qualified to
               perform the services. Once approved, these respondents (if/when approved) establish
               the “Pool” from which consultant selections are made, as discrete projects are
               identified through the duration of the Program.

            j. As discrete projects are developed, selection from the pool of qualified consultants is
               made by District staff. Based on individual qualifications and consideration of past
               performance either within SJUSD or for other entities, an initial selection is made.

            k. The initial selection is then scrutinized using a pre-established objective criteria.
               Should this step result in identifying less than satisfactory performance or criteria
               critical to the success of the project is not met, other consultants from the Pool may be
               considered.

            l. District staff may negotiate scope and price for each specific project(s) with one or
               more of the approved firms. The cost to perform the services for each specific
               project(s) shall be based on the range of payment rates, fees, and costs indicated above.
               If District staff determines that it will be a benefit to the District to have more than one
               firm submit a proposal for a specific project(s), it may do so, at District staff’s
               discretion. A contract for one or more project(s) shall be negotiated with each firm and
               brought to the Board for approval.

    2. When the specific scope of the services to be performed is known, is for a discrete project, and
       the District wishes to not just rely on the pool of approved respondents, District staff shall


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         issue a request for proposal (RFP) that will request all the information requested in an RFQ,
         but will also ask for a specific price for that discrete project. District staff shall follow the
         same review process as indicated above and evaluate each respondent accordingly. Although
         District staff will have a specific price for the discrete project, District staff shall not be
         required to recommend a contract to the firm with the lowest price. Award will be based on
         best value and not necessarily lowest price.

    3. When the specific scope of the services to be performed is unknown but is for a discrete
       project, the District may utilize either the RFQ or RFP process indicated above, depending on
       the circumstances of each situation. For example, if the scope is for work on a large ongoing
       project (discrete project), but the exact services required for that project are unknown, the
       District shall evaluate the circumstances of that work and may use either process depending on
       those circumstances.


Annual Evaluation:
District staff shall perform an annual evaluation of all firms performing services indicated herein.
District staff’s annual evaluation will be to ensure that all requirements of Administrative Regulation
7140 and Board Policy 7140 are continuing to be met and that the firm’s performance is satisfactory
to the District. The evaluation may include, without limitation, an assessment of the following:

    1.      Areas the firm performed well.
    2.      Survey of District staff and site staff on satisfaction with firm. This may include a survey
            with multiple District departments including School Construction, Purchasing, Fiscal
            Services, and Administrative Services.
    3.      Communication of issues with District and contractors and other team members.
    4.      Ability to address District staff and site staff concerns.
    5.      Ability to maintain approved budget and schedule.
    6.      Ability to mitigate detrimental impacts beyond firm’s control.


Additional Service Agreement:
Throughout the length of the Consultant Agreement the District may elect to request additional
services from their consultants. The Additional Services Request may be requested verbally at the
Executive Committee Meeting or in writing. Prior to the commencement of the Additional Services,
the Consultant will provide a cost proposal to perform the additional services. The District will
evaluate the Additional Services Proposal and negotiate the final price for the additional services.
After the price for the Additional Services Proposal has been agreed upon, the proposal will be
approved by the Director of School Construction and the Director of Purchasing and Contract
Management. The District will forward a Notice to Proceed to the Consultant. The Consultant will
then proceed with the scope of work as outlined in the Additional Services Agreement.

On a monthly basis, the Director of Purchasing and Contract Management reports changes to Purchase


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Orders to the Board of Education. The Additional Service Requests will be part of the change to the
Purchase Order Report.

If the cumulative amount of additional services exceeds 8% of the original agreement or $15,000,
whichever is more, then the Additional Service Agreement will be sent to the Board of Education for
their approval prior to execution of the Agreement.




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REFERENCE MATERIALS

2.1.1 Advertisement - Actual Sample

2.1.2 DRAFT AR7140 Adoption Pending

2.1.3 DRAFT BP 7140 Adoption Pending

2.1.4 RFQ Form – Actual Sample

2.1.5 RFP Form

2.1.6 Evaluation Form

2.1.7 Scoring Matrix

2.1.8 Interview Questions

2.1.9 Annual Evaluation Form

2.1.10 Professional Services Additional Services (ASA) – Blank Form




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2.2 District-Consultant Contracts


         ROLES & RESPONSIBILITIES
         DISTRICT:                                CONSULTANTS:                         CONTRACTOR: N/A
         Director, School Construction:           Program Manager: Review and
         Prepare Contracts for Board Approval     negotiate A/E Firm proposals, manage
         District Project Manager: N/A            and negotiate A/E additional service
         Director, Purchasing and Contract        requests
         Management: Ensure contracts             Architect/Engineer: Sign Contract
         comply with legal requirements,          for Arch Services
         District policy, and District Contract   Construction Manager: Sign
         standards. Sign contract                 Contract for CM Services
         upon Board approval.                     Inspector of Record: Sign Contract
         Board of Education: Approve              for Inspection Services
         Resolutions for District to enter into
         Contracts with Consultants
         Fiscal Services: Create
         PO for commitment upon Board
         approval

Executive Summary

Once the best qualified consultant is chosen through the selection process, (see Consultant Selection
Procedures), the District’s Director of School Construction will negotiate a contract for services with
the selected Consultant. Contracts follow a standard format, which was developed by the District and
reviewed by the District’s legal counsel. The basic contract describes terms and conditions. In
addition, the contract will delineate the scope of work, deliverables and payment processes.




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Contract Negotiation
After the consultant or consultant(s) have been selected, a request for proposal is issued to obtain
pricing for the assigned scope of work.

Architect Negotiation
Architect contracts are negotiated utilizing the OPSC schedule. All Architect proposals are expected
to meet the OPSC schedule. Any additional work above and beyond what is outlined in the OPSC
schedule will be evaluated individually. For instance, the OPSC schedule does not include estimating
services and the District chooses to have the Architect provide an estimate as an additional check and
balance of the budget.

Construction Manager (CM) Negotiation
The CM provides a proposal based off of labor projections. The District evaluates the amount of
resources required or needed for individual projects to insure that the project is being managed
properly. These labor projections will not exceed OPSC schedules. The District will also evaluate
fees on an annual basis.

Inspector of Record (IOR)
The IOR contracts are not to exceed labor projections and will most likely be less than the not to
exceed labor projections submitted.

Other Consultants
Other consultants consist of Geotechnical Services, Special Inspections, Surveying, and Hazmat
Monitoring. These services will be based on solicitation of pricing from the companies within the
selection pool.

Prepare the Contract Document:
A Service Contract, (see the District’s Consultant Contract Terms and Conditions) must contain the
following:
       • The name and address of the District.
       • A description of the services to be provided.
       • A description of basis of compensation and method of payment.
       • The name, address, and license number of the Consultant.
       • A description of the procedure that the Consultant and District will use to accommodated
           additional services.
       • A description of procedures to be used by either party to terminate the contract.
       • An outline of contract deliverables expected. This is reviewed while evaluating Consultant
           invoices.
       • The current District’s Schedule for the Project.
       • An outline of contract management controls for the Consultant’s performance including
           liquidated damages or incentives.




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        •   Ownership of contract documents. Under California Public Contract Code, the District
            owns the documents and rights to their use (both paper and electronic versions).

Send Contract to Consultant:
The final contract is issued for the Consultant’s signature, requiring all copies to be returned to the
District’s Purchasing and Contract Management Department for Board approval.

Board Approval
Upon approval by the Board of Education, the District’s Director of Purchasing and Contract
Management will sign all copies. The District’s Director of Purchasing and Contract Management
final signature determines the legal point of contract at the District’s location.

The Superintendent or designee shall be authorized to approve contracts for professional services,
which are exempt from formal bidding, up to an amount not to exceed $25,000 without prior approval
from the Board (Board Policy 3312).

Signed Contract Distributed:
The final contract is then distributed to the Consultant. The Consultant’s Scope of Services is
distributed to the Program Manager and the Construction Manager. Work begins only after all the
above steps are taken.




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                          Prepare Contract Document




                          Send Contract to Consultants




                                Board Approval




                          Signed Contract Distributed




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REFERENCE MATERIALS

2.2.1 Agreement for Program Management Services – Blank Sample

2.2.2 Agreement for Architectural Services – Blank Sample

2.2.3 Agreement for Construction Management Services – Blank Sample

2.2.4 Agreement for Inspection Services – Blank Sample Revised 7/29/05

2.2.5 Form DSA-5 Project Inspector Qualification Record – Blank Sample

2.2.6 Form DSA-5A Assistant Inspector Qualification Record – Blank Sample

2.2.7 Form IR A-7 Project Inspector & Assistant Inspector Certification and Approval – Blank
Sample

2.2.8 Form IR A-8 Project Inspector & Assistant Inspector Duties and Performance Rating by DSA –
Blank Sample

2.2.9 Form DSA-6 Verified Report – Blank Sample

2.2.10 Form SSS 103-1 Structural Testing and Inspection – Blank Sample

2.2.11 District Board Policy BP3312 – Contracts – 4.1.3




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3.1 Estimates and Cost Control Reports


         ROLES & RESPONSIBILITIES
         DISTRICT:                                CONSULTANTS:                            CONTRACTOR: N/A
         Director, School Construction:           Program Manager: Review budget
         Prepare Conceptual Budget                and cost control report prepared by the
         District Project Manager: Assist         CM and reconcile the amount with
         with Conceptual Budget, review cost      Fiscal Services financial reports on a
         estimates                                timely basis
         Purchasing and Contract                  Architect/Engineer: Assist District
         Management: N/A                          with Conceptual Budget, prepare cost
         Board of Education: Approve project      estimates
         funding                                  Construction Manager: Assist
         Fiscal Services: Review budget and       District with Conceptual Budget.
         cost control reports and reconcile the   Prepare, update and revise cost
         amount with the Program Manager on       estimates and cost control reports
         a timely basis                           Inspector of Record: N/A
Executive Summary

The District’s Director of School Construction or his/her designee, with assistance from the Program
Manager, Construction Manager (CM) and Architect, will develop a Conceptual Budget for the
project based upon the Architectural Program and other criteria. The District and Architects need
accurate cost data early, often before the design has started. The earlier the team has a clear idea of
options and costs, the better the decisions. Early estimates, by the CM, provide reliable cost
projections that can accelerate approvals for funding and financing.

During the design phases, the CM will review and analyze the Architect’s estimate of probable cost.
After the construction amount is developed, that number will be incorporated with appropriate
escalations and contingencies into the design phase project budget. This budget information will be
tracked on a Cost Control Report until project closeout.

The CM maintains cost control information on both construction and non-construction costs from
project start to finish using a computerized Cost Control Report (CCR), which integrates all
components. This report is broken down into main divisions of construction and non-construction
costs providing an analysis and summary of current project status. The categories under these main
divisions vary; they are governed either by the District’s preference or the decision of the initiator of
the CCR. Using this report in concert with monitoring systems during design and construction, the
CM takes an active role in showing cost impacts and provides recommendations for cost control.




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Conceptual Budget Development:
The District’s Director of School Construction or his/her designee, with assistance from the Program
Manager, CM, and Architect, will develop a conceptual budget for the project based upon the
architectural program and other criteria. The conceptual budget is established during the pre-design
phase using typical construction costs for each use. The level of detail in the first budget is governed
by the information available at the time. The conceptual budget is a framework to design toward and
the numbers will have sufficient contingencies to protect against unforeseen future construction
increases.

Estimating:
The District needs accurate cost data early and usually in the beginning of design this information is
beneficial to determine budget status. The earlier the team has a clear idea of options and costs, the
better the decisions. Early estimates, by the CM, provide reliable cost projections that can accelerate
approvals for funding and financing. During the design phases, estimators will review and analyze the
Architect's estimate of probable cost. After the construction amount is developed, that number will be
incorporated with appropriate escalations and contingencies into the design phase project budget.
This budget information will be tracked on a Cost Control Report until project closeout.

Detailed Estimates:
The CM reviews the Architect's detailed estimates. Cost estimates shall include an appropriate level of
contingency for the phase of design and level of definition unknown. Cost estimates can be prepared
and submitted with the estimator's assumptions at the following stages of design:
       • Schematic Design: design/estimating contingency of 15-20%
       • Design Development: design/estimating contingency of 10-15%
       • Intermediate Contract Documents: design/estimating contingency of 5-10%
       • Final Contract Documents: design/estimating contingency of 0- 5%

Each Project shall be evaluated to determine if there is a need to provide this level of cost estimating
and then that information will be inserted into the consultant contract. If the project costs exceed the
established budget or major differences are discovered, the CM and the Architect will meet with the
District to discuss variances in the budget and propose ideas for reconciliation. The District will
receive a copy of the reconciled estimate and the revised Cost Control Report.

Cost Control Reports:
Cost Control Reports (CCR) are established at project start (usually Pre-Design Phase). Based on the
Conceptual Budget, the CM establishes a CCR and the District seeks funding. The amount of funding
becomes the budget limit. Issue the first CCR in the Program Planning Guide and update it after each
design phase estimate is reconciled. Additionally, Cost Control Reports must be updated monthly
during bidding and construction.
The Cost Control Report provides an analysis and summary of current project status. The CCR is
broken down into two main divisions of construction costs (hard costs) and non-construction costs
(soft costs). The categories under these main divisions vary; they are governed either by the District's
preference or the decision of the initiator of the CCR.


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        •   CCR categories, under the main divisions of hard and soft costs, may vary between
            projects. For example, the line items under hard costs may be by building, CSI division,
            functional use area or lump sum. Additionally, contingencies fall under the category of
            construction costs, Design Professional/Consultant fees fall under soft costs followed by
            any project specific costs, e.g., traffic studies.
        •   As the project progresses, the increasing levels of detail may identify and establish the first
            formal CCR. One key to ensuring that no costs are overlooked, when the components of
            the original budget are identified is to establish, with the District, a review process for an
            outline budget. Examine a menu of possibilities and project a preliminary budget cost.
            Then send the outline budget to all project participants and other agencies that will have an
            impact on design or construction. Incorporate any comments. The items typically included
            on a CCR are construction estimates or bids, Architect Fees, CM Fees, City Fees, Utility
            Fees, Inspection, etc.




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                          Conceptual Budget Development




                                   Estimating




                                Detailed Estimates




                               Cost Control Reports




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REFERENCE MATERIALS

3.1.1 Cost Control Report – Actual Sample

3.1.2 Conceptual Budget – See IP Plan at SJUSD Web Site

3.1.3 Detailed Estimate – Actual Sample




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3.2 Schedule Management


         ROLES & RESPONSIBILITIES
         DISTRICT:                             CONSULTANTS:                         CONTRACTOR: N/A
         Director, School Construction:        Program Manager: Review,
         Review and monitor the                monitor, and coordinate the Master
         Master Project Schedule               Program Schedule and review the
         District Project Manager: Review,     Project Schedule
         monitor and coordinate the Master     Architect/Engineer: Review and
         Project                               comment on Master Project Schedule
         Schedule                              Construction Manager: Develop
         Purchasing and Contract               Master Project Schedule, monitor and
         Management: Review Master Project     update. Review and coordinate
         Schedule                              construction schedules. Monitor
         Board of Education: Approve           updates of construction schedules
         Fiscal Services: Review and           Inspector of Record: N/A
         monitor Master Project Schedule for
         cashflow projections.
Executive Summary

The Construction Manager (CM) helps design teams weigh schedule versus cost impacts to achieve
the most economical overall approach. Additionally, the CM monitors conformance with schedules to
shorten durations, recover lost time, evaluate contractor schedules, or assess schedule conflicts. The
computer-based scheduling system provides clear definition of project goals and bid package strategy,
work tasks by responsibility, integration of time with resources, status reports, early warning of
potential problems and emphasis on critical items.




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Master Project Schedule:
The Program Manager will develop the Master Program Schedule, which tracks the progress of the
entire Program. The CM will produce a Master Project Schedule to track the progress of the
individual project. The Master Project Schedule will be designed to track several major activities such
as design, critical reviews, procurement, contractor selection (or bid marketing), bidding, construction
and occupancy. The CM will also identify critical and long-lead activities and devise contingency
strategies to resolve potential problems before they occur.

During both the design and construction phases, the CM will provide an overall Master Project
Schedule that will include major design, internal and external (agency) review & approval, bid, pre-
purchase, construction and occupancy activities. The schedule will show project milestones and
restraints. The CM will complete the Master Project Schedule prior to start of Schematic Design
Review. The Master Project Schedule will provide a basis for schedule tracking and will be updated
for Milestone Reports and Monthly Reports. The CM will update and incorporate District and
Architect input as appropriate.

Construction Schedules:
(Reference “Schedule Management” section in the Construction Phase of this manual). The CM does
not schedule the activities of subcontractors in a detailed construction schedule. The Contractors are
required to provide such schedules through requirements in the Specifications. During the starting
activities of construction, the CM will review the submitted schedule for compliance with
requirements, especially cost loading, and incorporate the Contractor's schedules into the Master
Project Schedule for coordination purposes. During the construction, the CM will use the information
to generate Earned Value Analyses for comparison to the Contractor's Payment Applications.
        • In single-prime contractor projects: The Contractor is required to submit a cost-loaded
            Construction Schedule indicating critical path activities and monitor progress against the
            schedule baseline.
        • In multiple-prime contractor projects: CM will receive the data from the various prime
            contractors, evaluate for conformance with the Master Project Schedule and meet with the
            prime Contractors to coordinate their schedules.

Coordination Schedules:
Once the Construction Schedule is set, the CM will monitor progress for compliance. Coordination
Schedules are printed in three-week periods (current week plus a two-week "look-ahead"). Once the
current week "goes to history", CM will lock the actual dates of task start and stop into the schedule
for historical information purposes and, if needed, assistance in claims resolution.
        • In single-prime contractor projects: The Contractor is required to submit weekly
            Coordination Schedules for review at weekly construction progress meetings.
        • In multiple prime contractor projects: After approval of the Construction Schedule, the CM
            maintains the schedule based on input solicited from the prime contractors at weekly
            construction progress meetings.




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Deviation Analysis:
Initially, the CM develops a computerized Master Project Schedule focusing on the design phase and
including major milestones for construction. Careful monitoring and reporting of activities against the
schedule provides early information about overall progress. The CM follows up and coordinates with
the District and the design team.

Recovery Schedules:
During construction, the CM reviews and monitors progress against the milestones, time associated
with change requests, and receives (for evaluation) recovery scenarios from the Contractor(s). The
CM reviews, evaluates and recommends to the District for acceptance or denial. The CM may assist
the Contractor with District criteria so that the Contractor can develop steps necessary to avoid,
minimize, or recover from a delay.




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                          Master Project Schedule




    Multi-Prime           Coordinated Construction      Multi-Prime
 Contractor Schedule             Schedule            Contractor Schedule




                           Updated Construction
                                Schedule




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3.3 Preparation/Review of Draft Bid Documents


         ROLES & RESPONSIBILITIES
         DISTRICT:                               CONSULTANTS:                        CONTRACTOR: N/A
         Director, School Construction:          Program Manager: N/A
         Furnish the District Standard of        Architect/Engineer: Incorporate in
         Division 0 and 1 to the Construction    the Project Manual
         Manager                                 Construction Manager: Prepare
         District Project Manager: Review        Division 0 and Division 1 of the
         the Draft Bid Documents                 Project Manual
         Purchasing and Contract                 Inspector of Record: Review Testing
         Management: N/A                        and Inspection Sheet prior to DSA
         Board of Education: N/A                approval of Contract Documents
         Fiscal Services: N/A


Executive Summary

The Construction Manager (CM) prepares Division 0, “Bidding and Contract Requirements” and
Division 1 “General Requirements” for incorporation into the Project Manual (Contract
Specifications). These documents are based on District standards and are reviewed by the District
during the Intermediate Contract Documents Review phase (see “Design Review Submittal
Requirements”), revised and distributed to the Architect.

The CM shall prepare and deliver preliminary copies of these documents to the Architect to allow him
to coordinate these documents with the technical specifications (Division 2 thru 17).




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Sections to be included in Division 0 and Divisions 1 are as follows:

Division 0 – Bidding and Contract Requirements

        00020    Table of Contents
        00030    Advertisement for Bid
        00100    Instructions to Bidders
        00210    Preliminary Schedule
        00220    Investigation Reports
        00310    Proposal
        00311    Proposal Form Instructions and D.V.B.E. Information and Forms
        00410    Bid Security
        00500    Agreement, Letter of Intent, Notice to Proceed & Commencement of Work
        00510    Agreement
        00600    Bonds
        00610    Payment Bond Form
        00620    Performance Bond form
        00650    Insurance Certificates
        00700    General Conditions of the Contract for Construction
        00800    Supplemental Conditions

Division 1 – General Requirements

        01010    Summary of Work
        01012    Bid Division Descriptions
        01027    Application for Payment
        01028    Change Order Procedures
        01030    Alternates (If Applicable)
        01040    Coordination and Meetings
        01045    Cutting and Patching
        01050    Field Engineering
        01090    Reference Standards
        01120    Alteration Project Procedures
        01300    Submittals
        01310    Progress Schedules
        01400    Quality Control Services
        01410    Testing Laboratory Services
        01500    Construction Facilities and Temporary Controls
        01600    Materials and Equipment
        01630    Product Substitutions
        01650    Starting of Systems
        01700    Contract Closeout
        01710    Contract Closeout Forms


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In preparing Division 0 and Division 1, there are several key components that must be included or
addressed in these two divisions of the Project Manual. All items may not apply to every project.

        •   Permits and Fees – Building permit, right of way encroachment permits, city licenses,
            sanitary district or water district fees, utility connection fees, Contractor's local employee
            tax or business tax.
        •   Bid Forms – Review bid forms for coordination purposes and potential errors or omissions
            Space must be included in the Bid Forms for bidders to acknowledge receipt of all
            addendum.
        •   Schedule Management – The CM develops and maintains the Master Project Schedule
            while other entities will develop schedules for various phases. The CM does not "approve"
            Construction Schedules developed by the Contractor but does review milestones for
            coordination with the District requirements expressed in the Bid Documents. Modifications
            must be included in the Supplemental Conditions portion of the Bid Documents. Include
            the following description: "Schedule review by the District and its agents is limited to
            ensuring that the logic of sequencing is reasonable and the Contractor has demonstrated the
            ability to meet the contractual milestones and completion dates. Approval of the schedule
            shall not be construed as direction from the District to Contractor on how to schedule the
            Work, or the means and methods used to complete the Work."
        •   Liquidated Damages – Add language to clearly delineate milestone dates, liquidated
            damages and early completion bonus, if applicable.
        •   Provisions for the CM Office Facilities and Utilities - General Requirements / Sections
            01500 shall include provision for the office facilities required for the CM construction-
            phase personnel. This Section shall clearly detail the equipment and furnishings to be
            provided by the Contractor and/or the District, including the maintenance of the trailer,
            furnishings and equipment.
        •   Temporary Facilities – General Requirements / Section 01500 shall include provisions for
            temporary toilets, roads, barricades/fences/canopies, phones, pay phones, utilities, signs,
            shoring, weather protection, fire extinguishers, security lighting, work lighting, power
            (generators), trash & cleanup, water, and dust control.
        •   Provisions for Record Drawings (As-Builts) – General Requirements / Section 01700 must
            include provision for handling Record Documents. Development and submission of record
            documents is the responsibility of the Contractor(s). CM receives and forwards to the
            Architect for review, then receives and forwards Architect-reviewed record documents to
            the District.
        •   Partnering – Language for formal Partnering must be added to the Supplemental
            Conditions if this process is to be implemented on the project.
        •   Change Orders and Claims – There must be a requirement for the Contractor to submit
            written notice of cost or time impact within 10 days of the causal event and to submit the
            formal Change Order Request with all supporting documentation within 30 days.




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        •   Minimum Site Staffing – To ensure that the project progresses as scheduled, require a
            certain minimum staffing level for the duration of the project from each contractor. This is
            especially important on multiple-prime contractor projects.
        •   Bonds and Insurances - Require the Contractor carry Workers Compensation, liability,
            property damage, special hazard, etc. per District requirements and name the District,
            Architect and CM and their agents as “additional insured”.
        •   Safety Submittals – The CM shall ensure that the specifications do not require submittal of
            Safety Plans or MSDS sheets to, or through, the C M. In lieu of accepting a submittal,
            insert a requirement that the Contractor must identify the Contractor's Safety Officer and
            have a copy of their Safety Plan on site and accessible to all workers under their control.
        •   Schedule of Values – Require specific formats that prompt payment approval in
            construction and post-bid data feedback for the CM Estimating Department. Require the
            Schedule of Values to be developed by individual buildings and related by task to the
            Contractor's Construction Schedule tasks.
        •   Escrow of Contractor’s Bidding Documents – If escrow is to be used, identify the bidding
            documents to be escrowed, who holds the documents, and at what location. Clarify the
            conditions under which the escrowed documents will be used as well as who holds the
            bidding documents and at what location.
        •   Bid Alternates – The CM will assist the Design Professionals in developing alternate bid
            items that may yield some flexibility in contract award, bring the project within budget
            constraints or provide changes in quality (as the budget allows). The CM needs to confirm
            regulatory agency limits for bid alternates prior to completion of Intermediate Contract
            Documents Review. The alternates must be defined and quantitatively estimated during
            Contract Documents Phase Review.




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                          Construction Manager Prepares
                             Division 0 & Division 1




                                 District Reviews




                              Architect Incorporates
                               into Project Manual




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3.4 Design Reviews


         ROLES & RESPONSIBILITIES
         DISTRICT:                          CONSULTANTS:                          CONTRACTOR: N/A
         Director, School Construction:     Program Manager: Review A/E
         Receive Design Review Report       submittals for program intent and
         District Project Manager: Review   district standards
         and comment on the Design Review   Architect/Engineer: Provide
         Report                             documents for review and address
         Purchasing and Contract            Design Review Team review
         Management: N/A                    comments
         Board of Education: N/A            Construction Manager: Coordinate
         Fiscal Services: N/A               the review process and compilation of
                                            the Design Review Report. Deliver
                                            the Report to the District and the
                                            Architect
                                            Inspector of Record: N/A
Executive Summary

The Construction Manager’s (CM’s) Design Review Team of professional engineers and architects
reviews the drawings (including architectural, structural, mechanical, plumbing, electrical, electronic,
security, civil, landscape and equipment) and the specifications. Normally, reviews take three weeks.
Actual duration depends on project complexity and the Design Review Team priority of workload.

Reviews generally occur at the following stages of Document Completion:
      • Schematic Design.
      • Design Development.
      • Intermediate Construction Documents.
      • Final Construction Documents.
      • Final Backcheck.

The reviews concentrate on identifying items in the drawings and specifications that are conflicting,
inadequately coordinated, incomplete, open to misinterpretation, or merit technical consideration.
Whenever possible a recommended solution is also presented. When available, supplementary design
documents such as calculations and catalog cuts are helpful in the review process. The purpose is to:
       • Ensure that the design reflects the program, complies with design standards and reflects all
           previously approved submissions.
       • Ensure that the project is within budget (materials and designs are cost effective).
       • Create clear bid documents to reduce contractor guesswork and confusion.
       • Reduce "Requests for Information", potential change orders and limit claims exposure.
       • Identify items that do not conform to codes.
       • Identify more effective construction methods to produce cost savings without reducing
           quality.




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Executive Summary (continued)

The reviewers enter comments into a database or use external forms. The Design Review Report may
contain comments from the District, Regulatory Agencies and non-CM personnel. It is the
responsibility of the CM to ensure that all comments are entered into the database or forwarded to the
Design Review Team for inclusion into the Design Review Report. Utilizing the basic concepts of
Partnering, in which peer to peer relationships are established early to minimize potential conflicts, the
Report is presented by the CM to the District and Architect along with recommendations.




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Types of Reviews:
      • Constructability Reviews – Compatibility and appropriateness of building materials and
          systems in relation to the ease of construction, simplified detailing, available labor force
          and anticipated bidding climate.
      • Peer Reviews – Complete check of the appropriateness and accuracy of the design
          documents. Technical review and corrections.
      • Conformance Reviews – Compliance with the District standards and requirements.
          Program compliance and operational considerations.
      • Community Review (Input as Required)
      • Site staff review
      • Interdisciplinary Coordination – Coordination between the drawings of each discipline and
          between the drawings and specifications to reduce errors and omissions.
      • Code Conformance Reviews – Compliance with codes and regulations.

All reviews check the documents to ensure that they are easily understood, free from significant errors
and omissions or bid ambiguities, and contract provisions are capable of being administered and
enforced.

Responsibility:Ultimate responsibility for project scope, consistency and control of scope changes
lies with the CM.
        • CM – This person has primary responsibility to coordinate the administrative details of the
            design reviews. This includes both out-of-house technical expertise and in-house
            architectural/engineering staff. The CM is responsible for:
                Ensuring that complete submittals are delivered to the Design Review Team in
                accordance with the approved schedule.
                Monitoring the entire design review process to ensure that all appropriate entities have
                participated and are accountable for their review responsibilities.
                Providing the District with assurance that the quality of design and materials to be used
                in the construction is consistent with other facilities.
                Ensuring that the Design Review Report is complete and adequate for delivery to the
                District and the Architect.
                Ensuring consistency with legislative requirements.
                Ensuring adequacy and consistency of project estimates and schedules.

        •   Design Review Team – Responsible for review and analysis of:
               Design cost savings measures.
               Compliance with design policy including space standards and design criteria standard.
               Compliance with siting criteria and Environmental Impact Report.
               Compliance with all applicable codes.
               Review of specialties.
               Consistency of all design documents related to the project including changes or
               updates.
               Completeness of architectural/engineering drawings and specifications.


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REFERENCE MATERIALS

3.4.1 Design Review Comments – Blank Sample




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3.5 Design Review Submittal Requirements


         ROLES & RESPONSIBILITIES
                                               CONSULTANTS:                       CONTRACTOR: N/A
         DISTRICT:                             Program Manager: Review A/E
         Director, School Construction:        submittals for program intent and
         Review design review team comments    district standards, DSA Interface
         District Project Manager: Review      Architect/Engineer: Respond to
         and comment on the design documents   and/or incorporate review comments
         Purchasing and Contract               in the Project design documents
         Management: N/A                       Construction Manager: Coordinate
         Board of Education: N/A               efforts of the design review team
         Fiscal Services: N/A                  Inspector of Record: N/A
Executive Summary

A key to a successful project is a good design that meets the District’s requirements, is coordinated,
and is timely. Two important elements the Construction Manager (CM) brings to the process is
review by the in-house architectural / engineering department and estimates by the estimating
department. In order for the A/E and estimating departments to provide quality products, each design
review submittal must contain the information that is appropriate for the level of the review and an
adequate amount of time is made available for conducting the review.

Design reviews generally occur at the following stages in the design process:
       • Schematic Design
       • Design Development
       • Intermediate Construction Documents
       • Final Construction Documents
       • Final Backcheck

The CM’s role is to take proactive actions to prevent problems. In order to do this, the District has to
understand and accept the importance of the reviews and ongoing estimates. While recognizing that
every project has different needs and contractual arrangements, contracts with architectural firms shall
contain very specific language in the scope of services detailing the stages of design review,
deliverables required, and scheduled due dates for each review stage.

Accurate estimates are essential for determining that the design and the overall project are on track.
Quality estimates can only be done when the design review submittals meet the requirements of the
appropriate submittal level and adequate time is allotted to prepare the estimate.




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Schematic Design Phase Review:
The purpose of Schematic Design is to conceptualize the project. This includes a rough estimate of
size, scope and cost.
        • Prior to Schematic Design Phase Review, the CM shall deliver to the in-house A/E
            department manager:
               An estimate of total square feet.
               Construction cost per square foot
               Master Project Schedule clearly indicating the design schedule, review schedule and
               milestones.
        • The CM shall review Schematic Design Review Comments with the members of the
            Project Team within one week to determine potential impact on:
               Schedule: Master Project Schedule
               Quality: Material and/or equipment already in place and coordination with other trades
               Cost: Potential Change Orders.
        • The CM updates the major project tracking documents to reflect approved changes:
               Schedule: Master Project Schedule.
               Cost: Cost Control Report
               Summary: Monthly Report
        • Minimum Submittal Requirements for Schematic Design Phase Review:
               Architectural Program & Design Criteria.
               Site Plan: Preliminary architectural site plan
               Site Survey (as provided by the District) showing property lines, existing utilities,
               existing grades, and easements.
               Architectural Floor Plans showing proposed new work and demolition coordinated
               with existing building drawings for remodeled areas.
               Exterior Elevations.
               Diagrammatic Building Sections.
               Schematic narrative of civil, architectural, structural, plumbing, mechanical, electrical
               and electronic systems including system descriptions, basis of design, applicable
               building codes and ordinances and preliminary building codes conformance analysis.
               The narrative prepared by the Architect and Consultants shall describe clearly and
               concisely, in laymen's terms how the project will proceed. It shall be direct, emphatic
               and solution oriented.
               Outline of Specifications.
               Architect's Estimate of Probable Cost (by CSI Divisions) with Estimator's
               Assumptions. Contingency of 15-20%.
               List of Governmental Review Agencies.
               Supplementary Items as Appropriate: Geo-Technical Reports, Master Plans,
               Preliminary Schedules, EIR, Traffic Reports, Special Reports, Facility Condition
               Studies, and any other relevant items.




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Design Development Phase Review:
The purpose of this review is to fix and describe the character of the entire project and its essential
elements. It is the point at which the project budget and scope are finalized and where bidding and
construction strategies are established.
       • The CM performs an "alternate materials, means and method analysis" for HVAC,
           plumbing, electrical, electronic, structural, civil and architectural systems based on the SD
           systems narrative. The results of these studies can be proposed as Value Engineering
           Recommendations.
       • The CM shall review DD Phase Review Comments with the members of the Project Team
           within one week to determine potential impact on:
                 Schedule: Master Project Schedule
                 Quality: Material and/or equipment already in place and coordination with other trades
                 Cost: Potential Change Orders.
       • CM updates the major project tracking documents to reflect approved changes:
                 Schedule: Master Project Schedule.
                 Cost: Cost Control Report.
                 Summary: Monthly Report.
       • Minimum Submittal Requirements for Design Development Phase Review:
                 Updated Architectural Program.
                 Architect / Consultant responses to SD Phase Review comments.
                 Site Plan: Preliminary architectural site plan. Describe the general location and nature
                 of site improvements.
                 Site Survey (as provided by the District) showing property lines, existing utilities,
                 existing grades, and easements. Include boundary closure calculations.
                 Preliminary Grading and Drainage Plan. Include calculations for grading showing
                 import or export volumes.
                 Preliminary Utility Plan including utility tie-in and distribution, on-site and off-site
                 narrative descriptions. Include calculations and design basis for storm drainage and
                 sanitary sewer sizing.
                 Geotechnical Engineer's foundation recommendations from Geotechnical Investigation
                 Report.
                 Architectural Floor Plans showing proposed new work and demolition coordinated
                 with existing building drawings for remodeled areas.
                 Roof Plans.
                 Exterior Elevations
                 Diagrammatic Building Sections.
                 Typical wall sections showing key architectural details, materials, relationships, and
                 construction intent.
                 Typical Construction Details.
                 Room material and equipment outlines.
                 Preliminary door, window, and finish schedules.
                 Equipment Layouts and Schedules.
                 Structural Calculations: Gravity loads and preliminary lateral loads.


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                Structural Plan(s) showing proposed arrangements and materials including typical
                interior framing showing intended materials, typical exterior, typical
                column/foundation, preliminary seismic analysis (lateral), and structural sections.
                Mechanical calculations including heating and cooling loads, and fixture unit
                calculations for water and sewer.
                Preliminary one-line HVAC duct layouts and/or preliminary mechanical piping
                diagram.
                Preliminary mechanical equipment room layouts (major equipment only).
                Electrical calculations showing loads, service size, and lighting levels.
                Preliminary one-line electrical distribution diagrams.
                Preliminary electrical system layouts and schedules.
                Outline specifications identifying products of all specification sections and including
                catalog cuts of critical products.
                Architect's Estimate of Probable Cost: Detailed version of CSI 16 division format
                estimate. Include supporting product information for critical products with supplier
                contact notes and Estimator's Assumptions for undocumented line items. Contingency
                of 10-15% depending on anticipated bid climate at Bid Date.
                Architect / Consultant Code Analysis including preliminary review comments of
                regulatory agency, State Fire Marshall, local fire authority and other jurisdictional
                authorities (over-the-counter reviews).

Intermediate Contract Documents Review:
The purpose of the construction document phase is to finalize the contract documents and set forth in
detail the requirements for construction of the entire project.
        • Conceptual acceptance by the regulatory agencies signals the beginning of preparation of
             construction documents.
        • During ICD phase, the CM usually assists the District with development of the "front-end"
             documents including Bidding and Contract Requirements (Div 0) and General
             Requirements (Div 1). Upon completion, the CM reviews the documents, obtains the
             District approval and distributes them to the Architect for incorporation into subsequent
             printings.
        • The CM shall review ICD Review Comments with the members of the Project Team
             within two weeks to determine potential impact on:
                 Schedule: Master Project Schedule
                 Quality: Material and/or equipment already in place and coordination with other trades
                 Cost: Potential Change Orders.
        • CM updates the major project tracking documents to reflect approved changes:
                 Schedule: Master Project Schedule.
                 Cost: Cost Control Report.
                 Summary: Monthly Report.
        • Minimum Submittal Requirements for ICD Phase Review:
                 Updated Architectural Program.
                 Architect / Consultant responses to unresolved SD and DD Phase Review comments.


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                Cover sheet and Project Data Summary Sheet. Includes official square footage
                calculations, code editions, building types, use classifications, location map and other
                basic project information.
                Site Survey (as provided by the District) showing property lines, existing utilities,
                existing grades, and easements.
                Final Grading and Drainage Plan. Include calculations for grading showing import or
                export volumes.
                Final Utility Plan including utility tie-in and distribution, on-site and off-site utility
                layouts and calculations for storm drainage and sanitary sewer sizing. Utility Plan shall
                indicate size and invert elevations of each physical joint, end of pipe or other physical
                feature. Plan shall indicate invert elevations and pipe size of each pipe at crossover
                conditions.
                Site plan showing site demolition, final contours, paving & sidewalk, curbs, fences,
                parking, retaining walls, above grade features and site furnishings, signage and other
                site improvements with all major dimensions for buildings, parking, etc.
                Architectural Floor Plan(s), all levels and roofs, showing partition type and
                identification, smoke and fire barriers and zones, built-ins and fixed equipment or
                furniture and moveable equipment layouts (to scale) for all rooms.
                Reflected Ceiling Plan(s).
                Exterior wall elevations, all planes.
                Typical building and wall sections.
                Roof Plan(s) with typical roofing and sheet metal details.
                Stair and elevator requirements and descriptions.
                Room finish and door types for typical areas/spaces. Preliminary Finish Schedule and
                Door & Window Schedule. Coordinate hardware with Specification.
                Miscellaneous specialties and equipment schedule and layouts.
                Foundation plans showing footing / foundation rough sizes, reinforcing, elevations,
                below grade concrete wall thickness and standard foundation details/foundation types.
                Structural framing plans and calculations, including horizontal and vertical member
                size, reinforcing, typical floor and roof framing, typical exterior wall supports, lateral
                bracing methods, fireproofing (NFPA), seismic analysis, design live and dead loads
                tabulated for all floors, areas, roofs.
                Plumbing Plans showing Fixture Schedule, catalog numbers, Equipment schedule,
                waste & vent riser diagrams, roof drainage and fire protection systems.
                Mechanical Plans showing Equipment Schedule, locations, sizes, Piping Layout
                (Chilled, condenser, hot water, steam, and condensate) and risers, equipment
                connections and support details.
                Power Plans showing Equipment Schedule, equipment locations, feeders, emergency
                generator size and location, UPS equipment size and location, and grounding details.
                Lighting Plans including Fixture Schedule and showing interior & exterior lighting,
                fixture and switch locations, special requirements notes, motor control schedule (with
                starter and circuit sizing), communication & alarm system descriptions/locations.
                Landscape Planting Plan illustrating locations and plant materials (Materials Schedule).


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                Preliminary Irrigation Plan illustrating locations of main and branch lines, controller,
                backflow preventer and valves. Include irrigation calculations showing compliance
                with local and state water conservation requirements.
                Project Specifications at a level, which defines materials, systems, and their general
                quality level and installation (CSI Parts 2 and 3).
                Narrative describing fixed equipment requirements and locations, and service
                requirements.
                Description of proposed alternate bid items or unit prices required, if any. Items
                proposed shall be quantified at this submittal.

Contract Documents Phase Review:
By the time the project reaches completion of the Contract Documents, the review process covers both
the broad overview and the small details.
       • CM reviews the documents for:
               Major deviations from the ICD drawings and documents.
               System changes have been made in structural, plumbing, HVAC, electrical and signal
               systems.
               Errors, omissions and discrepancies.
       • The CM shall review CD Review Comments with the members of the Project Team within
           two weeks to determine potential impact on:
               Schedule: Master Project Schedule
               Quality: Material and/or equipment already in place and coordination with other trades
               Cost: Potential Change Orders.
       • CM updates the major project tracking documents to reflect approved changes:
               Schedule: Master Project Schedule.
               Cost: Cost Control Report.
               Summary: Monthly Report.
       • The review of a CD Phase Submittal requires that the reviewers must sign-off on the
           submittal form that the project is, to the best of their knowledge, ready for bid. The CM is
           responsible for securing signatures from all reviewers.
       • Minimum Submittal Requirements for CD Phase Review:
               Architect / Consultant responses to unresolved SD, DD & ICD phase review
               comments.
               Drawings and Project Manual (including Specifications) must bear the signed seal of
               the appropriate Design Professional.
               Cover sheet and Project Data Summary Sheet. Includes list of drawings, identification
               of project team, general notes and abbreviations, symbols legend, official square
               footage calculations, code editions, building types, use classifications, location map
               and other basic project information.
               Site Survey (as provided by the District) showing property lines, existing utilities,
               existing grades, and easements.
               Grading and Drainage Plan. Include calculations for grading showing import or export
               volumes.


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                Utility Plan.
                Architectural Site and Building demolition plans.
                Architectural Site Plan including dimensions, notes and keys to site details.
                Architectural Floor Plan(s) including partition types, dimensions, notes and keys to
                Enlarged Plans and plan details.
                Reflected Ceiling Plan(s) including elevations, ceiling type (referenced to
                Specification), dimensions, notes and keys to details.
                Exterior wall elevations, all planes including partials and hidden elevations.
                Building Sections and keys to Wall Sections or details.
                Wall sections coordinated with structural framing concepts illustrating fireproofing,
                attachment of architectural components to structural elements, insulation and acoustic
                requirements, and flashings.
                Roof Plan(s) including dimensions, notes, cuts to flashing details and keys to roofing
                and roof drainage details
                Stair and elevator enlarged plans and sections.
                Finish Schedule coordinated with appropriate Specification sections.
                Door & Window Schedule including appropriate types illustrations and coordination
                with Specification sections.
                Interior Elevations including typical mounting heights illustration and specific
                elevations of wall with attached fixtures or features.
                Miscellaneous specialties schedules.
                Equipment plans elevations, sections, details, and schedules.
                Structural Foundation Plan(s), reinforcing.
                Structural Framing Plan(s) including horizontal and vertical member size, detail
                keyouts to details and sections.
                Structural Sections and Details including typical floor and roof framing, typical
                exterior wall supports, and lateral bracing methods.
                Structural Calculations coordinated with plan information incorporating seismic
                analysis, design live and dead loads tabulated for all floors, areas, and roofs.
                Plumbing Plans showing Fixture Schedule, catalog numbers, Equipment Schedule,
                waste & vent riser diagrams, roof drainage, connections to underground site piping and
                reference to Utility Plan tie-ins.
                Fire Protection Plan(s) illustrating design-build parameters and conceptual head layout
                of fire protection systems. Coordinate with Specifications. Plan(s) shall indicate special
                requirements, notes, and critical dimensions, and shall be coordinated with
                Architectural Reflected Ceiling Plan(s).
                Mechanical Plan(s) showing Equipment Schedule, locations, sizes, piping & equipment
                layouts for all equipment, ducts, diffusers and registers, chilled water, condenser, hot
                water, steam, and condensate lines. Layout drawings shall indicate risers, equipment
                connections and reference to supporting details. For coordination purposes, ducting
                shall be shown in full width illustrations (one-line is not allowed). Plan(s) shall indicate
                special requirements, notes, critical dimensions, and shall be coordinated with
                Architectural Reflected Ceiling Plan(s).


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                Electrical Power Plans showing Equipment Schedule, equipment locations, feeders,
                emergency generator size and location, UPS equipment size and locations. Drawings
                shall reference to electrical one-line diagram, enlarged plans and appropriate details.
                Electrical One-Line Diagram showing circuiting, equipment features, wiring sizing,
                motor control schedule (with starter and circuit sizing), and communication & alarm
                system interface.
                Lighting Plans showing Fixture Schedule, locations of interior & exterior lighting
                fixtures and switches, circuiting and homeruns. Plan shall indicate special
                requirements, notes, critical dimensions, and shall be coordinated with Architectural
                Reflected Ceiling Plan(s).
                Signal Plan(s) illustrating fire alarm system, communications and other electronic
                systems. Plans shall show location and connections of equipment and system
                components, location criteria and circuiting or homeruns. Plan(s) shall indicate special
                requirements, notes, critical dimensions, and shall be coordinated with Architectural
                Reflected Ceiling Plan(s).
                Landscape Planting Plan illustrating plant materials locations and Planting Materials
                Schedule. Plan shall indicate dimensions and keyouts to enlarged area plans and
                appropriate details.
                Landscape Irrigation Plan illustrating locations, types and sizes of all lines and heads,
                controller, backflow preventer and valves. Include irrigation calculations showing
                compliance with local and state water conservation requirements.
                Project Manual including Specifications, Bidding Requirements, General and
                Supplementary Conditions for the Contract for Construction including testing &
                inspection requirements, alternate bid items and unit prices.
                Architect's Estimate of Probable Cost: Detailed version of CSI 16 division format
                estimate. Include Estimator's Assumptions by line item. Updated and expanded from
                previous (DD) submittal. Contingency shall be less than 5% for CD depending on
                anticipated bid climate at Bid Date.
                Mechanical, plumbing, and electrical calculations.

Final Backcheck Submittal:
This submittal consists of the 100% contract documents with design review comments incorporated
("bid set") and A/E responses to all unresolved comments generated by previous reviews. This marks
the end of the Design Review Process.

Addenda:
The CM reviews addenda prepared during Bid Phase to determine that they are consistent with the
design intent, thoroughly incorporated into the documents and coordinated with systems previously
described. Typically, these reviews are conducted within 24 hours of receipt by reviewers. The review
of an addendum requires that the reviewing party must sign-off on the submittal form. The CM is
responsible for securing signatures from all reviewing parties.




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Construction:
When a project reaches the Construction Phase, quality management shifts focus from a document
review QA function to site inspection / participant coordination of a QC function. At this point the
CM and jobsite personnel assume the primary responsibility of project quality.




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                             Schematic Design




                            Design Development




                          Intermediate Construction
                                 Documents




                             Final Construction
                                Documents




                              Final Backcheck




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REFERENCE MATERIALS

3.5.1 Cost Control Report - See “Estimates and Cost Control Reports” and Reference Number 3.1.1




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3.6 Value Engineering


         ROLES & RESPONSIBILITIES
         DISTRICT:                            CONSULTANTS:                            CONTRACTOR: N/A
         Director, School Construction:       Program Manager: N/A
         Review and comment on ideas          Architect/Engineer: Participate in
         generated by VE Workshop             VE Workshop, analyze
         District Project Manager:            and respond to ideas generated by
         Participate in VE workshop, review   the Workshop
         and comment on draft report          Construction Manager: Arrange and
         Purchasing and Contract              participate in VE Workshop. Record
         Management: N/A                      ideas and prepare draft report. Prepare
         Board of Education: N/A              final report and project construction
         Fiscal Services: N/A                 budget upon receipt of Architect /
                                              Engineer comments.
                                              Inspector of Record: N/A



Executive Summary

Value Engineering is a systematic approach used to gather information, develop alternative ideas,
evaluate options, and offer meaningful recommendations to the District. A team approach is
fundamental to the process. The Construction Manager (CM) uses its own in-house team of
professional architects and engineers to facilitate Value Engineering. Each member has been trained in
the Society of Value Engineers (S.A.V.E.) methodology. Historically, this method has reduced the
budget an average of 13%. This methodology includes five steps.

    1. Pre-study Preparation. This phase entails gathering information, understanding the District’s
       requirements and goals, understanding the District’s objectives of the Value Engineering
       study, and coordinating with user groups and design professionals.

    2. Functional Analysis. Design professionals present an overview of the project, allocate
       appropriate costs to building functions and ascertain where costs seem to be excessive.

    3. Speculation. Conduct brainstorming session in each discipline and record each idea without
       criticism or comparative judgment.

    4. Evaluation. Evaluate each usable idea for advantages and disadvantages, cost increase or
       decrease, schedule impact, design or construction impact. Categorize each idea as to action …
       implement, study further, or do not implement.

    5. Post-Study Reporting. This step entails documenting the events that took place during the
       above steps in a draft report to all participants. Once all the ideas have been studied by the
       Architect and Consultants, the outcome will be included in the final report.



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Executive Summary (continued)

Value Engineering is a continuous process that shall occur from planning phase through to the end of
construction. At each phase, different aspects of the project are analyzed. At the Schematic Design
Phase, systems and layouts are analyzed while at Design Development Phase, the components and
materials are reviewed. As the project goes into construction documents, the methods and means of
construction are reviewed, while, during construction, alternate suppliers, pre-purchasing, methods of
delivery and unit pricing strategies may affect costs. Historically, Value Engineering sessions
performed early in the design process will have the greatest savings and impacts.




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Pre-Study Preparation:
During this phase, the CM will:
       • Define the study objectives.
       • Understand the District 's requirements and goals.
       • Review the outline specifications, site and building drawings, cost estimates and budgets.
       • Develop a CSI format cost model from statistical data.
       • Compare the design estimates with the cost model and highlight areas that appear
           excessive.
       • Conduct an in-house workshop to analyze the building components and costs.
       • Develop an overview of the process for distribution to user groups and design
           professionals who will participate in the study.

Value Engineering Workshop:
The participants shall come prepared. The Design Professional, user group, decision makers and the
CM's in-house team of Value Engineers shall participate in the workshop. Preparation shall include
reviewing the drawings, specifications, estimates, District requirements and project goals. An open
mind is essential and the main objective is to reduce cost while maintaining an acceptable quality
standard without reducing the function or intent of the project. The Value Engineering workshop can
be from one to five days in duration depending on project complexity. The workshop has three main
steps:
       • Function Analysis: During this step, the CM will:
               Have the design professionals present an overview of the project.
               Discuss current costs and any obvious or apparent reasons for being over budget.
               Allocate appropriate costs to building functions.
               Ascertain where costs seem to be excessive.
       • Speculation: During this step, the CM will:
               Conduct brainstorming sessions in each discipline (Architectural, Civil, Mechanical,
               Structural and Electrical).
               Facilitate each brainstorming session with a professional in each discipline from the
               CM.
               Record each idea without criticism or comparative judgment.
       • Evaluation: During this step, the CM will:
               Divide into five workgroups (Architectural, Civil, Mechanical, Structural and
               Electrical).
               Ensure each workgroup consists of the design professional of record for that discipline,
               a facilitator from the CM, and any user group participant who may have interest in a
               particular area.
               Eliminate obviously unusable ideas.
               Evaluate each usable idea for advantages & disadvantages, cost increase or decrease,
               schedule impact, design or construction impact.
               Record and track, by idea and discipline, the cost increases and/or decreases.
               Reconvene as a group and briefly overview each idea.



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                Categorize each idea as to action item (implement, study further, do not implement)
                and total dollars of each action category.
                Review current budget and impact of Value Engineering proposals.
                Discuss assignments.

Post-Study Reporting:
This step entails documenting the events that took place during the Pre-study Preparation and Value
Engineering workshop. The report will be issued by the CM as a draft report for review. The CM
anticipates that the Design Professionals will take between two and four weeks to analyze certain
ideas, especially if these ideas require the District’s involvement or approval. Once all of the ideas
have been studied, the outcome will be added to the executive summary and a final project
construction budget will be established. The final report will contain the following:
        • List of attendees.
        • List of each of the brainstorming ideas by discipline, noting which ones will be
            implemented, deleted or studied further by the Design Professionals.
        • A summary of the estimate and the function analysis cost model.
        • The results of the workgroup discussions and decisions.
        • An executive summary indicating ideas to be implemented, ideas to be studied further, and
            ideas that were deleted. This summary will indicate cost reductions and increases.
        • Formulation of a preliminary project construction budget.

Minimum Requirements for Effective Value Engineering:
     • System and Function Design Criteria.
     • Current Drawings and Specifications.
     • Cost Estimate for current design status.
     • Participant familiarity with current design.




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                           Pre-Study Preparation




                            Value Engineering
                               Workshop




                          Architect Analyze Ideas




                          Value Engineering Ideas
                               Implemented




                             Revise Project
                           Construction Budget




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REFERENCE MATERIALS

3.6.1 Design Estimate – Actual Sample

3.6.2 Value Engineering Input/Worksheet – Blank Sample




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3.7 Special Studies


         ROLES & RESPONSIBILITIES
         DISTRICT:                                CONSULTANTS:                            CONTRACTOR: N/A
         Director, School Construction:           Program Manager: N/A
         Contract for special studies as needed   Architect/Engineer: Perform
         District Project Manager: N/A            services, contract with subconsultants,
         Purchasing and Contract                  advise District
         Management: N/A                          Construction Manager: Perform
         Board of Education: Approve or           services, contract with subconsultants,
         ratify contracts                         advise District
         Fiscal Services: Create PO for           Inspector of Record: N/A
         commitment upon Board approval


Executive Summary

Projects can vary greatly on the requirements for planning, site investigation, testing, and analysis that
may need to be performed before the project goes into design. The District may have to contract with
specialty firms to provide these special studies or services. Special studies or services available
through private consultants are noted in this section.




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Needs Assessments- analyze short and long term needs to gain the highest and best use of an existing
building and plan for new facilities.

Site Selection and Evaluation- considering utility demand evaluations, regional environmental
concerns, off-site utility connections, regional access, etc.

Master Planning- considering site access, utility locations and optimum point of connection, soil
conditions and topography (cut & fill requirements), streets/roads & fire lanes, cost effective lighting,
etc

Architectural Programming- establishes design objectives, constraints and criteria for a project
including space requirements and relationships, standards of corporate equity, flexibility and
expandability, special equipment and systems and site requirements.

Project Design Standards- establish a model that set quality requirements for site improvements,
building or building components, critical equipment and/or materials. These standards are used to
meet the District's expectations for:
           • high quality
           • low maintenance
           • energy efficiency
           • quick delivery
           • substantial discounts in procurement
           • schedule acceleration by pre-purchase of long-lead items
           • simplified maintenance with standard equipment

Documentation Standards- govern the development of Computer Aided Drawings (CAD) so that
computer-driven design tools improve design reviews for new construction and future District
maintenance or renovations.

Energy Analyses- seek to minimize energy consumption and energy cost using energy audits,
analysis of energy company incentive programs (rebate program calculations), evaluations of energy
conservation proposals and uses of alternative energy sources (solar, wind, geothermal).

Life Cycle Cost Analyses- evaluate alternatives to provide the lowest life-cycle cost. Examines
economic lifetime costs of systems or whole buildings as summation of initial cost, operating cost,
replacement and maintenance costs.

Existing Facility Condition Studies- determine if the District can save money by converting and
renovating existing buildings and infrastructure to new uses. Evaluation of existing systems and
determination of risks and feasibility of recycling an existing facility.




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3.8 Agency Review Coordination


         ROLES & RESPONSIBILITIES
         DISTRICT:                        CONSULTANTS:                          CONTRACTOR: N/A
         Director, School Construction:   Program Manager: DSA Interface
         N/A                              Architect/Engineer: Attend
         District Project Manager: N/A    coordination meetings with regulatory
         Purchasing and Contract          agencies
         Management: N/A                  Construction Manager: Attend
         Board of Education: N/A          coordination meetings with regulatory
         Fiscal Services: N/A             agencies and notify District and
                                          Architect of any changes in project
                                          scope due to agency requirements
                                          Inspector of Record: N/A


Executive Summary

To ensure timeliness, consistency and thoroughness, the Construction Manager (CM) maintains a
proactive approach to Agency review by discussing the project with the Agency early in planning and
keeping it informed at major milestones of design change and schedules.

If an issue results in a change in scope of the project (either cost or schedule), the CM shall notify the
District and Architect in writing.




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Coordination Meetings:
During the design phases, several meetings shall be held with the CM, Architect and Regulatory
Agency to involve the Regulatory Agency in the planning and development of the project. This can
minimize code-related changes late in the process and expedite final approvals. In general, the
meetings shall be:

        •   Pre-Design Phase – Exploratory meeting to determine project parameters.
        •   Schematic Design and Design Development Phases – Over-the-counter discussions
            relating to basic code issues, layouts, system designs and code interpretations relevant to
            the project.
        •   Contract Documents Phase – Coordinate the anticipated plan-check submittal date, the
            "bin" or "holding" time before actual checking, the checking and information dialogue
            processes, the projected dates of the actual plan check comments and the anticipated AE
            response time.

Record all meetings and agreements in minutes and distribute copies to the Architect, District and the
Regulatory Agency.




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4.1 Bidding


         ROLES & RESPONSIBILITIES
          DISTRICT:                             CONSULTANTS:                            CONTRACTOR: N/A
          Director, School Construction:        Program Manager: N/A
         Review                                 Architect/Engineer: Prepare
          Agreements/Contracts for Board        documents for formal bidding
          approval                              Construction Manager: Solicit oral
          District Project Manager: Perform     and informal proposals. Assist District
          CM role if one not assigned to the    in formal bidding process
         Project                                Inspector of Record: N/A
          Director of Purchasing and Contract
          Management: Oversee
          bidding process and approves
          Agreements prior to approval to
          Board of Education. Sign
          Agreements/Contracts upon Board
          approval.
          Board of Education: Review, ratify
          or approve bidding results
          Fiscal Services: Check and verify
          Budget items and create purchase
         orders for commitment

Executive Summary

Bids may be oral/written quotations, informal bids, or formal bids depending on the Contract amount.
All oral quotations will be confirmed in writing. Within this section are the minimum bidding
requirements (See SJUSD School Construction Finance Procedures). If time allows, additional quotes
and/or bids may be requested to assure that the best value is received. The District reserves the right
to reject any and all bids/quotations.

Bid splitting of quotes/proposals/bids by any party to manipulate and/or avoid the approval limits is
prohibited.

For contracts over $10,000, the District requires Disabled Veterans Business Enterprise (DVBE)
forms be submitted if funded by the State Allocation Board (SAB) (District Administrative Regulation
AR3312.11).




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Determine Type of Bid (Bid Limits):
Depending on the dollar amount of the Work, the bids will be received by quotation, informal or
formal bid. Listed below is a summary of the minimum bidding requirements based on a dollar value
of a contract. These contracts are divided into two groups, Public Works Projects and Material
Purchase. Public Works Projects include both labor (for installation and/or construction) and
materials as defined in the Public Contract Code whereas Materials, Supplies and Equipment bidding
excludes labor for installation or construction but may include offsite manufacturing and/or delivery
services.

Public Works Projects Limits

   Contract Amount             Type of Bid                  Approved By             Board Action
   $15,000 or less             One quotation (can be oral)  Director of School Construction (or
designee)                                                                           Monthly Review
   $15,001 to $30,000          Three quotations             Director of School Construction (or
designee)                                                                           Monthly Review
   $30,001 to $125,000         Informal Bid                 Chief Business Officer (or designee)
                                                            Monthly Review
   over $125,001               Formal Bid           Board Of Education Approve
The above project limits are to be confirmed with the District Contract Specialist to ensure they are
current at the time the work is to be performed.

According to 22034 Informal Bidding Ordinance (Revised 1/2003) The governing body of the public
agency may delegate the authority to award informal contracts to the public works director, general
manager, purchasing agent, or other appropriate person. If all bids received are in excess of one
hundred dollars ($100.000), the governing body of the public agency may by passage of a resolution
by a four-fifth vote, award the contract, at one hundred ten thousand dollars ($110,000), or less, to the
lower responsible bidder, if it determines the cost estimate of the public agency was reasonable.

Materials, Supplies and Equipment (AKA, Pre-Purchase)

   Contract Amount                    Type of Bid                            Board Action
   $10,000 or less                    One quotation (can be oral)            Monthly review
   $10,001 to $62,399,                Three quotations                       Monthly review
   $62,400 and above                  Formal bid                             Approve

See District Board Policy BP3311 and Public Contract Code 22032 for reference.

Quotations:
      • The Construction Manager (CM) solicits quotations from interested contractors. The
         request for quotation shall include scope of work, schedule, and any other pertinent
         information. There are many ways for a CM to locate interested contractors including but



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            not limited to the CM’s database, referrals from associates or, the qualified bidders list
            maintained by the District’s Contract Specialist.
        •   The CM shall determine the lowest responsive qualified quotation and make
            recommendation to the District’s PM, and District’s PM provides direction to award. Any
            Oral quotations must be documented by the CM and followed up with a written
            confirmation from vendor of the quote prior to issuance of a Purchase Order (PO).
        •   The CM sends written request for a PO to the District’s School Construction Office.
            Request will include information as to project name, number (if applicable), funding
            source, site, date and copy of quotation (or documentation of oral quotation).
        •   The PO is created, approved by the Director of School Construction or his/her designee,
            and sent directly to the Contractor/Vendor. See SJUSD School Construction Finance
            Procedure Manual for District internal review and approval procedures.
        •   Work may begin after notice is given to contractor of PO number and all necessary
            insurance and bonding is received (see Contract Execution Section).

Informal Bid (Field Agreement):
      • CM request bid number from District’s Contract Specialist to be referenced in Request for
          Proposal (RFP) and used for Field Agreement number.
      • CM refers to the District qualified bidders list and sends a RFP to qualified contractors.
          Notify 10 days before bids are due.
      • CM sends RFP’s to four plan rooms.
          1. FW Dodge Plan Room (required)
          2. Builders Exchange of Santa Clara County (required)
          and at least two of the following:
          3.
          4. Builders Exchange of Santa Cruz County
          5. Builders Exchange of Sacramento County
          6. Builders Exchange of Marin County
          7. Builders Exchange of San Francisco County
          8. Peninsula Builders Exchange
          9. Builders Exchange of Alameda County
      • The CM will evaluate all bids or quotes and make a recommendation of lowest responsive
          bidder to the District with justifications to support the recommendation.
      • After selection of a suitable lowest responsive bidder, the CM will prepare a Field
          Agreement (obtain forms from District Contracts Specialist).
      • The CM will obtain multiple original copies (quantity depends on parties involved) of the
          Field Agreement, signed by the contractor, and forward to the District’s Contract
          Specialist, along with all supporting documents.
      • Field Agreements include Criminal Background Investigation, Non-Collusion Affidavit,
          Payment Bond, and Insurance.
      • The Chief Business Officer of his/her designee (Director of School Construction) will sign
          the Field Agreement.


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        •   The Contract Specialist will file the duly signed agreement and return other originals to the
            CM for distribution to the parties.
        •   The CM sends written request for a Purchase Order (PO) to the District’s School
            Construction Office. Request will include information as to project name (and number if
            applicable), funding source, site, date and copy of quotation.
        •   The PO is created, and sent directly to the Contractor/Vendor (See SJUSD School
            Construction Finance Procedure Manual for District internal and School Board review and
            approval procedures).
        •   Work may begin after Field Agreement has been executed and all necessary Bonds and
            Insurance have been submitted and verified. The CM issues a Notice to Proceed signed by
            the District’s Director of School Construction to the Contractor to establish terms for
            proceeding with work.

Formal Bid:
     • The Architect and CM will furnish the bidding documents (plans and specifications) for
         the project (see Design Phase Section).
     • The District’s Contract Specialist will assign the bid number and place the bid opening
         date on the calendar.
     • The CM will prepare the bid advertisement (include bid number) and send to the District’s
         Contract Specialist so an advertisement can be issued for two consecutive weeks in local
         newspaper (see District Administrative Regulations AR3311).
     • The CM will perform the following functions during the bid period (outlined in greater
         detail in following sections):
         1. Perform bidder prequalification, if this strategy has been recommended by the CM and
             Architect, and bid solicitation (see Bid Solicitation Section).
         2. Manage printing and distribution of bid documents (see Pre-Bid Procedures and Bid
             Administration Sections).
         3. Conduct a pre-bid conference and site tour (see Pre-Bid Conference Section).
         4. Coordinate receipt of construction bids (see Bid Opening Section).
         5. Analyze, evaluate bids, and recommend award or rejection of bids (see Bid Evaluation
             & Analysis Section).
         6. Assist with issuing Letter Of Intent and retrieval of Contractor’s Bonds, Insurance and
             signed Contract/Agreement (see Contract Execution Section).
     • The District will proceed with contract execution with the lowest responsive bidder.
     • The District Contract Specialist will prepare the Board Agenda Item after the normal bid
         opening procedure and recommendation from the CM. The agenda item will be reviewed
         and signed by the Director of School Construction for Board’s and Director of Purchasing
         and Contract Management’s approval (see District Board Policy BP3312).
     • Upon approval by the Board, the Director of Purchasing and Contract Management (or
         his/her designee) will sign the contract/agreement (see Contract Execution Section).
     • Upon receiving authorized approval, the CM will request a PO as described above. The
         Lead Accounting Technician will create a PO and forward it to the Director of School


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            Construction (or his/her designee) for review and Purchasing Department approval. The
            PO will be mailed out directly from the Purchasing Department to the Vendor/Contractor.
        •   Work may begin after an Agreement has been executed and all necessary Bonds and
            Insurance have been submitted and verified. The CM will assist the District with issuing a
            Notice to Proceed, which shall be used to give notice to the Contractor and establish terms
            for proceeding with work.




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                              Determine Type of Bid


      Oral/Written        Informal Bid (Field Agreement)              Formal Bid
       Quotation

                           CM Requests Proposals from        Pre-Bid Procedures
                                 Contractors                 •   Preparation
                                                             •   Marketing & Advertising
   CM Sends Request                                          •   Distribution
    for PO to District            Select Lowest              •   Pre-Bid Conference
                                Responsive Bidders


                                CM Prepares Field                      Open Bids
      PO Created &              Agreement & Sends
  Approved By District,             to District
     Sent to Vendor /                                           Suitable Bidder Selected
      Contractor, PO
  reference number sent                                             Board Approval
                                Contract Specialist
          to CM
                              Prepares Board Agenda
                                       Item
                                                               Director of Purchasing &
                                                              Contract Management Signs
      Purchasing
    Department sends      Board Approval/Ratification             Notice to Proceed to
     PO to Vendor /                                                   Contractor
       Contractor
                             PO Created by School
                             Construction Finance               PO Created by School
                                                                 Construction Finance


                          Contract Specialist Files Signed
                                                             Contract Specialist Files Signed
                          Agreement with PO Send to CM
                                                             Agreement with PO Send to CM
                                 for Distribution
                                                                    for Distribution


                                                                   CM Sends copy to
                                CM Sends copy to
                                                                     Contractor
                                  Contractor




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REFERENCE MATERIALS

4.1.1 District School Construction Finance - Procedural Manual

4.1.2 District Board Policy BP3311 - Bids

4.1.3 District Board Policy BP3312 – Contracts    (see pg. 9)

4.1.4 District Administrative Regulation AR3311 - Bids

4.1.5 District Administrative Regulation AR3312.11 – SAB Contracts, DVBE

4.1.6 Public Contract Code 20110-20118.4

4.1.7 Public Contract Code 22030-22045

4.1.8 Agreement – Blank Sample

4.1.9 Field Contract – Blank Sample




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4.2 Pre-Bid Procedures


         ROLES & RESPONSIBILITIES
         DISTRICT:                               CONSULTANTS:                             CONTRACTOR: Inquire and
         Director, School Construction:          Architect/Engineer: Markets Project Obtain Prospective Project
         Markets Project to Potential Bidders;   to Potential Bidders; Provide            Information for Potential Bid
         Prepare Bid Advertisement, Project      electronic files of specs, drawings, and
         Information, Notice to                  addenda; Review Scope of Work &
         Bidders/Invitation to Bid; Attend &     Respond to technical questions
         Answer Questions regarding District     Construction Manager: Markets
         procedures                              Project to Potential Bidders; Distribute
         District Project Manager: Markets       Bid Advertisement, Project
         Project to Potential Bidders; Prepare   Information, Notice to
         Bid Advertisement, Project              Bidders/Invitation to Bid; Conduct
         Information, Notice to                  meeting, document, & answer
         Bidders/Invitation to Bid; Attend &     questions on bidding procedures
         Answer Questions regarding District     Inspector of Record: N/A
         procedures
         Director of Purchasing: Oversee
         bidding process
         Board of Education: N/A
         Fiscal Services: N/A




Executive Summary

The bidding process requires preparations be made in advance to ensure that the process moves
smoothly from advertising to actual bid opening date. Pre-bid procedures are primarily administrative
but, nevertheless, are important in the success of the overall bidding process.




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Bid Solicitation
Increased competition between qualified contractors generally ensures lower bids. One method used
to insure adequate participation by contractors in the bidding phase of a project, is to solicit
participation. In addition to advertising, an aggressive campaign to market the project to potential
bidders is essential.

A prequalification process can be implemented where the District wants to limit the number of bidders
to only those who can document their ability to perform the prescribed work. Care must be taken to
establish objective criteria that best reflects the needs of each particular project. There shall be
specific reasons to utilize this approach of bidding strategy.

Bid Marketing:
      • The CM will develop a brief guideline statement about the project to be used in bid
         marketing efforts. This shall be a positive sales reference tool and contain size, type of
         work, bonding, schedule (i.e. bidding and construction) and where to get more information.
         The purpose of bid marketing is to encourage and attract bidders.
      • The CM will define the basic Contractor targets - type/size of Contractor, distance from
         project site, previous histories, etc. Potential information sources:
         - Builder's Exchanges.
         - District records of contractors previously employed (successfully).
         - District Bidders List (maintained by the Contract Specialist)- Project Architect &
         Consultants.
         - Regulatory agencies (specific to building type).
         - CM database sorted for expertise and capacity of bonding.
         - Regional office of Association of General Contractors (AGC).
         - Dodge Reports.
         - Telephone directories.
         - References from other contractors and construction managers
      • The CM will develop a tracking system for contacts/responses and information feedback
         points to the CM’s database of Contractors.
      • The CM will conduct an appropriate telephone campaign to market the project to potential
         bidders

Prequalification of Bidders:
      • The Architect, with assistance from the District’s PM and CM develop prequalification
          criteria and regulatory requirements. The CM and Architect will provide recommendations
          for prequalifying of potential bidders. The PM along with Legal Council will initiate the
          prequalification process.
      • Prequalification is not used often and shall be reviewed for special product installation or a
          need to ensure only the most qualified contractors are bidding a specialty project, (i.e.
          Installation of a Synthetic Field at Six High Schools).




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        •   The Architect, with assistance from the District’s PM and CM develop an invitation to
            prequalify describing the project, conditions of the bid and construction, prequalification
            forms and submittal requirements.
        •   District’s PM, Architect, and CM document the evaluation criteria and methodology.
        •   District’s School Construction office receives the Contractor’s prequalification package
            and convene a review panel consisting of the District’s Director of School Construction (or
            his/her designee), Architect and CM, at a minimum.
        •   Review panel shall evaluate packages using the objective criteria previously established
            specifically for the project, review all evaluations with other members of the panel and
            establish qualified and non-qualified Contractors.
        •   District’s Director of School Construction sends notice to each (qualified and non-
            qualified) Contractor by letter informing them of their status. Non-qualified Contractors
            shall be advised of any appeals process and filing deadlines for that process. Qualified
            Contractors shall be advised that they will be contacted for further bidding information
            (after the appeals period has ended).

Preparations:
      • There shall be an ample supply of plan bags (shipping bags), summary of work for each
          individual contract and all contract documents (plans, specifications and addendums).
      • The CM and the District’s PM discuss Pre-Bid Conference and Bid Opening locations,
          agendas, plan deposits and availability of the planholder's list during bidding. Make
          arrangements for meeting rooms and attending personnel for both gatherings early.
      • The CM will contact several local print shops about the printing of Bid Documents for best
          service at the least cost. Volume and size of the print run will affect prices greatly.
          Although the actual number of sets required shall be developed by the entire Project Team,
          a good estimate for pricing would include 25 sets for bidders, two sets for the CM
          (Division and field), two sets for the Architect, and two sets for the District.
      • The CM will number each set of plans & specifications and place them in a plan bag
          marked with the set number. They will arrange them in numerical order prior to
          distribution to bidders and record the set number given to each bidder.
      • With approval of Director of School Construction, the CM may load electronic files of
          specifications, addendums and drawings into jobsite and/or project management computers
          for faster access to information during bidding and construction.

Notice To Bidders & Project Information:
       • CM prepares a project summary sheet listing all contracts going out to bid and their
          appropriate contract number (i.e. 1000A, 1000B, etc) and a summary sheet indicating the
          time and place of the Pre-Bid Conference, Bid Opening and jobsite address. The project
          summary sheet also includes a brief description of the scope of work, engineers estimate,
          and schedule information. CM prepares an 8-1/2 x 11 illustration of the project showing
          phasing and basic site layout.




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        •   CM prepares an 8-1/2 x 11 map illustrating locations of the Pre-Bid Conference and Bid
            Opening. This sheet shall also contain the address, time and exact location of the pre-bid
            conference and bid opening. It is helpful to the bidders if this map includes the location of
            the project site and a name and contact phone number.
        •   All regional builder exchanges shall be notified of the project and receive a complete set of
            documents (plans, specifications, addendums and summaries of work).

Bid Advertising:
      • The CM assists the District’s PM in developing the project information necessary for the
         Notice to Bidders. Notice to Bidders (or "Advertisement for Bids") shall include District 's
         name and address, project name, project location (address), pre-bid meeting date and time,
         bid date including time and location, date plans are available, the process and location to
         obtain plans, DVBE participation requirements, bid deposits required and any bonds and
         insurance requirements.
      • A legal advertisement is usually placed by the District in "a newspaper of general
         circulation that has judicial approval for placement of public notices". This advertisement
         shall run for a minimum of one week (two consecutive issues). The advertisement must
         contain the call for bids, description of the work required, time and place where bids are
         due. The District’s Contract Specialist will process the advertisement with the newspaper
         and ascertain when ads must be placed for proper timing of advertisement. Advertisements
         are published in the following:
                 1. Post
                 2. Challenge News
                 3. District Web Site
                 4. Any other publication that is appropriate
      • The CM will broadcast FAX the Bid Advertisement, supporting maps and documents to all
         interested contractors.

Pre-Bid Conference
A Pre-Bid Conference and Job Walk is advantageous and encouraged in order to have prospective
Contractors/Bidders see the site conditions, introduce Project Team members (District,
Architect/Engineer (A/E), Construction Manager (CM)) clarify questions regarding bid procedures,
answer technical questions about the project, and distribute bid sets, if necessary. A sign-in sheet is
circulated at the meeting and any questions will be processed in an addendum.

CM Produces Agenda
The CM will produce the Agenda. The agenda shall cover the following major topics:

    1. Introductions:
           • Principal figures and contacts.
           • Single point of contact for bid RFIs.
           • Limits and responsibilities


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    2. Project Overview:
          • Bid Package descriptions.
          • Scope of the work.
    3. Contract and Bid Provisions:
          • Bid date, time, location and date of last Addendum.
          • Bid forms & contract form.
          • Information to Bidders (what and where to get them).
          • Prequalification and license requirements.
          • Bonds & insurance requirements.
          • Plan Holders Lists.
          • Escrow of Contractor's Bid Documents, if required.
    4. Contracting Requirements:
          • Prevailing Wage, DVBE requirements.
          • Schedules, milestones and phasing.
          • Liquidated damages.
    5. Conditions of the Contract (General and Supplementary):
          • Minimum site staffing.

    6. Technical Questions and Answers.

CM Conducts Meeting
The CM will conduct the meeting at the job site if appropriate and retrieve any written technical
questions to be addressed formally by the Architect. After introductions, the CM will have the
Architect discuss the Project and the Scope of Work. The CM will continue the meeting to discuss
general requirements. A jobsite walk allows prospective bidders to look at field conditions and the
site of the Work.




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REFERENCE MATERIALS

4.2.1 Guideline Statement/Project Summary – Actual Sample

4.2.2 Invitation to Pre-Qualify – Blank Sample

4.2.3 Pre-Bid Conference Agenda – Actual Sample

4.2.4 Bid Advertisement – Actual Sample

4.2.5 Plan Holders List – Blank Sample

4.2.6 District Board Policy BP3311 – Bids – See Reference Number 4.1.2

4.2.7 District Administrative Regulation AR3311 – See Reference Number 4.1.4

4.2.8 Public Contract Code 20110-20118.4 – See Reference Number 4.1.6

4.2.9 Public Contract Code 22030-22045 – See Reference Number 4.1.7




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4.3 Bid Administration


         ROLES & RESPONSIBILITIES
         DISTRICT:                              CONSULTANTS:                            CONTRACTOR: Request
         Director, School Construction:         Architect/Engineer: Responds to          bidding documents, submit
         Same as Construction Manager if none   questions and requests for clarification questions & request for
         designated                             by preparing addenda                     clarification to Construction
         District Project Manager: Monitor      Construction Manager: Issues             Manager
         Construction Manager activity          bidding documents, receive questions
         Board of Education: N/A                and issue addenda
         Fiscal Services: N/A                   Inspector of Record: N/A


Executive Summary

Once a project has been advertised for bids, the Construction Manager (CM) must be prepared to issue
bidding documents to contractors, subcontractors, equipment vendors, material suppliers and building
exchanges as requests for these documents are received. An accurate record of deposits received and
the names, telephone and fax numbers of all firms sent bidding documents must be maintained. This
information is crucial when issuing addenda or postponing the bid opening date. If deposits are
refundable, the CM must be prepared to handle these transactions as the bidding documents are
returned.

All questions from prospective bidders / planholders must be recorded in writing and sent to the
Architect for response. All responses must be in writing and issued to all bidders / planholders in the
form of an addendum to the bidding documents. Caution must be exercised that no responses are
given verbally to anyone; to do so could compromise the bidding process. Addenda must be issued to
all bidders / planholders in a timely manner by fax or overnight mail delivery service. If the last
addendum is issued within a week of the scheduled bid opening date, consideration may be given to
extending the bidding period by issuing an addendum rescheduling the bid opening date.




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Bid Log Sheets:
As bid document sets are issued and deposits are received, a summarized log must be maintained by
the CM. This log will indicate the sets in numerical order as they are distributed, beginning with the
number #1. The listing shall contain complete information (i.e. company name, contact person, sets
received, phone #, FAX #, deposit check #, etc.)

Bid Deposits:
The bid deposit is set prior to going out to bid. These deposits must be paid before the bid documents
are issued to the potential bidder. Checks are made out to the District and are kept in an alphabetical
folder until the bid documents are returned. Cash deposits and checks made out to the CM will not be
accepted. One copy of the receipt is retained with the deposit and the other copy is given to the
prospective bidder. When the plans are returned to the office, the bidder must sign the jobsite copy of
the receipt indicating that the cash deposit has been returned. Checks are to be marked VOID in large
letters before being returned to the place of issuance.

Shipping of Bid Documents:
The CM will ship documents to those individuals who are unable to come to the jobsite location to
pick up their bid documents. Do not ship documents until the check is received. Ship all bid
documents by UPS, COD, unless the bidder has a Federal Express account number to which the
shipment can be billed.

Response to Bidder Questions:
The CM will maintain a log of all telephone conversations received during the bid process. The CM
will distribute copies of Pre-Bid Request for information to the District and Architect on a daily basis.
In general, the Architect will answer technical questions, and the CM will answer questions on Bid
and Construction Procedures. All responses are issued in writing through addenda. Within the last
week prior to bid opening date, the CM shall survey the known bidders and ascertain the projected bid
turnout for the District.

Addenda:
Addenda are changes in the Bid Documents issued prior to receiving bids.
      • Addenda are generated by:
          • Response to bidder questions.
          • Changes in the work required by District or regulatory agency.
          • Architect’s Corrections of errors or omissions in the Bid Documents.
      • The Architect will prepare and submit the addenda to the CM. The CM will review the
          addenda with the District’s PM and advise of significance of changes.
      • The CM will distribute addenda and require acknowledgment of receipt from all bidders in
          the Bid Documents to be submitted with the bids. If the distribution is within seven
          calendar days (or five working days) of the Bid Date or, if the addendum is long and
          complex, an extension of bidding period shall be considered to allow all parties to carefully
          consider the new information and submit accurate bids.



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        •   No addenda may be issued later than 72 hours prior to the scheduled bid opening (Public
            Contract Code 22030-22045).




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REFERENCE MATERIALS

4.3.1 Pre-Bid Request for Clarification/Information – Blank Sample

4.3.2 Addenda – Actual Sample

4.3.3 Public Contract Code 22030-22045 – See Reference Number 4.1.7




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4.4 Bid Opening


         ROLES & RESPONSIBILITIES
         DISTRICT:                           CONSULTANTS:                       CONTRACTOR: Submits Bid
         Director, School Construction:      Architect/Engineer: Attend Bid
         Attends Bid Opening                 Opening
         District Project Manager: Attends   Construction Manager: Assists with
         Bid Opening                         Bid Opening
         Board of Education: Accept          Inspector of Record: N/A
         Apparent Low Bidder
         Director of
         Purchasing and Contract
         Management: Open Bids at
         Appointed Time & Place
Executive Summary

The bid opening must be conducted with care and strict adherence to these procedures to preclude any
inconsistencies or errors that could compromise the bid process. If bidders sense any inconsistencies
in the process, it could lead to a bid protest and the potential for aborting the results. Shall this occur,
the District would incur additional costs for re-bidding and perhaps additional costs for legal counsel
to correct the problem.

As bids are received they must be checked in with a clock stamp and no bids are accepted after the
advertised closing time. Bids can be submitted anytime after the Bid Advertisement and prior to the
bid opening date. Bids received after advertisement and prior to bid opening must be kept
confidential and locked in a secure area. The time shall be set by a standard reporting service and
prominently displayed for all bidders to see.

Bids will be publicly opened at the designated time by a District employee and read aloud. If the bid
includes deductive or additive alternates, the bid opening strategy for acceptance of alternates has to
be conveyed in the bid advertisement.




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Preparation for Bid Receipt:
The Construction Manager (CM) prepares a bid tabulation form prior to receipt of bids and makes
sufficient copies for all bid opening attendees to have their own blank copy for making notes. The
District uses a time clock for time stamping receipt of sealed envelopes. The CM arrives at the bid
location approximately 30 minutes prior to the bid period closing to observe bidders and assist with
traffic control.

Bid Receipt:
The District’s Director of Purchasing and Contract Management (or designee) will stamp each
envelope as it is received. The Envelopes will be stored securely and confidentiality will be
maintained until public opening and reading takes place. Disclosure of bid information shall be only
on a "need to know" basis. Each bid received must be in a sealed envelope, received prior to the
designated time deadline, and must be a single bid per envelope. Bids shall be clearly labeled as
indicated in the Advertisement for Bid. The District will confirm the closing of the bid receipt period
by time stamping a blank piece of paper for files.

Opening & Public Reading:
The District’s Director of Purchasing and Contract Management (or designee) gathers the bids at the
opening location. The District’s Director of Purchasing and Contract Management (or designee) will
publicly open the bids at the designated time and read aloud. The District’s Director of Purchasing
and Contract Management (or designee) performs the reading. The CM will assist with checking and
tabulating the results as they are read aloud. The District’s Contract Specialist will check for the
following:
        • Check for completeness (submission) of all forms.
        • Check that all addenda are acknowledged as received and included.
        • Check for exclusions or other qualifications listed by the Contractor (not allowed).
        • Check for required bonds.
        • Check that the bid is signed and dated (legal offering).
        • Check that there is a signed non-collusion affidavit.

The reading begins with the Contractor's name, an announcement of submitted documents including
but not limited to Bid Proposal, submit subcontractor lists, Bid Bonds, Non-Collusion Affidavit, and
any other required documentation. Bid documents are reviewed for compliance, after the bid opening.
The CM records this information on the Bid Tabulation sheet.

If one of the items on the checklist is not in compliance, the District can waive the error only for lack
of acknowledgement of addenda and deem the Contractor non-responsive if any other item is non-
compliant.

In the event there are two or more identical lowest or highest bids, the governing board may determine
by lot which bid shall be accepted (Public Contract Code 20117).




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After the bids are read, the bidders are thanked for their effort and the CM will distribute the formal
bid tabulation sheet after further review of compliance to bidders and Builders Exchanges.




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REFERENCE MATERIALS

4.4.1 Bid Tabulation Result Sheet –Blank Sample

4.4.2 Public Contract Code 10300-10334

4.4.3 Public Contract Code 20110-20118.4 – See Reference Number 4.1.6

4.4.4 Public Contract Code 22030-22045 – See Reference Number 4.1.7




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4.5 Bid Evaluation & Analysis


         ROLES & RESPONSIBILITIES
         DISTRICT:                            CONSULTANTS:                       CONTRACTOR: Participates in
         Director, School Construction:       Architect/Engineer: N/A            Post-Bid Interview
         Approval                             Construction Manager: Perform
         District Project Manager: Approval   Background & Evaluation Checks &
         Board of Education: Approval         Make Recommendation to District
         Fiscal Services: N/A                 Inspector of Record: N/A



Executive Summary

The Construction Manager (CM) will assist the District’s Director of School Construction in
developing a contract award strategy. As soon as the bids have been opened, the CM will conduct an
evaluation of the bids to determine the lowest responsible bidder. Under most public bidding
regulations, the lowest responsible bidder must be awarded the contract.

The CM will verify information submitted by the lowest responsible bidder including a check of
references for previous construction projects. The CM will consider the pre-bid estimate and the
results of the bidding for review with the District. If significant overages occur, the CM and the
District may consider the accuracy of the estimate or, re-bidding the project. Consideration shall be
given to bid climate and schedule.

The CM will make recommendation to the District based on results of the evaluation. The
recommendation could be for acceptance of the low bidder, consideration of the next low bidder, or
rejection of all bids.




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Conduct a Post-Bid Interview:
The CM will discuss the project scope and bid received with the Apparent Low Bidder(s). The CM
will verify with the Apparent Low Bidder that they intend to honor their bid. The Apparent Low
Bidder has a limited time to examine their bid and submit a written request to withdraw their bid. The
Apparent Low Bidder’s written request must clearly state their reason. Withdrawal is permitted,
within five (5) days, (without penalty) for clerical error only. No bidder may withdraw the bid for a
period of sixty (60) calendar days after the date for the opening of the bids.

Background & Verification:
The CM checks the submitted bids to verify the following information:
      • Comparative pricing: List budget amount, low bid, average bid, high bid, number of plan
         holders, number of bidders, and number of "non-responsive" bidders.
      • Bond Review: Call the bonding companies listed and verify the bidder's registration
         (State), local office and bonds.
      • Company History: Summarize briefly the Contractor's history and experience in this type
         of work.
      • Bid Form Review: Review for irregularities (missing signatures, incomplete or missing
         Non-Collusion Statements, math errors, missing Addenda, incomplete List of
         Subcontractors, missing Bid Bonds, etc)
      • Reference Check: Call the references and verify the projects, contractor's participation and
         general results.
      • Contractor License Check: Call the State Contractor's License Board and verify the type of
         license(s), type of company, license expiration date, and license status (current & active).

Recommendations:
The CM summarizes the verification and analysis into a letter of recommendation to the District’s
Director of Purchasing and Contract Management for each contract to be awarded. Recommendation
can be acceptance of low bidder, consideration of next low bidder, or rejection of all bids.

District Approval:
The CM attends the District's Board Meeting where approval of the contract is to be discussed, in case
there are any questions.

Update Project Information After Bid:
The CM will update the following:
      • Cost Control Report indicating actual contract values and contingencies for construction.
      • The CM may choose to update their own Bid Marketing Database.




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REFERENCE MATERIALS

4.5.1 Verification & Analysis Letter – Actual Sample




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4.6 Contract Execution


         ROLES & RESPONSIBILITIES
         DISTRICT:                              CONSULTANTS:                          CONTRACTOR: Comply with
         Director, School Construction: Issue   Program Manager: N/A                  Bid Procedures
         Letter of Intent & Notice to Proceed   Architect/Engineer: Advise District
         District Project Manager: Review       if no designated Construction Manager
         Documentation                          Construction Manager: Advise
         Director, Purchasing and Contract      District, Review & Monitor submitted
         Management: Sign                       documents
         Agreement/Contracts upon Board         Inspector of Record: N/A
         approval
         Board of Education: Approve
         resolution to Award Contract
         Fiscal Services: N/A

Executive Summary

Upon completion of an evaluation of the bid and approval by the Board of Education (see Bidding
Procedures Formal Bidding) to enter into a contract with the lowest responsible bidder, the District
will enter into a contract with the Contractor. The District’s Director of School Construction will
issue a Notice of Intent to Award, which will prompt a number of post-bid documents to be submitted
by the Contractor including:
        • Agreement to be signed and returned
        • Payment Bond, Performance Bond, Materials Bond
        • Certificates of Insurance
        • Proof of Workers Compensation coverage
        • Non-Collusion Affidavit
        • Schedule of Values
        • Preliminary Construction Schedule
        • List of submittals, Subcontractors, and Suppliers
        • Documents specific to the Contractor

When all outstanding documents pertaining to the particular contract have been received, the District’s
Director of School Construction issues a “Notice to Proceed” to the Contractor and the Work can
commence as outlined in the “Notice to Proceed”.

No changes to the standard contract terms and conditions will be made without Legal review and
approval.

Simultaneously with issuance of the Notice of Intent to award, all other bidders must be notified and,
after the Agreement has been signed by the Contractor and the District’s Director of Purchasing and
Contract Management, bid bonds returned to the other bidders. Bid security from all bidders will be
retained a minimum of fifteen (15) days after bids have been opened but not beyond 60 days from the



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time the award is made. The bid security will be retained for the two lowest responsive bidders until
the successful bidder executes a contract.

Bid Security for the two lowest responsive bidders will be returned to Bidders within ten (10) days
after construction contracts with the successful bidder has been fully executed. If the successful
bidder withdraws his bid within the period specified therein for acceptance, or upon acceptance
thereof by the District, and fails to enter into the Contract and provide bonds within the time specified
after the forms are presented to him, he shall be liable for any difference by which the cost of securing
the supplies or services exceeds the amount of bid, and the bid security shall be available toward
offsetting such difference.




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District Prepares Notice of Intent to Award and Contract:
The Construction Manager (CM) will prepare for the District’s Director of School Construction
signature a Notice of Intent to the Contractor announcing award of the contract and itemizing
procedures prior to contract signing and start of construction.
       a. The Notice of Intent will indicate the Contract Name and Number (or summary of Work)
            and the Certified Mail Receipt # in the subject line.
       b. The letter is accompanied by typed contract copies and must be sent by certified mail with
            a specific turnaround period indicated (i.e., seven days). The letter will instruct the
            Contractor to sign and return all copies of the contract for the District’s Director of
            Purchasing and Contract Management signature. This establishes the legal point of
            contract at the District’s location.
       c. The letter shall address submittal requirements for the Contractor including:
            • Agreement to be signed and returned
            • Agreement Payment Bond, Performance Bond, Materials Bond
            • Certificates of Insurance
            • Proof of Workers Compensation coverage
            • Certificates required in Bid Documents (non-collusion, etc)
            • Schedule of Values
            • Preliminary Construction Schedule
            • List of submittals, Subcontractors, and Suppliers
            • Documents specific to the Contractor
       d. The CM will maintain a log indicating what has been submitted and what is outstanding
            for each of the contracts. As items are received they shall be reviewed for completeness
            and accuracy.

Contractor Signs the Contract:
The Agreement between the District and Contractor will be written on the District’s standard
District/Contractor Agreement Form. See reference section for a sample of the Agreement. A
minimum of five (5) copies of the Agreement will be sent to the selected Contractor for signature.

Contractor Returns Signed Contract:
The Contactor will return all five (5) copies of the signed Agreement along with Bonds, Insurance
Certificates, and any other requirements outlined on the Notice of Intent.

Board Approves Award Resolution:
The District’s Board of Education approves the resolution to award the Contract.

District Executes Contract:
The District’s Director of Purchasing and Contract Management will execute the Agreement after it
has been properly executed by the Contractor and approved by the Board of Education. The executed
Agreement, along with the Contract Documents defined in the Contract Specifications, will be the
entire, integrated Contract between the Owner and Contractor.



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District Issues Notice to Proceed:
When all outstanding documents pertaining to the particular contract have been received, the District
Director of School Construction will issue a “Notice to Proceed” to the Contractor. A Notice to
Proceed will include the following:
       • Contractor’s name and address
       • Contractor’s license number
       • Project name and address
       • Date Notice to Proceed is effective
       • Length of contract in calendar days
       • Dates of milestones and final completion
       • Signature by the District Representative




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REFERENCE MATERIALS

4.6.1 Letter of Intent to Award Contract – Actual Sample

4.6.2 District/Contractor Agreement – See Reference Number 4.1.8

4.6.3 District/Contractor Field Contract – See Reference Number 4.1.9

4.6.4 Notice to Proceed – Actual Sample

4.6.5 District Board Policy BP3312 – Contract – See Reference Number 4.1.3 (see pg. 9)

4.6.6 Public Contract Code 20110-20118.4 – See Reference Number 4.1.6




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4.7 Pre-Purchased Equipment & Materials


         ROLES & RESPONSIBILITIES
         DISTRICT:                              CONSULTANTS:                         CONTRACTOR: Submit Bid
         Director, School Construction:         Architect/Engineer: Evaluate         Proposal
         Combine Equipment & Material needs     schedule with respect to Equipment
         for all projects                       and Material requirements.
         District Project Manager: Evaluate     Recommend Pre-purchases.
         Pre-purchase Recommendation            Construction Manager: Evaluate
         Director of Purchasing: Evaluate and   Pre-purchase need with Architect
         approve pre-purchase of equipment      Inspector of Record: N/A
         and materials.
         Board of Education: Approve
         Formal Bid
         Fiscal Services: Formal Bid in
         Accordance with Department
         Procedures



Executive Summary

The District may decide to pre-purchase equipment and materials for a capital improvement project.
There are a number of factors affecting the decision to pre-purchase including scheduling, product
availability, product type and pricing.

Some equipment and materials have long lead times between the time orders are placed and delivery.
The available construction time may not be enough to allow the ordering, fabrication, and delivery of
the necessary equipment and materials. In this case, the District proceeds with the procurement
process while concurrently preparing bid documents, bidding and awarding a contract for the
installation.

It may be advantageous for the District to pre-purchase equipment if the same equipment is needed on
more than one project or if lead times are critical to the schedule. Better pricing may be available
because of volume and larger discounts. Additionally, standardization of equipment type or
manufacturer may be more easily achieved by utilizing the pre-purchase procedure.

Bidding policies and procedures of the District School Construction Finance Department will govern
with respect to the procurement of equipment and materials.




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Evaluate Need to Pre-purchase:
The Architect and CM evaluate the proposed project with respect to construction time available.

Recommendation to District:
CM and/or Architect makes recommendation to District on need to pre-purchase based on schedule
consideration, or economy of scales price savings.

Combine with Similar Projects:
The District and Program Manager evaluate other projects for similar equipment and materials for
consideration of volume purchase for multiple projects.

Solicit Formal Bid Proposals:
The CM requests quotes or advertises for formal bid proposals (if required, see bidding section) on the
equipment and materials.




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REFERENCE MATERIALS

4.7.1 Bid Advertisement for Equipment and Materials

4.7.2 Purchase Order – Blank Sample Revised 5/5/05

4.7.3 District Board Policy BP3312 – See Reference Number 4.1.3

4.7.4 Public Contract Code 22030-22045 – See Reference Number 4.1.7




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5.1 Pre-Construction Conference


         ROLES & RESPONSIBILITIES
         DISTRICT:                           CONSULTANTS:                        CONTRACTOR: Attend,
         Director, School Construction:      Architect/Engineer: Attend, Review Review & Comment on
         N/A                                 & Comment on Meeting Minutes        Meeting Minutes
         District Project Manager: Attend,   Construction Manager: Prepare
         Review & Comment on Meeting         Agenda, Conduct Pre-Construction
         Minutes                             Conference, Prepare Meeting Minutes
         Board of Education: N/A             Inspector of Record: Attend, Review
         Fiscal Services: N/A                & Comment on Meeting Minutes




Executive Summary

The Pre-Construction Conference is intended to introduce all project participants and their role on the
Project. It is essential that all key members of the construction team be represented at this meeting
including, but not limited to, the District, Architect/Engineer, Construction Manager (CM),
Contractor, Subcontractors and Utility Representatives. The Conference may reiterate items from the
Prebid Conference but will address specific solutions for general requirements noted in the Bid
Documents and clarify the conditions under which the Work will be performed. This meeting
provides a forum for discussing the coordination needed between participants to facilitate a successful
Project and shall be held as soon as possible after the Notice of Award.

The meeting is designed to benefit all concerned by recognizing the responsibilities for various tasks
before the Project begins. The benefits include:

    •   Recognition of potential delays and disagreements and explore ways to either eliminate or
        minimize the schedule impact and/or cost.
    •   Predisposition of responsibilities that, if left unassigned, could cause later disputes.
    •   Discussion of document management procedures and establish clear lines of communication to
        streamline the process and prevent any misunderstandings.

The CM will prepare a meeting agenda in advance and distribute to all prospective attendees. At the
conclusion of the meeting, discussion and agreements will be confirmed by the CM and distributed to
all attendees for review and comment.




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CM Prepares Pre-Construction Manual and Agenda:
CM prepares the Pre-Construction Manual and agenda for the Pre-Construction Conference Meeting.
The CM distributes the agenda to all prospective attendees including District Representatives,
Architect/Engineer, Contractor, Subcontractors, Inspection Agencies, Utility Company
Representatives, and other interfacing governmental agencies. Refer to the typical agenda in the
reference section.

The Pre-Construction Manual consists of Pre-Construction Agenda, Project Directory, Construction
Schedule, Contract Information, Project Coordination/Quality Control, General Discussion Items,
Reference Documents, and Forms.

Notification of Conference Date and Time:
CM sets the date and time for the Pre-Construction Conference. The Conference is scheduled as soon
as possible after Notice of Award has been issued.

CM Conducts Conference:
CM conducts the conference and takes the minutes of the conference. An attendance sign-in sheet is
circulated in order to distribute the conference minutes to all attendees. During the Conference
Meeting, the First Progress Meeting date and time is prescheduled (see Meeting Procedures- Progress
Meetings).

CM Distributes Conference Minutes:
CM prepares meeting minutes of discussion and agreements made at the meeting and distributes to all
attendees for review and comment.

CM Incorporates Comments and Issues Final Conference Minutes:
CM incorporates comments from attendees and distributes final copy to attendees




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                          CM Prepares Pre-Construction Conference
                                   Manual and Agenda




                          Notification of Conference Date and Time
                                   (After Notice of Award)




                                 CM Conducts Conference




                            CM Distributes Conference Minutes




                                CM Incorporates Comments
                                and Issues Final Conference
                                          Minutes




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REFERENCE MATERIALS

5.1.1 Pre-Construction Conference Agenda – Blank Sample




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5.2 Site Construction Meetings


         ROLES & RESPONSIBILITIES
         DISTRICT:                           CONSULTANTS:                        CONTRACTOR: Attend,
         Director, School Construction:      Architect/Engineer: Attend, Review Review & Comment on Meeting
         N/A                                 & Comment on Meeting Minutes        Minutes
         District Project Manager: Attend,   Construction Manager: Prepare
         Review & Comment on Meeting         Agenda, Conduct Meetings, Prepare
         Minutes                             Meeting Minutes
         Board of Education: N/A             Inspector of Record: Attend, Review
         Fiscal Services: N/A                & Comment on Meeting Minutes




Executive Summary

Meetings are an important component of communication on a construction project. Weekly progress
meetings are useful for exchanging ideas and solving problems, for recording the status of issues,
keeping members of the construction team accountable to the Project, and reviewing work progress.
Special meetings may be held for reviewing payment application; change order review and/or
negotiation; resolving issues affecting the project’s time, cost or quality; and coordinating the
installation of the Work.

Meeting notes/minutes are prepared and distributed for most meetings. If prepared properly and with
sufficient detail, they become an important part of the record and a useful tool in maintaining some
type of ‘reference manual’ on project related items. With this information recorded in the Prolog
database, information on a particular item can be retrieved through a word search of the database.
Generally, the Construction Manager (CM) will make arrangements for meetings, prepare agenda with
copies to participants, preside at meetings, record minutes, and distribute copies to Contractor,
Architect, District, participants and those affected by decisions made at the meeting. Meetings,
however, can be requested by any of the construction team members.




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CM Schedules Meetings:
Schedule participants at least one week prior to the intended meeting.
   • Agenda: Preparation is key to a good agenda, and a good agenda makes a good meeting. Make
      calls necessary to assemble a targeted agenda that organizes discussion items to produce an
      effective and efficient meeting.
   • Conducting Meetings: The CM shall perform the following minimum steps:
          Record attendance.
          Introduce all participants, describing their role at the meeting, responsibilities and limits. In
          subsequent meetings, introduce only the new participants.
          Describe of the purpose of the meeting, agenda and goals for this meeting.
          Record meeting events by a tracking number system.
          Summarize action items, responsibility and due dates of assignments.

CM Conducts and Records Minutes:
In recording meeting notes or minutes, items are grouped into various sections by the category of
information and then assigned a tracking number.
    • The RFI discussed in the 3rd meeting as item 5 is assigned a tracking number of E0305 as
        follows:
            Use the category label (A, B, C...) by what kind of information (Submittal, RFI...)
            Take the meeting minute number (i.e. 03)
            Append a unique sequential number (i.e. 05) for tracking.
    • Meeting Categories and Sections
            A. Project Records - review of previous notes or minutes, adjustments and corrections.
            B. Agenda - review and adjustment
            C. Submittals
            D. Requests for Information
            E. Request for Proposals & Change Order Requests
            F. Project schedule/status
            G. Other business Items.
    • Meeting Notes or Minutes, if properly assembled, can be an important tool in maintaining
        some type of ‘reference manual' on project-related items. For this reason, the date of
        correspondence relating to items is included as part of the Notes or Minutes, so if it is
        necessary to research back the correspondence files for backup documentation, time does not
        need to be spent rereading every piece of correspondence.
    • Items are not dropped from the Notes or Minutes without first noting its final resolution for
        future reference purposes. This is especially true of a long-term project of two or more years
        when the amount of generated paperwork is tremendous.
    • Include this paragraph with each publication of meeting minutes or progress notes: "The notes
        [minutes] shown here represent the essence of this meeting to our understanding and belief. If
        these notes are considered incomplete or inaccurate by any of the participants, please note the
        corrections to the CM by the next meeting."




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    •   CM shall prepare notes or minutes as soon as possible after the meeting and distribute within
        48 hours to all attendees. A copy shall always be sent to the Owner's Representative, even if
        not at the meeting.

Types of Meetings:
   1. Weekly Progress - Agenda items include General Information, RFI’s, Submittals, Schedule,
      Cost Proposals and Changes, Business Items (continuing and known issues). Prepare agendas
      for recurring Progress Meetings by following the notes from the previous meeting, include all
      known new items and attach current copies of schedules, logs and other pertinent exhibits.
      • Attendees shall include the Contractor PM and Superintendent, Owner, Construction
          Manager PM, Architect, Inspector of Record, Major Subcontractors as required by the
          Prime Contractor or CM.
      • During the meeting, agree upon action required for all items, who is responsible, and when
          will it be done.
      • Distribute progress-meeting notes within 48 hours to attendees and to any additional
          parties affected by the items discussed.

    2. Payment Application Review - Schedule this meeting for the date that the Application for
       Payment pencil draft is due from the Contractor. The purpose of the meeting is for the Project
       Manager and Contractor to:
       • Review all data concerning work completed, materials delivered and installed during the
          billing period. The Construction Manager PM shall develop and print an Earned Value
          Analysis from the cost-loaded progress schedule.
       • Discuss and agree on the amounts of the Application for Payment.
       • Adjourn the meeting with an action item for the Contractor to revise the Application in
          accordance with the agreements and submit for approval signatures. Project Manager
          retains on copy of the marked-up Application draft for verification at final submission.

    3. Change Order Request Review - Schedule this meeting after receipt and independent review of
       Change Order Requests. The purpose of the meeting is for the Project Manager and
       Contractor to:
       • Review all data concerning the basis and authority to perform the work, labor and
          materials involved and time or cost impact of each item and cumulative effects on the
          project schedule.
       • Discuss and agree on the time and cost amounts or agree upon a method of determining
          same.
       • Adjourn the meeting with the action item being either the Contractor revises his proposal
          or the Project Manager has agreed to incorporate into the next Change Order as agreed (as-
          is or as-marked).




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    4. Issue Resolution - This meeting is scheduled by the Project Manager as a working meeting of
       all parties who can help to resolve an issue affecting the Project’s time, cost or quality. The
       agenda shall include:
       • Introductions and roles in resolution
       • Recap of background and current situation from all parties
       • Options for resolution (brainstorming)
       • Evaluation of options (time, cost & quality)
       • Agreement on solution and outline of impacts
       • Assignment of action items for execution

    5. Pre-Installation Conference - The prime contractor schedules this meeting on a date
       sufficiently in advance of the start of work to allow for completion of pre-installation tasks.
       The agenda for the conference shall include the following:
       • Introductions and roles of each attendee. Attendees are listed in the Contract Documents
           but shall include at a minimum the Project Manager, Contractor Superintendent,
           Subcontractor crew foreman and the Inspector. The Architect rand District shall be invited
           but their attendance is optional. There are however, certain systems that do require District
           attendance based on standard practices i.e. Data Wiring pre-installation meetings are
           always attended by the phone and network divisions of the District’s Technology
           Department. The District’s Project Manager and the District’s Standards Manual should
           be consulted for further assistance in determining which meetings must be attended by
           District staff and which staff to invite.
       • Review of contract requirements by referring to the Specifications, drawings and details,
           addenda and change orders, shop drawings and other submittal information, and
           construction schedule.
       • Review of inspection and testing requirements.
       • Description of product or work to be performed including installation requirements and
           conditions required. Identification of problems or conflicts and potential resolution
           options.




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                                    CM Schedules Meeting




                          CM Conducts Meeting, Records Notes/Minutes




                          CM Sends Meeting Minutes to Participants to
                                          Review




                                 Incorporates Comments from
                                 Participants and Distributes to
                                          Participants




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REFERENCE MATERIALS

5.2.1 Agenda/Meeting Minutes – Actual Sample

5.2.2 Sign-In Attendance Sheet – Blank Sample




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5.3 Construction Site Safety


         ROLES & RESPONSIBILITIES
         DISTRICT:                             CONSULTANTS:                        CONTRACTOR: Initial,
         Director, School Construction: Stop   Architect/Engineer: Observe Site    Maintain, and Supervise all
         Work in Life Threatening Situation    Conditions                          Safety Programs
         District Project Manager: Observe     Construction Manager: Observe
         Site Conditions                       Site Conditions
         Board of Education: N/A               Inspector of Record: Observe Site
         Fiscal Services: N/A                  Conditions




Executive Summary

The Contractor is solely responsible for initiating, maintaining and supervising all safety programs
required by law in connection with the performance of a Construction Contract. The District,
Construction Manager (CM) and Architect are not responsible for the implementation of the on-site
safety program of any Contractor. The District site representative shall make each Contactor aware
that the Contractor has primary and complete responsibility for safety on the jobsite and compliance
with OSHA, State and other regulations concerning employee safety. OSHA representatives are
available for complimentary site inspections to review and comment on safety measures in place.


In the event of a gross safety violation, for example life threatening, the District has the right to stop
the Work until the violation is corrected by the Contractor. OSHA may be consulted for an onsite
inspection of the unsafe conditions




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Contractor Responsible for Safety Programs:
The Contractor shall be solely responsible for initiating maintaining and supervising all safety
programs required by applicable law in connection with the performance of the Contract. The
Contractor’s safety program shall include all actions and programs necessary for compliance with
California or federally statutorily mandated workplace safety programs. The Contractor shall require
that its Subcontractors similarly initiate and maintain all appropriate or required safety programs.

Contractor Responsible for Safety Precautions:
The Contractor shall be solely responsible for initiating and maintaining reasonable precautions for
safety of, and shall provide reasonable protection to prevent damage, injury or loss to:
        • Employees on the Work and other persons who may be affected thereby;
        • The Work and materials and equipment to be incorporated therein, whether in storage on
            or off the Site, under care, custody or control of the Contractor or the Contractor’s
            Subcontractors or Sub-subcontractors;
        • Other property or items at the site of the Work, or adjacent thereto, such as trees, shrubs,
            lawns, walks, pavements, roadways, structures and utilities not designated for removal,
            relocation or replacement in the course of construction.

Contractor Provides Safety Signs and Barricades:
The Contractor shall provide, erect and maintain as required by existing conditions, altered conditions
throughout the course of the Work, and conditions resulting from performance of the Contract, every
reasonable safeguards for safety and protection of property and persons, including, without limitation,
posting danger signs and other warnings against hazards, promulgating safety regulations and
notifying District and users of adjacent sites and utilities.

Contractor Issues Safety Notices:
The Contactor shall give or post all notices required by applicable law and comply with applicable
laws, ordinances, rules, regulations and lawful orders of public authorities bearing on safety of
persons or property or their protection from damage, injury or loss.

Contractor Designates Safety Coordinator:
The Contractor shall designate a responsible member of the Contractor’s organization at the Site
whose duty shall be the prevention of accidents and the implementation and maintenance of safety
precautions and programs. This person shall be the Contractor’s superintendent unless otherwise
designated in writing to the District.




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                           Contractor Responsible for Safety Programs




                          Contractor Responsible for Safety Precautions




                              Contractor provides Safety Signs and
                                           Barricades




                                Contractor Issues Safety Notices




                                  Contractor Designates Safety
                                          Coordinator




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5.4 Construction Phase Record Keeping


         ROLES & RESPONSIBILITIES
         DISTRICT:                             CONSULTANTS:                           CONTRACTOR: Active
         Director, School Construction:        Architect/Engineer: Active             participant in maintaining and
         View reports on database              participant in reviewing documents     reviewing records
         District Project Manager: View        Construction Manager: Active
         reports on database                   participant in reviewing documents.
         Board of Education: View reports on   Maintain hard copy of the construction
         database                              records
         Fiscal Services: View reports on      Inspector of Record: Active
         database                              participant in reviewing documents



Executive Summary

A clear and concise information system is key to managing construction activities, facilitating the
communications flow and providing a permanent record of the Project. Good record keeping is not
only useful during the construction process and for record purposes, but well detailed and organized
documentation is the key to defending against unexpected or unwarranted claims on the Project. As
often is the case on a project, claims do not appear until sometime after the circumstances giving rise
to the claim, thus making it necessary to go back to the records and reconstruct what happened.

Prolog by Meridian Project Systems is computer based project management software designed to
handle the construction phase record keeping. This software can be used as a single desktop
application.

Construction phase record keeping on projects consists of general correspondence, daily reports,
monthly status reports, telephone memorandums, materials testing and special inspection reports,
submittals, request for information, change orders and the associated fieldwork directives, potential
change orders, request for proposals, and bulletins.




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CM Establish Project Database and Hard Copy Filing System

CM Provides Access to District, Architect, and Contractor

CM, District, Architect, and Contractor Collaborate on the Database as Needed

    1. Prepare daily and monthly reports required to document the project activity and status.

    2. Prepare meeting agendas and follow-up with meeting minutes.

    3. Collaborate with District Representative and Contractor Superintendent in the preparation of
       reports on job problems and solutions.

    4. Establish a project directory including Owner, Program Manager, Architect, CM, Consultants,
       Principal, Teachers, Contractor and Subcontractors for document distribution.

    5. Receive, review and distribution of information required for construction and maintain RFI
       Log.

    6. Receive, check and obtain approval of submittals and maintain log.

    7. Maintain change order documentation.

    8. Take photographs on a regular basis as work progresses and on a monthly basis, concurrently
       with the pay application process, to show project status

    Turn over project records during project closeout.




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                               Construction Manager Establishes Project
                                Database and Hard Copy Filing System




                          Construction Manager Provides Access to Contractor,
                                Architect, and District for Collaboration




                                 CM, District, Architect and Contractor
                                  Collaborate on Database as Needed




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REFERENCE MATERIALS

5.4.1 Daily Log/Construction Report – Blank Sample

5.4.2 Project Management Status Report – Actual Sample




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5.5 Record of “As-Built” Drawings


         ROLES & RESPONSIBILITIES
         DISTRICT:                            CONSULTANTS:                      CONTRACTOR: Record
         Director, School Construction:       Architect/Engineer: Field Check   As-Built Information
         N/A                                  Periodically, Approve Record
         District Project Manager: File       Drawings
         Record Set                           Construction Manager: Monitor
         Director, Maintenance & Operation:   Process
         Receive Record Drawings              Inspector of Record: Check
         Property Manager: Receive Record     Recorded Information on Monthly
         Drawings                             Basis
         Board of Education: N/A
         Fiscal Services: N/A


Executive Summary

During the course of construction, changes caused by change orders, product substitutions and field
conditions (unknowns) must be recorded on the Contract Drawings and in the Specifications. Existing
improvements must be noted if not shown, or are shown incorrectly, on the Contract Drawings. These
drawings with various recordings noted are referred to as “As-Built” Drawings.

It is important the as-built information is recorded in the Contract Documents for future reference by
District personnel. Accurate record information is useful for maintenance as well as for future
modifications to the facility.

The as-built information shall be recorded by the Contractor as the Work progresses. A set of
drawings and specifications are set aside at the jobsite for the purpose and checked monthly by the
Architect and IOR as part of the monthly Pay Application process.

At the closeout of the Project, the annotated Drawings are to be delivered to the Architect and the
information incorporated into the electronic files. The Architect will produce “Record Drawings” for
the District’s use and records. It is important that these “As-Built” drawings are completed &
transmitted to the District at the earliest opportunity. Those records will also be distributed
immediately to the Maintenance Department and Property Manager for their use.




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Contractor Creates Set of Record Documents:
Each Prime Contractor(s) set’s aside a set of the Contract Drawings and Specifications with all
addendums incorporated into the Documents. These documents are designated for “Record Drawing”
purposes only, and are intended for their use/recording only.

Contractor Enters “As-Built” Information:
Contractor(s) enter “as-built” information including changes, differing conditions from those shown
on the drawings, existing and new underground utilities, location of interior concealed utilities, and
dimensional changes or discrepancies. It is imperative that each responsible contractor make such
recordings daily so that information is not lost or misrepresented due to time passing and/or items
concealed by other work.

Monthly Review of Record Drawings:
A monthly review by the Architect and IOR of the Contractor’s Record Documents is part of the Pay
Application process. It is during this review that the accuracy and consistency of these recordings are
up to date.

Contractor Submits Record Drawings:
At the end of the Project, Contractor transmits Record Drawings and Specifications to the CM for
review.

CM Transmits Record Drawings:
CM transmits Record Documents to the Architect for review.

Architect Incorporates As-Built Information:
Architect incorporates annotated information into the electronic files and produces a set of Record
Drawings for the District’s use.

Architect Submits Hard Copies:
Immediately upon completion of the As-Builts, the Architect prints a minimum of 3 copies of the As-
Built drawings and transmits to the CM. The CM transmits 1 copy to SJUSD Maintenance*, Attn:
Director of Maintenance, 1 copy to SJUSD School Construction and retains 1 copy for project
closeout document file.

* For Network wiring, 1 copy should be transmitted to SJUSD Technology Department, Attn:
Director of Technology in lieu of Maintenance.




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                             Contractor Creates Set of Record
                                       Documents




                          Contractor Enters "As-Built" Information




           IOR Monthly              Monthly Review of                Architect Monthly
             Reviews                Record Drawings                       Review




                           Contractor Submits Record Drawings




                                   CM Transmits Record
                                       Drawings




                               Architect Enters Information
                                  into Electronic Files




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5.6 Submittal and Submittals


         ROLES & RESPONSIBILITIES
                                            CONSULTANTS:                        CONTRACTOR:
         DISTRICT:                          Architect/Engineer: Review for      Prepare/Review Submittals per
         Director, School Construction:     Compliance with Contract Documents Contract Documents
         N/A                                Construction Manager: Monitor
         District Project Manager: Review   Process
         Response                           Inspector of Record: Inspect
         Board of Education: N/A            Contractor work for Compliance with
         Fiscal Services: N/A               Reviewed Submittal


Executive Summary

The Contractor may propose to furnish a substitution for a particular item specified in the Contract
Documents, provided the Contractor provides all submittal and cost information relating to the
substitution within five (5) days after the Notice of Intent to Award. The Contractor must clearly
indicate how a substitution affects schedule and any associated work. Proposed substitutions need to
be reviewed with the District Project Manager to assure compliance with District standards. The
Architect’s decision is final regarding the approval or disapproval of the Contractor’s proposed
substitutions.

Shop drawings, product data, samples, mock-ups and similar submittals (collectively “Submittals”)
are for the purpose of demonstrating the proposed products and the manner in which the Contractor
proposes to provide or incorporate such items into the Work.

The Contractor is responsible for collecting all submittal information from Vendors, Material
Suppliers and Subcontractors, reviewing the information for conformance to the Contract Documents
and submitting to the Construction Manager (CM). The CM reviews the submitted information for
completeness, logs into the database, and forwards to the Architect for review. The submittal process
allows the Architect/Engineer to review the materials and equipment for conformance with
requirements expressed in the Contract Documents and District Standards.

An acceptable review by the Architect allows the Contractor to proceed with the Work, however for
some items, the submittal information may be returned with a “Revise and Resubmit”. In this case,
the Contractor is required to revise, add to, or correct the submitted information and resubmit for the
Architect’s review. Work is not to proceed until the required submittal information has received an
acceptable review.

Submittals are useful for the Inspector of Record to compare material, color, etc., with the actual
fieldwork, to ensure approved materials are being installed by the Contractor. Submittal files are an
important part of the Project documentation and can be used by the CM and/or District for future
reference shall problems arise.


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Contractor Submits Substitution Request:
The Contractor submits a Request for Substitution within five (5) days after the Notice of Intent to
Award accompanied by all submittal and cost information relating to the substitution as well as the
specified product. Submittals for substitution requests will be reviewed by the Architect to assure
compliance to contract documents and the intention of the design specifications and drawings. All
substitutions will be reviewed with the District PM prior to approval. Neither the Contract Time nor
the Contract Price shall be increased on account of any substitution or alternative proposed by the
Contractor. However, if approval of any substitution or alternative is less expensive than the specified
item, the Contract Price will be reduced by the actual cost savings. The Contractor will be solely
responsible for all costs and fees of the Architect and Consultants to review any proposed substitution
or alternative.

Contractor Submits Submittal Schedule:
The Contractor submits a Schedule of Submittals within five (5) working days after the Notice to
Proceed.

Contractor Reviews and Transmits Submittals and Re-submittals to CM:
The Contractor shall transmit submittals (shop drawings, product data, samples) to CM using CM
approved form. The number of copies to be submitted will be specified in the Contract Documents.
       • The CM will sequentially number the submittals. Re-submittals shall have original
          number with an alphabetic suffix. Supplemental or additional information submitted after
          the original submittal shall be assigned a separate number.
       • The submittal shall identify Project, Contractor, Subcontractor or supplier; name and
          telephone number of individual to contact for additional information; pertinent Drawing
          sheet and detail number(s), specification Section number, and date of submission.
       • The Contractor will apply his review stamp, stating that the submittal has been reviewed
          by the Contractor for completeness and certifying that the products, field dimensions,
          adjacent construction work, and coordination of information, is in accordance with the
          requirements of the work and Contract Documents.
       • The Contractor will identify variations from the Contract documents and state whether the
          submitted product is the specified product or a previously accepted substitution. Any shop
          drawings and product data indicating substitutions, which have not been previously
          accepted will be rejected and returned without review.
       • The Contractor will submit product data sheets, which clearly designate which of the items
          on the sheet are being provided. Cross out all other items to clarify the submittal.
       • The Contractor will submit color charts in the proper quantities of original color materials;
          photocopies are not acceptable.
       • The Contractor will coordinate with public agencies involved and secure necessary
          approvals then signify that approvals have been secured.
       • The Contractor will submit product submittals that are required by the individual sections
          of the specifications. Submittals not required by the specifications, but made at the option
          of the Contractor, will be returned without review unless accompanied by written, valid
          justification.


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        •   The Contractor will ensure that the submittals are complete according to the specification
            sections. Include shop drawings, product data, samples, manufacturer’s instructions and
            manufacturer’s certificates as required in individual specification sections. Partial
            submittals will be reflected as not complying with Contract Documents. Manufacturer’s
            certificates, warranties or test results can be submitted at the time the work is completed.
        •   The Contractor will provide space for Contractor and Architect / Engineer review stamps
            and Division of State Architect review if required (See Note).
        •   Minimum sheet size 8-1/2” x 11”, maximum sheet size 24” x 36”. All information must be
            clear and legible.

CM Transmits Submittals to Architect:
The CM reviews the submittal for compliance with the above criteria, logs into the database and
begins tracking, and forwards to the Architect for review.

Architect Reviews Submittal:
Architect will review the submittals, mark the submittals with required revisions, if any, and stamp the
submittals. Submittals are acceptable if marked “No Exceptions Taken” or “Make Corrections
Noted”. Submittals marked “Revise and Resubmit”, “Rejected”, or “Submit Specified Item” are not
acceptable and must be re-submitted. The reviewed submittals will be returned to the CM for
distribution.

Deferred Approvals to DSA:
Submittals designated in the Contract Documents as “Deferred Approval” must follow the same
procedure, however, after receiving an acceptable review by the Architect, the “Deferred Approval”
submittals must be forwarded to the Division of State Architect for their review and approval prior to
proceeding with that portion of the Work.

CM Review:
CM verifies that the Architect has selected materials per District Standards.

CM Distributes Reviewed Submittal:
CM will note the status in the database. If the review is acceptable, copies will be distributed to the
IOR and the remaining copies to the Contractor. The CM will retain one (1) copy for the District’s
records.

If submittals are marked “Revise and Resubmit”, “Rejected” or “Submit Specified Item” the CM will
retain one copy and the remaining copies will be returned to the Contractor to make necessary
revisions. The Contractor will identify revisions with a ‘cloud’ and resubmit in the same manner and
number as the original submittal. The CM will check the re-submittal for completeness, log in the
database, and send to the Architect. The Architect will review the re-submittal and take action, as
appropriate, in the same manner as for the original submittal. The revise and resubmit process will
continue until an acceptable review is completed and the Architect returns the re-submittal marked
“No Exception Taken”, or “Make Corrections Noted”.


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Work Proceeds:
Contractor will proceed with the Work in accordance with the approved submittals.

Weekly Submittal Log:
The CM prints a submittal log from the Prolog database and the log is reviewed at weekly project
meetings (see Meetings Procedure).




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                          Contractor Submits Substitution Request


                          Contractor Submits Submittal Schedule



                              Contractor Reviews and Transmits
                                 Submittal and Resubmittals



                                CM Transmits Submittal to
                                       Architect

                                                                     Deferred
                                    Architect Reviews               Approvals to
                                        Submittal                      DSA


                                       CM Review



                                     CM Distributes                   Weekly
                                   Reviewed Submittal                Submittal
                                                                       Log


                          REJECTED
                                          Status


                                               ACCEPTED

                                      Work Proceeds




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REFERENCE MATERIALS

5.6.1 Submittal Transmittal - Blank Sample

5.6.2 Submittal Substitution Request- Blank Sample

5.6.3 Prolog Submittal Log – Blank Sample




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5.7 Request for Information


         ROLES & RESPONSIBILITIES
         DISTRICT:                          CONSULTANTS:                        CONTRACTOR: Comply with
         Director, School Construction:     Architect/Engineer: Prepare         Response
         N/A                                Response
         District Project Manager: Review   Construction Manager: Monitor
         Response                           Process
         Board of Education: N/A            Inspector of Record: Monitor
         Fiscal Services: N/A               Contractor Compliance with Response




Executive Summary

The Request For Information (RFI) process is a means for obtaining clarification of the Contract
Documents. As Work progresses, invariably questions arise about the requirements of the Contract
Documents. The RFI process provides a means for not only answering these questions, but formally
documenting the responses and keeping all parties informed. During the Construction Phase, verbal
responses may be used to expedite the Work in the field but must be followed up in writing.

The Construction Manager (CM) is responsible for the RFI process and monitors the progress
regularly. An RFI log is maintained in the construction database and is reviewed during construction
at the weekly project progress meetings.




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RFI Initiated:
Authored by the Contractor or CM to obtain answers for questions and clarifications pertaining to
contract drawings and specifications. RFI’s are sequentially numbered with one issue addressed per
RFI. The CM tracks the RFI in the construction database system and verifies the Architect responds
within a reasonable time, not to exceed ten (10) working days.

CM Reviews RFI:
CM reviews RFI for completeness and forwards the RFI to Architect/Engineer and/or District when it
pertains to different Departments of the District.

Respondent Reviews RFI:
Architect/Engineer and/or District reviews, responds, and forwards the response to the CM.

CM Reviews Response:
CM reviews the response with the author for completeness.
      a. If not adequate, author clarifies what information is needed and the CM returns the RFI
         under a subsequent suffix number (1A or 1.1) to the Architect for re-evaluation.
      b. If response is adequate, CM will enter response into the database and forward response to
         the Contractor(s) and District.

Cost or Time Impact:
If the response has an impact on project schedule or budget, the Contractor is required to notify the
CM within five (5) days per the District’s General Conditions, and prior to taking any action. Within
ten (10) days, the Contractor is required to furnish the CM written details concerning cost and time
impacts of the RFI response. (See Change Order Procedures)

Contractor Posts RFI on Record Documents:
The Contractor posts the RFI response in the Record As-Built Drawings.




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                                      RFI Initiated



                                   CM Reviews RFI



                                Respondent Reviews RFI
                                                               Response not
                                                              Adequate. More
                                 CM Reviews Response        Information by RFI
                                                                  Author


                                  Adequate Response?         NO


                                                  YES
                                Response to Contractor(s)


          Contractor      YES
                                  Cost or Time Impacts
          Notify CM


                                                  NO

                                Contractor Posts RFI on
           Follow
        Change Order              Record Documents
         Procedure




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REFERENCE MATERIALS

5.7.1 Request For Information – Blank Form

5.7.2 Request For Information – Sample Log




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5.8 Pay Application


         ROLES & RESPONSIBILITIES
         DISTRICT:                          CONSULTANTS:                     CONTRACTOR: Provide Pay
         Director, School Construction:     Architect/Engineer: Review and   Application with Backup
         Review                             Recommend By Signing             documentation
         District Project Manager: Review   Construction Manager: Review and
         and Recommend By Signing           Recommend By Signing
         Board of Education: None           Inspector of Record: Review and
         Fiscal Services: Process Payment   Recommend By Signing




Executive Summary

The Pay Application process is designed to provide means by which Contractors can be paid monthly
for completed work. A schedule of values, consisting of various items of Work, forms the basis for
determining monthly payment applications. The percent complete for each item is used to determine
the value and thus the amount due the Contractor. The change in the sum total of all items for the
month, plus any approved change order amounts (See Change Order Procedures), represent the
payment for the month. An amount, usually ten percent of the monthly payment, is withheld from
each payment and held in retention until the Project is complete. The Contractor submits a final pay
application for the release of retention (See Project Closeout Final Retention Payment Procedure).
The Pay Application process shall facilitate timely payments to the Contractor and provide the District
with a good estimate of how far the Project has moved toward completion.




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Contractor Submits “Pencil Draft”:
The “pencil draft” pay application shows the percentage of work completed to date and is considered a
rough draft for review purposes. The Contractor submits a “pencil draft” copy of the pay application
to the Construction Manager (CM) one week in advance of the date established by the District for
final monthly payment application. District establishes day of month when pay applications are due,
which is stated in the General Conditions of the Specifications.

CM review with Inspector Of Record (IOR)/Architect:
The CM reviews percentages submitted by the Contractor with IOR and Architect. IOR verifies that
work is in place, materials are stored on site, and ensures that the as-builts (Contract Documents) are
updated. The percentages reviewed and accepted by the IOR and Architect will be included in the pay
application.

CM Meets with Contractor:
The CM meets with the Contractor to finalize the agreed on percentages for all Schedule of Value
items and any approved change orders processed during the month.

Contractor Submits Revised Pay Application:
The Contractor submits a revised pay application with an updated Construction Schedule (see
Schedule Management), progress as-built drawings (see Record of As-Built Drawings), a Conditional
Progress Lien Release, and Certified Payroll if applicable. CM verifies that the pay application
includes all agreed-upon revisions and checks that the pay application has been properly filled out. It
is considered a final monthly payment application only if quantities and amounts are accurate and all
accompanying documents are accurately submitted.

CM Obtains Signatures:
The CM obtains Architect and IOR signatures. The CM holds the Pay Application until the CM
verifies that the Change Orders listed on the Pay Application have been approved. The CM forwards
the Pay Application to the District’s Project Manager for approval within seven (7) days, otherwise
return to the Contractor with written documentation stating the reason for the return.

Signed Pay Application to District:
The CM forwards signed Pay Application to the District Project Manager for processing.

Fiscal Department Process:
The District Project Manager reviews the pay application and verifies that the items/quantities that are
being billed for are accurate. The Project Manager then forwards the approved Pay Application to the
School Construction Administrator of Fiscal Services for verification that the Change Orders have
been approved, that there are no outstanding Stop Notices and then processes the application for
payment to the contractor.

If there is a Stop Notice, the School Construction Administrator of Fiscal Services will hold 125% of
the value of the Stop Notice. The money for the Stop Notice can be released to the Contractor if there


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is a Stop Notice release. The Contractor bonds around the Stop Notice or the Contractor and
Subcontractor agree to a joint check (See Stop Notice Procedures).

Contractor Receives Payment:
District will issue payment to the Contractor in accordance with established School Construction
Fiscal Services procedures. Contractor shall receive payment within 30 days of submission of a
complete pay application.




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                                Contractor Submits "Pencil
                                          Draft"




                            CM Review with IOR and Architect




    Certified Payroll                 CM Meet with
                                       Contractor
                                                                        Updated
  List of Approved                                                      Schedule
  Changes, PCO's,               Contractor Submits Revised
    and Potential                    Pay Application
       Claims

                                                                      Updated As-Built
                                 CM Obtains Signatures                   Drawings
 Conditional Lien Release


                                Signed Pay Application to
                                        District


                                School Construction Finance Process



                              Contractor Receives Payment




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REFERENCE MATERIALS

5.8.1 Pay Application Summary Sheet – Blank Sample

5.8.2 Schedule of Values – Blank Sample

5.8.3 District Board Policy BP3314 – Payments for Goods and Services

5.8.4 District Board Policy AR3314 – Payments for Goods and Services

5.8.5 School Construction Finance Department Payment Process Procedures –
..................................................................................................................... See Reference Number 4.1.1




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5.9 Change Order


         ROLES & RESPONSIBILITIES
         DISTRICT:                             CONSULTANTS:                         CONTRACTOR: Provide Cost
         Director, School Construction:        Program Manager: N/A                 & Perform Work
         Recommend Approval                    Architect/Engineer: Design &
         District Project Manager: Verify      Validation
         Cost & Completion of Scope            Construction Manager: Manage
         Director of Purchasing and Contract   Process & Validate Cost/Scope
         Management: Recommend Approval        Inspector of Record: Inspection of
         Board of Education: Approval          Work
         Fiscal Services: Verify Approval,
         Change PO, & Process Payment


Executive Summary

There are a number of scenarios in which changes to the Contract can occur. Contract changes
usually cost money and impact the construction schedule. Both time and money must be considered
and managed by the Construction Manager (CM) when potential contract changes occur. Potential
changes may be initiated by the District, the Architect, the CM, or the Contractor, through the RFI
process (See Requests for Information Procedures), an Architect’s Bulletin, existing Field Conditions
or increased scope of work.

When a potential change has been identified, the CM in consultation with the District’s Project
Manager will decide if time is critical and evaluate schedule impacts. If the schedule allows at least
two weeks before delays will be incurred, then the CM will issue a proposal request to the Contractor
asking for a cost estimate in time and money for the changed work. Upon receipt of the Contractor’s
cost proposal, the CM will forward to the District’s Executive Committee or Project Manager with
recommendations and await the District’s decision on proceeding with the changed work.

If time is critical and has a significant impact on project cost or schedule, then with concurrence of the
District’s Project Manager, the CM will issue a Field Work Directive (FWD) to the Contractor and
direct the Contractor to proceed on a time and material (T & M) basis up to a maximum “Not To
Exceed” cost.

Potential Change Orders (PCO’s) whether completed on a T & M basis or done on an approved lump
sum basis, will be combined on a regular basis into a formal change order. The change order with all
backup documentation will be prepared by the Architect and submitted to the District’s Director of
School Construction for review and approval.

The CM and or the District’s Project Manager shall review the following actions to avoid the potential
risks associated with change orders:
        •



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        •   1. Change Order Log identifies the Change Order number, status, dates, cause, responsible party
            and cost allocation
        • 2. Proposed change order work is necessary to this project
        • 3. Change order costs are compliant with contract documents, appropriate and adequately
            supported
        • 4. Change order is not redundant with contract or previously approved change orders
        • 5. Relevant credits are included
        • 6. Change Order impact on project schedule has been considered and related impacts have been
            addressed.
        • 7. If Board of Education approval needed, agenda item created.
        This process is in checklist form on Reference Document 5.9.9.




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Below is a summary of the work-flow for change order review, approval and performance.

Change Identified:
A change to the contract can be initiated by the District’s Project Manager, Contractor, Architect, or
CM. These changes may begin from a Request for Information (see RFI Procedure), Architects
Bulletin, or a Proposal Request sent from the CM on behalf of the District. All proposed change
orders (PCO’s) are logged in the construction database and tracked by the CM. The CM will evaluate
the cause of the change order and determine whether the District is responsible for the change. If the
CM determines the Contractor is responsible for the change, the RFI and/or PCO will be returned to
the requestor. If the CM determines the Architect is responsible for the error and/or omissions, the
CM will evaluate the direction to proceed with the District’s Department Manager.

Architect Clarification:
For changes determined to be legitimate, the Architect will issue written direction to the CM relating
to a change by issuing a Bulletin or responding to an RFI.

CM Obtains District Approval and Issues Direction:
The CM will review the Architect’s clarification, log in the construction database and forward to the
Contractor. If the Contractor determines a change exists, he is required by Contract to notify the CM
within five (5) days and prior to starting the changed work. If Contractor notifies CM of extra cost,
CM consults with the District’s Project Manager to decide if Contractor is sent a Field Work Directive
(FWD) or a Request for Proposal (RFP). Contractor splitting of quotes/proposals or any party to
manipulate or avoid the approval limits is prohibited. The CM notifies Executive Committee (See
General Meetings Procedures for Executive Committee Meetings) at regular weekly meeting for
approval and budget source. The limits of approval for PCO’s for work to start are as follows:
                • District Project Manager                   $0 - $15,000
                • District Department Manager                $15,001 - $50,000
                • Director of School Construction            $50,001 - $100,000
                • Chief Business Officer                     $100,001 - $125,000
                • Board of Education & Formal Bid            Greater than $125,001

For every FWD, lump sum is an agreed upon amount whereas the T&M procedure is listed below.

        Time and Material (T&M) Procedure:
           a. CM estimates T&M changes and issues a FWD with a “Not To Exceed” cost to the
              Contractor.
           b. Contractor is to inform CM when T&M work is being performed.
           c. CM or Inspector of Record (IOR) verifies, periodically throughout the day, how many
              men are working, the amount of materials being used, and equipment being utilized.
           d. Contractor provides daily records of time, material and equipment to the CM or IOR
              for signature at the end of each day.
           e. CM monitors T&M work on a regular basis to keep control of costs.



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Contractor Action:
The Contractor will proceed with the work on a time and material basis or issue a price to do the
work.

Potential Change Order Review:
The CM does an analysis of the cost and issues a recommendation for the District Project Manager’s
review. This analysis shall conform to the Change Order Review Checklist (See Reference for
Change Order Review Checklist). Approval/ratification for all PCO’s is done at the Executive
Committee (EC) Meeting. Contractor, Architect, CM and SJUSD agree upon pricing for changes.
The CM ensures appropriate approvals are in place, then issues direction to Contractor to proceed with
work. CM updates EC with cost changes.

Contractor Completes the Work:
The contractor completes all work associated with the direction as outlined in the FWD. The FWD
will state to proceed on a Lump Sum or T&M Basis.

Architect Produces Change Order:
The Architect assembles negotiated PCO’s into a formal Change Order and attaches the backup
documentation. A Change Order may consist of multiple PCO’s.

CM Distributes Change Order and Obtains District Signatures:
The CM facilitates the signing of the Change Order. Signatures by the Contractor, CM, Architect, and
District are required for payment.

District Staff Approval:
For Change Orders whose cumulative total is less than $100,000 or 8% of the original value of the
contract (whichever is lower), the Director, School Construction signs the Change Order for approval
for billing. The Change Order is placed on the Board of Education agenda for ratification (See
School Construction Finance Procedure Manual - Items for Board Approval Procedures). For Change
Orders whose cumulative total exceeds $100,000* or 8% (minimum of $15,000) of the original
contract value (whichever is lower), a Board Agenda item is developed for the Board of Education’s
formal consideration. As properly approved by the Board, these Change Orders are then signed by the
Director of Purchasing and Contract Management for approval for billing. No single Change Order
may exceed 10% or $15,000 (whichever is higher) of the original contract amount (Public Contract
Code Section 20118.4)

*See PCO Limits

Contractor Bills for Work:
The Contractor will bill for the work after the District has approved the Change Order and as the
Work is completed.

Board of Education Approval:


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The proposed change is brought before the Board of Education (See Board of Education Approval
Procedures) for either ratification or formal approval. Where possible, the Change Order is placed on
the Board of Education agenda for ratification (See School Construction Finance Procedure Manual -
Change Order Procedures). This approval may also occur by emergency session or polling Board
Members for approval of urgent significant changes.

Architect Gains Approval from DSA:
The Architect submits all of the information required to gain approval by the Department of the State
Architect (See Agency Review and Approval).

Fiscal Payment of Change Orders:
The School Construction Finance verifies that the Change Orders have been appropriately approved
by the District prior to submitting to District’s Project Manager for approval. (See School
Construction Finance Procedures Manual - Change Order Procedures and Pay Application Procedure).




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                          Change Identified



                          Architect/Engineer
                             Clarification


                           CM Obtains District
                            Approval & Issues
                               Direction
       Potential
     Change Order                                    Construction
        Review                                     Manager/Architect
                                                 Produce Change Order
                             Contractor
                              Action

                                                 Construction Manager
                                                                                    Architect Gains
                                                  Distributes Change                Department of
                             Contractor                                             State Architect
                                                  Order and Obtains
                           Completes Work                                              Approval
                                                  District Signatures




                               Contractor
                                Bills for                               Board of
                                 Work                                   Education
                                                                        Approval
                                                   Fiscal Services
                                                     Processing




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REFERENCE MATERIALS

5.9.1 Request for Information - See Reference Number 5.7.1

5.9.2 Architects Bulletin - Blank Sample

5.9.3 Request for Proposal - Blank Sample Revised 7/29/05

5.9.4 Field Work Directive - Blank Sample

5.9.5 Time and Material Work Sheet – Blank Sample

5.9.6 Potential Change Order - Tracking Information used by the CM – Blank Sample

5.9.7 Potential Change Order Tracking Log - Blank Log used by the CM

5.9.8 Change Order Form - Blank Change Order form used by the Architect – Revised: 5/12/05

5.9.9 Change Order Review Checklist – Page 157

5.9.10 District Board Policy BP3312.3 – Change Orders

5.9.11 District Board Policy AR3312.3 – Change Orders

5.9.12 School Construction Finance Department Change Order Procedures – See Reference Number
4.1.1

5.9.13 School Construction Finance Department Items for Board Approval – See Reference Number
4.1.1

5.9.14 Public Contract Code 20110-20118.4 – See Reference Number 4.1.6




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5.9.9 Change Order Review Checklist

Below is a summary of key risk areas requiring review by the CM prior to approval of change orders.

    1. Ensure change order log identifies the change order number, status, dates, cause, amounts, cost
       code and other relevant factors


    2. Proposed work is not necessary to the project and/or outside the project work scope and budget

    3. Non-compliant, excessive and/or inadequately supported change order cost - see factors to
       consider in reviewing cost plus contract payment applications

    4. Inappropriate fee calculation (exceeds contract etc.)

    5. Does not provide allocable credit and/or consider work already covered by contract




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5.10 Project Cost Management


         ROLES & RESPONSIBILITIES
         DISTRICT:                            CONSULTANTS:                           CONTRACTOR: Provide
         Director, School Construction:       Program Manager: Coordinate and Monthly Cashflow
         Provide Budget Information           review cost control report prepared by
         District Project Manager: Review     the CM
         Purchasing and Contract              Architect/Engineer: Review
         Management: Review                   Construction Manager: Prepare
         Board of Education: Review           Monthly Cost Control Report
         Fiscal Services: Track project       Inspector of Record: Review
         costs, budget control and cashflow
         forecast
Executive Summary

The Construction Manager (CM) updates and issues Cost Control Reports on a regular basis in the
Milestone or Monthly Reports. Cost Control Reports identify deviations between original projections
and actual costs. Potential deviations shall be discussed with the District, CM and Architect early in
order to develop cost containment and recovery scenarios.

The major cause for deviations in budget versus actual costs are the changes in Work that invariably
arise in the course of the Work. These changes can result from changed site conditions, discrepancies
in Contract Documents and changes in the scope of the Work. Refer to “Change Orders” for
procedures in handling changes to the Contract




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Contractor Provides Monthly Cashflow Projections:
The Contractor is required by Contract to notify the Owner within 5 days and provide a written
statement of cost and schedule impacts for any direction or order that the Contractor believes affects
Contract Price or Contract Time. A copy will be forwarded to School Construction Finance – Fiscal
Services for cashflow forecast.

These projections will be revised as changes and pending changes occur so they reflect the current
cash flow projections. Special note will be made when the aggregate amount in change orders reaches
the eight (8) percent level.

CM Provides Cost Control Report:
CM updates and issues Cost Control Report on a regular basis as part of the monthly reporting. The
Cost Control Report identifies deviations between original projections and actual costs. The CM also
requires to reconcile the actual costs with School Construction Finance – Fiscal Services on a periodic
basis.

District Adjusts Budget:
The District’s Director of School Construction makes adjustments in the Project Budget as needed.




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                              Contractor Provides Monthly
                                 Cash Flow Projection




                   Contract        CM Provides Cost         Proposed
                   Changes          Control Report          Changes




                                 District Adjusts Budget




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REFERENCE MATERIALS

5.10.1 Cost Control Report – See Reference Number 3.1.1




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5.11 Construction Contract Claims


         ROLES & RESPONSIBILITIES
         DISTRICT:                          CONSULTANTS:                           CONTRACTOR: Proper
         Director, School Construction:     Program Manager: N/A                   Notification of Claim, Prepare,
         Attend Negotiations                Architect/Engineer: Review claim, Submit and Attend Negotiations
         District Project Manager: Attend   Assist in Negotiations, Prepare Change
         Negotiations                       Order
         Purchasing and Contract            Construction Manager: Receive
         Management: Assist negotiations    Claim, Evaluate, Make
         Board of Education: Approve        Recommendations to the District,
         Change Order                       Assist in Negotiations
         Fiscal Services: Change PO and     Inspector of Record: Provide
         Process Payment                    Supporting Documentation


Executive Summary

Contract Documents are difficult, if not impossible, to develop to a degree of perfection that would
preclude any disagreements on interpretation. Disagreements usually arise during the course of
construction and can often be traced to a difference in interpretation of the Contract Documents and
changes in the scope of work affecting time and money.

Contractor claims usually result from disagreements that have not been resolved as the work
progresses. It is important to recognize differences early in their development and attempt to resolve
each issue in a satisfactory manner to all concerned. In addition to differences in document
interpretation and changes in scope of work, other issues giving rise to claims include differing site
conditions, District interference, denial of site accessibility and acceleration of work. Generally, any
action by the District or Architect causing an increase in the Contract cost (time or money), not agreed
to by the Contractor, will result in a Contractor claim.

The District may need to file a claim against the Contractor for any of the following reasons: lack of
performance; Contractor caused project delays; non-conforming, defective or incomplete work;
property damage; and cost overruns.

The Construction Manager (CM) shall attempt to resolve all potential claims or disputes as they occur.
If not resolved, and the Contractor files a claim in accordance with the procedures outlined in the
General Conditions, the District and its Counsel, along with the CM evaluates the claim content, and
makes recommendations. Evaluation of construction claims is a three step process consisting of a
merit evaluation to determine if the claim has legal merit, an entitlement analysis to determine the
monetary and time entitlements and settlement negotiations.




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Contractor Prepares and Submits Claim:
District reviews claim and issues copy to CM. District Counsel determines if submitted within
contractual time limit and in the following format:
        • Cover Page – outlines compensation requested and any schedule extension
        • Certification – submitted on Contractor’s letterhead, certifying that the information
            contained within the claim is real, fair and justly due the Contractor above and beyond the
            Contract Price and was not included at the time of bidding. This certification shall also
            clearly define that the claim as submitted is in no way, terms, methods or means a false
            claim as defined in the California False Claims Act, Code 12650. The certification must
            be signed by persons legally capable to bind the Contractor for agreements. The District
            shall be entitled to civil remedies set forth in the California False Claims act and may also
            be considered fraud, whereby the Contractor could be subject to criminal prosecution.
        • Summary of the claim including the underlying facts, basis for entitlement, quantitative
            calculations, Contract Document references and how they apply to the issues within the
            claim.
        • Chronology listing of all events, conversations and correspondence with the back-up
            documentation attached behind it.
        • Detailed analysis of the merits to the claim.
        • Detailed analysis of the schedule impacts from the claim.
        • Detailed analysis of the cost impacts from the claim.

CM Acknowledges Receipt of Claim:
The CM acknowledges receipt in writing to Contractor which:
      • states the claim has been received
      • contains a statement indicating the issue is under review and the Contractor will be notified
         upon completion of the review
      • requests additional documentation for review or has a statement saying future requests for
         documentation may be made if the Contractor has failed to provide adequate
         documentation to substantiate the claim.

District and CM Evaluates Merit:
Once the claim has been received with all supporting documentation, a merit evaluation is conducted
under the terms of the Contract for Construction. The merit evaluation shall contain a neutral
description of the facts, the Contractor’s position, the District’s position, supporting documentation
for both positions and a “conclusion and recommendation” from the CM.

Claim Has Legal Basis:
If the merit evaluation concludes that the Contractor’s claim has legal basis, an entitlement analysis is
conducted using the Contractor’s supporting information to determine the amount of money and/or
time owed to the Contractor. Generally, this analysis includes both a District estimate (by CM) and
the Contractor’s estimate. No conclusion is drawn at this time.




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Negotiation with Contractor, CM, and District:
Once the entitlement analysis has determined the amounts, a settlement negotiation is conducted. In
this phase, the District’s Director of School Construction ( or his/her designee) and Contractor arrive,
through negotiation, at a fair and equitable entitlement. If negotiations reveal new facts regarding the
entitlement, it may become necessary to re-evaluate the claim.

Agreement:
Once agreement has been reached, the District issues a change order (prepared by the Architect) to the
Contract. (See Change Order Procedures)

If agreement is not reached, claims under $375,000 shall be resolved in accordance with the
procedures established in Part 3, Chapter 1, Article 1.5 of the California Public Contract Code.

All other claims shall be resolved by arbitration conducted in accordance with the Construction
Industry Arbitration Rules of the American Arbitration Association.




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                          Contractor Prepare and
                             Submits Claim




                                 CM
                             Acknowledges
                              Receipt of
                                Claim


                                Additional
                YES            Information         NO
                                                              CM Evaluate Merit
                                Required



                           Entitlement Analysis         YES                       NO      Deny
                                                               Claim has Legal
                             Time & Money                           Basis                 Claim


                            Negotiations with
                           Contractor, CM, and
                                 District
                                                                                        Public
                                                               < $375,000              Contract
                                                                                        Code
                             YES
      Change                                            NO
                                Agreement
       Order
                                                               > $375,000              AAA




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5.12 Schedule Management

         ROLES & RESPONSIBILITIES
         DISTRICT:                           CONSULTANTS:                    CONTRACTOR: Submit,
         Director, School Construction:      Program Manager: N/A            monitor and update the
         Reviews Schedule                    Architect/Engineer: Reviews     Schedule
         District Project Manager: Reviews   Schedule
         Schedule                            Construction Manager: Reviews
         Purchasing and Contract             and monitors Schedule
         Management: N/A                     Inspector of Record: N/A
         Board of Education: N/A
         Fiscal Services: N/A



Executive Summary

Construction contracts require the Contractors to schedule the Work within the time allowed by
Contract. Usually the Contractor is required to submit a preliminary construction schedule within five
(5) days following the date of the Notice of Intent to Award. The purpose of the Preliminary Schedule
is to assure adequate planning, coordination and execution of the Work so that it is completed within
the Contract Time.

The District Project Manager, Construction Manager (CM) and Architect will review the Preliminary
Construction Schedule and within fourteen days will return a Draft Construction Schedule with review
comments to the Contractor for review and comment. The Contractor will review the Draft
Construction Schedule and return to the CM with comments. The CM will then edit the Draft
Construction Schedule and issue an Approved Construction Schedule for use by the Project Team.
The District’s issuance (via CM) of an Approved Construction Schedule is for the sole purpose of
determining conformity to the requirements of the Contract Documents.

The CM also monitors the Approved Construction Schedule on a weekly and monthly basis. In the
event the progress of the Work, or sequencing of activities, differs materially from the Approved
Schedule, the District may direct (via CM) the Contractor to revise the Approved Schedule.
Contractor initiated changes to the schedule are done only with the District’s concurrence.

The Contractor is responsible for the preparation and maintenance of the Construction Schedule to
include monitoring and updating on a monthly basis.




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Construction Phase Schedule:
Each contractor is required to submit their schedule information to the CM, who checks it for the
following:
       • Compliance with the contract for compliance with milestone elements of the Master
           Project Schedule and Standard Scheduling Specification.
       • Schedule organization properly reflects the complexity of the project - separate buildings,
           floors, phases, etc.
       • Work calendars accurately reflect the allowable holidays and non-work periods.
       • Activity descriptions are clear and unambiguous. If they are not clear, request clarification
           by means of an expanded description.
       • Sequences are logical and there is no "strange" logic forcing dates. Check for constrained
           dates such as "Start No Earlier Than" and "Start On" which may indicate poor logical
           planning or "front loading" of costs.
       • The schedule is cost loaded with values from the Schedule of Values and can be used for
           establishing entitlement to progress payments through comparison by an Earned Value
           Analysis.
       • For multiple prime projects, the CM will add each Contractor's schedule information into a
           common computerized schedule in order to coordinate the multiple prime contractors.

Weekly Schedule Monitoring & Reporting:
The CM monitors the progress of the work and reports progress conformance or deviation at the
weekly Progress Meeting. The CM prints schedule information for each Progress Meeting. Printouts
will show current week plus two weeks in "look-ahead" (total of three weeks). The information will
be used for site coordination use. Once tasks have begun and ended, the actual start and stop of each
activity will be recorded for historical information purposes and claims analysis.

Monthly Schedule Monitoring and Reporting:
     • Applications for Payment. The CM shall request or print out Task Completion and Work
         in Progress Reports and use these reports to verify percentage of value completed. (See
         Pay Application Procedures)
     • Review of Contractor's Schedule Update. Each contractor is required to submit their
         schedule information to the CM who checks it for the following:
             Review Critical Path - changes since last schedule? Significant changes could either
             mean that progress has not been made as anticipated or major changes to the
             scheduling logic have been made. Check for a marked increase in the number of
             critical activities. Usually indicates a lack of progress.
             Review the schedule for general conformance with field activities. Do the weekly
             updates match the monthly update and do they both match the Master Project
             Schedule?
             Check for new activities or new constrained days. Check cost loading of new activities
             and review reason for constrained days with Contractor.
             Check that all approved Change Order days have been added to the schedule at the
             appropriate point.


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        •   Monthly Reporting. The CM shall update the Master Project Schedule with comparison
            against initial baseline information and issue with the Monthly Report.

Delays & Schedule Enforcement:
Once a delay has been reported, the CM must determine whether the delay is beyond the control of the
Contractor or not. If the delay was caused by District, User, other Contractors or is an excusable delay
(see Definitions, "Force Majeure"), an extension of time may be warranted. If the delay was within the
Contractor's control, the time must be recovered by the Contractor in order to meet the District 's
project milestone dates.
        • Recovery Schedules. The CM may assist the Contractor in developing alternative
           scenarios for recovery. The Contractor's scenario is then presented for coordination reasons
           at the following Progress Meeting. Once agreement has been reached by the entire Project
           Team, the schedule will be implemented. Typical options for recovery include:
               Overtime work.
               Increased manpower or increased shifts.
               Alternate methods (equipment or processes).
               Change of construction sequences.
        • Assessment of Liquidated Damages. If the Contractor's recovery efforts do not result in
           recovery of the schedule, it may be necessary to withhold some portion (or the total) of
           liquidated damage amounts from payments in subsequent Payment Applications. The CM
           shall consult the contract conditions and exercise caution in application of liquidated
           damages.
        • Recommendation to terminate the Contract. If progress has ceased despite notifications
           to the Contractor, it may be necessary to recommend termination of the contract to the
           District. Project Manager shall consult the contract conditions and discuss thoroughly with
           CM Management and the District.

Time Extensions:
All time extensions shall be reviewed carefully to ascertain that the request is appropriate. Requests
for time extensions shall be in the form of a contractor submitted Change Order Request. The CM
will review the request, attach a recommendation to the front and forward to all members of the
Project Team. If approved with the change order process, CM will immediately adjust the schedule
information to show the extension.




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                          Construction Phase Schedule




                          Weekly Schedule Monitoring
        Application             and Reporting
        For Payment



          Review          Monthly Schedule Monitoring
        Contractor's             and Reporting
         Schedule
          Update                                          Recovery
                                                          Schedule


          Monthly             Delays and Schedule       Assessment of
          Reporting              Enforcement             Liquidated
                                                          Damages




                                    Time                Recommendation
                                  Extensions              to Terminate
                                                            Contract




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REFERENCE MATERIALS


5.12.1 Construction Phase Schedule – Actual Sample

5.12.2 Schedule of Values – See Reference Number 5.8.2

5.12.3 Weekly Construction Schedule – Actual Sample

5.12.4 Monthly Construction Schedule




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5.13 Security


         ROLES & RESPONSIBILITIES
         DISTRICT:                            CONSULTANTS:                      CONTRACTOR: Actively
         Director, School Construction:       Program Manager: N/A              involved in implementing
         Review project security measures     Architect/Engineer: N/A           security measures
         District Project Manager: Review     Construction Manager: Establish
         project specific security measures   security measures, monitor and
         Purchasing and Contract              enforce
         Management: N/A                      Inspector of Record: N/A
         Board of Education: N/A
         Fiscal Services: N/A

Executive Summary

Security of a project site is the responsibility of all the members of the Project Team. It is imperative
that security measures be implemented and enforced early in the project. These measures are
important for the protection of every person including students, faculty, and staff in the immediate
area. Security is also necessary for the protection of materials and equipment from theft and
vandalism.

Close monitoring of visitors to the site including identification, logging and “Visitor” badges is a
security measure that shall be implemented and maintained throughout the project duration. Visitors
shall be accompanied by a member of the Project Team during their visit to the site.

On larger projects use of web cameras may be considered. Cameras need to be strategically located to
assist in monitoring activity at the site. Information gathered and archived by the cameras, not only
enhance the security of the site, but would be useful in the event of a breach in security.




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Visitor Log:
Maintain a visitor log throughout the entire project at the Construction Manager’s (CM’s) jobsite
office and/or school site Administration Office. If maintained by the CM, the CM shall place it in a
convenient location and make sure that all visitors check in and out of the jobsite and wear
identification badges. File completed forms for future reference. All visitors must wear appropriate
safety clothing and hard hats in the construction area as required by individual site safety program.

Jobsite Tours:
All tours must be scheduled and approved by the District. Advance notice shall be given to the on-site
Project Manager of the approximate number of people expected and the time period involved. CM
shall relay this information to the Contractor and others who may be affected by these activities. Some
projects will draw various members of the public. On these projects, erect a large sign stating "NO
VISITORS BEYOND THIS POINT" as well as a barrier, if needed. These individuals must be
politely, but firmly, advised that they are not allowed on site and may not take photographs. Shall
unscheduled news teams appear, advise them in a manner not to antagonize, that prior approval must
be obtained from the appropriate individual (i.e. the District 's representative or approved publicity
contact person) before entering the site.

Photographs:
The CM shall discuss site photos with the District. On some projects, sensitive material may be caught
in background or the District may simply wish to control images of the facility being captured for the
public domain.

If web cameras are used, they shall be strategically located to provide the maximum coverage and
prevent damage to the cameras.

Weapons/Firearms:
It must be stressed to the Contractor prior to the start of construction that there are to be no firearms or
weapons of any type allowed on site. It is the Contractor's responsibility to inform all subcontractors,
suppliers, etc. of this rule and to enforce it.

Vehicles:
Once construction has begun, only vehicles displaying appropriate identification shall be allowed on
site. Set aside a designated parking area for workers.

Additional Security Measures:
The Contractor shall outline and implement additional security procedures as necessary to resolve
site-specific or project-specific problems.




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5.13.1 Security Systems Procedure

Purpose: Procedure for coordination of changes and repair to SJUSD school security systems
(SS). In general each project construction manager (CM) will stay in regular contact with
Central Station (CS) and provide them with detailed schedules of all construction activities. .

Documentation: Written, email and phone communication with Central Station at:

                Phone          (800) 318-2222

                Email          central_station@sjusd.org

        The Manager of Maintenance, the Supervisor of Operations and the Construction Office
        Project Representative should be copied when issues arise that compromise the integrity
        or functionality of the security system.

Occurrences: Design, Construction and Close Out

Design:

For new construction projects or alterations to existing structures, the design team will ensure
that the following features are included in the design:

        Typical Security Scope

                •   Door contacts at all exterior doors
                •   Motion Sensors, including hallways, in those areas accessible by windows or
                    other non-monitored points of access.
                •   Building signage, clearly marked identification for each building.
                •   Graphic, identify proposed new building and room numbers. The graphic can
                    be a single line diagram (similar to a 1A).

The CM will submit a set of drawings and specs for review by CS via Maintenance Department,
attention: Pete Taormino. This should be the DSA submittal set. Comments can usually be
received from CS before DSA comments are received. The CM in charge of the project will be
the chief point of contact with CS and will coordinate sending drawings and receiving
comments.




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Construction:

During the pre-construction phase, each contractor shall visit the site and perform a download of
the panel with CM and CS and provide a print out to the district. All unused points shall be
deprogrammed from the panel at the time of download. Each CM in charge will keep in regular
communication with CS and notify them of any work impacting the SS. The CM should indicate
which zones, rooms, buildings, doors, etc. are impacted as submitted by the contractor. The CM
will notify CS of any weekend or “off hour” work prior to that work, which will impact the
system. CMs should work with CS to limit the number of buildings and/or rooms that are shut
down at any one time.

CS can shut down, remove or disconnect security points at their office. On-site changes to the
Radionics panels should be made only by qualified contractors familiar with the system and, of
course, CS should be notified before such work takes place. Any programming changes to the
security panels shall be recorded in a programming log and placed inside the panel. Upon
completion of programming, contractor shall contact CS to upload changes.

Contractors should never cut security wires before they are disconnected at CS and in turn from
the panel. This will cause the system to flood CS with “forced points” which cannot be
distinguished from an actual break in. When this happens, CS is often forced to shut down
security for an entire site.

Contractors should not be allowed to put a “data lock” on a site security system. This will result
in a complete security shut down for that site, without CS’s knowledge.

Close Out:
CM should coordinate preparing an as built for CS review. This should take place prior to occupancy.
The as built shall include notes indicating room, building numbers and numbered security ‘points’
(door contacts, motion sensors), popit locations and wire routing. The CM will obtain CS’s review
and comments. When the contractor has incorporated any comments, and reprogrammed the r
Radionics panel, the CM will notify CS and will schedule a “walk test” by CS. The CM shall obtain
CS sign-off of the installed security system and the installing contractor shall provide a print out of
current panel point’s list showing all points functioning and clear of alarms. CS will work with the
CM to bring the new project online.

The CM will send a copy of the as builts with related specs, RFIs and answers, IBs, etc. to the
Corporate yard prior to project close out. The CM transmittal should indicate a contractor and
subcontractor list with the as-builts.




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Notes:

CS Contact
CS will occasionally contact the project site’s lead CM when problems arise (such as forced point
false alarms). If another CM working on the site is responsible for the impacted project, the lead CM
will contact the responsible CM.

Fire Alarm (FA) System
FA devices near areas of work should be disconnected or covered to prevent false alarms and
deprogrammed from the system. These “deprogrammed” devices and the areas they protect shall be
closely monitored and the duration of this step shall be minimized to the extent possible as determined
by CM, contractor, and SJUSD Maintenance.




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REFERENCE MATERIALS

5.13.1 Visitor’s Log – Blank Sample

5.13.2 Site Access Procedures - Added 7/29/05




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5.14 Labor Relations


         ROLES & RESPONSIBILITIES
         DISTRICT:                              CONSULTANTS:                        CONTRACTOR: Follow Jobsite
         Director, School Construction:         Program Manager: N/A                Picketing Rules
         Follow Jobsite Picketing Rules, File   Architect/Engineer: Follow Jobsite
         Grievance for Illegal Stoppage         Picketing Rules
         District Project Manager: Follow       Construction Manager: Keep
         Jobsite Picketing Rules, File          Accurate Records, Follow-Up
         Grievance for Illegal Stoppage         Inspector of Record: Follow Jobsite
         Purchasing and Contract                Picketing Rules
         Management: N/A
         Board of Education: N/A
         Fiscal Services: N/A


Executive Summary

The Construction Manager’s (CM’s) responsibility in case of labor disputes affecting the progress of
the project is to help develop a solution that will enable the project to proceed. Responsibilities may
include talking to jobsite picketers, advising the Contractor of the steps that are available to prevent
disruption of the work, urging the Contractor to take the necessary steps, and recording any delays
encountered.




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Jobsite Picketing:
Write down and/or tape record any statements made by picketers, union business agents and anyone
else near the picketers. Also record as accurately as possible any conversations you have with anyone
and any statements made by anyone. Have one or more management observers with you to verify
everything you record.

Stay Cool & Avoid Violence:
Physical violence, even verbal abuse, directed at a picketer can result in an unfair labor practice
charge and lead to unionization of employees even when the employees do not want it. Also, do not
risk the safety of your employees.

Keep Accurate Records:
Keep a chronological log recording date and time of who said what, which crews and subcontractors
were working and exactly where they were working, the number, attitude and action of all picketers,
statements and actions of your employees, and anything out of the ordinary. Record exact location of
all picketers by drawing a map or using a site plan to show the exact location of each picketer. Mark
down the date and time on the map. Be sure to indicate whether picketers are at more than one
location on the site. If possible, take photographs of signs and of the picketers. Select locations for
dual gate entrances, which are separated but within view of each other. Picketers signs usually identify
the local union affiliation (i.e. “Carpenter’s Local #). Write down the name of the union and local
affiliation that appear on the signs. By phone, contact the unions who are responsible for staffing the
project. Indicate that a neutral gate will be established prior to starting time the following morning.
State the location of the neutral gate. Request that the Union Representative appear at the job at
starting time the following morning. State to the Union Representative, "Your union has a duty to staff
the job." Send a telegram to the Contractor's union, the union of the picketed Contractor/subcontractor
and the union(s) of the picketing the Contractor or subcontractor.

Gate Designation Signs:
Prepare signs for neutral gate and primary (picketed) gate. Prior to starting time on the second day,
establish the gates (entrances) within viewing distances of one another with clearly marked signs.
Prior to starting time on the second day, take photos of the gates and signs. Prepare a diagram of the
project gates. If the picketers arrive after starting time on the first day of the dispute the CM shall state
to the Contractors, "That (name of company) has no dispute with the (picketing union). You have
every legal right to work on this project. Work is available and you are ordered to continue working. If
you walk off this job, you have adopted the (picketing union's) strike as your own and the (name of
company) has a right to replace you." Present a copy of this statement to the Contractors involved.
Note those Contractors or employees who heard or received written copies of the statement and
refused to go to work.

Illegal Work Stoppages:
It is within the rights of the District through their legal representatives to contact the Associated
General Contractors organization to file a grievance against the union for an illegal work stoppage.
AGC will contact the union on behalf of the District. Document all actions and conversations


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pertaining to the work stoppage. On the second day of the dispute, picketing is lawfully restricted to
the primary gate. No picketing is allowed at the neutral gate.

If the employees are reluctant to go to work through the neutral gate even though there are no
picketers at the gate, the CM shall:
        • Gather the employees and the Union Representative, if present, in front on the neutral gate.
        • State to the employees: "(name of contracting company) has no dispute with the (picketing
            union). This is a neutral gate without picketers. Work is available. You are ordered to go to
            work here. If you refuse to go to work, you are adopting the (picketing union's) strike as
            your own and the (name of Contractor / District) has a right to replace you." State to the
            Union Representative: "Your union has a duty to staff the job." Log any statements to the
            employees made by the Union Representative, noting the time. All actions and
            conversations pertaining to the work stoppage shall be carefully documented.
        • If the workers refuse to go to work, the CM shall present a typed copy of the statement to
            the Contractor(s). Note those Contractors and employees who heard or received the
            statement and refused to go to work.

Follow-Up:
Select a security to monitor the gates to ensure that they do not become "contaminated". Post a guard
at each gate to ensure that the gates are not violated. If this is not feasible, post a guard at the "neutral"
gate.

The CM shall assign someone to keep detailed notes of all related events and shall be particularly
alerted to events occurring immediately prior to any walk-off by other crafts; i.e. stewards making
calls to Business Agents, meeting with the employees and walking off in a group. Each Project
Manager shall telephone the CM daily with any information regarding jobsite activity or if verbiage
on picket signs changes.

Conclusion of The Picket:
When settlement has been reached by the company with whom the picketing union has a dispute, send
the following telegram to the picketing union, the employer and each of the other employers on the
project: "We have been notified that (full name of union) has reached an agreement with (full name of
employer with whom the union had dispute). We are instructing said employee to report to the jobsite
and continue work effective (date)".




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                             Jobsite Picketing


                            Stay Cool & Avoid
                                 Violence



                          Keep Accurate Records



                          Gate Designation Signs



                               Illegal Work
                                 Stoppages




                                Follow-Up



                            Conclusion of the
                                 Picket




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5.15 Quality Control


         ROLES & RESPONSIBILITIES
         DISTRICT:                             CONSULTANTS:                        CONTRACTOR: Samples for
         Director, School Construction:        Program Manager: N/A                 Testing, Access for Inspectors,
         Observes, Issues Reports & Notices    Architect/Engineer: Observes, Issues Submit Inspection Requests
         District Project Manager: Observes,   Reports & Notices
         Issues Reports & Notices              Construction Manager: Daily
         Purchasing and Contract               Observations, Distributes Reports &
         Management: N/A                       Notices
         Board of Education: N/A               Inspector of Record: Observes,
         Fiscal Services: N/A                  Inspects, Issues Reports & Notices



Executive Summary

Quality assurance in the constructed project is in part, dependent on the materials testing and
inspection program established for the Project. A schedule of inspection and tests required on the
Project are specified in the Contract Documents. Materials testing and special inspection is carried
out by an independent testing firm retained and paid for by the District.

The District also contracts with a DSA approved inspector to serve as Inspector of Record (IOR). The
IOR will coordinate and monitor the work of the independent testing firm as it performs the material
testing and special inspection required by the Contract Documents.

Additionally, the IOR, CM, District PM and other District staff partake in quality control. All reports
of issues noted will be submitted to and tracked by the CM. The CM will take a lead role in tracking
quality control issues. These issues, commonly referred to as “Punch List Items” will be tracked by
the CM.

There are two kinds of punch lists. The first is a list of incomplete or rejected work that is a part of
the scope within a particular contract. The second is a list of the same type of items but may also
include items that are beyond the scope of work of any existing Contract. The first is typically issued,
tracked and ultimately accepted by the Architect while the second is facilitated by the CM.

The Contractor is responsible for packaging and delivery of samples to the laboratory, cooperating
with and providing access to laboratory and inspection personnel and giving written notification to the
IOR and CM prior to operations requiring inspection and testing.

The CM will oversee the quality control program to assure that all contract requirements for
inspection and testing are met. The CM will notify the IOR and District in the event deficiencies are
noted.




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Monitoring Contractor’s Quality Assurance Requirements:
The CM shall monitor the Contractor's inspection system. The CM will notify the District and the
Contractor if inspections are not being conducted in accordance with the Testing and Inspection
Program.

Provide Daily Observation or Inspection:
Certified Construction Inspectors known as Inspector’s of Record (IOR) are provided by the District
to perform inspections and verify compliance with regulations and codes. The IOR monitors,
schedules and coordinates materials testing and surveying services furnished by the District. The CM
observes the general building quality and the work of contractors for contract compliance but does not
inspect for compliance with codes and regulations. However, if required in the contract, the CM will
monitor the construction and will be responsible for the District 's compliance inspection program
including the coordination and reporting of testing and site inspections by the Testing Laboratory
(retained by the District or Contractor) and the inspections and field observations of the Architect /
Consultants.

Site Observations and Inspections:
       • Owner's Responsibilities: The District’s Project Manager will make frequent site visits
          for observation and inspection. All reports of site visitations by the District’s PM will be
          submitted to the CM for distribution, record and implementation of corrective measures.
       • Architect and Consultants Responsibilities: The Architect and Consultants will visit the
          site at intervals appropriate to the stage of construction to become generally familiar with
          the progress and quality of the work, and determine if the work is proceeding in
          accordance with the Contract Documents. All reports of site visits by the Architect and
          Consultants will be submitted to the CM for distribution, record and implementation of
          corrective measures. Reports from the Consultants shall first be submitted through the
          Architect, who shall review them and forward the report with any comments to the CM.
       • Code Enforcement Authority Responsibilities: The Building Official's designated
          representative (Construction Inspector) or other agency responsible for code enforcement
          shall perform inspections for code compliance. The Contractor is responsible for obtaining
          all required permits such as off site work (where applicable). DSA, Local Fire, and other
          agency fees are generally paid for by the District. The Contractor will be responsible for
          directly scheduling all required inspections by the code enforcement agencies or Inspector
          of Record. The Contractor shall keep the CM fully informed of the status of code
          inspections and any problems encountered. A copy of each inspection report shall be
          delivered to the CM within 24 hours of the inspection.
       • Special Testing and Inspections Responsibilities: If specialized inspection or testing is
          required, CM will notify the District and assist in employing an independent inspection
          agency. Depending on the Owner contract, either the Inspector of Record or CM will
          coordinate the inspection, testing and report distribution.




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Inspections:
CM and the Contractor shall cooperate fully with all testing and inspections done in conjunction with
the project. This includes assisting the inspectors/agencies in distributing the reports and
implementing any necessary corrective measures. While it is understood that each inspection agency
has its own internal process, the following steps must be taken:
        • Each inspector shall check in at the jobsite office upon arrival at the site. This allows the
            on-site personnel not only to be aware of the inspector's presence in case of phone
            messages, etc., but to keep the inspectors informed of any new developments or changed
            conditions.
        • After signing in on the log sheet, the inspector can proceed with the services required.
            Documentation of inspections and conversations will be made on the CM daily log unless
            the inspection reveals non-compliant construction. Shall it become necessary to inform a
            Contractor of inappropriate measures, the inspector shall do so through the CM. The
            inspector shall not direct the Contractor to perform any work, including corrective actions,
            directly. The CM will direct the corrective work through a Notice of Non-Compliance with
            the Inspector's Inspection Report attached.
        • The CM shall accompany all special inspectors including OSHA, state, county health and
            other inspectors. Any pertinent conversations will be documented for the record.
        • District, Inspector or Architect will immediately advise CM of any situation in which:
                Contractor refuses to take corrective action to meet contract quality requirements.
                District or A/E recommends rejecting work or the removal of work in place.
                District or A/E and the Contractor disagree over interpretation of contract documents.

Daily Observations:
CM site personnel shall conduct daily observation surveys with notes recorded on the daily log form.
Under special circumstances (with critical systems) or when CM support personnel visit the site, use
the Observation Report form.

Inspection Reports:
       • Inspectors shall file all daily and special inspection reports in the job-site offices within 24
          hours of issuance with a copy to the CM. CM will forward the copy to the Contractor and
          other affected project personnel. Distribution of concrete testing results, soil testing
          reports, or other testing agency reports shall be made in the same manner unless otherwise
          specified in the Specifications.
       • The Contractor shall maintain complete inspection records of all inspections performed by
          his personnel, testing laboratories and inspection services, and code enforcement agencies,
          including approvals and/or corrective actions taken and reinspection, and shall submit one
          copy of all reports and pertinent information to the CM within 24 hours of receipt.

Non-Compliance Notices:
Proper communications with the Contractor can remedy discrepancies or non-compliance items
promptly. If this not done within a specified or reasonable amount of time or if the Contractor
indicates reluctance to correct the work in question, CM will issue a "Non-Compliance Notice" to the


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Contractor. CM will track all outstanding notices in a project management log. Review this at each
weekly progress meeting and determine one of the following results:
       • Replace work.
       • Rework.
       • Accept as-is.

Stop Notices:
   In general, the District retains all rights to stop the project. If the Contractor is proceeding with
   non-complying work, refusing to take corrective action, or refusing to comply with a directive, it
   may be necessary for CM to recommend that the District issue a Stop Notice




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                              Monitoring Contractor's Quality
                                Assurance Requirements


                                 Provide Daily Observation
                                       or Inspection
                                                                Code Enforcement
                                                                   Authority
          Owner
                                    Site Observations
                                     and Inspections

      Architect/Consultants
                                                                Special Testing
                                        Inspections              & Inspection


                                    Daily Observations


                                    Inspection Reports




                                     Non-Compliance
                                         Notices


                                          Stop
                                         Notices




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REFERENCE MATERIALS

5.15.1 Observation Report - Blank Sample

5.15.2 Inspection Report - Blank Sample

5.15.3 Non-Compliance Notice - Blank Sample

5.15.4 Stop Notice - Blank Sample




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5.16 Agencies & Official Visitors Protocol


         ROLES & RESPONSIBILITIES
         DISTRICT:                          CONSULTANTS:                       CONTRACTOR: Accommodate
         Director, School Construction:     Program Manager: N/A               Agencies & Officials
         Accommodate Agencies & Officials   Architect/Engineer: N/A
         District Project Manager:          Construction Manager:
         Accommodate Agencies & Officials   Accommodate Agencies & Officials
         Purchasing and Contract            Inspector of Record: N/A
         Management: N/A
         Board of Education: N/A
         Fiscal Services: N/A

Executive Summary

Occasionally, agency representatives and other officials may visit the jobsite. Visits can be scheduled
or unscheduled random visits such as those performed by OSHA (Occupational Safety and Health
Administration) Inspectors. It is the Contractor's responsibility to meet with the representatives and
address their concerns. However, to protect the interests of the Construction Manager (CM) and the
District, the CM shall accompany the Contractor and Agency Representative




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CM Notifies District of Scheduled Agency Visit:
If an agency visit is scheduled with the CM in advance, the CM shall notify the District Project
Manager. The District Project Manager will report to the School Construction Office Staff including
the Department Manager and Director, and will coordinate with other departments if necessary. A
coordination example would be if an OSHA visit is scheduled, the CM and PM will notify the office
of Risk Management for the District, so that coordination issues may be addressed. Another example
would be if a Health Department inspection or visit were scheduled, the CM and PM would notify the
Food Services Department for the District. If any agency visit might involve the inspection of the
daily operation of the site, the site Principal shall be notified so that they may be prepared and attend
as they wish. An example would be a local fire inspection or Health Department inspection.
Likewise, if an agency schedules a visit with the District Construction Office directly, the CM and PM
will be notified.

Introductory Conference:
The Contractor and CM (or site "key" person) shall greet and deal with the agency representatives.
All parties to any meeting shall introduce themselves and offer their purpose for the visit or
participation in this meeting. It is always a good practice to request and offer business cards. In the
case of any official visitor, it is the right of the Contractor to check for proper credentials politely and
establish their right to be there. Additionally, it is within the Contractor's rights to demand that the
OSHA Representative show a warrant to enter the construction site.
The CM shall prompt the official visitor to describe the nature and scope of visit/inspection. The CM
shall outline a broad scope description of the tasks in-progress on site and allow the Contractor to
clarify which tasks are critical to maintaining progress. It shall be agreed by all, in advance, that work
schedules must be maintained. Agency Representative must ask permission to contact workers along
the route in order to maintain work schedules. Responses shall be brief and factual. If the situation
becomes a problem, statements made to the agency representative may qualify as "authorized
admissions". Do not guess or speculate. Lengthy explanations may only confuse, intensify or expand
the scope of the inspection.

Site Inspection Tour:
The Contractor and CM shall accompany the Agency Representatives, make detailed notes, and
record (either photographically or in sample forms) each thing they record or sample. These records
can be critical to the success in dealing with any resulting problems or citations. In the case of an
OSHA Inspection, only if the Inspector wishes to speak with an employee privately would the
Contractor and CM not accompany the agency representative. Workers are entitled to privacy when
being questioned by an OSHA Inspector. The Contractor and CM shall record relevant conversations
with agency representatives, especially those that indicate the reason for the visit. Note areas visited,
people involved, condition of machinery, equipment or materials examined and practices observed.
Maintain a calm, businesslike posture (avoid any appearance of hostility or impatience). Expect some
disagreement but stay calm. On safety violations, the Contractor can request that a disputed area be
avoided until a safety officer can be contacted.




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Closing Conference:
The Contractor and CM shall attempt to learn the agency representative's conclusions. The Contractor
and CM shall ascertain the reasoning for questioning of a condition or practice, and rationale to any
corrective action required. The Contractor shall correct immediate problems or imminent safety
hazard situations quickly, post notices and deny entry by any person into any area judged an imminent
safety hazard. Then allow the area to be entered only for the purpose of making it safe.

Follow-Up:
The CM shall make a post-inspection report by writing down details while they are fresh. Mark each
page, sample and photograph as confidential or privileged information. In the case of an OSHA
Safety Inspection, the CM shall discuss the event thoroughly with the Contractor's Safety Officer.




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                          Introductory Conference




                           Site Inspection Tour




                            Closing Conference




                                Follow-Up




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REFERENCE MATERIALS

5.16.1 State of California Department of Industrial Relations (CAL/OSHA)




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5.17 Project Closeout


         ROLES & RESPONSIBILITIES
         DISTRICT:                             CONSULTANTS:                       CONTRACTOR: Give Notice
         Director, School Construction:        Program Manager: N/A               of Readiness for Final Inspection,
         Punchlist Inspection                  Architect/Engineer: Punchlist      Submit Closeout Documents
         District Project Manager: Punchlist   Inspection, Review Closeout
         Inspection                            Documents, and File Notice of
         Purchasing and Contract               Completion
         Management: N/A                       Construction Manager: Monitor
         Board of Education: Accept            Progress, Recommends Acceptance of
         Closeout of Project                   Work
         Fiscal Services: Review and Issue     Inspector of Record: Punchlist
         Final Payment upon approval           Inspection


Executive Summary

This stage in the construction phase requires planning and coordination between the Contractor, the
District and the Architect facilitated by the Construction Manager (CM). To bring the Project to a
successful conclusion, all parties must be prepared in advance to complete the actions necessary to
closeout the Project.

Provisions must be made to conduct walkthrough inspections of the completed work to determine the
degree of completion and develop a punchlist of any incomplete or deficient items. The walkthrough
will be conducted by the Architect, accompanied by District representatives (typically the PM), as
soon as the Contractor has completed final cleaning and given notification that the Work is complete
and ready for inspection.

In addition to completing work required by the punchlist inspection, the Contractor must prepare and
deliver project record documents, warranties and bonds, spare parts, operation and maintenance
manuals, and a final payment application with releases from all subcontractors and suppliers.




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Follow these steps to ensure a thorough and complete project closeout:

Punchlists:
At the Progress Meeting three weeks prior to scheduled completion date, the Contractor shall submit a
proposed schedule for punchlist inspections listing the portions of the work for which he requests
separate punchlist inspections, and the proposed dates for each inspection. The schedule must be
acceptable to the District PM, the Architect, and CM.
       • Preliminary Punchlists - The Contractor shall perform preliminary punchlist inspections,
           develop his own punchlists and complete the required corrections prior to requesting the
           Architect to perform a punchlist inspection on any portion of the work.
       • Specialty Inspectors/Consultant Punchlists - If applicable, the CM shall coordinate the
           preliminary punchlists of roofing consultants, landscape designers, or specialty systems.
           Copies shall be made available to the Architect and the Contractor.
       • Local Safety or Fire Officials - Once the Contractor is nearing completion of the
           Preliminary Punchlists, the CM shall coordinate the final inspections for the Regulatory
           Agency and Local Fire Marshal. By starting their process early, temporary or permanent
           Certificates of Occupancy can be obtained to expedite occupancy. Fire and Regulatory
           Agency inspectors will develop their own punchlists. CM shall accompany them at all
           times while on site to answer to any questions.
       • Architect / Consultant Punchlist - The punchlist inspections by the Architect /
           Consultant will occur for each approved portion of the work after the Contractor provides
           written notification to the CM that the work is completed and ready for the inspection. The
           Architect and Consultants, Inspector of Record (if applicable), CM and the District PM
           shall prepare a single joint punchlist of work to be corrected. Copies of the punchlists will
           be furnished to CM for distribution to the other team members. The Contractor shall
           complete all punchlist work and request a final inspection through CM.
       • Final Punchlist Inspection - The Contractor shall notify CM in writing when all punchlist
           items for an approved portion of the work have been corrected, and shall request a final
           inspection for that portion of the work. The Final Punchlist Inspection must be completed
           within 10 days of the request. The Architect shall conduct final inspections. The
           Contractor, the Architect, consultants if needed, the District PM and CM will participate in
           this inspection, and the Architect will record any items that have not been satisfactorily
           corrected. This process will be repeated until all items have been corrected on all portions
           of the work.

Substantial Completion Conference:
The CM shall conduct a meeting to schedule and coordinate an orderly project closeout. The
Substantial Completion Conference is usually held on the same day (or shortly thereafter) with the
Architect's Punchlist. If the Architect's Punchlist is relatively short, the Architect shall consider
certifying substantial completion at the conference to expedite the District 's occupancy. Prior to the
meeting, CM shall thoroughly review the Contract Documents for required closeout items. The
meeting shall cover:



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        •   Dates and responsibilities for startups, final certifications, submittals, record drawings (as-
            builts), O & M Manuals, warrantees, training for District personnel, final change order
            requests, utility change-overs and occupancy.
        •   System start up and testing / adjustments.
        •   Maintenance contracts and proposals (roofing, landscape, etc) are coordinated with the
            District.
        •   Keys, final keying schedule, special hardware tools, spare materials and extra parts
            delivered to the District.
        •   Disposition and resolution of outstanding Notices of Non-Compliance.
        •   Removal of temporary facilities and completion of punchlist items.
        •   Preparation and filing coordination of Certificate of Compliance, Certificate of Substantial
            Completion, and Notice of Completion through regulatory agency.
        •   Submittal of lien waivers, consent of surety forms and final payment applications. Final
            change orders and project accounting.

Substantial Completion:
Once construction on the project or portion of project has achieved a state of substantial completion,
the Architect will certify that it is safe for human occupation under the applicable codes. Substantial
Completion is defined as the point where the District can take beneficial occupancy and use the
facilities for their intended use.

Upon substantial completion, the Architect and Inspector will file a Certificate of Compliance that all
construction has been completed in accordance with plans and specifications as amended under the
contract.

Upon substantial completion, the Architect will prepare and file Certificate of Substantial Completion
form with the regulatory agency. Copies shall be delivered to CM, the District and the Contractor. The
date of the Certificate of Substantial Completion is the start of the Warrantee Period.

Notice of Completion:
In order to achieve final completion, the Contractor must prepare and submit all final closeout items to
CM.
       • All Change Order Requests have been submitted, negotiated, processed and approved
            Change Orders. Final accounting information is available.
       • Final Inspection approvals.
       • Release and/or Waiver of Liens or Bonds indemnifying District against liens. CM will
            issue a list of all parties who have filed preliminary stop notices to the District prior to
            contract closeout. The Contractor will be required to obtain releases for every party who
            has properly filed a preliminary lien notice prior to first release of retainage.
       • Consent of Surety to Final Payment form.




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        •   Final Application and Certificate for Payment Form. The Final Payment shall include the
            remaining balance of the Contract Price and any retention from Progress Payments
            previously withheld by the District.

CM Submits Documents to District:
Upon receipt of these items, the CM shall submit appropriate items to the District. After closure of the
Mechanic's Lien Period (35 days after Substantial Completion), the CM will recommend Acceptance
of the work to the District. The Architect will file a Notice of Completion.




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                 Preliminary          Punchlists            Local Safety or
                  Punchlist                                  Fire Official



             Specialty                                   Architect/Consultant
       Inspectors/Consultants      Final Punchlist            Punchlist
             Punchlist               Inspection




                                Substantial Completion
                                     Conference




                                Substantial Completion




                                Notice of Completion



                                    CM Submits
                                    Documents to
                                      District




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REFERENCE MATERIALS

5.17.1 Punchlist – Blank Sample

5.17.2 Closeout Checklist – Blank Sample

5.17.3 Substantial Completion Notice Form – Blank Sample

5.17.4 Certificate of Compliance – Blank Sample

5.17.5 Release and/or Waiver of Liens – Blank Sample

5.17.6 Consent of Surety for Final Payment Form - Blank Sample

5.17.7 Final Application and Affidavit of Payment Form – Blank Sample

5.17.8 Notice of Completion – Blank Sample

5.17.9 EMS Sign-Off

5.17.10 Security Sign-Off

5.17.11 Filing System for Closeout Files

5.17.12 Athletic Field System Sign-Off




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5.18 Equipment & Operational Training


         ROLES & RESPONSIBILITIES
         DISTRICT:                           CONSULTANTS:                       CONTRACTOR: Schedule &
         Director, School Construction:      Program Manager: N/A               Conduct Startup, Provide
         N/A                                 Architect/Engineer: Review Startup Training, and Submit Reports
         District Project Manager:           Reports
         Coordinate Training Schedule with   Construction Manager: Monitor
         District Personnel                  Startup & Coordinate Training
         Purchasing and Contract             Schedule with District
         Management: N/A                     Inspector of Record: N/A
         Board of Education: N/A
         Fiscal Services: N/A
Executive Summary

The Contractor is responsible for startup of equipment systems and training of District personnel in
accordance with the Contract Documents. Planning and scheduling of this work must be far enough
in advance to permit all systems to be checked out and training completed by the project substantial
completion date.

Equipment and systems vary from project to project and may include heating, ventilating and air
conditioning equipment and the associated control system, electrical equipment and lighting control
systems, data/communications systems, fire alarm and security systems, elevators and conveying
systems.

District personnel must be trained in the operation and maintenance of each piece of equipment
installed. These training sessions are to be conducted by factory authorized representatives of the
equipment manufacturers. Training sessions will be conducted in both a classroom environment, with
appropriate instructional material, and hands-on in the field.




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Schedule Startup of Equipment and Systems:
      • Contractor submit schedule to the Construction Manager (CM)
      • Notify the CM at least 7 days in advance of any startup

Perform Preliminary Checks:
Contractor performs preliminary equipment and systems checks prior to actual startup. Schedule
manufacturers’ rep if required by Contract Documents to inspect and approve equipment or system
installation prior to startup.

Startup Equipment and Systems:
Contractor executes the startup of equipment and systems with responsible manufacture’s present in
accordance with the manufacturer’s instructions and the Contract Documents.

Submit Written Reports:
Submit written reports verifying the equipment and systems operated satisfactorily and that all
inspections, adjustments and lubrication were made by, or in the presence of, the manufacturer’s
representative as required by the Contract Documents.

Schedule Training:
Upon successful startup of equipment and systems training will be scheduled for District personnel
through the CM’s office. Instruction will be both classroom and hands-on to adequately train
personnel in the operation and maintenance of the equipment. Instruction shall be adequate to
demonstrate the startup, operation, maintenance, adjustment and control of each piece of equipment
and the configuration and settings of systems.




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                          Schedule Startup of Equipment and
                                       Systems



                                Perform Preliminary
                                      Checks




                               Startup Equipment and
                                      Systems




                               Submit Written Reports




                                 Schedule Training




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5.19 Stop Notice


         ROLES & RESPONSIBILITIES
         DISTRICT:                               CONSULTANTS:                           CONTRACTOR: N/A
         Director, School Construction:          Program Manager: N/A
         Review Notices                          Architect/Engineer: N/A
         District Project Manager: Review        Construction Manager: Maintain
         Notices                                 file of Preliminary Notices and advise
         Purchasing and Contract                 District on Stop Notices
         Management: N/A                         Inspector of Record: N/A
         Board of Education: N/A
         Fiscal Services: Hold funds in escrow
         for Stop Notices, release funds when
         Stop Notice Release has been received
Executive Summary

The California Civil Code (Section 3179-3214) protects Subcontractors and Material Suppliers on
public works projects from non-payment of monies due. Upon proper filing of a Stop Notice by
Claimant, the District is required to set aside sufficient funds to cover the Stop Notice amount.

The Stop Notice can be satisfied by the Contractor making payment to the Claimant in the amount due
or providing a stop notice release bond executed by a corporate surety in an amount equal to 125% of
the claim. If the Contractor disputes the amount claimed in the Stop Notice, there are legal remedies
available, but the District is required to withhold amounts claimed until resolved by the Contractor.

As an alternative and provided the District is in receipt of the applicable Subcontract or Purchase
Order, the District may at its sole discretion issue joint checks to the Contractor and such
Subcontractor or Material Supplier in satisfaction of its obligation to make progress payments or final
payment.




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Preliminary Notice Filed by Claimant
Subcontractors and Material Suppliers are required by California Civil Code to serve a Preliminary
Notice on both the Contractor and the District if they wish to exercise their right to file a Stop Notice.
The Preliminary Notice must be in writing describing the labor, equipment, materials or other services
to be furnished and to whom. The Notice must be served within 20 days of commencement of
services to the jobsite of which a Stop Notice may be filed i.e. if a 20 day notice is filed on the first
day of a project, and the duration of the work is 40 days, then a Stop Notice may only be considered
applicable for the last 20 days. If a Claimant fails to file this Preliminary Notice, he has forfeited his
Stop Notice rights.

Contractor Does Not Make Payments
When the Contractor fails to make payments to his Subcontractors or Material Suppliers, they have
the right to file a Stop Notice if the 20-day Preliminary Notice has been properly executed.

Stop Notice Filed by Claimant
Claimant files a Stop Notice with the Contractor and the District. The Stop Notice states:
   • Name and location of project
   • Claimant name and address
   • Labor, equipment, materials and services provided
   • Name of person to, or for whom, the above was furnished
   • Value of the total work to be performed by claimant, the amount of work already completed,
      and the amount owed.
   • Signature of, and verification by claimant with date.

District Holds Funds
Upon receipt of a properly executed Stop Notice, the District holds sufficient funds in escrow to cover
the amount claimed in the Stop Notice.

District Releases Funds
The withheld funds can be released by the District under the following conditions:
    • Release of Stop Notice filed by Claimant resulting from payment by the Contractor to the
       Claimant.
    • Release of Stop Notice filed by Claimant resulting from payment by joint check. Refer to
       General Conditions of the Contract for joint check criteria.
Contractor files a Stop Notice Release Bond in favor of the District in accordance with California
Civil Code Section 3196. The bond must be executed by a corporate surety in an amount equal to 125
percent of the claim stated in the Stop Notice.




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                          Preliminary Notice Filed by Claimant




                          Contractor Does Not Make Payments




                             Stop Notice Filed by Claimant




                                  District Holds Funds




                                District Releases Funds




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REFERENCE MATERIALS


5.19.1 Stop Notice – Blank Form – See Reference Number 5.15.4

5.19.2 California Civil Code Section 3179-3214
       Chapter 4: Stop Notice for Public Work




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6.1 Owner Move-In/Occupancy Assistance


         ROLES & RESPONSIBILITIES
         DISTRICT:                              CONSULTANTS:                     CONTRACTOR: N/A
         Director, School Construction:         Program Manager: N/A
         Participate in Coordination of Move-   Architect/Engineer: N/A
         In/Occupancy                           Construction Manager: Create
         District Project Manager:              Coordination Schedule, Monitor
         Participate in Coordination of Move-   Progress, Assist District
         In/Occupancy                           Inspector of Record: N/A
         Purchasing and Contract
         Management: N/A
         Board of Education: N/A
         Fiscal Services: N/A


Executive Summary

The transition planning process typically begins long before the scheduled opening of the facility.
The Construction Manager (CM) assists and coordinates the District’s Move-In to make the transition
smooth and on schedule to avoid possible delays.




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Create Transition/Occupancy Schedule:
With the District's Site Staff and PM input, the CM will create a Transition/Occupancy Schedule at
approximately the 75% point of construction or when requested by or considered appropriate by either
affected District Department (generally site staff) or CM.
        • The District, CM and Architect shall jointly develop a plan drawing indicating all fixtures,
           furnishings and equipment (FF&E) and staff locations within the new facility.
        • Based on the Transition Schedule, the District will coordinate and initiate District Facility
           Activation (primarily staffing) and Fixture, Furnishings and Equipment (FF&E)
           Management.

Move-In Coordination:
Coordinate preparation for Move-In including:
      • Final checkout of operating systems (power, telephone, gas, heat, etc). Coordinate
          Operations and Maintenance (O&M) Manual turnover and training of District 's staff on
          operating systems.
      • Pre-occupancy installation of fixtures, furnishings & equipment (FF&E) and start-up and
          testing of District 's equipment.
      • Coordinate with the Contractor for last door key-out and transfer of security control of
          project.
      • The District shall mark all existing materials to be moved, with location reference
          markings relating to the location at the new facility.
      • Coordinate Contractor punch list corrections and evacuation. If the Contractor is to
          simultaneously occupy for punch list corrections and continuing work during equipment
          setup, call a meeting to resolve conditions and limits between the District, activation
          personnel and the Contractor (final cleaning, key control & access, etc)
      • Establish access pathways for movers and arrangements for added padding at corners and
          doorways of move-in route.

FF&E Deliveries:
The CM shall monitor and receive for the District, if necessary, any Fixtures, Furnishings &
Equipment (FF&E) deliveries and direct their placement within the facility in accordance with the
FF&E Plan.

FF&E Monitoring:
The CM shall monitor and receive for the District, if necessary, existing furniture deliveries and direct
their placement within the facility in accordance with the FF&E Plan.




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                          Create Transition/Occupancy Schedule




                                 Move-In Coordination




                                    FF&E Deliveries




                                   FF&E Monitoring




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REFERENCE MATERIALS

6.1.1 Occupancy Schedule - Blank Sample

6.1.2 FF&E List – Actual Sample




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6.2 Commissioning


         ROLES & RESPONSIBILITIES
         DISTRICT:                                  CONSULTANTS:                                CONTRACTOR: Coordinate
         Director, School Construction:             Program Manager: N/A                        and schedule performance tests,
         Defines the overall vision for the use     Architect/Engineer: Organizes and           compile and organize O&M
         of the facility; establishes operational   leads the commissioning team and is         documentation, and
         goals and requirements; defines O&M        responsible to the District to verify       coordinate/provide training
         requirements in the design intent;         that the design intent of the facility is   sessions
         defines training requirements              satisfactorily achieved
         District Project Manager: Prepares         Construction Manager: Coordinate
         the Commissioning plan, implements         Interactions between the Contractor,
         the commissioning process and              Architect/Engineer, Inspector, and
         prepares the final commissioning           District
         report                                     Inspector of Record: Conducts and
         Purchasing and Contract                    Accepts Performance Testing
         Management: N/A
         Board of Education: N/A
         Fiscal Services: N/A

Executive Summary

Commissioning is a management process for the validation of the performance of a facility. It is a
quality process. The reports from the commissioning process are not test reports, but reports
documenting that particular tests or evaluation procedures required by the commissioning plan were
performed and the results provide a validation of the District's documented performance requirement.
The commissioning plan is the document that describes of all aspects from beginning to end of the
commissioning process for the facility. The commissioning plan is continually updated to reflect
changes in the program, design and construction of the facility. Commissioning reports document and
record the results of the commissioning process described in the plan.

The fundamental objectives of the commissioning plan process are:
       • to create a procedure to verify and provide documentation that the performance of the
          facility and its systems meet the owner's requirements;
       • to enhance communication by documenting data and decisions throughout all phases of the
          project; and
       • to validate and report that building system performance meets the design intent

Because all building systems are integrated, a deficiency in one component can result in sub-optimal
operation and performance among other components. Remedying these deficiencies can result in a
variety of benefits including:
        • Improved occupant comfort
        • Energy savings
        • Improved environmental conditions
        • Improved system and equipment function
        • Improved building operation and maintenance


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        •   Improved building productivity

Commissioning during construction is intended to achieve the following objectives:
     • Ensure that approved equipment and systems are manufactured and installed properly and
         functional testing is performed.
     • Provide performance testing validation for building systems.
     • Ensure that required O&M documentation is compiled and delivered.
     • Ensure that facility operating and maintenance staff is appropriately trained.




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Commissioning Plan:
The individual commissioning plan must be organized in a consistent manner that reflects the nature
of the building requirements and evaluation procedures for validating the building's performance. The
commissioning plan includes schedules, responsibilities, documentation requirements, communication
and reporting protocols and evaluation procedures. Evaluation procedures include design review and
validation, contract document review and validation, and test procedures and validation.

Starting of Equipment and/or Systems:
The Contractor will coordinate the schedule for start-up of various equipment and/or system. The
Contractor will notify the Construction Manager (CM) seven (7) days prior to start-up of each
equipments and/or system.
The Contractor shall verify the following:
       • Each piece of equipment and/or system has been checked for proper lubrication, drive
           rotation, belt tension, control sequence or other conditions, which may cause damage.
       • Tests, meter readings and specified electrical characteristics agree with those required by
           the equipment or system manufacturer.
       • Wiring and support components for equipment are complete and tested.
       • Start-up is performed under supervision of responsible manufacturer's representative in
           accordance with manufacturers' instructions.

Functional and Performance Verification:
The Contract Documents state and provide a description of the extent of the verification testing
required. The Contract Documents detail responsibilities, testing requirements including what to test,
under which conditions to test, reporting protocols, acceptance criteria, acceptable test methods, and
documentation and scheduling requirements.

The Contract Documents will identify and describe the relationship between functional start-up
checklists and tests and occupancy and longer-range performance checklists and tests.
The verification procedures will include all performance tests, checklists of equipment or systems to
be evaluated, and sample test forms. The tests that shall be verified include:
       • Testing, adjusting and balancing test performance
       • Freedom from manufacturing and installation defects
       • Equipment performance
       • Subsystem performance consisting of equipment combinations
       • Automatic control performance in all seasonal modes
       • Integrated system performance
       • Life safety equipment and system performance as they interface with system and
            subsystem

Demonstration and Instructions:
The Contractor will demonstrate start-up, operation, control, adjustment, trouble-shooting, servicing,
maintenance and shutdown of each item of equipment at scheduled times, at designated location (See
Equipment and Operational Training Procedures).


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                                   Commissioning Plan




                           Starting of Equipment and/or Systems




                          Functional and Performance Verification




                              Demonstration and Instructions




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6.3 Warranty & Guarantee Work


         ROLES & RESPONSIBILITIES
         DISTRICT:                           CONSULTANTS:                    CONTRACTOR: Submits
         Director, School Construction: File Program Manager: N/A
         Records                             Architect/Engineer: Reviews
         District Project Manager: File      Construction Manager: Monitor
         Records                             Progress
         Purchasing and Contract             Inspector of Record: N/A
         Management: N/A
         Board of Education: N/A
         Fiscal Services: N/A

Executive Summary

The Construction Manager (CM) may remain on site after Substantial Completion for a period
specified in the District/CM Agreement but it is not feasible for the CM to remain on-site until all
warranty work is completed. Therefore, the CM will provide the District PM with a list of
responsibilities of each contract in force, the name and address of the company and the name and
telephone number of the contact person. These lists will be forwarded to the affected District
department(s) so that they may facilitate warranty requests. The list shall acknowledge continuing
Maintenance Contracts (roofing, landscape maintenance, etc), their duration and current status.




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Contractor Submits Warranties & Guarantees:
The Contractor submits all warranties and guarantees to the CM. The Contractor and CM coordinate
training of District forces for project systems.

CM Develops Warranties & Guarantees List:
The CM forwards the guarantees and warrantees to the Architect for review. The CM will develop a
list (database or spreadsheet for speed and accuracy) to be turned over to the District PM at the earliest
convenience.

Architect Review:
The Architect reviews the guarantees and warranties for compliance with the Contract Documents. If
the guarantees and warranties are incorrect, the guarantees and warranties are returned to the
Contractor for corrections.

CM Delivers Warranties & Guarantees:
The CM delivers all submitted guarantees and warranties to the District School Construction Office
during project closeout. (See Project Closeout Procedures)

System Problems:
The Contractor, CM, and/or the District respond to building system problems by contacting the
appropriate party/contractor per the warranty documents. During transitional times (the point at which
the CM is moving off site and District Departments are operating/using new systems) the CM will
coordinate with affected District Departments to assure responsibility is acknowledged and a
communication plan is developed. This step is crucial to a successful and timely response to warranty
issues.




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                          Contractor Submits Warranties & Guarantees




                                  CM Develops Warranties &
                                      Guarantees List




                                      Architect Review




                                   CM Delivers Warranties
                                      & Guarantees




                                      System Problems




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REFERENCE MATERIALS

6.3.1 Warranty & Guarantee List - Blank Sample

6.3.2 Warranty/Guaranty Form –Blank Sample




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6.4 Eleven Month Walkthrough


         ROLES & RESPONSIBILITIES
         DISTRICT:                        CONSULTANTS:                          CONTRACTOR: Corrects
         Director, School Construction:   Program Manager: N/A                  Defects
         Participates in Walkthrough      Architect/Engineer: Participates in
         District Project Manager:        Walkthrough
         Participates in Walkthrough      Construction Manager: Monitor
         Purchasing and Contract          Progress, Participates in Walkthrough
         Management: N/A                  Inspector of Record: N/A
         Board of Education: N/A
         Fiscal Services: N/A

Executive Summary

Prior to expiration of the warranty period (normally 12 months long), Construction Manager (CM)
will contact the District and perform an Eleven (11) Month Walkthrough. The purpose of the
walkthrough is to determine areas that might be showing unusual wear or deterioration.




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Preparation:
The CM coordinates the walkthrough with the District and District 's Department Leads at least one
month ahead of time. The CM shall request that the District research utility bills for the last eleven
(11) months showing any repair costs to the facility's system components or notes on recurring
problems. CM invites all departments associated with warranty work. Retrieve and review the
closeout documents and notes made on the facility's condition at close of construction.

Walkthrough:
The CM conducts the walkthrough with the District 's PM and District Staff in attendance. Other
team members (Architect, Contractor, Roofing Consultant, etc) may be invited but it is not necessary.
The walkthrough shall cover each room, each surface including rooftops, exterior walls, parapets and
site features.

Notes & Analysis:
The CM will record notes from the walkthrough including analysis of the systems performance and
other discussions, conclusions or action items in a report. Distribution shall be at the discretion of the
District.




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                             Preparation




                            Walkthrough




                           Notes & Analysis




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REFERENCE MATERIALS

6.4.1 Notes & Analysis - Blank Sample




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7.0 Definitions

A/E: Architect/Engineer

ADA: Americans with Disabilities Act

Acceptance: In this context, an Owner's acceptance of the project from the Contractor upon
certification by the Architect of Final Completion. Final acceptance is confirmed by making the final
payment unless otherwise stipulated at the time such payment is made.

Addendum: A supplement to bidding documents, issued prior to taking of bids, for the purpose of
clarifying, correcting, or adding to the contract documents previously issued.

Additional Services: Services provided in addition to those specifically designated as Basic Services
in the agreement between the Owner and Construction Manager.

Advertisement for Bids: A public notice published for the intent of soliciting bids for a construction
project. Published in newspapers of general circulation within the political subdivisions from which
the funds are derived or in which the project is located.

AGC: Associated General Contractors or Association of General Contractors

Agency: A legal relationship by which one party is empowered to act on behalf of another part.

Agency CM: A form of construction management services in which the Construction Manager acts
on behalf of the Owner as its representative.

Agreement: The document setting forth the terms of a contract between two parties, as the
Construction Manager and Owner or Contractor and Owner. (The terms "contract" and "agreement"
are sometimes used interchangeably without any intended change of meaning.)

AIA: American Institute of Architects

ANSI: American National Standards Institute

Apparent Low Bidder: The bidder who has submitted the lowest responsive and responsible bid for a
division of work described in a proposal form or contract.

Approved Bidders List: The list of contractors that have been prequalified for the purpose of
submitting competitive bids.

Approved Equal: Material, equipment or method proposed by the Contractor and approved by the
Architect for incorporation in or use in the work as equivalent in essential attributes to the material,


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equipment or method specified in the contract documents.

Approved Changes: Changes in the contract documents that have been subjected to an agreed upon
change approval process. See Change Order.

As-Built Drawings: Drawings (and other documents) revised to show significant changes made
during the construction process. See also Record Drawings (AIA preferred term).

ASCE: American Society of Civil Engineers

ASME: American Society of Mechanical Engineers

ASTM: American Society for Testing Materials

Back Charge: Service performed by others for contracted work. A cost charged to a contractor or
subcontractor or work done by others, which reduces the contract amount.

Basic Services: Scope of services as defined in the agreement between the Owner and Construction
Manager.

Beneficial Occupancy: The use of the constructed facility, or portion thereof, by the Owner for its
intended purpose.

Bid: An offer to perform the work described in a contract at a specified cost.

Bid Date: The date established by the Owner for the receipt of bids.

Bidder: A Contractor of vendor who submits a bid to perform work or supply materials directly for/to
the Owner, as distinct from a submitter who submits a bid to a prime bidder. A bidder is not a
Contractor until; a contract exists between the bidder and the Owner.

Bidding Period: The calendar period beginning at the time of issuance of bidding requirements and
contract documents and ending at the prescribed bid time.

Bid Documents: The documents issued to the Contractors by the Owner for bidding purposes that
include: drawings, specifications, form of contract, general and supplementary conditions, proposal
and bid forms, and other information including addenda.

Bidding Requirements: Documents providing information and establishing procedures and
conditions for the submission of bids. The documents consist of the notice to bidders or
advertisement for bids, instruction to bidders, invitation to bid, and sample forms.




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Bid Security: A deposit (cash, certified check, cashier's check, bank draft, stocks/bonds, money order
or Bid Bond submitted with a bid; provides that the bidder, if awarded the contract, will execute such
contract in accordance with the minimum requirements of the bid documents.

Bond: A pledged obligation from a surety to pay the bond amount to the Owner (obligee) in the event
of a default, or non-payment by a principal (Contractor), as with Bid, Performance and Labor and
Materials Bonds.

Breach of Contract: The failure, without legal justification, to fulfill obligations that are the whole or
part of an agreement, written or oral. The breach of contract can be intentional, inadvertent, or caused
by the negligence of the party breaching the contract.

Budget Estimate: An estimate of cost based on preliminary information, with a qualified degree of
accuracy. Budget estimates generally include a contingency amount.

Bulletin: A delineation and/or narrative issued by the CM that describes a proposed change to the
contract documents. A Bulletin is to be issued for consideration as a change.

Capital Expenditure: An expenditure made for fixed (long-term) assets such as land, buildings,
furnishings and equipment. (Capital expenditures result in a cost being capitalized - established as part
of a fixed asset. Expenditures that are not to be capitalized become expenses in the period in which
they generate revenues.)

Cash Flow: The change in a cash account during a specified period.

CBC: California Building Code

CBOC: Citizen’s Bond Oversight Committee

Changed Conditions: Conditions or circumstances, physical or otherwise, that alters the conditions
or circumstances on which the contract documents were based.

Change Order: An amendment to the Construction Contract signed by Owner, Architect and
Contractor that authorizes an addition, deduction or revision to the contract between parties, identifies
the change in price and time and describes the nature (scope) of the work involved.

Claim: A demand or assertion by a party of the contract who is seeking, as a matter of right,
adjustment or interpretation of contract terms, payment of money, extension of time, or other relief
with respect to the terms of the contract.

Codes: The regulations, ordinances or statutory requirements of a governmental unit relating to
building construction and occupancy, generally adopted for the protection of public health, safety and
welfare.


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Commissioning: Process of confirming performance per specifications, start-up of building systems
and the testing period to check-out all of the building systems.

Computer Aided Design (CAD or CADD): The term applied to systems or techniques for design
and drafting that utilize integrated computer hardware and software systems to produce graphic
images.

CM Fee: A form of contractual payment for services, where the CM is paid a fee for services
performed.

CM Services: The services (basic and additional) provided by the CM and available to an Owner in
all or part as defined in the contract between Owner and Construction Manager.

Conceptual Drawing: The earliest form of a design. Preliminary drawings produced by the Architect
to depict what the building might look like.

Constructability: The ease with which a project can be built, including the clarity, consistency, and
completeness of the contract documents for bidding, administration, and interpretation to achieve
overall project objectives.

Constructability Reviews: The process of evaluating the construction documents for clarity,
consistency, completeness, and ease of construction to achieve overall project objectives.

Construction Budget: The sum (sometimes a target figure) established, normally during planning or
design phase, as available for construction of the project.

Construction Change Directive (AIA G714): A written order prepared by an Architect and signed
by the Owner that directs a change in the work and states a proposed basis for adjustment, if any, in
the contract sum or contract time. Not used in Kitchell projects.

Construction Contract: The agreement between the successful bidder and the Owner.

Construction Cost: The total cost of all labor and materials and equipment of a project including a
reasonable contingency. (It does not include A/E and other fees, costs of land, rights-of-way,
financing, or other costs in preparation of or in support of the construction contract. See also Project
Budget and Project Cost.)

Construction Management: The process of professional management applied to a construction
program from project conception to completion for the purpose of advising the Owner on the time and
cost consequences of design and construction decisions, scheduling, cost control, coordination of
contract negotiations and awards and timely purchasing of critical materials and long-lead items
during design phase, construction phase or both.


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CM at Risk (Services): A form of construction management performed where the CM acts as both
agents of the Owner (See ‘Agency CM') but also as Contractor during construction phase.

Construction Manager (CM): An organization or individual possessing the requisite training and
experience and with the resources to provide construction management services. This person or entity
may remain as adviser (See ‘Agency CM') during construction or become the construction contractor
(See ‘CM at Risk').

Construction Schedule: A graphic, tabular or narrative representation or depiction of the time of
construction of the project, showing activities and duration of activities in sequential order and their
relationships.

Contingency: A sum included in the project budget to cover unpredictable items, unforeseen items of
work or changes in the work.

Contract Administration: The general administration of the construction contract typically
performed by the Architect. Architect's services typically include reviewing and certifying amounts
due the Contractor, approving contractor's submittals and conducting on-site inspections to determine
dates of substantial completion and final completion.

Contractor: The person or organization that undertakes responsibility for the performance of the
specific and construction work, in accordance with plans, specifications and contract documents,
providing and controlling the labor, materials and equipment to accomplish the work.

Contract Documents: The documents, which form the contract, entered into between the
Contractor(s) and an Owner.

Contracting Officer: The person designated as the official representative of the Owner with specific
authority to act on the Owner's behalf in connection with a project (usually the contract signatory for
the Owner).

Cost Control: The actions taken as functions of cost management tasks to maintain the project within
established budget estimates. The process of maintaining cost at a prescribed level.

Cost Estimate: A document dealing with cost associated with a project.

Cost Loaded: A schedule that monitors cost as a function of time.

Cost Management: The act of managing all or partial costs of a building program in order to remain
(effectively) within the stated budget limitations.

Cost of Construction: All costs attributed to the construction of the project, including the cost of


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contracts with the Contractor(s), construction support items, general conditions items, all purchased
labor, materials, and fixed equipment.

Critical Path Method (CPM): A planning and scheduling system which combines all relevant
information into a single plan defining the sequence and durations of operations and depicting the
interrelationship of the work elements required to complete a project. The critical path is defined as
the longest sequence of activities in a network, which establishes the minimum length of time for
accomplishment of the end event of a project.

Damages: The amount claimed or allowed as compensation for injuries sustained or property
damaged through wrongful acts, negligence or breach of contract of another.

Default: Substantive failure to fulfill a material obligation under a contract.

Design/Build: A method of project delivery in which the Owner contracts directly with a single entity
that is responsible for both design and construction services for a construction project.

Design Professional: The professional individual or organization that performs the design and
prepares plans and specifications, which depict the work to be performed. The professional can be an
architect, an engineer, or an organization, which combines professional services.

Design Phase - Schematic Design (SD): Traditionally, this is the first phase of a Design
Professional's basic services. In the Schematic Design Phase, the Design Professional ascertains the
requirements of the project and prepares schematic design studies consisting of drawings and other
documents illustrating the scale and relationships of the project.

Design Phase - Design Development (DD) (or Engineering Preliminary): The term used on
projects to describe the transition from the end of Schematic Design Phase where documents loosely
describe the project's concept to the beginning of the Contract Documents Phase (or Working
Drawings). During this phase, elevations are defined, engineering is started, ancillary space is
developed, sub-systems are selected or designed, products are selected and dimensions are finalized.
Outline specifications are developed into technical specifications.

Design Phase - Contract Documents (CD) (or Engineering Final): The phase of the design process
on a project when drawings and specifications are completed for construction bid purposes. During
this phase, technical details are added, specifications are completed, and the contract documents are
coordinated, printed and made ready for bidding and code agency review.

Direct Costs: The costs directly associated to a project, including labor, material, equipment,
subcontracts and all associated costs, but not including overhead and office costs incurred in support
of the project, also defined as indirect costs.

Direct Material Cost: The cost of material and equipment directly involved in the execution of the


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work.

Discovery: The process by which parties to a lawsuit are required before a trial to disclose to the other
side all evidence they expect to use as part of their presentations in court or that they possess in
relation to the other party's claims or defenses.

Drawings: Graphic representations showing the geometry and dimensions of the elements of a project
in sufficient detail to execute the work.

DSA: Division of the State Architect. The State office that reviews construction plans for code
compliance, structural safety, and access compliance purposes.

Dual Gate, Reserve Gate, Two Gate System is a procedure under the National Labor Relations Act,
which isolates a disputing union and employer, thereby allowing other neutral Contractors to continue
working.

Estimated Cost to Complete: The remaining costs to be incurred on a project at a specific point in
time. The difference between the cost to date and the project final cost.

Exposure: An estimate of probability of loss from some hazard, contingency or circumstance.

Fast Track: The process of dividing the design of a project into phases in such a manner as to permit
the construction to start before design is complete. The overlapping of construction phase with design
phase.

Feasibility Study: A detailed investigation and analysis conducted to determine the financial,
economic, technical or other advisability of a proposed project.

Field Order: An order issued at the site by the Owner or CM to clarify and/or require the
Contractor(s) to perform work not included in the contract documents. A field order normally
represents a minor change not involving a change in contract price or time and may be the basis of a
change order.

FF & E: Fixtures, furnishings and equipment.

Float: Contingency time that exists on a path of activity. It is measured by comparing the early and
late dates on a start and finish basis.

Force Account: Work accomplished outside the contract agreement and reimbursed on a basis of cost
of labor, materials and equipment plus an agreed upon percentage for overhead and profit.

Force Majeure: (Fr., 1883, for ‘superior force') An event or effect that cannot be reasonably
anticipated or controlled; an extraordinary interruption by a natural cause of the usual course of events


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that experience, prescience or care cannot foresee or predict. In construction, a postponement due to
fire, flood, earthquake, act of war, strike, picket, lockout, and causes beyond the Contractor's control.

Gate Contamination: Defined by the National Labor Relations Act, which isolates a disputing union
and employer, thereby allowing other neutral Contractors to continue working. Defined: Gate
Contamination is a gate” contaminated" by employers or suppliers entering or exiting the wrong gate.

General Conditions: The part of the contract documents that prescribes the rights, responsibilities
and relationships of the parties to the agreement. Included are obligations such as providing temporary
work, insurance, field offices, etc. Also can delineate the administration of the contract for
construction.

General Contractor: The prime contractor who is responsible for and coordinates most of the work
at the construction site, including work performed by subcontractors.

Guarantee: A legally enforceable assurance by the Contractor of satisfactory performance, quality or
quantity of products or work during a specific period of time stated and included in the contract.

Guaranteed Maximum Price CM: A contractual form of the CM system that establishes a maximum
price for the cost of the work with the CM assuming all obligations and contracts for performing the
work.

Hard Cost: The cost of the construction portions of a project including the construction bid and
change orders; same as “Construction Cost”.

Indemnification: A contractual obligation by which one party or entity agrees to reimburse others for
loss or damage arising from specified liabilities.

Inspection: Critical examination of the work completed or in progress to determine its conformance
with the requirements of the contract documents; distinguished from the more general ‘observation'
performed by the Architect. Public officials or technical specialists usually perform inspections.
Observations are defined as periodic visits by the Architect to become generally familiar with the
progress and quality of the work and to determine in general if the work is being performed in a
manner indicating that, when complete, will be in accordance with the contract documents.

Latent Defect: A defect in materials, equipment or completed work that a reasonably careful
observation would not detect; distinguished from a patent defect which would ordinarily be detected
by reasonably careful observation.

Life Cycle Cost: Life cycle costs include all costs incident to the planning, design, construction,
operation, maintenance and demolition of a facility, all in terms of present value.

Liquidated Damages: A sum established in the construction contract, usually as a fixed sum per day,


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as the predetermined measure of damages to be paid to the Owner because of the Contractor's failure
to complete the work within a stipulated time; not enforceable as a penalty.

Long Lead Items: The identification given to material and equipment having an extended delivery
time and which may be considered for early procurement and purchase. Items that are to be installed
by the Contractor(s), but which would be delivered too late for timely installation if the procurement
or purchase wee included as part of the procurement for the entire contract or project.

Lowest Responsible Bidder: Bidder who submits the lowest bona fide bid and is considered by the
Owner and the Architect to be fully responsible and qualified to perform the work for which the bid is
submitted.

Lowest Responsive Bid: The lowest bid that is responsive to and complies with the requirements of
the Bid Documents.

Lump Sum Fee: A fixed amount that includes the cost of overhead and profit paid, in addition to all
other direct and indirect costs.

Master Schedule: An executive summary-level schedule highlighting the major components of a
project. The schedule can be in the form of a network or milestone chart.

Mechanic's Lien: A claim on real property, to be satisfied by the sale of real property, created by
statute in favor of a person supplying labor, materials or services for nongovernmental improvements
to real property for the value of labor, materials or services supplied by the claimant.

Milestone Schedule: A schedule representing important events along the path to project completion.
All milestones may not be equally significant. The most significant are termed "major milestones" and
usually represent the completion of a group of activities.

Minor Changes in the Work (AIA definition): Changes in the construction work that do not involve
an adjustment in the contract sum or an extension of the contract time and that are not inconsistent
with the intent of the contract documents.

Multiple Prime Contracts: Refers to separate contractors contracting directly with the Owner for
specific and designated elements of the work.

Non-Conforming Work: Work that does not meet the specified requirements of the contract
documents or contract.

Notice to Bidders: A notice informing prospective bidders of the opportunity to submit bids on a
project and setting forth the dates and procedures for doing so. First publication date of Notice to
Bidders is generally considered the opening of the Bid Period and the official date of the project's
design for the purposes of current code editions and applicable statutes.


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Notice to Proceed (NTP): Written communication that may be issued by the Owner to the Contractor
authorizing the Contractor to proceed with the work and establishing the date of commencement of
the work.

Neutral Gate: Defined by the National Labor Relations Act, which isolates a disputing union and
employer, thereby allowing other neutral Contractors to continue working. Defined as the entrance
used by employers (and their material suppliers) who do not have a dispute with the union.

Occupancy Certificate: Document issued by a governmental authority certifying that all of, or a
designated portion of, a building is approved for its designated use.

OFCI: Owner furnished and Contractor installed.

OFOI: Owner furnished and Owner installed.

On-Site Management: Refers to the responsibilities of the CM at the site during construction, as
prescribed in the Owner/CM Agreement.

Owner: A person or entity that retains services for design and construction; so called because this
person or entity typically owns or is the lessee of the building site or project premises. Term is used
interchangeably in this context with ‘Client' with no intended change of meaning.

Owner CM: A form of CM that does not utilize an independent construction management
organization as a team member. The Owner performs all or part of the CM Services with in-house
staff.

Owner's Representative: The individual assigned to the project to represent the Owner on the project
team. (The role of the Owner's Representative shall be stated in the Owner/CM Agreement.)

Percentage of Construction Cost Fee: A basis for fee determination or cost of services, which is
established using the cost for the work for which services were performed as basis of fee calculation.
Usually expressed as a set of incremental percentages, applied to a final construction cost, the
elements of which are defined in the agreement for services. (Rarely used.)

Phase Construction: Refers to a unit approach to construction or design and construction. Each phase
of element has a defined work scope and can be considered a separate project with design and
construction phases overlapping. See Fast Track.

Plan Holder: A company or individual holding a set of bidding documents (plans and specifications)
prior to bid opening.

Post Construction Phase: Activities that follow substantial completion of the construction work that


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for a stipulated period of time includes the warranty period and initial operation phase. Corrections to
defective work and replacement of faulty items are accomplished during this phase.

Pre-Construction Phase: The period prior to the start of construction used for design revision,
estimates, and scheduling.

Pre-Design Phase: Refers to the period before design commences, when the project is initiated and
the program is developed; the planning and conceptual phase.

Pre-Qualification of Bidders: The process of investigating the qualifications of prospective bidders
on the basis of their experience, availability and capability for performing the contemplated work, and
then approving qualified bidders.

Primary Gate: Defined by the National Labor Relations Act as the entrance used by the primary
employer (and his material suppliers) who has a dispute with the union.

Prime Contract: A direct contract with the Owner. It can be a single contract or several contracts
depending upon the division of work.

Prime Contractor: A contractor who has a direct contractor with the Owner.

Professional Services: Services provided by a professional or an organization that has specific
competence in a field of endeavor that requires professional (and technical) knowledge and
capabilities and that meet recognized standards of performance. A Design Professional (architect
and/or engineer) or CM provides professional services.

Pro Forma: A projected or budgeted income statement which shows the effects of planned financial
activity during the planning period as if the events had taken place as forecast.

Progress Meeting: A meeting dedicated to the subject of progress during any phase of project
delivery. Usually applied to periodic meetings at the jobsite involving the project Team's field
personnel.

Progress Payment: Partial payment of the contract amount periodically paid by the Owner, upon
approval by the CM verifying that portions of the work have been accomplished.

Project: The total work as defined under the contract documents. It includes all phases from
conception through design and construction completion, with a beginning and end date.

Project Budget: The sum or target figure established to cover all the Owner's costs of the project. It
includes the cost of construction and all other costs such as land, legal and professional fees, interest,
and other project related costs.



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Project Control Plan: The written document prepared by the Construction Manager, which defines
the basis and procedures for implementing and managing the project. (Also known as a Construction
Management Plan.) The Kitchell PCP serves three major functions:
A. Defines and documents the project requirements
B. Outlines the plan and strategy for fulfilling those requirements
C. Establishes the project's goals and Owner's expectations against which the project will be judged.

Project Cost: The actual costs of the entire project.

Project Management: Term can be used synonymously with Construction Management (or Agency
CM). Project Management is the use of integrated systems and procedures by a team of professionals
during project design and construction. Although all of Kitchell's services are Construction
Management services, the term "Project Management" is used to indicate services rendered during
both design and construction, while the term "Construction Management" indicates services provided
during construction only and the term "Program Management" indicates services to multiple projects
for the same Owner.

Project Manual: A volume usually assembled for the construction work, which may include bid
requirements, sample forms, conditions of the contract and specifications.

Project Meeting: A meeting dedicated to all aspects of the project, involving the project Team
members (Owner, Design Professional, CM, Contractor(s)). Frequency varies during the pre-
construction phases; normally held monthly during construction phase.

Project Procedures Manual: A detailed definition of the project team responsibilities and authority,
project systems, and procedures.

Project Team: Initially (during Pre-Design, Design and Bid Phases), consists of the Owner, Design
Professional and CM. Thereafter, as prime construction contractors are engaged, they are added to the
Team.

Public Authority: Local, state of federal government body having jurisdiction over the work or the
project.

Punch List: A list made near Substantial Completion of the construction work indicating items of
work that remain unfinished, do not meet quality or quantity requirements as specified or are yet to be
performed by the Contractor prior to completing the terms of the Contract.

Purchase Order (PO): Contract type used for vendors/suppliers who do not perform labor on site.

Purchasing: Process and procedures utilized in the procurement of materials, subcontractors, services,
etc.



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Quality Assurance (QA): Quality Assurance is a planned, systematic set of actions necessary to
provide adequate confidence that the project will conform to requirements. Refers to the program
established by the Design Professional and CM to develop the quality levels designated for the project
by the Owner. QA includes quality engineering and quality control as part of the program.

Quality Control (QC): Quality Control is a specific set of checking, coordinating and scheduling
procedures involved in the QA Plan. The program that assures that the desired level is being reached
in the Quality Assurance Program. QC includes inspection and testing as part of its activities.

Record Drawings: Drawings (and other documents) revised to show significant changes made during
the construction process.

Recovery Schedule: The schedule that depicts action(s) and special effort(s) required to recover lost
time in order to recapture time lost on original master schedule. It can depict activities of any member
of the work team.

Resident Manager or Site Manager: The on-site representative of the Owner's interests during the
construction phase.

Schedule of Values: A list prepared by the Contractor stating contract basic segments in both labor
and material, where each line consists of a description of a portion of the work and a related cost and
the sum of the lines of the contract. Generally used as a basis for determining percentage completion
in reviewing progress Applications for Payment from the Contractor(s).

Scope Changes: Changes that expand or reduce the requirements of the project.

Short Term Construction Activity Plan: The short duration or "foreseeable future" planning and
scheduling of trade contractor activities on site. Usually developed on a week-by-week basis using
milestones for planning intervals. Usually coordinated by CM field-based personnel. Also known as
"Coordination Schedule" or "Look-Ahead Schedule".

Special Professionals: The designation for various professionals, including engineers, architects,
designers and other experts, who provide expertise in specialized fields.

Specifications: That part of contract documents that contain written descriptions of a technical nature
of materials, equipment, systems, required workmanship and other qualitative information pertaining
to the work.

Standard of Care: The ordinary and reasonable degree of care required of a prudent professional
under the circumstances. Defined as what a reasonably prudent professional, in the same community
at the same time, facing the same or similar circumstances would do. It is the measure by which
behavior is judged in determining legal disputes and rights.



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Start-Up: The period prior to occupancy when systems are activated and the Owner's operating and
maintenance personnel assume control and operation of the systems. The Design Professional shall
participate in this activity.

Subcontractor: A contractor who has a contract with a prime Contractor to perform work.

Substantial Completion: The date certified by the Design Professional, that a Contractor has reached
that stage of completion when an Owner can use the facility even though all work, such as punch list
items, is not completed. See also Beneficial Occupancy.

Superintendent: The Contractor's field representative at the site who is responsible for continuous
field supervision, coordination of trade contractors and subcontractors, completion of the work, and,
unless another person is designated in writing by the Contractor, for the prevention of accidents.

Supervision: Direction of the work by the Contractor's personnel.

Supplementary Conditions: Supplements and/or modifications to the general conditions, which are a
part of the bid documents and/or contract documents.

Supplier: A person or entity who supplies materials or equipment for the work, including that
fabricated to a special design, but who does not perform labor at the site.

Technical Specifications: See Specifications.

Testing: The application of specific procedures to determine if the prescribed technical criteria have
been met.

Trade Contractors: Construction contractors who specialize in providing and/or installing specific
elements of the overall construction requirements of a complete project.

Trade-Off Study: The study to define the comparative values of a substitution or exchange of a
design component. The Trade-Off Study can identify both monetary and functional values.

Turnkey: A construction process in which one party agrees to deliver to another party a fully
complete project, ready for the other party's use and occupancy by "turning the key".

UBC: Uniform Building Code

Value: A suitably equivalent price in return for goods and services characterized by usefulness, utility
or merit importance to the Owner.

Value Engineering: A systematic effort, or engineering study, to analyze and evaluate the value of
certain systems and components. The purpose of Value Engineering is to achieve the basic function at


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the lowest cost consistent with the project requirements. (Also known as Value Management, Value
Analysis or Value Control.)

Waiver of Lien: A document by which a person or entity who has or may have rights of a mechanic's
lien against the property of another relinquishes such right.

Work: All construction incorporating labor, material and equipment required by the contract
documents.




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                      REFERENCES
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